Revision Draft

Marine Stewardship Council fisheries assessments

Lloyd’s Register 6 Redheughs Rigg South Gyle Edinburgh, EH12 9DQ United Kingdom

T +44 (0)13 1335 6600 E [email protected] www.lr.org

Ross Sea Toothfish Longline

Announcement Comment Draft Report

February 2020

Conformity Assessment Body (CAB) Lloyd’s Register

Assessment team Andy Hough, Paul Medley, Jo Akroyd

Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Ervik Havfiske AS, Pesquerias Fishery client Georgias SL, Australian Longline Pty Ltd, and Taurus Logistics Group LP

Assessment Type Third Reduced Reassessment

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Assessment Data Sheet

CAB details Lloyd’s Register Address 6 Redheughs Rigg Edinburgh EH12 9DQ Phone/Fax 0131 335 6662 Email [email protected] Contact name(s) Kate Morris

Client details Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Ervik Havfiske AS, Pesquerias Georgias SL, Australian Longline Pty Ltd, and Taurus Logistics Group LP Address Clarendon House PO Box HM 1022 HM DX Hamilton, Bermuda Phone/Fax +44 (01635) 31525 Email [email protected] [email protected] Contact name(s) Peter Thomson Jack Fenaughty

Assessment Team Team leader / Principle 2 Andy Hough Principle 1 Paul Medley Principle 3 Jo Akroyd

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1 Executive summary ...... 5 1.1 Changes since previous assessment ...... 6 1.1.1 Principle 1 ...... 6 1.1.2 Principle 2 ...... 6 1.1.3 Principle 3 ...... 6 2 Report details ...... 7 2.1 Authorship and peer review details ...... 7 2.2 Version details ...... 8 3 Unit(s) of Assessment and Certification and results overview ...... 9 3.1 Unit(s) of Assessment and Unit(s) of Certification ...... 9 3.1.1 Unit(s) of Assessment ...... 9 3.1.2 Unit(s) of Certification ...... 10 3.2 Assessment results overview...... 10 3.2.1 Determination, formal conclusion and agreement ...... 10 3.2.2 Principle level scores...... 10 3.2.3 Summary of conditions - TBC ...... 11 3.2.4 Recommendations ...... 11 4 Traceability and eligibility ...... 12 4.1 Eligibility date ...... 12 4.2 Traceability within the fishery ...... 12 4.3 Eligibility to enter further chains of custody ...... 14 4.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to enter further chains of custody 14 5 Scoring ...... 15 5.1 Summary of Performance Indicator level scores ...... 15 5.2 Principle 1 ...... 16 5.2.1 Principle 1 background ...... 16 5.2.2 Catch profiles ...... 22 5.2.3 Total Allowable Catch (TAC) and catch data ...... 23 5.2.4 Principle 1 Performance Indicator scores and rationales ...... 24 ...... 24 ...... 26 ...... 26 ...... 30 ...... 32 ...... 35 5.3 Principle 2 ...... 38 5.3.1 Principle 2 background ...... 38 5.3.2 Principle 2 Performance Indicator scores and rationales...... 46 ...... 46

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...... 48 ...... 51 ...... 53 ...... 55 ...... 58 ...... 60 ...... 62 ...... 65 ...... 67 ...... 69 ...... 72 ...... 74 ...... 76 ...... 78 5.4 Principle 3 ...... 80 5.4.1 Principle 3 background ...... 80 5.4.2 Principle 3 Performance Indicator scores and rationales...... 83 ...... 83 ...... 86 ...... 91 ...... 93 ...... 95 ...... 99 ...... 102 6 Appendices ...... 104 6.1 Assessment information ...... 104 6.1.1 References ...... 104 6.1.2 Previous assessments ...... 107 6.1.3 Small-scale fisheries ...... 108 6.2 Evaluation processes and techniques ...... 109 6.2.1 Site visits ...... 109 6.2.2 Stakeholder participation ...... 109 6.2.3 Evaluation techniques ...... 109 6.3 Peer Review reports ...... 110 6.4 Stakeholder input ...... 111 6.5 Conditions – delete if not applicable ...... 117 6.6 Client Action Plan ...... 117 6.7 Surveillance ...... 118 6.8 Harmonised fishery assessments ...... 119 6.9 Objection Procedure – delete if not applicable ...... 119 7 Template information and copyright ...... 120

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1 Executive summary » This report is the Announcement Comment Draft Report which provides details of the MSC assessment process for the Ross Sea Toothfish Longline fishery for Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Ervik Havfiske AS, Pesquerias Georgias SL, and Australian Longline Pty Ltd. The process begins with publication of the ACDR on 24th February 2020 and was concluded (to be determined at a later date). » A review of information presented by the client has been scored by the assessment team – please note this does not represent a final scoring outcome or a certification decision. » The scoring presented in this report has not been reviewed by stakeholders, peer reviewers or the client – these steps will all take place from here onwards. The next key step, and deadline for inclusion of new information in this assessment, will be the Site Visit; this is due to take place in Wellington, New Zealand on Thursday 26th March 2020. » Stakeholders are encouraged to review the scoring presented in this assessment and use the Stakeholder Input Form to provide evidence to the team of where changes to scoring are necessary. » All stakeholder comments will be published ahead of the site visit. Stakeholders can meet with the assessment team onsite in Wellington, New Zealand on Thursday 26th March 2020. » The Target Eligibility Date for this assessment is the date of expiry of the current certificate – 13 January 2021

The assessment team for this fishery assessment comprised of Andrew Hough who acted as team leader and primary Principle 2 specialist; Paul Medley who was primarily responsible for evaluation of Principle 1 and Jo Akroyd who was primarily responsible for evaluation of Principle 3. Paul MacIntyre and/or Ken Bruce who were the traceability expert advisors.

The Ross Sea toothfish fishery is a catch-limited Olympic fishery. Vessels can enter the fishery when the season opens and fish until the catch limits are reached in each area. There are no allocated individual or group-based rights to catches of any volume. Members of CCAMLR who wish to fish in the Ross Sea must apply in accordance with the documented CCAMLR process specified annually. Permission to enter the fishery is assessed and approved by the Commission. This makes it possible for, but does not require, vessels to enter the fishery. Ross Sea Toothfish UoC vessels are a subset of this group.

General Summary of Changes since previous assessment

The fishery continues to develop in an appropriate precautionary manner. The stock assessment has developed since the last re-assessment as this was the only point on which a condition was raised in the last re-assessment. No conditions were raised on Principles 2 or 3 at the last re-assessment and the situation now is only improved through continued information gathering and accompanying development of regulations. No conditions of certification have been identified at this stage.

Client strengths

Key strengths of the management approach applied to the fishery include: • a natural alignment of the CAMLR Convention’s objective (“the conservation of Antarctic marine living resources”1) with MSC Principles 1 and 2, • comprehensive utilisation of scientific and technical information as a foundation for management, • frequent and ongoing review of fishery performance within the management system, • ongoing collection of detailed scientific and technical information to support management, • a multi-faceted monitoring, control and surveillance system, • frequent and regular opportunities to refine and update the management system, • extensive, detailed and publicly available documentation of management decisions and discussions supporting decision-making, • a very conservative approach to fisheries decision rules

Client weaknesses The main weakness of the fishery derives principally from its relatively small size and location in Antarctic waters, making information gathering on the stock and ecosystem and determination of effects of the fishery difficult. Many of the

1 See Article 2 of the CAMLR Convention, available at: www.ccamlr.org/en/organisation/camlr-convention-text LR MSC Reduced Reassessment Template 20190419 Page 5 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

conditions of certification following the original assessment of this fishery related to the lack of information; a situation which continues to improve. Summary of Key Issues for Further Investigation Much information is already published or otherwise available. Stakeholder views on the fishery will be identified and discussed throughout the assessment process. The following points have been identified as discussion points for the site visit:

• Principle 1 - More evidence is required on the management of the ASR population within the harvest strategy. • Principle 3 – Do stakeholders feel the authorities demonstrate consideration of their input and explain how it is used or not used?

For interested readers, the report also provides background to the target species and fishery covered by the assessment, the wider impacts of the fishery and the management regime, supported by full details of the assessment team, a full list of references used and details of the stakeholder consultation process. Lloyd’s Register confirm that this fishery is within scope.

1.1 Changes since previous assessment Principle 1 Key changes to the stock status and assessment since the last assessment are as follows.

A single area stock assessment model is used to determine stock status, notwithstanding using area-based biomass estimates used to help manage catch limits (ASR population). Area effects within the model are managed by allowing different selectivity’s, but a single population is assumed. Research on explicit spatial modelling to improve the stock assessment has continued. A Ross Sea MPA was implemented in December 2017, which prohibits commercial fishing within a General Protection Zone, and allows limited exploitation within areas defined in regulation CM 91-05. IUU fishing mortality is now estimated and included in the stock assessment.

An external peer review of toothfish fishery stock assessments was conducted in 2018, however this was not specific to this fishery or stock assessment. New information from recent surveys on spawning and reproduction has shed further light on stock dynamics hypotheses.

Principle 2 Key changes relating to ecosystem interactions of the fishery since the last assessment are as follows.

Bycatch profiles and bait usage are very similar to those at the last assessment and there are again no interactions with ETP species.

The Ross Sea Region Marine Protected Area has been implemented. While there have been no integral changes to either the overall management system used by CCAMLR or management systems within individual Member States, CCAMLR has adopted by consensus Conservation Measure 91-05 (2016) implementing a Marine Protected Area within the Ross Sea region which commenced 1st December 2017. Fishing within the Ross Sea Region, as defined by Statistical Subarea 88.1 and SSRUs 88.2 A and 88.2 B, is subject to modifications as set out in CM 91-05. Impacts on benthic habitats remain low for commonly encountered habitats and crucially there are well developed move-on protocols in place in the event of encounters with VME habitats.

Principle 3 Key changes to the management system since the last assessment are as follows.

There has been a second performance review of CCAMLR, and the Final Report of the Panel 2017 has been produced. The 2nd performance review report presents a review of implementation of the first performance review’s recommendations and progress against them as well as seven priority thematic areas identified by the panel. In each of these areas the panel has provided recommendations. There are 28 recommendations.

While many of the client group vessels use Electronic Monitoring, this is not mandated in CCAMLR and the Group is currently progressing systems to enable the collection of high quality and high granulation research.

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2 Report details 2.1 Authorship and peer review details All team members listed below have completed all requisite training and signed all relevant forms for assessment team membership on this fishery.

Andrew Hough – Team Leader and Principle 2 expert

Dr Andrew Hough: Marine Environmental Consultant. Andrew has a PhD in marine ecology from the University of Wales, Bangor (1987-90). He has been involved in marine, coastal and freshwater environmental management since 1991, including management of fishery impacts on ecosystems and marine conservation biology, principally in European inshore waters. He was manager of Moody Marine operations within Moody International Certification from 1999 to 2011 with particular responsibility for the implementation of MSC Certification procedures and development of MSC methodologies. He has acted as lead assessor on a large proportion of MSC pre assessments and main assessments during this time, and subsequently as team member and/or lead auditor for various assessments. This has involved stock assessment analysis, evaluation of ecosystem effects and management effectiveness of groundfish, pelagic and shellfish fisheries in various administrations around the world. He now works as a freelance environmental/fishery management consultant and auditor; consultancy projects include certification-related policy advice to the Association of Sustainable Fisheries.

Andy has passed all MSC training courses relating to fishery assessments and has no Conflict of Interest in relation to this fishery. Full CV available upon request

Paul Medley – Principle 1 expert

Dr Paul Medley is an experienced fishery scientist and population analyst and modeller, with wide knowledge and experience in the assessment of pelagic stocks (amongst a range of marine fish stocks and ecosystems). He holds a first degree in Biology and Computer Science (1st class honours) from the University of York, and a doctorate from Imperial College, London, based on a thesis “Interaction between Longline and Purse Seine in the South-West Pacific Tuna Fishery”.

He has travelled widely and worked with a range of fishery systems and biological stocks, both as principal researcher and as evaluator. He is familiar with MSC assessment procedures, having participated in a significant number of MSC full assessments across a range of fisheries, undertaken a substantial number of pre-assessments and acted as peer reviewer in still others.

He is familiar with a wide range of fisheries in the North East Atlantic and other parts of the world, and over the period 2000 to 2005 he has been serving with the Centre for Independent Experts, University of Miami, as an evaluator of various US fishery research programmes. He has been working with the MSC on the development of guidelines for certification of small scale, data poor fisheries. He is based in York (UK).

Paul has passed MSC training and has no Conflict of Interest in relation to this fishery. Full CV available upon request

Jo Akroyd – Principle 3 expert

Jo is a fisheries management and marine ecosystem consultant with extensive international and Pacific experience. She has worked at senior levels in both the public and private sectors as a fisheries manager and marine policy expert. Jo was with the Ministry of Agriculture and Fisheries in New Zealand for 20 years. Starting as a fisheries scientist, she was promoted to senior chief fisheries scientist, then Assistant Director, Marine Research. She was awarded a Commemoration Medal in 1990 in recognition of her pioneering work in establishing New Zealand’s fisheries quota management system. As well as carrying out general fisheries consultancy since1994 she has undertaken all facets of MSC work as a lead assessor, expert team member and peer reviewer across a wide range of fisheries. Jo has completed the MSC v1.3, v2.0 and v2.1 training modules including for enhanced fisheries, Risk based framework and traceability. She is a member of the MSC’s Peer Review College,

MSC projects include Team Leader and Fisheries Management expert for New Zealand fisheries, (hoki, hake, ling, southern blue whiting, albacore and skipjack), Fiji (albacore and yellowfin), Japan (scallops, skipjack and yellowfin), China (scallops, flounder and snowcrab), Maldives (skipjack), Ross Sea (toothfish), West Papua (skipjack and yellowfin). She has conducted multi species pre assessments in Japan, China, Viet Nam and New Zealand and provided independent Peer review reports for tuna, scallops and prawn fisheries in various countries.

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Jo has passed MSC training and has no Conflict of Interest in relation to this fishery. Full CV available upon request

Peer Reviewers

Peer reviewers used for this report were PR1 and PR2. A summary CV for each is available in the Assessment downloads section of the fishery’s entry on the MSC website.

2.2 Version details

Table 1. Fisheries program documents versions

Document Version number

MSC Fisheries Certification Process Version 2.1

MSC Fisheries Standard Version 2.01

MSC General Certification Requirements Version 2.4.1

MSC Reporting Template Version 2.0

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3 Unit(s) of Assessment and Certification and results overview 3.1 Unit(s) of Assessment and Unit(s) of Certification Unit(s) of Assessment The fishery is within scope of the MSC Fisheries Standard.

• Target taxa §7.4.1.1 – the fishery does not target amphibians, reptiles, birds or mammals. • Destructive fishing practices §7.4.1.2 – no destructive fishing practices (explosives or poisons) are used in this unit of certification. • Controversial unilateral exemptions §7.4.1.3 – there are no controversial unilateral exemptions to any international agreements relevant to the fishery. • Forced labour §7.4.1.4 – fishery operators have not been prosecuted for any violations against forced or child labour laws. • Controversial disputes §7.4.2 – there are mechanisms in place for resolving disputes between the fishery and the management system. • Inseparable or practically inseparable catches §7.4.13 – there are no non-target IPI species in the UoAs.

The fishery is not enhanced and does not target an introduced species.

The fishery takes place within the Ross Sea, CCAMLR Sub Areas 88.1 (Ross Sea Region RSR) and 88.2 (Amundsen Sea Region ASR).

No changes to the UoA have taken place since the last assessment, other than inclusion of additional fishers previously identified as other eligible fishers, detailed below.

Table 2. Unit(s) of Assessment (UoA)

UoA 1 Description

Species Antarctic toothfish (Dissostichus mawsoni)

Stock Within CCAMLR Subareas 88.1 (RSR) and 88.2 (ASR).

Geographical area Ross Sea (CCAMLR Subareas 88.1 and 88.2)

Harvest method / gear Bottom set longline

Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Pesquerias Georgias SL, Client group Australian Longline Pty Ltd and Constellation Southern Crown LLC Any further licensed fishing companies/vessels which agree to the Client Group rules may Other eligible fishers be admitted to the client group.

The composition of the client group in the current 2019/20 season is as follows;

Company Vessel Longline System Sanford Ltd San Aotea II Autoline San Aspiring Autoline Pesquerias Georgia S.L Tronio Spanish longline or Trotline system Argos Froyanes Ltd Argos Georgia Autoline Argos Froyanes Autoline Nordic Prince Autoline Altamar Autoline

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Talleys Group Limited Janas Autoline Australian Longline Pty Ltd Antarctic Discovery Autoline Constellation Southern Crown LLC Marigolds Trotline system

All of these longline gear systems are approved in this fishery. Details of these fishing gear types can be found by following the supplied link to the CCAMLR gear library (https://www.ccamlr.org/en/publications/fishing-gear-library).

Unit(s) of Certification To be drafted at Client and Peer Review Draft Report stage To be completed at Public Certification Report stage

Table 3. Unit(s) of Certification (UoC)

UoC X Description

Species

Stock

Geographical area

Harvest method / gear

Client group

Other eligible fishers

3.2 Assessment results overview Determination, formal conclusion and agreement To be drafted at Final Draft Report To be completed at Public Certification Report The report shall include a formal statement as to the certification determination recommendation reached by the assessment team on whether the fishery should be certified.

The report shall include a formal statement as to the certification action taken by the CAB’s official decision-makers in response to the Determination recommendation.

Reference(s): FCP v2.1 Section 7.21

Principle level scores To be drafted at Client and Peer Review Draft Report

Table 4. Principle level scores

Principle UoA 1 RSR UoA 2 ASR

Principle 1 – Target species

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Principle 2 – Ecosystem impacts

Principle 3 – Management system

Summary of conditions - TBC To be drafted at Client and Peer Review Draft Report

Table 5. Summary of conditions

Performance Related to previous Condition number Condition Indicator (PI) condition?

Yes / No / NA

Recommendations Recommendation 1: It is recommended that the Client Group formalise the sustainable sourcing and recording of bait, possibly as a component of the Client Group Rules.

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4 Traceability and eligibility 4.1 Eligibility date The Target Eligibility Date for this assessment is the date of expiry of the current certificate – 13 January 2021. 4.2 Traceability within the fishery Traceability, separation and chain of custody are specified in the Client Group Rules (Appendix). The rules specify that Group Members must follow all Chain of Custody (CoC) principles and requirements to ensure that the CoC is maintained from the point of capture to sale. Also, under the Rules, Group Members will ensure that their vessels will physically separate product caught from each area in the hold by means such as pound boards and covers. Vessels will use methods such as time stamped photographs and independent observer evidence to verify stowage and appropriate segregation during a trip. Any Patagonian toothfish Dissostichus eleginoides caught will be marked for ease of identification and stowed separately from the target MSC species Antarctic toothfish Dissostichus mawsoni.

Member Companies within the Client Group employ different levels of processing styles on their respective vessels resulting in differing final product states. The various processed states will therefore have differing types of package and labelling post processing, but all will be appropriately labelled.

UK vessels apply product-specific labels at the point of processing, recording all required traceability information (as for South Georgia Toothfish). Spain follows the same procedure as the UK applying product specific labels at the point of processing and recording all the required traceability information. Norway follows the same procedure as the UK applying product specific labels at the point of processing and recording all the required traceability information.

NZ Vessels specifically label individuals and secondary products (Collars / Cheeks) at the point of processing. Final dressed product (trunks) are individually labelled during reprocessing ashore with the Chain of Custody (CoC) kept within the Company by Sanford Limited. Talley’s Limited contracts out the actual reprocessing to Sealord, so their premises’ details also appear on the certificates before exporting. For both companies Chain of Custody is regularly verified by both internal and external (CAB) audits which may include shadow auditing.

Australia specifically labels secondary products (Collars / Cheeks) at the point of processing. Final dressed product (trunks) are individually labelled during reprocessing ashore and each carton for size <10kg fish and each fish for over 10kg is individually labelled. The Chain of Custody (CoC) is kept within the Company. Chain of Custody is regularly verified by both internal and external (CAB) audits which may include shadow auditing.

New Companies / Vessels that enter the Client Group will have to package / label to either the NZ or UK practices or provide an alternate that is suitable to the Client Group and MSC principles of CoC traceability.

These measures are in addition to normal CCAMLR Catch Documentation Scheme (CDS) requirements for toothfish. Overall traceability requirements within the Unit of Certification are defined in the Client Group Rules.

Given the CCAMLR and Client Group labelling and traceability requirements, CCAMLR reporting requirements and observer presence on vessels, there is considered no opportunity for substitution of certified and non-certified product.

Table 6. Traceability within the fishery

Factor Description

Will the fishery use gears that are not part of the Unit of Certification (UoC)? No, all gear used is as specified in Licence conditions and

is restricted to longline. This is subject to 200% observer If Yes, please describe: coverage (2 observers per vessel). - If this may occur on the same trip, on the same

vessels, or during the same season; - How any risks are mitigated. Will vessels in the UoC also fish outside the UoC While UoC vessels could potentially fish outside the UoC geographic area? geographical area this does not regularly occur on the same trip. Should this be the case any product would be If Yes, please describe: separated in the hold. Recorded as such by the on-board

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- If this may occur on the same trip; observers and photographic time stamped evidence - How any risks are mitigated. retained. As vessels may fish in different geographical areas, certified and non-certified product may be present in the hold during a trip. The measures described above will ensure separation and CoC integrity, supported by Observer coverage throughout.

Client Group members are also regulated through CCAMLR Conservation Measure 10-03 (2019). Port Do the fishery client members ever handle certified and inspections of fishing vessels carrying Antarctic marine non-certified products during any of the activities living resources covered by the fishery certificate? This refers to both at-

sea activities and on-land activities. 1. Contracting Parties shall undertake inspections of

all fishing vessels carrying Dissostichus spp. which enter - Transport their ports. The inspection shall be for the purpose of - Storage determining that if the vessel carried out harvesting - Processing activities in the Convention Area, these activities were - Landing carried out in accordance with CCAMLR conservation - Auction measures, and that if it intends to land or tranship

Dissostichus spp., the catch to be unloaded or transhipped If Yes, please describe how any risks are mitigated. is accompanied by a Dissostichus catch document (DCD) required by Conservation Measure 10-05 and that the catch agrees with the information recorded on the document.

It is noted that Client Group members are to unload at the following countries only: • New Zealand • Australia • South Africa • South Georgia / Falkland Islands • Montevideo, Uruguay • Punta Arenas, Chile • Walvis Bay, Namibia • Réunion Does transhipment occur within the fishery?

If Yes, please describe: - If transhipment takes place at-sea, in port, or No, there is no transhipment at sea by any of the Ross Sea both; Client Group vessels. - If the transhipment vessel may handle product from outside the UoC; - How any risks are mitigated. Are there any other risks of mixing or substitution between certified and non-certified fish? There are no other risks of mixing or substitution.

If Yes, please describe how any risks are mitigated.

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4.3 Eligibility to enter further chains of custody All product is landed into recognised points where DCD inspections are carried out, as detailed in the report. At each port, product is containerised and shipped to customers. All client group members have their own CoC certification and so this containerisation and shipping is already within the CoC regime. The only exception to this is some product landed into NZ which may enter factories belonging to Client Group members for further processing before sale. Such product will, however, be covered by the CoC systems of the Client Group members. The point of change of ownership will be sale from the factory.

All merchants and processors wishing to sell MSC certified fish that has been purchased from this fishery will require their own ongoing Chain of Custody certification.

Only members of the Client Group are eligible to use the fishery certificate.

4.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to enter further chains of custody No IPI stocks are involved in this certification.

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5 Scoring 5.1 Summary of Performance Indicator level scores Principle Component Performance Indicator (PI) Score Range 1.1.1 Stock Status ≥80 Outcome 1.1.2 Stock Rebuilding N/A 1.2.1 Harvest Strategy ≥80 One 1.2.2 Harvest Control rules & tools ≥80 Management 1.2.3 Information & monitoring ≥80 1.2.4 Assessment of stock status ≥80 2.1.1 Outcome ≥80 Primary Species 2.1.2 Management strategy ≥80 2.1.3 Information / Monitoring ≥80 2.2.1 Outcome ≥80 Secondary Species 2.2.2 Management strategy ≥80 2.2.3 Information / Monitoring ≥80 2.3.1 Outcome ≥80 Two ETP Species 2.3.2 Management strategy ≥80 2.3.3 Information strategy ≥80 2.4.1 Outcome ≥80 Habitats 2.4.2 Management strategy ≥80 2.4.3 Information strategy ≥80 2.5.1 Outcome ≥80 Ecosystems 2.5.2 Management strategy ≥80 2.5.3 Information ≥80 3.1.1 Legal &/or customary framework ≥80 Governance and policy 3.1.2 Consultation, roles & responsibilities ≥80 3.1.3 Long term objectives ≥80 Three 3.2.1 Fishery specific objectives ≥80 Fishery specific 3.2.2 Decision making processes ≥80 management system 3.2.3 Compliance & enforcement ≥80 3.2.4 Monitoring & management performance ≥80

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5.2 Principle 1 Principle 1 background Biology of the Target Species

Toothfish are large Nototheniids endemic to Antarctic and sub-Antarctic waters. There are two species of toothfish: Antarctic toothfish (Dissostichus mawsoni) and Patagonian toothfish (D. eleginoides). Their distribution is circumpolar. D. mawsoni have a more southern distribution than D. eleginoides and are generally found in latitudes south of the Antarctic Convergence. D. mawsoni dominates catches in Subareas 88.1 and 88.2.

Toothfish are high trophic level predators, with fish the most important prey category for adults (Lee et al. 2019). In particular icefish and Whitson’s rattail, and squid, bait and prawns following in importance in the diet (Fenaughty et al. 2003). The trophic level of D. mawsoni is estimated to be around 4.0 (Froese and Pauly ed. 2014), and therefore it is not a low trophic species.

Growth, estimated from tagging and age estimates based on otoliths, for this species is relatively fast considering the cold environment and toothfish life history (Horn 2002). Growth is estimated within the stock assessment and separately using all length and age data (Dunn and Parker 2019). Although there appears little difference between males and females, growth models are estimated separately.

Considerable uncertainty remains over spawning dynamics and early life history of D. mawsoni. The present hypothesis is that D. mawsoni in Subareas 88.1 and 88.2 spawn to the north of the Antarctic continental slope, mainly on the ridges and banks of the Pacific-Antarctic Ridge (Hanchet et al. 2008). From the more southern areas, it has been proposed that fish gradually move northwards as they mature, feeding in the slope region in depths of 1000–1500 m, where they gain weight before moving north onto the Pacific-Antarctic ridge to start the cycle again. Spawning fish may remain in the northern area for up to two or three years. They then move southwards back onto the shelf and slope where food is more plentiful and where they regain condition before spawning again. Antarctic toothfish in spawning condition have been found on isolated geographic features north of the main Antarctic shelf areas, north of 70°S. However, Fenaughty et al. (2018) found Antarctic toothfish in post-spawning condition north of 60°S in the Southern Ocean suggesting that Antarctic toothfish spawning may extend over a wider geographic area than initially thought.

Spawning appears to start in July with males aggregating first (Stevens et al. 2016), but ongoing research may be hampered by sea ice covering the main spawning habitat when spawning occurs. The spawning season may be short, also ending in June/July and positively buoyant eggs may be retained by sea ice limiting the distribution extent (Parker and Di Blasi 2019). Otherwise eggs and larvae may become entrained by the Ross Sea gyres, and may either move west settling out around the Balleny Islands and adjacent Antarctic continental shelf, south onto the Ross Sea shelf, or eastwards with the eastern Ross Sea gyre settling out along the continental slope and shelf to the east of the Ross Sea in Subarea 88.2. As the juveniles grow in size, they move west back towards the Ross Sea shelf and then move out into deeper water (>600 m).

At the depths where the fishable biomass of toothfish is found, environmental conditions are relatively stable. New recruits comprise only a small proportion of the fishable biomass and the stock has a generally low productivity. Productivity may be affected by changes in environment and climate most likely through adjustments in recruitment, but recent recruitment appears to have been fluctuating around a mean (Dunn and Parker 2019).

The life history of Antarctic toothfish proposed for the Ross Sea region by Hanchet et al. (2008) based on tag movements and ocean circulation and hydrography (Rickard et al. 2010) suggested that Antarctic toothfish in the Ross Sea region (Subarea 88.1 and SSRUs 882A-B) could be treated as a separate stock. Some differentiation was supported by some physical oceanography (oceanic gyres may retain juveniles), and by the limited movement of adult tagged fish. D. mawsoni from areas around the Antarctic including the Ross Sea have found weak genetic variation (Kuhn and Gaffney 2008) and recent population structure analyses has suggested that 88 Subarea is likely to comprise a single genetic stock (Choi et al. 2019; Mugue et al. 2014).

The stock assessment has undergone some changes, particularly over designation of stock areas. Although previously consideration has been given for doing separate stock assessments in different areas of the Ross Sea (Parker et. al. 2014), this has now been resolved by conducting a single assessment with “fleets” separated by area. This provides some adjustment for migration patterns while treating the population as a single self-recruiting unit. The entire Ross Sea is treated as a single population, but with four fleets primarily representing 3 separate areas plus IUU fishing separately (Figure 1). These are now considered the same stock (self-recruiting population), but each area can have a separate selectivity. This approximates the changes in length and age compositions that are observed from different areas and thought to be due to fish movement among other things (Dunn and Parker 2019).

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Figure 1. CCAMLR Subareas 88.1 and 88.2, small scale statistical areas (SSRUs), the Ross Sea region MPA (GPZ(i)– (iii) in light grey shade and the SRZ in dark grey shade) and the Ross Sea region (bounded region). The light blue line delineates the N70 management area from the S70 management area. Depth contours (light grey) plotted at 1000 and 3000 m. (source: Dunn and Parker 2019)

Patagonian toothfish (D. eleginoides) is excluded from this certification. It is unlikely that the two species of toothfish which are caught will be confused as vessel crew are specifically trained to recognise the two species and all of the Client Group vessels also work in fisheries where Patagonian toothfish predominate the catch, there are two scientific observers on board each vessel, and landings inspections. D. eleginoides is at the edge of its habitat range and managing the harvest with primary reference to the D. mawsoni populations is appropriate. D. eleginoides are included in the tagging programme.

Monitoring of Stock Status

Dunn and Parker (2019) provides a good summary of information on stock structure, the fishery and data available for the stock assessment. The catch, catch age and length composition, catch rates and tagging information are all monitored with both high-frequency and a high degree of accuracy. The main indicators are monitored with sufficient frequency to support the harvest control rule (HCR).

Data collection depends upon scientific observers to a large extent. Fenaughty (2019) also outlined the use of electronic monitoring (EM) to assist in scientific data collection, although EM, apart from VMS, is not currently required. Vessels are required to have on board two scientific observers, one appointed in accordance with the CCAMLR Scheme of International Scientific Observation (CM 41-09 & 41-10). Around 40% of hooks hauled are directly observed.

The legal catches are well documented and reliable. The species catch has not been confused with the nearest relative, D. eleginoides. The total catch is recorded and verified at landing and monitored through the catch documentation scheme. On board observers provide good information on catch composition (length, sex and maturity of individual fish), as well as a description and check on fishing operations (outlined in observer reports). Each vessel participating in the fishery has at least two scientific observers, one of whom is appointed in accordance with the CCAMLR Scheme of International Scientific Observation, who remains on board throughout all fishing activities within the fishing period. Vessels are required to participate in the Catch Documentation Scheme for Dissostichus spp. in accordance with Conservation Measure 10-05.

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IUU catches are considered very low if not zero. There were no sightings of IUU vessels in 2018 or 2019, there have been no reports of undocumented landings, but one case in each year of unidentified fishing gear which may be left from previous seasons (CCAMLR 38/12, 2019). Based on aerial surveillance and other sources of intelligence, the level of illegal and unreported catch (IUU) was estimated to be a total of 632 t between the years 1997 and 2011. CCAMLR has estimated that there has been no IUU effort in Subareas 88.1 and 88.2 since 2010–11 (CCAMLR-36 2017) except on the unidentified longline found in November 2017 (for which IUU catch was assumed to be zero). The estimated annual IUU catch is included within the stock.

Discards of Antarctic toothfish (or any fish bycatch or offal products) are not permitted south of 60° S, except for released tagged fish. Tagged fish survival is estimated to be around 65% (Devine et al. 2019). The main reason toothfish may otherwise be discarded is “jelly-meat” condition. The level of observer coverage (40% hooks hauled are directly observed) would suggest information on discards and fishing practices is complete. Fish may be occasionally lost from the line near the surface and are recorded as lost, but no discarding of dead toothfish has been reported. The amount discarded is considered negligible and is not included within the stock assessment.

Other sources of mortality have also been considered and are either considered negligible or included in sensitivity runs. Of these, the highest fishery induced unrecorded mortality may be from lost gear which could be as much as 175-244t annually (Dunn and Parker 2019). These catches were excluded from the base run as this gives the most precautionary results.

The tagging programme is particularly important for providing information for the HCR. Under CM 41-01, each longline vessel fishing in exploratory fisheries for Dissostichus spp. has been required to tag and release at the rate of one toothfish per tonne of green weight caught throughout the season since 2004, with an upper limit of 500 fish tagged per vessel applied until the end of 2007. Tagging also needs to meet a minimum tag-overlap statistic if more than 10 tonnes is caught, which ensures that there is sufficient overlap between the length distributions of tagged and retained fish when catches are sufficiently large to meet this requirement. Since 2001, more than 50 000 Antarctic toothfish were tagged and released in the Ross Sea region and almost 3000 recaptured since tagging was introduced in 2001 (Devine et al. 2019). Recent tagging results are described in Devine and Parker (2019).

A strict tagging protocol is applied which covers information recorded on tagged fish, and the tagging rate and distribution of tagged among size bins. All fish in the tagging experiments were double tagged to estimate tag loss. While tagging provides good information on abundance, growth and mortality, in practice it presents some problems with interpretation. An important issue identified has been the spatial overlap in the locations where the tagged fish were released and where the commercial fishery, which recaptured the tagged fish, operated in subsequent years because toothfish movement is limited so mixing is incomplete and recaptures may therefore be biased. To reduce this effect, the toothfish tagging programs were designed to spread out tagging effort spatially by having a per-tonne (usually 1-per-tonne) tagging requirement (CM 41-09 & 41-10).

It is suspected that tag-induced mortality and tagged fish detection rates are affected by on-board protocols and therefore may vary significantly between vessels. The assessment model applies numbers of tag releases and recaptures that are corrected for differences in vessel survival and detections rates using the methods of Mormede (2014). The fishing fleets average effective tagging survival was estimated at about 65% and the effective tag detection rate estimated at about 85% (Devine et al. 2019).

The 2018 external review concluded that these tagging programs were designed well overall given the practical limitations, and the tagging information greatly contribute to improving the reliability of the toothfish stock assessments (CCAMLR 37/02 2019).

Standardised commercial CPUE analyses of D. mawsoni in the Ross Sea were updated to 2019 (Maschette et al. 2019) for the period 2002/03–2018/19. CPUE indices show considerable interannual variability and do not appear to be strongly associated with abundance, but may rather reflect spatial management boundary changes, ice-driven availability on an annual basis, and continuing improvement in skill and fishing strategy by the fishing fleet (Dunn and Parker 2019). Hence, the CPUE indices are not yet considered to be a reliable index of changes in abundance.

The size and age structure of the catches is estimated from catch samples. An age–length key is applied to the scaled length-frequency distributions for each year to produce catch-at-age (Dunn 2019a). Ages have been validated (Horn 2003; Brooks et al. 2011). In all years since 1998, over 389-1071 fish have been aged (Devine et al. 2019). Length data are available covering the majority of catches, only excluding IUU, with 14087-56967 fish having been measured each year since 2000 (Devine et al. 2019).

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MPA where commercial fishing does not take place (Hanchet et al. 2018). The annual survey has been conducted since 2012, with a revised proposal presented in 2017 for five years 2018–2022 (Hanchet et al. 2018; Parker and Jones 2019). The objectives of the survey included monitoring the abundance and age structure of sub-adult (≤ 110 cm TL) toothfish in the south of SSRUs 881.J and 881.L in the southern Ross Sea (Strata A–C) using standardised gear in a standardised manner; and monitoring trends in larger (large sub-adult and adult) toothfish in two areas (both situated in SSRU 881.M) of importance to mammalian toothfish predators in McMurdo Sound in 2018, and Terra Nova Bay surveyed in 2019. The estimated relative biomass index of toothfish showed an increase to the highest in the survey time series. Among the other survey objectives, the survey also released Popoff Satellite Archival Transmitters (PSATs) on toothfish throughout the survey area and tested a remote underwater camera to document benthic habitats where fishing occurs. Notification of research for the 2020 fixed-effort survey is included with the agreed catch limit of 45 t.

A demersal longline and plankton survey was also undertaken September-October 2019 specifically to collect information on toothfish spawning and recruitment. It covered more northern areas and complemented a similar survey in June-July survey in 2016 (WG-SAM-18/09; Parker and Di Blasi 2019).

Other data are also collected but may not be used yet in the harvest strategy. Perhaps most importantly, information on sea ice conditions is being explored in relation to vessel activity (Fenaughty and Parker 2014), particularly important considering the Intergovernmental Panel on Climate Change (IPCC) findings of changing sea-ice conditions in the Ross Sea. Effects of other species population fluctuations on toothfish are uncertain but are being investigated (Eisert et al. 2013; Kock et al. 2012).

Stock Assessment and Current Stock Status

A Bayesian sex- and age-structured integrated stock assessment for Antarctic toothfish in the Ross Sea region (Subareas 88.1 and SSRUs 88.2A-B) was updated and revised from the 2017 assessment (Mormede et al. 2014; Mormede 2017) using data to 2019 (Dunn 2019a). The most recent assessment uses reported catch, tag-recaptures for 1998–2019, age and abundance data from the Ross Sea Shelf survey for 2012–2019, tag releases for 2001–2018, and commercial fishery age frequencies for 1998–2018. The model estimates stock status relative to B0 using the updated data for 1998–2017, new data from 2018 and 2019, revised growth and length-weight parameters, and a similar model structure as in 2017.

The stock assessments use a statistical catch-at-age model to estimate the impact of the catches on the stock, implemented in well-developed and well tested software (CASAL; see Bull et al., 2012). The CASAL assessment models were sex- and age-structured, and designed to use the catch, age and size compositions, catch rates and tag-recapture. It is particularly suited to model this sort of fishery and can account for some detail in the life characteristics of toothfish, such as growth and mortality rates. The CASAL software is being updated to version 2.0 to allow for more flexibility in the models and this is being used alongside the older version.

The base-case model was implemented as a single-area four-fishery model. A single area was defined with the catch removed using four fisheries (N70, S70, SRZ and IUU; Fig. 7.2.1). Each fishery was parameterised by a sex-based double-normal selectivity ogive (i.e. domed selectivity), except the IUU fishery for which the selectivity was fixed as the S70 fishery. Selectivity as represented in stock assessment models includes both contact selectivity and availability, which is linked to area fished and fish movement. The 2018 external review suggested that temporal changes in selectivity should also be considered because the distribution of fishing has changed over time and toothfish are thought to migrate northwards as they age. The model includes a tagging sub-model (loss, dispersion) and a growth retardation effect.

The models were run 1995-2019 and were initialised assuming an equilibrium age structure at an unfished equilibrium biomass, i.e. a constant recruitment assumption. Recruitment was assumed to occur at the beginning of the first (summer) time step and to be 50:50 male to female.

Overall, model fits to the data were good (Dunn 2019b), and, as in previous assessments, the mark-recapture data provided the most information on stock abundance. Markov chain Monte-Carlo (MCMC) diagnostics suggested no evidence of non-convergence in the key biomass parameters used in the HCR. Patterns of residuals in the age- frequency proportions suggested some evidence of either strong and weak year class strength patterns before the period where year classes are estimated in the base model (2003–2013) or changing fishing selectivity over the course of the fishery.

Sensitivity runs showed that the results were robust to assumptions on natural mortality, initial age structure, form of the selectivity function, temporal changes in selectivity, growth, plus-grouping for older fish and the choice of tag dispersion rates (Dunn 2019a).

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Other models have been explored. Mormede et al. (2014) found that, assuming the underlying spatial distribution of the population and movement functions for toothfish were as described by their operating models, then the assessment model was a conservative estimator of the true state, especially when estimating biomass over the entire Ross Sea region. Mormede and Parker (2018) describe a two-area stock assessment model that accounts, to some extent, for migration within the Amundsen Sea region (SSRUs 88.2C–H). The model requires sufficient mark-recapture data in each area which is being accumulated over time. The model is only used indicatively due to poor fit to the age data in the southern area, the lack of year-specific age frequency data to inform these fits, and the limited spatial extent of the tag recaptures in the South, among other things. Moore et al. (2019) evaluated estimating natural mortality within the stock assessment.

An external review was conducted in 2018 considering the stock assessment approaches to CCAMLR toothfish fisheries (CCAMLR 37/02 2018). It concluded that overall, CCAMLR stock assessment (SA) scientists applied assumptions in the stock assessments in a precautionary manner in the treatment of uncertainty in parameters and assumptions, and the approach was consistent with CCAMLR management strategies. The external review was not specific to the toothfish stock assessments for 88.1 and 88.2, although these were included among the assessments considered. However, the Review panel felt that in future external reviews should focus on fewer issues and cover topics in more detail. The review objective was to evaluate the adequacy of the modelling approaches rather than the assessments themselves; no model runs were requested of the assessment scientists.

The 2018 external review suggested, among other things, that the longline survey was probably most useful for estimating recruitment strength (CCAMLR 37/02 2018). The survey should provide an early detection of low recruitment and are an added measure of precaution for the long-term management of toothfish in accordance with Article II of the Convention. It was therefore suggested that the surveys should be continued and optimized to ensure recruitment variability can be detected. The external review also highlighted that geographic variability of toothfish fisheries, and the restricted movement and complex spatial patterns of habitat use of toothfish makes interpretation of fishery, survey and tagging information more complicated. The 2019 stock assessment took into account the recommendations from the 2018 external review (CCAMLR 37/02 2019; Dunn 2019a).

The stock-recruitment relationship is important for the HCR because there are no observations at low stock abundance, there are inadequate data to fit a stock recruitment relationship. The current mean level of recruitment and SSB is estimated within the stock assessment, and a Beverton and Holt stock recruitment relationship was assumed for the simulations with a steepness of 0.75 (a reasonable default precautionary value).

The precautionary yield using the CCAMLR decision rules and the applying catch split under CM 91-05 between north of 70° S (19%), south of 70° S (66%), and the SRZ (15%) was 3140 t. Hence, the recommended catch limit was a total 3140 t for the Ross Sea region in the 2019/20 and 2020/21 fishing seasons, with a catch limit of 588 t for north of 70° S, 2042 t for south of 70° S, and 464 t for the SRZ (Dunn 2019a).

The most recent stock assessment (Dunn 2019a) estimated the equilibrium pre-exploitation spawning stock biomass to be about 71730 t (95% CIs 65890–78730 t) and the current stock status to be 66% B0 (63–69% B0) in the Ross Sea.

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Figure 2. MCMC estimates of the spawning stock biomass trajectory as a percentage of initial biomass (black line) with the 90% and 95% (dark and light grey shading respectively), projected out to 2054 for the base case model run. Horizontal lines correspond to 50% median B0 and 20% median B0. (Source: Dunn 2019a).

Fishery Management

An outline of the strategy and other aspects of the CCAMLR management regime are available from the CCAMLR website (http://www.ccamlr.org/). General measures applicable to toothfish fisheries are defined in Conservation Measure 41-01. The full range of conservation measures are described in Conservation Measure 41-09 for limits on the exploratory fishery for Dissostichus spp. in statistical subarea 88.1 and Conservation Measure 41-10 for limits on statistical subarea 88.2.

Management is ostensibly applied to areas 88.1 and 88.2 as well as subject to the MPA implemented in 2017. The boundaries between areas have been subject to ongoing revision based on the available scientific evidence. The fishing season is limited from 1st December to 31st August each year.

The harvest strategy consists of a two-year process of data collection, stock assessment, scientific advice, management decisions and implementation. Data are provided by vessel reporting and scientific observers on board vessels. Stock assessments update stock status and provide management advice through, among other things, the harvest control rule in the form of catch limits sub-divided among three areas (N70, S70, SRZ; see Fig. 7.2.1) and within the SRZ (which forms part of the RSMPA) among SSRUs (CM-41-10). Commercial fishing is prohibited within the MPA General Protection Zone. The stock assessments also provide an evaluation of past management performance in relation to its objectives.

Fishing operations are carried out in accordance with CM 41-01 and by-catch is regulated (CMs 33-03, 41-09 and 41- 10). Measures are required to minimise seabird bycatch (CM 25-02 and CM 24-02). Monitoring is carried out through VMS (CM 10-04) and a scientific observer programme. There is also a catch documentation scheme (CM 10-05), which is used to discourage any IUU fishery. Toothfish are required to be tagged at a rate of at least one fish per tonne green weight caught. Daily catch and effort are required to be reported (CM 23-07) so the management system can respond rapidly when catch limits are approached. Haul-by-haul catch and effort data are reported monthly (CM 23-04). Other gear and depth regulations exist (CMs 22-06, 22-07, 22-08 and 22-09); environmental protection is governed by CM 26- 0; and fishing within 10 nautical miles of Balleny Islands is prohibited.

Catch limits are fixed for two years unless new information or circumstances indicate a major change in the assessed area and calculated from projections (the harvest control rule). In 2019/20, the catch limit for Dissostichus spp. was, for outside the MPA, 597t north of 70oS, 2072t south of 70°S and the Special Research Zone (SRZ) within the Ross Sea

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region marine protected area 426 tonnes. There are additional limits within the SRZ on research block areas defined in 41-10 to ensure fishing is to some minimum extent spread among areas. A separate research catch limit of 45t has been set aside for surveys. Fishing has been conducted by an average of about 15 licenced vessels over the past decade using demersal longlines.

The overall catch limit has not been exceeded since 2010, when the catch limit was 2850t and the recorded catch 2869t. When a catch limit is reached within any smaller designated area, it is closed. These may be exceeded to some extent, for example most recently the catch limit for 2019 south of 70oS was 2054t and the catch was 2190t. These overruns are small and can be attributed to the low catch limits relative to the response time.

There is an annual estimate of IUU catch that is included in the stock assessment (Dunn 2019a). IUU catch has been estimated as zero (i.e. negligible) since 2010/11.

Clearly documented harvest control rules are in place and are applied annually in CCAMLR advice on TACs. The decision rule procedure requires Monte Carlo simulations of the population biomass over a 35-year projection under a constant catch. Estimates of appropriate catch limits are derived by determining the maximum catch level (fishing mortality) that has a less than 10% chance of reducing the spawning stock biomass to below 20% of the level that would occur in the absence of fishing and at least a 50% chance of being at or above 50% of the biomass without fishing.

Specifically, the rule is 1. Choose a yield, γ1, so that the probability of the spawning biomass dropping below 20% of its median pre- exploitation level over a 35-year harvesting period is 10% (depletion probability). 2. Choose a yield, γ2, so that the median escapement at the end of a 35-year period is 50% of the median pre- exploitation level. 3. Select the lower of γ1 and γ2 as the yield.

In applying the CCAMLR decision rules using the CASAL model, assumptions tended towards increasing the estimate of the probability of depletion. In estimating the unexploited biomass, the initial equilibrium biomass was used.

An MPA was implemented in the Ross Sea in December 2017, where commercial fishing is prohibited except with a special research zone (Figure 1). CCAMLR is developing a research to evaluate the effectiveness of the Marine Protected Area (Parker and Dunn 2019). Research under CM 24-01 has been encouraged to improve the assessments and to inform the evaluation of the effectiveness of the RSRMPA (e.g., SC-CAMLR 37/02 rev 1, SC-CAMLR 37 paragraphs 3.126–126).

Catch profiles The table below shows the development of the fishery. Table 7. Historical allocation and removals to end of the 2019 fishing season for Subarea 88.1 Total Total Dissostichus Total Vessels Total Vessels Dissostichus Reported Catch Approved Participating TAC (tonnes) (tonnes)

Season

1996-97 1980 0.128 no limit set 1

1997-98 1510 41 no limit set 1

1998-99 2281 296 2 2

1999-00 1915 745 no limit set 3

2000-01 2063 658 6 7

2001-02 2508 1333 10 2

2002-03 3760 1792 13 9

2003-04 3250 2166 26 21

2004-05 3250 3079 21 10

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2005-06 2964 2938 21 13

2006-07 3032 3096 21 15

2007-08 2700 2259 21 16

2008-09 2700 2435 21 13

2009-10 2850 2870 15 12

2010-11 2850 2882 19 16

2011-12 3282 3186 18 15

2012-13 3282 3155 24 18

2013-14 3001 2900 21 20

2014-15 2776 2701 19 14

2015-16 2730 2595 16 13

2016-17 2870 2781 18 16

2017-18 3157 2821 25 17

2018-19 3157 2990 24 16

Total Allowable Catch (TAC) and catch data

Table 8. Total Allowable Catch (TAC) and catch data Subarea 88.1

TAC Year 2018/19 Amount 3157 t

UoA share of TAC Year 2018/19 Amount 1640.8 t

UoC share of total TAC Year 2018/19 Amount 1640.8 t

Year (most Total green weight catch by UoC 2018/19 Amount 1640.8 t (55.6%) recent) Year (second Total green weight catch by UoC 2017/18 Amount 1253.9 t (44.5%) most recent)

Table 9. Total Allowable Catch (TAC) and catch data Subarea 88.1

TAC Year 2018/19 Amount 619 t

UoA share of TAC Year 2018/19 Amount 448.7 t

UoC share of total TAC Year 2018/19 Amount 448.7 t

Year (most Total green weight catch by UoC 2018/19 Amount 448.7 t (81.9%) recent) Year (second Total green weight catch by UoC 2017/18 Amount 158.4 t (26.0%) most recent)

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Principle 1 Performance Indicator scores and rationales

The stock is at a level which maintains high productivity and has a low probability of PI 1.1.1 recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

Stock status relative to recruitment impairment It is likely that the stock is It is highly likely that the There is a high degree of a Guide above the point where stock is above the PRI. certainty that the stock is post recruitment would be impaired above the PRI. (PRI). Met? Yes Yes Yes

Rationale

The point of recruitment impairment (PRI) is taken as 20%B0, which is derived as the limit reference point from the harvest control rule. The reference point is based on the unexploited biomass (B0), which is estimated by the stock assessment. Since catches have been recorded from the start of the fishery, unexploited biomass can be estimated with acceptable accuracy. The limit reference point is taken as 20%B0. This value is used in the harvest control rule, so that there is a 10% probability of the stock falling below this value for a constant catch. For the Beverton-Holt stock recruitment relationship and steepness of 0.75, the median recruitment would be around 84% of that for the exploited stock. This meets criteria for the PRI and is consistent with the precautionary model assumptions used in the stock assessment.

The most recent stock assessment (Dunn 2019) estimated the equilibrium pre-exploitation spawning stock biomass (B0) to be about 71730t (95%CI 65890–78730t) and the current stock status to be 66% B0 (95%CI 63–69% B0) in the Ross Sea. Therefore, there is a high degree of certainty that the stock is above the PRI, meeting SG100.

Stock status in relation to achievement of Maximum Sustainable Yield (MSY) The stock is at or fluctuating There is a high degree of around a level consistent with certainty that the stock has b Guide MSY. been fluctuating around a post level consistent with MSY or has been above this level over recent years. Met? Yes Yes

Rationale

The target reference point and level considered consistent with MSY for this stock is taken as median 50%B0, which is derived from the harvest control rule. The target reference is set such that the stock should be maintained at a value consistent with a BMSY proxy. BMSY has not been reported, but the 50%B0 target has the same intent, consistent with CCAMLR’s stated purpose (Article II.3.a). A target of 50%B0 is relatively precautionary, as it is higher than 40% B0 MSC default. Precautionary issues have been reviewed and used to justify the reference points.

References

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Stock status relative to reference points Type of reference point Value of reference point Current stock status relative to reference point Reference point used in scoring 35865t B2019/(50%B0)=132% 50%B0 stock relative to (95%CI 32945-39365) (95%CI 126-138) MSY (SIb) Reference point used in scoring 14346t B2019/(20%B0)=330% 20%B0 stock relative to (95%CI 13178-15746) (95%CI 315-345) PRI (SIa) Draft scoring range >80

Information gap indicator NONE

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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N/A

PI 1.2.1 There is a robust and precautionary harvest strategy in place

Scoring Issue SG 60 SG 80 SG 100

Harvest strategy design The harvest strategy is The harvest strategy is The harvest strategy is expected to achieve stock responsive to the state of the responsive to the state of the management objectives stock and the elements of the stock and is designed to a Guide reflected in PI 1.1.1 SG80. harvest strategy work achieve stock management post together towards achieving objectives reflected in PI 1.1.1 stock management objectives SG80. reflected in PI 1.1.1 SG80. Met? Yes Yes Yes

Rationale

The harvest strategy consists of a two-year process of data collection, stock assessment, scientific advice, management decisions and implementation through the CCAMLR Secretariat and the respective flag states. Data are provided by vessel reporting and scientific observers on board vessels. Stock assessments update stock status and provide management advice. The control on exploitation is primarily achieved through catch limits which are sub-divided among 3 areas. These catch limits are applied to vessels that have made notifications to fish during the season. Catch limits are fixed for two years calculated from the stock assessment projections and pre-determined precautionary rules (the harvest control rule). When a catch limit is reached within a designated area, it is closed. Various other measures are applied (CM 41-09 & 41-10) to achieve the objectives set out in Article II of the Convention.

Although stock assessments are only carried out every two years, the fishery is monitored and reviewed annually. The Scientific Committee makes a recommendation to apply the same catch limit in the second year of the assessment cycle based on a review of findings from the previous year. As well as recommended catch limits, other management recommendations are made from time to time to deal with perceived problems.

The different elements of the harvest strategy are monitored by the various working groups and sub-groups covering, among other things, data collection, stock assessments, methods, acoustics, ecosystems, implementation and compliance. There is clear evidence of communication and co-ordination between these groups in their reports and in the report of the Commission which ultimately makes decisions. This provides evidence that the various elements of the harvest strategy work together.

The setting of catch limits through the harvest control rule and other measures have been designed to achieve the management objectives reflected in the target and limit reference points. SG60 is met. There is also evidence through adjustments in catch limits and other measures that the harvest strategy is responsive to the state of the stock and the elements of the harvest strategy work together, SG 80 is met. Because the harvest strategy is responsive to the state of the stock, the elements of the harvest strategy work together, and they are designed to achieve the objectives reflected in the reference points SG100 is also met.

b Harvest strategy evaluation

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The harvest strategy is likely The harvest strategy may not The performance of the to work based on prior have been fully tested but harvest strategy has been experience or plausible evidence exists that it is fully evaluated and evidence Guide argument. achieving its objectives. exists to show that it is post achieving its objectives including being clearly able to maintain stocks at target levels. Met? Yes Yes No

Rationale

Although it has been evolving over time, the current harvest strategy has been implemented since at least 2000 and evidence has been accumulating to test whether it is working as intended. The harvest control rule has undergone general simulation testing and should work as long as basic assumptions are met. The CCAMLR decision rules require recalculation every two years. Therefore, they will not follow a clear trajectory from the initial year of assessment to a point 35 years later when the stock size will be reduced to 50% of pre-exploitation levels, but will approach the target level slowly, being constantly readjusted as knowledge improves.

The stock assessments have indicated that the stock has been slowly decreasing towards the target reference point over these years at a rate consistent with that required by the harvest strategy. Although uncertainties remain, the stock assessment has become more reliable with longer time series and an increasing range of data. The stock assessment is more complete and explains the available observations. Parts of the harvest strategy have clearly not been tested yet. Spatial distribution of the stock and movement are considered important, but these are difficult to model and therefore observations are difficult to interpret in this respect. The effect of the recent MPA on the toothfish stock and fishery was only implemented in 2017 and has not been evaluated yet.

The stock assessments with accompanying reviews and on-going improvements are valid evaluation tools. The simulation testing, empirical assessment and review through the working group system constitutes a full evaluation of the evidence available so far. This evidence is sufficient to meet SG60 and SG80.

While evidence is available that the harvest strategy is achieving objectives, it is not yet clear that it will be able to maintain stocks at or above target levels. This is partly because the fishery has not been in existence very long and the stocks have so far been well above the target biomass. It may well be that harvest strategy will have to change in response to new information in future. There remain significant uncertainties stemming from the spatial structure of the stock, which may require further adjustments to the strategy. The MPA has not been evaluated. Further evidence would be required to be certain that the current strategy will be able to maintain the stocks are target levels. This prevents the SG100 being met.

Harvest strategy monitoring Monitoring is in place that is c Guide expected to determine post whether the harvest strategy is working.

Met? Yes

Rationale

The fishery applies a cycle of stock assessment and review to monitor its performance. The internal review includes international monitoring through CCAMLR requirements, such as the WG-FSA review of the assessment, and monitoring of vessel activity through VMS and 200% international observer coverage. This is the standard CCAMLR approach to these fisheries.

There is also intensive monitoring of the stock through data collection from catches, limited surveys and tagging. The primary tool for assessing the harvest strategy is the stock assessment, which is carried out every two years. In addition, the responsible management authority and fisheries scientists consider a wide range of other issues and impacts, as shown by scientific and meeting reports. Information gathered is sufficient to determine whether the harvest strategy is achieving its objectives. SG 60 is met. LR MSC Reduced Reassessment Template 20190419 Page 27 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

Harvest strategy review The harvest strategy is Guide periodically reviewed and d post improved as necessary. Met? Yes

Rationale

There is clear evidence of annual review and improvements to the harvest strategy from the meeting reports. Apart from adjustments to catch limits based strictly on scientific advice, more general changes have been made when potential problems have been identified by the Scientific Committee. For example, previously areas have been closed to fishing and now a full MPA was introduced in 2017, and will be evaluated through a research plan.

Shark finning It is likely that shark finning is It is highly likely that shark There is a high degree of e Guide not taking place. finning is not taking place. certainty that shark finning is post not taking place. Met? NA NA NA

Rationale

The P1 species is not a shark, so this SI is not scored.

Review of alternative measures There has been a review of There is a regular review of There is a biennial review of the potential effectiveness the potential effectiveness the potential effectiveness and practicality of alternative and practicality of alternative and practicality of alternative f Guide measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- post related mortality of unwanted related mortality of unwanted related mortality of unwanted catch of the target stock. catch of the target stock and catch of the target stock, and they are implemented as they are implemented, as appropriate. appropriate. Met? NA NA NA

Rationale

Dunn and Parker (2019) indicate that discarding is negligible and not included in the stock assessment.

Discards of any dead fish or offal products are not permitted south of 60°S. Live fish are released when tagged and tagged fish survival is estimated to be around 65% (Devine et al. 2019). Other types of unrecorded mortality have also been estimated, but only historical IUU is included in the stock assessment. Dead discards have not been reported by observers who directly observe 40% of hook hauls. Because discarding is considered negligible based on direct evidence, this scoring issue is not scored as reviews of measures to reduce discarding are not required.

References

CCAMLR 37/02 2018. Summary Report of the CCAMLR Independent Stock Assessment Review for Toothfish (Norwich, United Kingdom, 18 to 22 June 2018). SC-CAMLR-XXXVII/02 Rev. 1, 06 September 2018 CCAMLR-38. Report of the Thirty-eighth meeting of the Commission (Hobart, Australia, 21 October to 1 November 2019). Preliminary. Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Devine, J.; Parker, S.J.; Dunn, A. 2019. Characterisation of the Ross Sea region fishery up to 2018-19. WG-FSA- 2019. CCAMLR, Hobart, Australia. LR MSC Reduced Reassessment Template 20190419 Page 28 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

Dunn A., Parker, S. 2019. Stock Annex for the stock assessment of Ross Sea region Antarctic toothfish (Dissostichus mawsoni) WG-FSA-2019/09 Dunn, A. 2019a. Assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/08. Dunn, A. 2019b. Diagnostic plots for the assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/10 SC-CAMLR-27 2008. Report of the Twenty-Seventh Meeting of the Scientific Committee Hobart, Australia. 27–31 October 2008 SC-CAMLR-XXVII Report SC-CAMLR-33 2014. Report of the Thirty-third meeting of the Scientific Committee (Hobart, Australia, 20 to 24 October 2014). Preliminary version adopted 24 October 2014. CCAMLR, Hobart. SC-CAMLR-38 2019. Report of the Thirty-eighth meeting of the Scientific Committee (Hobart, Australia, 21 to 25 October 2019). Preliminary. WG-FSA-19 2019. Report of the Working Group on Fish Stock Assessment (Hobart, Australia, 7 to 18 October 2019). Draft scoring range >80 More evidence is required on the management of the Information gap indicator ASR population within the harvest strategy. Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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PI 1.2.2 There are well defined and effective harvest control rules (HCRs) in place

Scoring Issue SG 60 SG 80 SG 100

HCRs design and application Generally understood HCRs Well defined HCRs are in The HCRs are expected to are in place or available that place that ensure that the keep the stock fluctuating are expected to reduce the exploitation rate is reduced as at or above a target level exploitation rate as the point the PRI is approached, are consistent with MSY, or a Guide of recruitment impairment expected to keep the stock another more appropriate post (PRI) is approached. fluctuating around a target level taking into account the level consistent with (or ecological role of the stock, above) MSY, or for key LTL most of the time. species a level consistent with ecosystem needs. Met? Yes Yes No

Rationale

Harvest control rules are implemented as a well-defined decision rule to set the two-year yield. Yield estimates are calculated by projecting the estimated current status for each model under a constant catch using the HCR. The result of the application of the HCR will be to reduce the exploitation rate as the stock decreases towards the target level and/or as the risk of falling below the limit reference point increases. Because the HCR is well defined, reduces the exploitation rate as the population reduces to the PRI and is expected to keep the stock fluctuating around an MSY proxy in the long term, SG80 is met.

No special ecological role for the stock has been identified that would require it to be maintained at higher levels. The precautionary setting of the catches and slow reduction in stock size towards the target indicates that the stock should remain at or above the target level over the next 35 years. However, the target is defined as a median point, so the stock will be at or above this point only 50% of the time. SG100 requires it being above the target 70% of the time (SA2.5.4), so SG100 is not met.

HCRs robustness to uncertainty The HCRs are likely to be The HCRs take account of a robust to the main wide range of uncertainties uncertainties. including the ecological role b Guide of the stock, and there is post evidence that the HCRs are robust to the main uncertainties.

Met? Yes Yes

Rationale

The harvest control rules are generic for toothfish fisheries in the CCAMLR region. They were designed to be robust to a wide range of uncertainties and tested through stochastic population simulations before being implemented.

The target reference point and the way the decision rule is applied are precautionary. The projections are carried out over a relatively long time period (35 years) with log-normal recruitment, so the resulting catch levels should be biased to lower values.

One of the most important uncertainties relate to spatial distribution and movement of toothfish, because the population estimates depend upon a model of tagging data which assumes particular population mixing occurs. Simulations that have been undertaken suggest that the likely types of mixing would lead the current stock assessment to underestimate the true population size. Therefore, the determination of stock status and the application of the HCR is likely to be more LR MSC Reduced Reassessment Template 20190419 Page 30 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

precautionary in respect of this uncertainty. In general, choices made in the stock assessment lead to lower abundance estimates (i.e. bias downwards), which in turn lead to lower catch limits. For example, natural mortality estimated in the stock assessment would likely allow higher catches, at least in the medium term. Furthermore, catch limits are applied by area to avoid local depletion and a significant area is closed to commercial fishing, so a proportion of the stock is protected.

Therefore, evidence indicates that the harvest control rule has been designed and is implemented to be precautionary, taking into account a wide of uncertainties, meeting the SG80 and SG100.

HCRs evaluation There is some evidence that Available evidence Evidence clearly shows tools used or available to indicates that the tools in use that the tools in use are c Guide implement HCRs are are appropriate and effective effective in achieving the post appropriate and effective in in achieving the exploitation exploitation levels required controlling exploitation. levels required under the under the HCRs. HCRs. Met? Yes Yes Yes

Rationale

The tool to implement the harvest control rule is the catch limit. Areas have had overruns of their catch limits, but these overruns have generally been small and are taken into account in the stock assessment which affects future catch limits. The overall catch limit has not been exceeded in recent years, but usually catches have been below the limit.

The lack of recent evidence of catches exceeding overall limits recently suggests evidence clearly show current tools in use are effective in maintaining exploitation at required levels for this stock. Evaluation of the HCR through estimating the change in biomass suggests that it is succeeding in reducing the stock towards its target at the required rate. Because evidence from the stock assessment and reported catches clearly shows that the area catch limits are achieving the HCR set exploitation rates, SG100 is met.

References

CCAMLR 37/02 2018. Summary Report of the CCAMLR Independent Stock Assessment Review for Toothfish (Norwich, United Kingdom, 18 to 22 June 2018). SC-CAMLR-XXXVII/02 Rev. 1, 06 September 2018 CCAMLR-38. Report of the Thirty-eighth meeting of the Commission (Hobart, Australia, 21 October to 1 November 2019). Preliminary. Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Devine, J.; Parker, S.J.; Dunn, A. 2019. Characterisation of the Ross Sea region fishery up to 2018-19. WG-FSA- 2019. CCAMLR, Hobart, Australia. Dunn A., Parker, S. 2019. Stock Annex for the stock assessment of Ross Sea region Antarctic toothfish (Dissostichus mawsoni) WG-FSA-2019/09 SC-CAMLR-38 2019. Report of the Thirty-eighth meeting of the Scientific Committee (Hobart, Australia, 21 to 25 October 2019). Preliminary. WG-FSA-19 2019. Report of the Working Group on Fish Stock Assessment (Hobart, Australia, 7 to 18 October 2019). Draft scoring range >80

Information gap indicator NONE

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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PI 1.2.3 Relevant information is collected to support the harvest strategy

Scoring Issue SG 60 SG 80 SG 100

Range of information Some relevant information Sufficient relevant A comprehensive range of related to stock structure, information related to stock information (on stock stock productivity and fleet structure, stock productivity, structure, stock productivity, composition is available to fleet composition and other fleet composition, stock support the harvest strategy. data are available to support abundance, UoA removals a Guide the harvest strategy. and other information such as post environmental information), including some that may not be directly related to the current harvest strategy, is available. Met? Yes Yes No

Rationale

Most data are fishery dependent and little information is available out of the fishing season. As the fishery is exploratory, there is a data collection plan (Annex 41-01/A), a research plan (Annex 41-01/B) as well as the tagging programme (Annex 41-01/C). Fisheries data are comprehensive, with tag releases and returns, biological information on the catch, catch and landings quantity, vessel attributes and fishing activity being recorded with relatively high precision. These data are collected through VMS, the observer programme and other standard reporting mechanisms (e.g. catch documentation scheme). Ice cover and other important environmental information is available but is not yet directly used in the harvest strategy, although research to do so is being conducted.

Some aspects of stock structure remain uncertain despite significant tagging programme. For example, recent information on spawning suggests that there is more scope to understand this part of the life history. It has not been possible to collect substantial fishery independent information, data from out of the fishing season are limited and various issues with the population dynamics remain unresolved, the range of information cannot be considered comprehensive.

Because information is enough to support the harvest strategy it meets SG80, but it is not comprehensive enough to meet SG100.

Monitoring Stock abundance and UoA Stock abundance and UoA All information required by removals are monitored and removals are regularly the harvest control rule is at least one indicator is monitored at a level of monitored with high available and monitored with accuracy and coverage frequency and a high degree sufficient frequency to consistent with the harvest of certainty, and there is a b Guide support the harvest control control rule, and one or good understanding of post rule. more indicators are inherent uncertainties in the available and monitored with information [data] and the sufficient frequency to robustness of assessment support the harvest control and management to this rule. uncertainty. Met? Yes Yes Yes

Rationale

All information required by the harvest control rule is monitored with high frequency, and increasingly with a high degree of certainty. Catch-at-age, length/sex compositions, catch rates and tag-recapture are available for the stock assessment and are all monitored with both high-frequency and high degree of accuracy. Commercial catch and effort LR MSC Reduced Reassessment Template 20190419 Page 32 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

data are collected to estimate a standardised CPUE index, but this not considered to track abundance sufficiently well. Research surveys provide abundance, particularly useful to indicate recruitment strength. The tagging programme provides a relatively robust and accurate abundance estimate by age, sex length. These data are sufficient to produce a valid stock assessment, which provides the biomass estimate (indicator) sufficient for the harvest control rule. This meets SG80.

There are significant uncertainties, they are understood, and their implications have been explored. For example, spatial distribution and hypothesized movement has been studied and the implications for the stock assessment considered. The HCR has been shown to be robust to the known uncertainties. Because all information required by the HCR is monitored accurately and frequently enough to apply the HCR with high confidence, and the HCR is relatively unaffected by the known uncertainties, SG100 is met.

Comprehensiveness of information There is good information on Guide all other fishery removals c post from the stock.

Met? Yes

Rationale

All catches are recorded with a high degree of accuracy. Vessels are required to participate in the Catch Documentation Scheme for Dissostichus spp. in accordance with Conservation Measure 10-05. IUU catches are now considered very low if not zero. Based on aerial surveillance and other sources of intelligence, the level of illegal and unreported catch (IUU) was estimated to be a total of 632 t between the years 1997 and 2011. CCAMLR has estimated that there has been no IUU effort in Subareas 88.1 and 88.2 since 2010–11 except on the unidentified longline found in November 2017 (for which IUU catch was assumed to be zero). The estimated annual IUU catch is included within the stock assessment.

The amount discarded is considered negligible and is not included within the stock assessment. Other sources of mortality have also been considered and are either considered negligible or included in sensitivity runs. Of these, the highest fishery induced unrecorded mortality may be from lost gear which could be as much as 175-244t annually (Dunn and Parker 2019). These estimates were relatively low compared to the overall harvest but were incorporated as sensitivity analyses rather than the base run as this gives the most precautionary results.

While IUU is always of concern and contributes to uncertainty, some account is taken of these catches and other sources of mortality. Good account has been taken of all fishery removals and data are adequate for stock assessment, meeting SG80.

References

CCAMLR-36 2017. Report of the thirty-sixth meeting of the Commission. CCAMLR, Hobart, Australia. CCAMLR 37/02 2018. Summary Report of the CCAMLR Independent Stock Assessment Review for Toothfish (Norwich, United Kingdom, 18 to 22 June 2018). SC-CAMLR-XXXVII/02 Rev. 1, 06 September 2018 CCAMLR-38. Report of the Thirty-eighth meeting of the Commission (Hobart, Australia, 21 October to 1 November 2019). Preliminary. Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. 2000. Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Devine, J.; Parker, S.J.; Dunn, A. 2019. Characterisation of the Ross Sea region fishery up to 2018-19. WG-FSA- 2019. CCAMLR, Hobart, Australia. Dunn A., Parker, S. 2019. Stock Annex for the stock assessment of Ross Sea region Antarctic toothfish (Dissostichus mawsoni) WG-FSA-2019/09 Dunn, A. 2019a. Assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/08. Dunn, A. 2019b. Diagnostic plots for the assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/10 SC-CAMLR-27 2008. Report of the Twenty-Seventh Meeting of the Scientific Committee Hobart, Australia. 27–31 October 2008 SC-CAMLR-XXVII Report

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SC-CAMLR-33 2014. Report of the Thirty-third meeting of the Scientific Committee (Hobart, Australia, 20 to 24 October 2014). Preliminary version adopted 24 October 2014. CCAMLR, Hobart. SC-CAMLR-38 2019. Report of the Thirty-eighth meeting of the Scientific Committee (Hobart, Australia, 21 to 25 October 2019). Preliminary. Welsford, D.C., Ziegler, P.E. 2013. Factors that may influence the accuracy of abundance estimates from CCAMLR tag-recapture programs for Dissostichus spp. and best practice for addressing bias. CCAMLR Science 20: 63–72 WG-FSA-19 2019. Report of the Working Group on Fish Stock Assessment (Hobart, Australia, 7 to 18 October 2019). Draft scoring range >80

Information gap indicator NONE

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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PI 1.2.4 There is an adequate assessment of the stock status

Scoring Issue SG 60 SG 80 SG 100

Appropriateness of assessment to stock under consideration The assessment is The assessment takes into appropriate for the stock and account the major features Guide a for the harvest control rule. relevant to the biology of the post species and the nature of the UoA. Met? Yes Yes

Rationale

The stock assessment is based on a statistical catch-at-age model implemented in well-developed and well tested software (CASAL; see Bull et al., 2012). The CASAL assessment model is designed to use the catch, age and size compositions, catch rates and tag-recapture. The approach is particularly suited to model this sort of fishery and can account for some detail in the life characteristics of toothfish, such as growth and mortality rates. The stock assessment model was sex- and age-structured.

The models assume a single area population, but account for differences among areas by treating areas as separate fisheries with their own selectivity. Differences in selectivity are allowed for between males and females.

The committees and 2018 external review indicate a consensus that the model is appropriate for the stock and the harvest control rule meeting SG80. Furthermore, the model is clearly able to take account of the available data and what is known about the biology of the species and nature of the fishery in this region, meeting SG100.

Assessment approach The assessment estimates The assessment estimates stock status relative to stock status relative to Guide b generic reference points reference points that are post appropriate to the species appropriate to the stock and category. can be estimated. Met? Yes Yes

Rationale

The stock assessment estimates stock status relative to reference points. For each stock, the status is determined by comparing estimates of unexploited and current spawning stock biomass, which are estimated from the stock assessment. Because the assessment estimates stock status relative to reference points derived for this stock within the model, SG80 is met.

Uncertainty in the assessment The assessment identifies The assessment takes The assessment takes into major sources of uncertainty. uncertainty into account. account uncertainty and is c Guide evaluating stock status post relative to reference points in a probabilistic way. Met? Yes Yes Yes

Rationale

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The stock assessment identifies and takes into account major sources of uncertainty. This includes observation and process error (stock recruitment variation), as well as structural error in testing various model assumptions using sensitivity analyses. This meets SG60 and SG80.

The stock assessments are Bayesian and take the uncertainty into account by reporting different assessments alongside the base case as well as standard errors and credibility intervals for important estimates. Most importantly, management advice is provided in a probabilistic manner through the harvest control rule, which is defined on the basis of risk. Therefore, the status is defined and reported probabilistically. This meets SG100.

Evaluation of assessment The assessment has been tested and shown to be Guide robust. Alternative d post hypotheses and assessment approaches have been rigorously explored. Met? No

Rationale

Various model structures have been investigated, leading to a base case model and alternative sensitivity models. Broadly, these support the base case model as being sufficiently robust to be used for scientific advice. Several alternative models and assumptions (sensitivities) have been examined, mostly related to the inclusion or exclusion of particular data to test their influence on final results. These have tested the robustness of the base case results. The main stock assessment approach has been tested using a spatially explicit operational model covering likely movement and distribution scenarios, which suggested that the biomass estimates are likely to be underestimates of the true biomass, so the catch limits being set are therefore likely to be precautionary.

The external review identified spatial effects as being critical in assessing the stock accurately, particularly considering the importance of tagging data. A spatially explicit model for the Amundsen Sea has been developed (Mormede and Parker 2018) but has not yet been used for management advice due to data limitations.

Although testing suggests that the stock assessments are robust, there is insufficient evidence on the alternative sensitivities chosen to conclude that alternative hypotheses and assessment approaches have been rigorously explored. Limitations in the CASAL model and data availability will make explicit spatial modelling difficult to develop in the near term. There are still gaps in understanding spatial distribution, movement, habitat use and spawning that prevent SG100 being fully met.

Peer review of assessment The assessment of stock The assessment has been Guide e status is subject to peer internally and externally post review. peer reviewed. Met? Yes No

Rationale

The stock assessment has been subject to internal peer review through internal quality assurance mechanisms within CCAMLR through WG-FSA. The software which implements the model has been extensively reviewed and tested on many fisheries.

Evidence of a process of effective review is available in the working group reports. There is a consideration of the model and alternative configurations are discussed. The CCAMLR Secretariat has undertaken a validation of the CASAL parameter files, maximum of the posterior density (MPD) estimates, and yield calculations for model. Because the stock assessment has been subject to peer review, SG80 is met.

The stock assessment has also undergone some level of external peer review in 2018 and this has influenced the stock assessment and its outputs. The review has gone some way in checking and commenting on this stock assessment. However, it covered a range of toothfish stock assessments, and, as the reviewers noted, fell short of a specific external LR MSC Reduced Reassessment Template 20190419 Page 36 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

peer review of the particular assessments being looked at. For example, and importantly, the reviewers were unable to request sensitivity runs themselves to assure themselves that the best scientific advice was being given. In addition, the external review was conducted on the previous stock assessment rather than the one considered here, albeit the assessment has not changed significantly. While it is not unreasonable to conduct such limited reviews considering the size and scale of the fishery, given the level of science being undertaken for this fishery, the external review falls a little short of what might be expected. For this reason, a full external review has not been completed for this stock assessment and so SG100 is not met.

References

Bull, B., R.I.C.C. Francis, A. Dunn, A. McKenzie, D.J. Gilbert, M.H. Smith, R. Bian and D. Fu. 2012. CASAL (C++ algorithmic stock assessment laboratory): CASAL user manual v2.30-2012/03/21. NIWA Technical Report, 135: 280 pp. CCAMLR 37/02 2018. Summary Report of the CCAMLR Independent Stock Assessment Review for Toothfish (Norwich, United Kingdom, 18 to 22 June 2018). SC-CAMLR-XXXVII/02 Rev. 1, 06 September 2018 CCAMLR-38. Report of the Thirty-eighth meeting of the Commission (Hobart, Australia, 21 October to 1 November 2019). Preliminary. Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. 2000. Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Devine, J.; Parker, S.J.; Dunn, A. 2019. Characterisation of the Ross Sea region fishery up to 2018-19. WG-FSA- 2019. CCAMLR, Hobart, Australia. Dunn A., Parker, S. 2019. Stock Annex for the stock assessment of Ross Sea region Antarctic toothfish (Dissostichus mawsoni) WG-FSA-2019/09 Dunn, A. 2019a. Assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/08. Dunn, A. 2019b. Diagnostic plots for the assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/10 Mormede, S., Dunn, A. 2013. Investigation of potential biases in the assessment of Antarctic toothfish in the Ross Sea fishery using outputs from a spatially explicit operating model. WG-SAM-13/36 Mormede, S., Parker, S. 2018. Progress towards an assessment of Antarctic toothfish (Dissostichus mawsoni) in Subarea 88.2 SSRUs 882C–H for the years 2002/03 to 2017/18 using a two-area model. WG-FSA-18/37 Mormede, S., Pinkerton, M., Dunn, A., Hanchet, S., Parker, S. 2014. Development of a spatially-explicit minimum realistic model for Antarctic toothfish (Dissostichus mawsoni) and its main prey (Macrouridae and Channichthyidae) in the Ross Sea. WG-EMM-14/51 SC-CAMLR-38 2019. Report of the Thirty-eighth meeting of the Scientific Committee (Hobart, Australia, 21 to 25 October 2019). Preliminary. WG-FSA-19 2019. Report of the Working Group on Fish Stock Assessment (Hobart, Australia, 7 to 18 October 2019). Draft scoring range >80

Information gap indicator NONE

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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5.3 Principle 2 Principle 2 background a. Bycatch Species – Primary and Secondary Catches

Catch data are presented for all licensed vessels operating in the Ross Sea (88.1 and 88.2). Separate data have been provided to the assessment team for each area, but both show the same trend.

Catch and effort statistics are based on monthly catch and effort data reported by subarea and division (known as STATLANT data). The STATLANT data are derived from haul-by-haul catch and effort data reported to the Secretariat. The STATLANT data are subsequently reviewed, and sometimes amended, by the national statistics offices of CCAMLR Members, and the coverage of fishing activities includes all fisheries operating inside the Convention Area. Catches of target species and by-catch taxa are reported as green weight in metric tonnes. CCAMLR's reporting standards for catch and effort statistics support the international standards set by the Coordinating Working Party on Fisheries Statistics.

Table 10. Catch data for 88.1 and 88.2 for last five years (Source: CCAMLR STATLANT). English Name Scientific Name 2013/14 2014/15 2015/16 2016/17 2017/18 5-year % of total total Antarctic toothfish Dissostichus mawsoni 3346.79 3456.61 3294.72 3444.38 3434.62 16977.13 95.925% Rat tails, Grenadiers Macrourus spp 135.88 111.34 141.52 88.09 104.21 581.05 3.283% Crocodile icefishes Channichthyidae 3.42 17.89 15.36 7.22 8.53 52.42 0.296% nei Moray cods Muraenolepis spp 9.85 8.28 2.99 3.03 2.13 26.27 0.148% Skates and rays Rajiformes 1.95 6.88 5.01 4.84 4.11 22.79 0.129% Blue antimora Antimora rostrata 3.43 4.46 4.03 1.97 3.58 17.46 0.099% Patagonian toothfish Dissostichus 3.76 0.64 5.37 0.61 0.70 11.07 0.063% eleginoides Starfishes nei Asteroidea 1.28 0.96 0.72 0.27 1.24 4.46 0.025% Antarctic Rockcods Nototheniidae 0.38 0.31 0.19 0.13 0.24 1.25 0.007% Smalleye moray cod Muraenolepis microps 0.01 0.14 0.81 0.09 0.20 1.24 0.007%

Striped-eyed Lepidonotothen kempi 0.08 0.82 0.00 0.00 0.90 0.005% rockcod (squamifrons) Trematomus spp Trematomus spp 0.01 0.45 0.00 0.46 0.003%

Squids Teuthoidea 0.35 0.02 0.00 0.37 0.002%

Lepidion codlings Lepidion spp 0.03 0.24 0.04 0.31 0.002% nei Blackfin icefish Chaenocephalus 0.20 0.00 0.20 0.001% aceratus Pogonophryne spp 0.02 0.04 0.03 0.04 0.01 0.14 0.001%

Invertebrates Invertebrata 0.01 0.11 0.01 0.13 0.001%

Grey rockcod Lepidonotothen 0.03 0.07 0.01 0.11 0.001% squamifrons Moonfish Lampris immaculatus 0.02 0.07 0.02 0.11 0.001%

Ridge-scaled rattail Macrourus carinatus 0.07 0.07 0.000% Octopus spp. Octopodidae 0.01 0.05 0.01 0.01 0.00 0.07 0.000% Crab spp. Lithodidae 0.02 0.00 0.04 0.00 0.00 0.07 0.000%

Pogonophryne 0.00 0.02 0.03 0.00 0.01 0.06 0.000% permitini Antarctic king crab Paralomis formosa 0.00 0.00 0.04 0.00 0.05 0.000%

Long-fingered Cryodraco antarcticus 0.04 0.00 0.04 0.000% Icefish Scaly rockcod Trematomus 0.02 0.00 0.00 0.00 0.02 0.000% loennbergii Sea anemones Actiniaria 0.00 0.00 0.01 0.02 0.000%

Gorgonians Gorgoniidae 0.00 0.01 0.01 0.01 0.000%

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Black rockcod Notothenia coriiceps 0.01 0.01 0.01 0.000%

McCain's skate Bathyraja maccaini 0.01 0.01 0.000%

Slender scalyhead Trematomus 0.01 0.00 0.01 0.000% lepidorhinus Marbled moray cod Muraenolepis 0.00 0.01 0.01 0.000% marmoratus Marbled rockcod Notothenia rossii 0.01 0.01 0.000%

Sea worms Polychaeta 0.01 0.01 0.000%

Sea squirts nei Ascidiacea 0.00 0.00 0.00 0.000%

Antarctic octopus Pareledone spp 0.00 0.00 0.00 0.000%

Pogonophryne scotti 0.00 0.00 0.000%

Sea cucumbers nei Holothurioidea 0.00 0.00 0.00 0.00 0.000%

Marbled plunderfish Pogonophryne 0.00 0.00 0.00 0.000% marmorata Pennatulacea sea Pennatulacea 0.00 0.00 0.00 0.000% pens Basket and brittle Ophiuroidea 0.00 0.00 0.00 0.00 0.000% stars Snailfish Liparididae 0.00 0.00 0.000%

(blank) Chionodraco hamatus 0.00 0.00 0.000%

Plunderfish Artedidraco 0.00 0.00 0.000% skottsbergi eelpouts Zoarcidae 0.00 0.00 0.00 0.00 0.000%

Antarctic rockcod Trematomus 0.00 0.00 0.000% eulepidotus Patagonian moray Muraenolepis 0.00 0.00 0.000% cod orangiensis King crabs Lithodes spp 0.00 0.00 0.000%

Sponges Porifera 0.00 0.00 0.00 0.000%

Pogonophryne 0.00 0.00 0.000% barsukovi Hydrocorals Stylasteridae 0.00 0.00 0.00 0.000%

Siliceous sponges Demospongiae 0.00 0.00 0.000%

Shortfin, flying Ommastrephes, Illex 0.00 0.00 0.000% squids nei Basket stars Euryalida 0.00 0.00 0.000%

Glass sponge Hexactinellida 0.00 0.00 0.000%

Lumpfishes and Cyclopteridae 0.00 0.00 0.000% snailfishes Cnidarians nei Cnidaria 0.00 0.00 0.000%

Lancetfishes nei Alepisaurus spp 0.00 0.00 0.000%

Unicorn icefish Channichthys 0.00 0.00 0.000% rhinoceratus Unknown species Unknown 0.00 0.00 0.00 0.000%

Pelican Eel Eurypharynx 0.00 0.00 0.000% pelecanoides Crabs Paralomis spp 0.00 0.00 0.000%

eelpout Lycodichthys 0.00 0.00 0.000% antarcticus Pencil urchins Cidaroida 0.00 0.00 0.000%

Barnacle Bathylasmatidae 0.00 0.00 0.000%

Hard corals, stony Scleractinia 0.00 0.00 0.000% corals Hydroids, Anthoathecatae 0.00 0.00 0.000% hydromedusae Isopods, pillbugs Isopoda 0.00 0.00 0.000%

3507.32 3608.79 3471.67 3550.97 3559.61 17698.38 100.000%

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As vessels carry 100% observer coverage and recording of catches is a major part of the observer role, there is high confidence in this data. Discarding is not allowed below 60oS and so all catches are retained.

Species of note are grenadiers (Macrourus spp), the most common bycatch species at 3.3% of the catch, and skates, which are less resilient to fishing pressure and which comprise, for all species combined, 0.13% of the catch. Patagonian toothfish is retained for sale but is <0.1% of the catch; there has not been an assessment of the Patagonian toothfish stock, but all standard reporting requirements apply, and individuals are tagged in proportion to the species’ representation in the catch. Based on the above catch proportions, no species are considered to be ‘main’ (i.e. none comprise >5% of the catch or >2% of the catch for ‘less resilient’ species). Macrourus are managed through precautionary catch limits; skates are subject to a tagging programme to inform future stock assessments, tagged skates are retained and other skates, with a good likelihood of survival are released either tagged (up to 15 per line) or untagged. However, no species other than Antarctic toothfish are managed through stock limit or target reference points and so all are secondary minor.

Macrourus. Current CCAMLR catch limits were derived from a trawl survey carried out as part of International Polar Year Census of Marine Life (IPY-CAML) in February to March 2008 (Hanchet et al. 2008b) and updated in 2015. Estimates of population density have been made based on trawl surveys and more recently acoustic data (O’Driscoll & Macaulay 2003, O’Driscoll et al. 2012) including two research voyages by the New Zealand research vessel Tangaroa in 2019. Trawl surveys carried out by the research vessel Tangaroa have indicated that the currently catch level set by CCAMLR for Macrourus is conservative and the more recent research indicates a good acoustic pathway for producing an independent assessment of grenadier in the area.

Skates and rays. Skates are caught in low numbers and are released after capture, with a likelihood of survivorship. In SC-CAMLR-38 Pars 5.4 and 5.5 the Scientific Committee recommended that a focused skate tagging program be conducted in 2019/20 and 2020/21 in the Ross Sea region. The intent is to tag all live skates caught, up to 15 live skates per line. During this tagging program vessels may tag more than 15 skates per line and may also tag skates with a low probability of survival, on the provision that the condition of the skate is recorded along with the tag number. It is also noted that the client group (with the exception of the most recent 2019 entrant) is engaging on a research project to study ageing in the main skate species (Antarctic starry skate family Amblyraja georgiana) to help inform future stock evaluations.

Bait.

Bait usage in the season 2019/20 is shown in the table below. Also shown are actual catches in the last fishing season, for calculation of bait as a percentage of UoA catches (we note that this is only catches of Antarctic toothfish, but this is a usable and conservative proxy of total catches).

Table 11. Bait Species in 2019/20 Season (Source: Client Group) Species Area/Stock MSC Total (t) Percentage NZ JMA1, Jack mackerel (Trachurus murphyi) JMA7 No 4 0.19% Arrow squid (Loligo plei) SQU1 SQU6 No 105 5.03% Humboldt Squid (Dosidicus gigas) Chile No 63 3.02% Humboldt squid (Dosidicus gigas) Peru FAO 87 No 140.3 6.72% Herring (Clupea harengus) FAO 27 Yes 72.22 3.46% Saury (Scomberesox saurus) FAO 61 No 22.93 1.10% Mackerel (Scomber scombrus) FAO 27 Yes* 46 2.20% Saithe (Pollachius virens) FAO 27 Yes 1.13 0.05% Barracouta (Thyrsites atun) Area 81 No 0.00% * MSC Mackerel fisheries in FAO 27 are currently suspended.

None of these species are considered ‘less resilient’. Herring, mackerel and saithe from FAO 27 are managed according to target and limit reference points for each stock; as all represent <5% of the catches in the fishery, these are Primary Minor species.

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Arrow Squid from New Zealand and Humboldt Squid from Peruvian waters are both >5% of the catch. Both are managed according to a TAC but there is no indication that either is managed according to stock-related reference points. Both are therefore considered as Secondary Main species.

The remaining bait species (NZ jack mackerel, Chilean Humboldt squid, Pacific saury and Pacific barracouta) are all considered Secondary Minor species.

For the main species, total catches of Peruvian Humboldt squid were 450,000 t in 2019 (https://www.undercurrentnews.com/2019/05/23/peru-raises-giant-squid-quota-to-450000t-for-2019/) and catches of arrow squid were over 40,000 t in 2019 (https://fs.fish.govt.nz/Page.aspx?sc=SQU&pk=7). Bait usage in the client group therefore represents 0.03% of Peruvian TAC of Humboldt squid and 0.26% of NZ arrow squid catches.

Lost gear and unobserved mortality.

As reported in Dunn and Parker (2019), Webber & Parker (2011) estimated that from 2008 to 2011 the number of hooks that were attached to lines that were lost was 3–8% of all hooks set. Longlines only have the potential to catch once, as when the bait is gone, they do not continue to catch fish. They reported that if these hooks caught toothfish at the same rate as those on lines retrieved and that all the toothfish caught on lost lines died as a result of being caught, then an additional 175–244 t of Antarctic toothfish fishing related mortality may be unaccounted for annually. Catches in 2011 were in the order of 2882 t and so this worst-case ghost-fishing may be 8% of the catch. Sensitivity analyses on the toothfish stock assessment have shown that addition of catch from lost lines results in higher estimates of pre- exploitation biomass and similar or higher stock status than when these are excluded from the assessment.

Assuming similar levels of unobserved mortality of other species (around 8%) then lost gear would not cause appreciable changes in catches; for example increased catch of grenadiers would still only comprise 3.69% of the toothfish catch. There is no suggestion that lost hooks cause issues for seabirds or other predators of bait (lines are well weighted and no offal is discarded which could contain hooks). Concerns raised by CCAMLR relate more to lost gear as a contributor to marine debris. In 2018 and 2019 1,632 km of line was lost, representing only 1% of the amount of longline set in that period. As noted, however, monitoring of gear loss resulting from CCAMLR fishery operations as part of an ecosystem- based fishery management approach is seen as increasingly important (WG-FSA-2019/18; CCAMLR-38/BG/17).

In addition, all Ross Sea client group members are members of COLTO (the Coalition of Legal Toothfish Operators). The subject of lost gear was discussed at the 2019 AGM in Hobart (27 October, 2019) and is now receiving serious consideration from industry players. Future actions are to include a workshop in 2020 to investigate this further and investigation of using transponders to locate lost gear and biodegradable gear (hooks and snoods). CCAMLR are also developing guidelines for the handling of unidentified gear with or without catch, although this is for the entire convention area – this is likely to be more of an issue for other parts of the CCAMLR area.

Management

Conservation Measure 33-03 (2019) sets out measures to achieve the outcome of restrictions on bycatch; the measures are specifically designed for new and exploratory fisheries within the CAMLR Convention area and contain mechanisms for control of fishing should specified levels of bycatch be exceeded. Skates are to be released alive if there is a high probability of survival (noting that this condition is moderated by the skate tagging programme in place for the next two seasons). Should a vessel exceed a bycatch of any species more than one tonne green-weight the vessel is required to vessel to move at least 5nm and not return for 5 days. In addition, should the catch of Macrourus spp. taken by a single vessel in any two 10-day periods in a single SSRU exceed 1500 kg in each 10-day period and exceed 16% of the catch of Dissostichus spp. by that vessel in that SSRU in those periods, the vessel shall cease fishing in that SSRU for the remainder of the season.

All vessels carry two observers and recording of bycatches is a significant part of their remit. Data recording is strongly regulated by CCAMLR, which requires 5-day reporting of total catch (of all species) and effort in specific areas; and for the exploratory fisheries in Subareas 88.1 and 88.2, CM23-07 requires daily reporting by every vessel of the total green weight of each target species and bycatch species for which there is a catch limit in that area and the number of hooks in the water. Additionally, biological data collection on target and by-catch species and are required (CM 23-04). There is a comprehensive monthly summary on a set by set level, recording all position and effort data, all target and by-catch species by weight and number, any marine mammal or seabird mortalities or releases, and a list of all tagged fish with the associated release and recovery data. CM 41-01 sets additional data requirements for exploratory fisheries. Combined with electronic logbooks and regular reporting to CCAMLR, information from the fishery is considered to be very good.

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Bird and marine mammal species are protected either through international agreements such as the Agreement on Conservation of Albatross and Petrels (ACAP), International Whaling Commission, Convention for the Conservation of Antarctic Seals (1972), CITES or national legislation enacted by members of the Client Group.

CCAMLR Conservation Measures CM 24-02 and 25-02 are in place to avoid seabird bycatch. These CMs require the use of streamer lines to keep foraging birds away from lines during setting and hauling, weighted lines to achieve fast sink rates and avoidance of the discharge of offal south of 60S which would attract birds to fishing vessels. Only two seabirds have been caught on a longline in the history of the fishery showing the success of this strategy, and none since the last MSC assessment of the fishery. Records of catches are publicly available. There is no indication of any interactions with marine mammals.

c. Habitats On the continental shelf of the Ross Sea, the role of ice disturbance (e.g. ice-cover persistence, anchor ice and ice scouring) is dominant, facilitating the occurrence of communities dominated by relatively opportunistic species. Where such disturbance is absent, benthic communities exhibit a high level of stability and contain a variety of large and potentially long-lived species controlled by food availability; only below 500m does the downward flux of organic material seem to regulate faunal distributions. Hard bottom habitat represents only a small portion of the total Ross Sea benthos - largely along the shore and in offshore reefs and seamounts where the bottom currents are intense, and sediments are scoured. There is information on habitats and communities in the littoral and shallow sublittoral zone. Below 130m, hard bottom habitats become sparse, where outcrops are present these are mainly colonised by the polychaete Serpula narconensis and bryozoans; otherwise hard bottoms are only found on seamounts, ridges or along the shelf break, where sessile species such as stylasterids (Errina sp.) and Antarctic acorn barnacle (Bathylasma corolliforme) can be found. Soft sediments in the Ross Sea are relatively course and are characterised by gravel or muddy sand through 400-500m (Smith et al., 2007). At depths up to 500m, bryozoan mats generally dominate soft bottom substrata, forming a deep shelf mixed assemblage but polychaetes and ophiuroids can also dominate locally (Smith et al., 2007).

Most fishing in the Ross Sea occurs at depths of 550–1800 m and fishing is prohibited in bottom depths less than 550 m. The available information suggests that benthic fauna is limited below 500m depth. CCAMLR has also introduced a suite of measures to protect habitats, particularly Vulnerable Marine Ecosystems (VMEs) and potential VMEs in areas beyond national jurisdiction (i.e. high seas) These include:

• CM 22-04 (2010) and 22-05 (2008) containing provisions for restrictions on ‘higher risk’ bottom fishing activities by gill net and trawl; • CM 22-06 (2019) containing provisions for a) notification of the known and expected effects of the proposed fishing by each Contracting Party (including VMEs, benthos and benthic communities), for preliminary assessment by the Scientific Committee and approval; by the Commission; b) cease fishing on encountering VMEs and report such encounters; c) the Scientific Committee maintains a register of VME locations and provides advice for their protection; • CM 22-07 (2013) contains provisions for identification of VME ‘risk areas’ and their closure to fishing by CCAMLR secretariat; • CM 22-08 (2009) contains provisions for prohibition of fishing in depths shallower than 550m for the protection of benthic communities; • CM 22-09 prohibits all bottom fishing activities within defined areas, including two areas within SSRU ‘G’ in subarea 88.1; • CM 23-07 (2016) requires daily reporting of catches of target species and bycatch species, including benthic species/VME ‘indicator units’.

Encounters with VMEs in the high seas of the Convention Area are notified under CM 22-06 and agreed instances of VMEs are recorded in the CCAMLR VME Registry. VMEs which occur in areas where bottom fishing is permitted are afforded special protection under Conservation Measure 22-09. The protocol for monitoring and reporting the incidental take of VME-indicator taxa is described in CM 22-07. The number of VME-indicator units recovered in each line segment of bottom-set longline (or string of pots) is reported to the CCAMLR Secretariat. Line segments with 5 or more VME- indicator units are reported immediately, and VME risk areas are declared within 1 nautical mile of the mid-point of each line segment with 10 or more VME-indicator units. Risk areas are immediately closed to further bottom fishing and remain closed until reviewed by the Scientific Committee and management actions are determined by the Commission. Scientific research endorsed by the Scientific Committee is allowed in risk areas.

The current locations of identified VME risk areas are shown below (Figure 3). An additional location was recently identified and the following advice circulated to fishers: “On 30 December the Proa Pioneer reported identifying a VME Risk Area in Subarea 88.2, and according to CM 22-07 paragraph 4 reported the mid-point of the line segment from which the 10 VME indicator units were recovered. The Risk Area has the definition of a 1 nm radius centred on the

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position 74o 10´27 S, 112 o 47´57 W. In conformity with CM 22-07 paragraphs 4 and 6 the Risk Area defined above is closed, and vessels must not set lines intersecting with this Risk Area”.

Figure 3. VME risk areas in the Ross Sea region including CCAMLR Subarea 88.2 (Source: CCAMLR) The effect of longline fishing on benthos in the Ross Sea has been estimated by Sharp (2010). His conclusion was that estimates of total cumulative impact by New Zealand bottom fishing vessels in the Ross Sea fishery on benthic organisms remain low, on the order of 0.01% to 0.03% mortality for the most fragile VME taxa in the most heavily fished bioregions (i.e., on the Ross Sea shelf edge and continental slope). Extending this to the whole client group would mean 0.02-0.08% mortality – levels of impact that would not plausibly cause major changes in the structure or diversity of species assemblages.

Note that since 2018 fishing has been further restricted within the RSR with the implementation of the Ross Sea Marine Protected Area which is reflected in Conservation Measure 91-05 (2016) – Ross Sea region marine protected area. The MPA is established to protect habitats important to mammals, birds, fishes and invertebrates. Management and research plans are in place. Fishing, with appropriate tagging, is allowed in the Special Research Zone and research-related fishing is allowed in the general zone.

Table 12. Scoring elements

Component Scoring elements Designation Data-deficient

P1 Dissostichus mawsoni Main P1 No Primary (bait) Herring Minor No Primary (bait) Mackerel Minor No Primary (bait) Saithe Minor No Secondary (bait) Jack mackerel Minor No Secondary (bait) Arrow squid Main No Secondary (bait) Humboldt squid (Peru) Main No

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Secondary (bait) Humboldt squid (Chile) Minor Yes Secondary (bait) Saury Minor Yes Secondary (bait) Barracouta Minor Yes Secondary Macrourus spp Minor Yes Secondary Channichthyidae Minor Yes Secondary Muraenolepis spp Minor Yes Secondary Rajiformes Minor Yes Secondary Antimora rostrata Minor Yes Secondary Dissostichus eleginoides Minor Yes Secondary Asteroidea Minor Yes Secondary Nototheniidae Minor Yes Secondary Muraenolepis microps Minor Yes Secondary Lepidonotothen kempi Minor Yes (squamifrons) Secondary Trematomus spp Minor Yes Secondary Teuthoidea Minor Yes Secondary Lepidion spp Minor Yes Secondary Chaenocephalus aceratus Minor Yes Secondary Pogonophryne spp Minor Yes Secondary Invertebrata Minor Yes Secondary Lepidonotothen Minor Yes squamifrons Secondary Lampris immaculatus Minor Yes Secondary Macrourus carinatus Minor Yes Secondary Octopodidae Minor Yes Secondary Lithodidae Minor Yes Secondary Pogonophryne permitini Minor Yes Secondary Paralomis formosa Minor Yes Secondary Cryodraco antarcticus Minor Yes Secondary Trematomus loennbergii Minor Yes Secondary Actiniaria Minor Yes Secondary Gorgoniidae Minor Yes Secondary Notothenia coriiceps Minor Yes Secondary Bathyraja maccaini Minor Yes Secondary Trematomus lepidorhinus Minor Yes Secondary Muraenolepis marmoratus Minor Yes Secondary Notothenia rossii Minor Yes Secondary Polychaeta Minor Yes Secondary Ascidiacea Minor Yes Secondary Pareledone spp Minor Yes Secondary Pogonophryne scotti Minor Yes

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Secondary Holothurioidea Minor Yes Secondary Pogonophryne marmorata Minor Yes Secondary Pennatulacea Minor Yes Secondary Ophiuroidea Minor Yes Secondary Liparididae Minor Yes Secondary Chionodraco hamatus Minor Yes Secondary Artedidraco skottsbergi Minor Yes Secondary Zoarcidae Minor Yes Secondary Trematomus eulepidotus Minor Yes Secondary Muraenolepis orangiensis Minor Yes Secondary Lithodes spp Minor Yes Secondary Porifera Minor Yes Secondary Pogonophryne barsukovi Minor Yes Secondary Stylasteridae Minor Yes Secondary Demospongiae Minor Yes Secondary Ommastrephes, Illex Minor Yes Secondary Euryalida Minor Yes Secondary Hexactinellida Minor Yes Secondary Cyclopteridae Minor Yes Secondary Cnidaria Minor Yes Secondary Alepisaurus spp Minor Yes Secondary Channichthys rhinoceratus Minor Yes Secondary Unknown Minor Yes Secondary Eurypharynx pelecanoides Minor Yes Secondary Paralomis spp Minor Yes Secondary Lycodichthys antarcticus Minor Yes Secondary Cidaroida Minor Yes Secondary Bathylasmatidae Minor Yes Secondary Scleractinia Minor Yes Secondary Anthoathecatae Minor Yes Secondary Isopoda Minor Yes Ross Sea Bioregions 1, 2, 4 Habitats Commonly encountered No and 6 Identified by VME indicator Habitats VME habitats No species Habitats Unknown Minor Habitats Yes Ecosystem Trophic function Key element No

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Principle 2 Performance Indicator scores and rationales

The UoA aims to maintain primary species above the point where recruitment would be PI 2.1.1 impaired (PRI) and does not hinder recovery of primary species if they are below the PRI

Scoring Issue SG 60 SG 80 SG 100 Main primary species stock status Main primary species are Main primary species are There is a high degree of likely to be above the PRI. highly likely to be above the certainty that main primary PRI. species are above the PRI OR and are fluctuating around a OR level consistent with MSY. If the species is below the PRI, the UoA has measures If the species is below the a Guide in place that are expected to PRI, there is either evidence post ensure that the UoA does not of recovery or a hinder recovery and demonstrably effective rebuilding. strategy in place between all MSC UoAs which categorise this species as main, to ensure that they collectively do not hinder recovery and rebuilding. Met? NA NA NA

Rationale

The high degree of selectivity developed within the fishery means that no bycatch species comprises >5% of the total catch (ref SA3.4.7); also, no primary bait species is >5% of the catch. No main primary species are affected by the fishery other than the target stock. This outcome SI therefore is not applicable (NA).

Minor primary species stock status Minor primary species are highly likely to be above the PRI.

Guide OR b post If below the PRI, there is evidence that the UoA does not hinder the recovery and rebuilding of minor primary species. Met? Yes

Rationale

No primary minor species are present in catches.

Bait species purchased for use in the fishery include three primary species, all from North East Atlantic – saithe, herring (which may be Atlantoscandian or North Sea) and mackerel. Stock status of all three is known and all are MSC certified (noting that mackerel is currently suspended, but the stock is significantly above PRI). All primary bait species are highly likely to be above PRI.

This outcome PI therefore receives a score of 100 for each species (SA3.2.1). LR MSC Reduced Reassessment Template 20190419 Page 46 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

References

STATLANT CCAMLR catch data provided by client; Bait composition data provided by client group; MSC fishery database https://fisheries.msc.org/en/fisheries/ Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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There is a strategy in place that is designed to maintain or to not hinder rebuilding of PI 2.1.2 primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch Scoring Issue SG 60 SG 80 SG 100

Management strategy in place There are measures in place There is a partial strategy in There is a strategy in place for the UoA, if necessary, that place for the UoA, if for the UoA for managing are expected to maintain or to necessary, that is expected to main and minor primary a Guide not hinder rebuilding of the maintain or to not hinder species. main primary species at/to rebuilding of the main primary post levels which are likely to be species at/to levels which are above the PRI. highly likely to be above the PRI.

Met? Yes Yes No

Rationale

Catches. No primary species are present in catches. However, should there be, then Conservation Measure 33-03 (2019) sets out measures to manage bycatches; the measures are specifically designed for new and exploratory fisheries within the CAMLR Convention area and contain mechanisms for control of fishing should specified levels of bycatch be exceeded. CM33-03 therefore meets the requirements of a ‘strategy’. CM 41-09 also sets out limits on the exploratory fishery in subarea 88.1 and CM 41-10 for 88.2, including SSMU limits on bycatches.

Combined with the limited overall extent of fishing, closed SSRUs and the establishment of the Ross Sea region MPA, this strategy is expected to be effective in managing any main and/or minor primary species. Should any secondary species reach the level of being ‘main, then the strategy would be expected to maintain such species at levels which are highly likely to be above biologically based limits.

Bait. Bait is purchased frozen from multiple sources. No primary bait species are ‘main’. Primary species used as bait are from known sustainable sources in the North East Atlantic (most supplies are from MSC certified fisheries). There is not, however, a defined bait purchase strategy.

The fact that no primary bait species are main, an apparent bait sourcing partial strategy and management measures dealing with bycatches are considered appropriate in managing catches and sourcing bait. The key consideration in relation to primary species are bait (there being no primary species in the catches); none are ‘main’ and a partial strategy is apparent in relation to bait. SG60 and SG80 are met. There is no specific strategy for managing bait purchases and so SG100 is not met.

Management strategy evaluation The measures are considered There is some objective Testing supports high likely to work, based on basis for confidence that the confidence that the partial b Guide plausible argument (e.g., measures/partial strategy will strategy/strategy will work, general experience, theory or work, based on some based on information directly post comparison with similar information directly about the about the fishery and/or fisheries/species). fishery and/or species species involved. involved. Met? Yes Yes No

Rationale

The measures relating to catches, should they be required, is entirely based on information on the fishery and species involved. The fishery and many affected species are closely monitored, and the quantitative results obtained are

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analysed through the CCAMLR Scientific Committee. These have not been specifically employed for primary species, but analyses (testing) for secondary species provide high levels of confidence that the strategy is effective.

The quantities of bait used from primary species is extremely low in relation to the fisheries involved, and all come from stocks which are well managed and have been MSC certified. There is therefore some objective basis for confidence that the partial strategy relating to bait purchase will work, based on good information directly about the fishery and the species involved. There has not, however, been testing to provide high confidence on this.

SG60, SG80 and SG100 are therefore met for catches. SG60 and SG80 are met for bait purchases, but SG100 is not met for bait. As there are no primary species currently in catches, a Score of 80 is considered appropriate.

Management strategy implementation There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is c Guide is being implemented being implemented successfully. successfully and is post achieving its overall objective as set out in scoring issue (a). Met? Yes No

Rationale

Data provided by the client group members provides direct evidence on the types and quantities of bait purchased. Primary bait species are from stocks which have been MSC certified. This provides evidence that the partial strategy is being implemented successfully. There is no overall objective set in relation to bait purchase and so SG100 is not met.

SG80 and SG100 are therefore met for catches. SG80 are met for bait purchases, but SG100 is not met for bait. As there are no primary species currently in catches, a Score of 80 is considered appropriate.

Shark finning

d Guide It is likely that shark finning is It is highly likely that shark There is a high degree of not taking place. finning is not taking place. certainty that shark finning is post not taking place. Met? NA NA NA

Rationale

No primary species are sharks.

Review of alternative measures There is a review of the There is a regular review of There is a biennial review of potential effectiveness and the potential effectiveness the potential effectiveness practicality of alternative and practicality of alternative and practicality of alternative e Guide measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- post related mortality of unwanted related mortality of unwanted related mortality of unwanted catch of main primary catch of main primary species catch of all primary species, species. and they are implemented as and they are implemented, as appropriate. appropriate. Met? NA NA NA

Rationale

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There are no primary species present in catches. Bait is purchased frozen and fully utilised. There is therefore no unwanted catch of primary species and this SI is not applicable (NA).

References

STATLANT CCAMLR catch data provided by client; Bait composition data provided by client group; MSC fishery database https://fisheries.msc.org/en/fisheries/ CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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Information on the nature and extent of primary species is adequate to determine the PI 2.1.3 risk posed by the UoA and the effectiveness of the strategy to manage primary species

Scoring Issue SG 60 SG 80 SG 100 Information adequacy for assessment of impact on main primary species Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is available and is adequate available and is adequate to impact of the UoA on the to assess the impact of the assess with a high degree main primary species with UoA on the main primary of certainty the impact of the respect to status. species with respect to status. UoA on main primary species with respect to status. a Guide OR OR

post If RBF is used to score PI If RBF is used to score PI 2.1.1 for the UoA: 2.1.1 for the UoA: Qualitative information is Some quantitative information adequate to estimate is adequate to assess productivity and susceptibility productivity and susceptibility attributes for main primary attributes for main primary species. species. Met? Yes Yes Yes

Rationale

Catches. Data recording is strongly regulated by CCAMLR, which under CM 23-01 requires 5-day reporting of total catch (of all species) and effort in specific areas; and for the exploratory fisheries in Subareas 88.1 and 88.2 CM 23-07 requires daily reporting by every vessel participating of the total green weight of each target species and bycatch species for which there is a catch limit in that area and the number of hooks in the water. Additionally, biological data collection on target and by-catch species are required under CM 23-04. There is a comprehensive monthly summary on a set by set level, recording all position and effort data, all target and by-catch species by weight and number and a list of all tagged fish with the associated release and recovery data. CM 41-01 sets additional data requirements for exploratory fisheries. Although there are no primary species, this data is considered sufficient to assess with a high degree of certainty the impact of the UoA on any main primary species with respect to status.

Bait. Primary species are all minor. As bait is purchased, there is very accurate quantitative data on the amounts used and these amounts are also known to the managers of the respective fisheries. All main bait species are subject to some assessment and appropriate management. We also know the amount of total catches versus the amount of bait used by the UoA.

SG60, SG80 and SG100 are therefore met for information collection mechanisms relevant to both catches and bait.

Information adequacy for assessment of impact on minor primary species Some quantitative information b Guide is adequate to estimate the impact of the UoA on minor post primary species with respect to status. Met? Yes

Rationale

The minor primary species affected are all bait. The primary minor species concerned – herring, mackerel and saithe – are all from well managed fisheries with accurate data collection; all have been MSC certified.

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The mechanisms relating to data collection described in PI 2.1.3 SI a also relates to minor species in this SI. SG100 is therefore met for information collection mechanisms relevant to both catches and bait.

Information adequacy for management strategy Information is adequate to Information is adequate to Information is adequate to c support measures to manage support a partial strategy to support a strategy to manage Guide main primary species. manage main primary all primary species, and species. evaluate with a high degree post of certainty whether the strategy is achieving its objective. Met? Yes Yes Yes

Rationale

There is comprehensive data available on catches and bait purchases. This information is considered adequate to support a strategy in the fishery to manage all primary species and evaluate with a high degree of certainty whether the strategy is achieving its objective.

SG60, SG80 and SG100 are therefore met for information adequacy to support a suitable strategy.

References

STATLANT CCAMLR catch data provided by client; Bait composition data provided by client group; MSC fishery database https://fisheries.msc.org/en/fisheries/

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The UoA aims to maintain secondary species above a biologically based limit and does PI 2.2.1 not hinder recovery of secondary species if they are below a biological based limit Scoring Issue SG 60 SG 80 SG 100 Main secondary species stock status Main secondary species are Main secondary species are There is a high degree of likely to be above biologically highly likely to be above certainty that main based limits. biologically based limits. secondary species are above biologically based limits. OR OR

If below biologically based If below biologically based limits, there are measures in limits, there is either place expected to ensure that evidence of recovery or a the UoA does not hinder demonstrably effective recovery and rebuilding. partial strategy in place such that the UoA does not hinder a Guide recovery and rebuilding. post AND Where catches of a main secondary species outside of biological limits are considerable, there is either evidence of recovery or a, demonstrably effective strategy in place between those MSC UoAs that have considerable catches of the species, to ensure that they collectively do not hinder recovery and rebuilding. Met? Yes Yes No

Rationale

Catches. Of the catches, no secondary species meets the criterion of ‘main’. Of the more significant species, skates are <2% of the catch and are subject of a live release and tagging programme while macourids are <5% of the catch and are subject to a catch limit which is considered to be conservative.

Bait. Two bait species are considered main – Humboldt squid from Peruvian fisheries and arrow squid from New Zealand fisheries. Stock assessments for both squid stocks are difficult to undertake and so both stocks are managed on the basis of a TAC considered appropriate by the management authority. While there is always some doubt about the relationship of the stock to biologically based limits, we do know that the amounts of each stock used in the fishery is extremely low in relation to the catch or TAC – bait usage in the client group represents 0.03% of Peruvian TAC of Humboldt squid and 0.26% of NZ arrow squid catches. This low marginal F of the client group therefore provides a demonstrably effective partial strategy, in place, which would ensure that the UoA does not hinder recovery and rebuilding of either stock. This meets the SG80 requirements for both species.

Given the biology of squid, and the information available, there is not a high degree of certainty that main secondary species are above biologically based limits. SG100 is not met for either species.

Minor secondary species stock status b Minor secondary species are Guide highly likely to be above post biologically based limits.

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If below biologically based limits’, there is evidence that the UoA does not hinder the recovery and rebuilding of secondary species Met? No

Rationale

Catches. There is not sufficient information to determine that all minor secondary species are highly likely to be above biologically based limits. The Client Group vessels comprise a significant (>30%) proportion of the total catches within the fishery and so there is not sufficient evidence that the UoA could not hinder the recovery and rebuilding of secondary species.

Bait. The quantities of each of the minor secondary bait species used by the client group – New Zealand jack mackerel, Chilean Humboldt squid, Pacific saury and Pacific barracouta – would be below 30% of the total catches from each stock; a level of marginal F by the UoA that would not hinder the recovery and rebuilding of secondary species.

Because of the lack of information on minor secondary species in the catch, SG100 is not met.

Paragraph 7.7.6.5 requires that the Risk-Based Framework (RBF) should be used to evaluate scoring elements that are data-deficient. The secondary species identified should therefore be scored using the RBF. However, PF4.1.4 states that “The team may elect to conduct a PSA on “main” species only when evaluating PI 2.1.1 or 2.2.1”, and this is the approach taken in this assessment as all secondary species caught were designated as minor secondary species. PF 5.3.2 is therefore applied and the scores for this PI are capped at 80. It is decided not to use the RBF for these species and the score be capped at SG80

References

STATLANT CCAMLR catch data provided by client; Bait composition data provided by client group; MSC fishery database https://fisheries.msc.org/en/fisheries/ Dunn and Parker (2019)

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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There is a strategy in place for managing secondary species that is designed to maintain PI 2.2.2 or to not hinder rebuilding of secondary species and the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch Scoring Issue SG 60 SG 80 SG 100 Management strategy in place There are measures in place, There is a partial strategy in There is a strategy in place if necessary, which are place, if necessary, for the for the UoA for managing expected to maintain or not UoA that is expected to main and minor secondary hinder rebuilding of main maintain or not hinder species. a Guide secondary species at/to levels rebuilding of main secondary post which are highly likely to be species at/to levels which are above biologically based highly likely to be above limits or to ensure that the biologically based limits or to UoA does not hinder their ensure that the UoA does not recovery. hinder their recovery. Met? Yes Yes No

Rationale

Catches. Conservation Measure 33-03 (2019) sets out measures to manage bycatches; the measures are specifically designed for new and exploratory fisheries within the CAMLR Convention area and contain mechanisms for control of fishing should specified levels of bycatch be exceeded. Skates are to be released alive if there is a high probability of survival. Should a vessel exceed a bycatch limit of any species of more than one tonne green-weight the vessel is required to vessel to move at least 5nm and not return for 5 days. In addition, should the catch of Macrourus spp (the most common secondary species) taken by a single vessel in any two 10-day periods in a single SSRU exceed 1500 kg in each 10-day period and exceed 16% of the catch of Dissostichus spp. by that vessel in that SSRU in those periods, the vessel shall cease fishing in that SSRU for the remainder of the season. CM33-03 therefore meets the requirements of a ‘strategy’. CM 41-09 also sets out limits on the exploratory fishery in subarea 88.1 and CM 41-10 for 88.2, including SSMU limits on bycatches.

Combined with the limited overall extent of fishing, closed SSRUs and the establishment of the Ross Sea region MPA, this strategy is expected to be effective in managing main and minor secondary species. Should any secondary species reach the level of being ‘main, then the strategy would be expected to maintain such species at levels which are highly likely to be above biologically based limits.

Bait. Bait is purchased frozen from multiple sources. Two bait species are considered main – Humboldt squid from Peruvian fisheries and arrow squid from New Zealand fisheries. Stock assessments for both squid stocks are difficult to undertake and so both stocks are managed on the basis of a TAC considered appropriate by the management authority. While there is always some doubt about the relationship of the stock to biologically based limits, we do know that the amounts of each stock used in the fishery is extremely low in relation to the catch or TAC – bait usage in the client group represents 0.03% of Peruvian TAC of Humboldt squid and 0.26% of NZ arrow squid catches. This low marginal F of the client group therefore provides a demonstrably effective partial strategy, in place, which would ensure that the UoA would not hinder recovery of either stock. This meets the SG80 requirements for both species. There is not, however, a defined bait purchase strategy.

The management measures dealing with bycatches are considered to provide an appropriate strategy and there is an apparent partial strategy in terms of sourcing bait from suitable sources and in low quantities relative to total catches. SG60 and SG80 are met. There is no specific strategy for managing bait purchases and so SG100 is not met.

Management strategy evaluation b The measures are considered There is some objective Testing supports high Guide likely to work, based on basis for confidence that the confidence that the partial post plausible argument (e.g. measures/partial strategy will strategy/strategy will work, general experience, theory or work, based on some based on information directly

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comparison with similar information directly about the about the UoA and/or species UoAs/species). UoA and/or species involved. involved. Met? Yes Yes No

Rationale

The strategy for catches is entirely based on information on the fishery and species involved. The fishery and many affected species are closely monitored, and the quantitative results obtained are analysed through the CCAMLR Scientific Committee. Analyses to date provide high levels of confidence that the strategy is effective.

For bait, the quantities used is extremely low in relation to the fisheries involved, and all come from stocks which are well managed and have been MSC certified. There is therefore some objective basis for confidence that the partial strategy relating to bait purchase will work, based on good information directly about the fishery and the species involved. There has not, however, been testing to provide high confidence on this.

SG60, SG80 and SG100 are therefore met for catches. SG60 and SG80 are met for bait purchases, but SG100 is not met for bait. An overall Score of 80 is therefore considered appropriate.

Management strategy implementation There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is c Guide is being implemented being implemented post successfully. successfully and is achieving its objective as set out in scoring issue (a). Met? Yes No

Rationale

With regular reporting protocols, electronic logbooks, 200% observer coverage and no evidence of breaches of CMs by Client Group vessels, there is clear evidence that the strategy is being implemented successfully. The absence of interactions with relevant species provides evidence that the comprehensive strategy is being implemented successfully and is achieving its objective as set out in scoring issue (a).

SG80 and SG100 are therefore met for catches. SG80 are met for bait purchases, but SG100 is not met for bait. A Score of 80 is therefore considered appropriate.

Shark finning

Rationale

There are no Shark species caught and therefore this SI is not applicable (NA).

Review of alternative measures to minimise mortality of unwanted catch e There is a review of the There is a regular review of There is a biennial review of Guide potential effectiveness and the potential effectiveness the potential effectiveness post practicality of alternative and practicality of alternative and practicality of alternative measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- LR MSC Reduced Reassessment Template 20190419 Page 56 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

related mortality of unwanted related mortality of unwanted related mortality of unwanted catch of main secondary catch of main secondary catch of all secondary species. species and they are species, and they are implemented as appropriate. implemented, as appropriate. Met? Yes Yes Yes

Rationale

The CCAMLR Scientific Committee and the Working Group on Ecosystem Monitoring and Management (WG-EMM) both meet annually. Both organisations review information on the fishery and identify developing issues and suitable management responses. The remit of WG-EMM specifically includes to identify, recommend and coordinate research necessary to obtain information on predator/prey/fisheries interactions, particularly those involving harvested, dependent, related and/or depleted populations.

The annual meetings of the SC and WG-EMM is considered a suitable annual review process to identify any issues which may arise. This provides an annual review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of unwanted catch of all secondary species, and they are implemented, as appropriate. SG60, SG80 and SG100 are therefore met.

References

STATLANT CCAMLR catch data provided by client Bait composition data provided by client group MSC fishery database https://fisheries.msc.org/en/fisheries/ CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures CCAMLR Scientific Committee web pages https://www.ccamlr.org/en/science/scientific-committee Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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Information on the nature and amount of secondary species taken is adequate to PI 2.2.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage secondary species Scoring Issue SG 60 SG 80 SG 100 Information adequacy for assessment of impacts on main secondary species Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is available and adequate to available and adequate to impact of the UoA on the assess the impact of the UoA assess with a high degree main secondary species with on main secondary species of certainty the impact of the respect to status. with respect to status. UoA on main secondary species with respect to status. OR OR a Guide post If RBF is used to score PI If RBF is used to score PI 2.2.1 for the UoA: 2.2.1 for the UoA:

Qualitative information is Some quantitative information adequate to estimate is adequate to assess productivity and susceptibility productivity and susceptibility attributes for main secondary attributes for main secondary species. species. Met? Yes Yes Yes

Rationale

Catches. Data recording is strongly regulated by CCAMLR, which under CM 23-01 requires 5-day reporting of total catch (of all species) and effort in specific areas; and for the exploratory fisheries in Subareas 88.1 and 88.2 CM 23-07 requires daily reporting by every vessel participating of the total green weight of each target species and bycatch species for which there is a catch limit in that area and the number of hooks in the water. Additionally, biological data collection on target and by-catch species are required under CM 23-04. There is a comprehensive monthly summary on a set by set level, recording all position and effort data, all target and by-catch species by weight and number and a list of all tagged fish with the associated release and recovery data. CM 41-01 sets additional data requirements for exploratory fisheries. Quantitative information is therefore available which is adequate to assess with a high degree of certainty the impact of the UoA on main secondary species with respect to status.

Bait. As bait is purchased, there is very accurate quantitative data on the amounts used. The information is sufficient to determine the relative contribution (marginal F) of the UoA in relation to total catches/TAC: for the two main species identified, bait usage in the client group represents 0.03% of Peruvian TAC of Humboldt squid and 0.26% of NZ arrow squid catches

SG60, SG80 and SG100 are therefore met for information collection mechanisms relevant to both catches and bait; this is entirely adequate to assess with a high degree of certainty the impact of the UoA on main secondary species with respect to status.

Information adequacy for assessment of impacts on minor secondary species Some quantitative information b Guide is adequate to estimate the impact of the UoA on minor post secondary species with respect to status. Met? Yes

Rationale

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There is comprehensive data available on all catches and bait purchases of minor species, equivalent to that described for main species in SI a. The minor secondary species affected include catches and bait.

The mechanisms relating to data collection described in SI a also relates to minor species in this SI. This provides very accurate information on the catches made in the fishery – more than adequate to estimate the impact of the fishery/UoA in any assessments. SG100 is therefore met for information collection mechanisms relevant to both catches and bait.

Information adequacy for management strategy Information is adequate to Information is adequate to Information is adequate to support measures to manage support a partial strategy to support a strategy to manage Guide main secondary species. manage main secondary all secondary species, and c species. evaluate with a high degree post of certainty whether the strategy is achieving its objective. Met? Yes Yes Yes

Rationale

There is comprehensive data available on catches and bait purchases as described for SI a. This information is considered equally adequate for minor species to support a strategy in the fishery to manage all secondary species and evaluate with a high degree of certainty whether the strategy is achieving its objective.

SG60, SG80 and SG100 are therefore met for information adequacy to support a suitable strategy.

References

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The UoA meets national and international requirements for the protection of ETP species PI 2.3.1 The UoA does not hinder recovery of ETP species Scoring Issue SG 60 SG 80 SG 100 Effects of the UoA on population/stock within national or international limits, where applicable Where national and/or Where national and/or Where national and/or international requirements set international requirements set international requirements set a Guide limits for ETP species, the limits for ETP species, the limits for ETP species, there effects of the UoA on the combined effects of the is a high degree of certainty post population/ stock are known MSC UoAs on the population that the combined effects of and likely to be within these /stock are known and highly the MSC UoAs are within limits. likely to be within these limits. these limits. Met? NA NA NA

Rationale

CCAMLR aims are to minimise incidental catches of seabirds and mammals. Catches of seabirds are now near zero throughout the convention area. In the absence of specific mortality limits for ETP species, this SI is not applicable.

Direct effects Known direct effects of the Direct effects of the UoA are There is a high degree of b Guide UoA are likely to not hinder highly likely to not hinder confidence that there are no recovery of ETP species. recovery of ETP species. significant detrimental post direct effects of the UoA on ETP species. Met? Yes Yes Yes

Rationale

Mortality resulting from the fishery remains virtually zero – as verified by 200% observer coverage throughout the fishery. Only two seabirds have been killed in the history of the fishery, and none since the last MSC assessment. No impacts resulting from lost gear are anticipated. There are no indications of interactions with marine mammals. SG60, 80 and 100 are all met.

Indirect effects Indirect effects have been There is a high degree of Guide considered for the UoA and confidence that there are no c are thought to be highly significant detrimental post likely to not create indirect effects of the UoA unacceptable impacts. on ETP species.

Met? Yes Yes

Rationale

The last MSC assessment considered potential impacts of the removal of toothfish as a prey species and concluded that the species most likely to be affected by this were Type C killer whales (TCKW) and Weddell seals. The evaluation concluded that it was unlikely that there would be unacceptable impacts on affected populations. No changes have arisen to counter this conclusion and so SG80 is met.

However, at the last MSC assessment, the uncertainties inherent in estimating such effects did not allow for a ‘high degree of confidence’ in this conclusion and so SG100 was not met. A recommendation was made that possible effects on Weddell seal and TCKW be considered a suitable focus for further research.

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Appropriate research has been undertaken and reported in Surveillance Reports (Acoura Marine 2017, 2018). Research suggested that the functional importance of Antarctic toothfish for Weddell seals is low and these seals are highly likely to be resilient to proposed population changes in this toothfish populations. The strongly piscivorous type C killer whales are the most ecologically significant in relation to the fishery, feeding on large toothfish as a common prey. This species unit was thought to have a significant fraction of its population, possibly a separate breeding unit, closely linked to the Ross Sea fish community for the entire year. However work by New Zealand and Italian scientists found definitive evidence, derived from two independent methods (Satellite tagging and photo identification) that type C killer whales undergo long-distance travel from the southern Ross Sea to New Zealand waters and into sub-tropical regions (31° to 35° south). This finding establishes that there is ecosystem connectivity between the Ross Sea and New Zealand. Other species of toothed whales are uncommon to rare in Ross Sea, including sperm whales and southern bottlenose whales (Mitchell 2014). Populations of toothfish have shown consistent levels and the implementation of the Ross Sea MPA took place in December 2017 and now protects 1.55 million km2 including the southern area that was of concern to some stakeholders. This MPA now completely closes the entire shelf area to fishing.

Taken together, this information now supports a high degree of confidence that there would be no significant detrimental indirect effects of the UoA on ETP species. SG100 is now met.

References

Acoura Marine 2017, 2018 Pinkerton 2015 Mitchell 2014 Parker et al 2016 Hückstädt et al 2017. fsa-2019-16r2.pdf - Summary of incidental mortality associated with fishing activities collected in scientific observer and vessel data during the 2019 season CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The UoA has in place precautionary management strategies designed to: - meet national and international requirements; - ensure the UoA does not hinder recovery of ETP species. PI 2.3.2 Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species

Scoring Issue SG 60 SG 80 SG 100 Management strategy in place (national and international requirements) There are measures in place There is a strategy in place There is a comprehensive that minimise the UoA-related for managing the UoA’s strategy in place for mortality of ETP species, and impact on ETP species, managing the UoA’s impact a Guide are expected to be highly including measures to on ETP species, including likely to achieve national and minimise mortality, which is measures to minimise post international requirements for designed to be highly likely mortality, which is designed to the protection of ETP species. to achieve national and achieve above national and international requirements for international requirements for the protection of ETP species. the protection of ETP species. Met? NA NA NA

Rationale

There are no relevant mortality limits established.

Management strategy in place (alternative) There are measures in place There is a strategy in place There is a comprehensive that are expected to ensure that is expected to ensure the strategy in place for b Guide the UoA does not hinder the UoA does not hinder the managing ETP species, to post recovery of ETP species. recovery of ETP species. ensure the UoA does not hinder the recovery of ETP species. Met? Yes Yes Yes

Rationale

As set out in the last MSC assessment, there have been no recordings of direct effects on mammals. Effects on seabirds are effectively mitigated by a series of measures included within the CCAMLR ecosystem-based management strategy. Most notable are:

• CM 24-02 longline weighting • CM 25-02 minimisation of incidental mortality of seabirds during longline fishing.

These measures require the weighting of lines to achieve rapid sink rates, use of streamer lines and avoidance of offal discharge south of 60oS. There are also measures preventing fishing within waters shallower than 550m which would minimise localised depletion in areas used by breeding mammals (Weddell seals and killer whales in particular) and Conservation Measure 91-05 (2016) established the Ross Sea region marine protected area. Other gear and depth regulations exist (CMs 22-06, 22-07, 22-08 and 22-09); environmental protection is governed by CM 26- 0; and fishing within 10 nautical miles of Balleny Islands is prohibited. These measures will minimise potential effects.

This is considered a comprehensive strategy, containing a series of relevant measures, which would ensure the UoA does not hinder the recovery of ETP species. SG60, SG80 and SG100 are therefore met.

c Management strategy evaluation

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The measures are There is an objective basis The strategy/comprehensive considered likely to work, for confidence that the strategy is mainly based on based on plausible measures/strategy will work, information directly about the Guide argument (e.g., general based on information directly fishery and/or species post experience, theory or about the fishery and/or the involved, and a quantitative comparison with similar species involved. analysis supports high fisheries/species). confidence that the strategy will work. Met? Yes Yes Yes

Rationale

The strategy is entirely based on information on the fishery and species involved. The fishery and many affected species are closely monitored, and the quantitative results obtained are analysed through the CCAMLR Scientific Committee. Reviews of the effectiveness of measures through the CCAMLR Scientific Committee and Working Group on Incidental Mortality Associated with Fishing provide high levels of confidence that the strategy is effective. SG60, SG80 and SG100 are therefore met.

Management strategy implementation There is some evidence that There is clear evidence that the measures/strategy is the strategy/comprehensive d Guide being implemented strategy is being implemented post successfully. successfully and is achieving its objective as set out in scoring issue (a) or (b). Met? Yes Yes

Rationale

Review of alternative measures to minimize mortality of ETP species There is a review of the There is a regular review of There is a biennial review of potential effectiveness and the potential effectiveness the potential effectiveness Guide practicality of alternative and practicality of alternative and practicality of alternative e measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- post related mortality of ETP related mortality of ETP related mortality ETP species, species. species and they are and they are implemented, as implemented as appropriate. appropriate. Met? Yes Yes Yes

Rationale

CCAMLR convened a Working Group on Incidental Mortality Associated with Fishing (WG-IMAF) in 1993. WG-IMAF met annually until 2009 when, in response to the reductions in incidental mortality of seabirds, the decision was made to meet in alternate years. At its meeting in 2011 the Scientific Committee decided that while there remains a need to retain the issue of incidental mortality on its agenda, WG-IMAF should meet in future to address specific issue(s) identified by the Scientific Committee (rather than have a fixed meeting schedule).

WG-IMAF will address any issues identified by the Scientific Committee (which meets annually) or the Working Group on Ecosystem Monitoring and Management (WG-EMM). The remit of WG-EMM includes to identify, recommend and coordinate research necessary to obtain information on predator/prey/fisheries interactions, particularly those involving harvested, dependent, related and/or depleted populations. WG-EMM meets annually.

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Although previous CCAMLR work has served to identify and implement measures to minimise UoA-related incidental mortality, the annual meetings of the SC and WG-EMM is considered a suitable annual review process to identify any issues which may arise. The availability of WG-IMAF as required is seen as a suitable adjunct to identify and review alternative measures.

SG60, SG80 and SG100 are met.

References

CCAMLR Scientific Committee web pages https://www.ccamlr.org/en/science/scientific-committee CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures fsa-2019-16r2.pdf - Summary of incidental mortality associated with fishing activities collected in scientific observer and vessel data during the 2019 season

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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Relevant information is collected to support the management of UoA impacts on ETP species, including: PI 2.3.3 - Information for the development of the management strategy; - Information to assess the effectiveness of the management strategy; and - Information to determine the outcome status of ETP species Scoring Issue SG 60 SG 80 SG 100 Information adequacy for assessment of impacts Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is adequate to assess the available to assess with a UoA related mortality on ETP UoA related mortality and high degree of certainty the species. impact and to determine magnitude of UoA-related whether the UoA may be a impacts, mortalities and OR threat to protection and injuries and the recovery of the ETP species. consequences for the a Guide If RBF is used to score PI status of ETP species. 2.3.1 for the UoA: OR post Qualitative information is adequate to estimate If RBF is used to score PI productivity and 2.3.1 for the UoA: susceptibility attributes for Some quantitative information ETP species. is adequate to assess productivity and susceptibility attributes for ETP species. Met? Yes Yes Yes

Rationale

Through regular reporting using standardised CCAMLR formats, observer coverage and information on direct effects of the fishery is sufficient to quantitatively estimate the magnitude of UoA-related impacts, mortalities and injuries. This information, together with population estimates of ETP species in the region is adequate to assess the consequences for the status of ETP species with a high degree of certainty. At the last assessment, specific uncertainties were raised regarding possible effects on Weddell seals and Type C Killer Whales, but these have now been addressed as described above. SG60, SG80 and SG100 are therefore now met.

Information adequacy for management strategy Information is adequate to Information is adequate to Information is adequate to support measures to measure trends and support support a comprehensive manage the impacts on ETP a strategy to manage strategy to manage impacts, b Guide species. impacts on ETP species. minimize mortality and injury post of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives. Met? Yes Yes Yes

Rationale

The information collected is considered to be comprehensive and feeds into the comprehensive strategy for protection of ETP species developed by CCAMLR – particularly through the regular meetings of the Scientific Committee, the Working Group on Ecosystem Monitoring and Management (WG-EMM) and the Working Group on Incidental Mortality Associated with Fishing (WG-IMAF). SG60, SG80 and SG100 are met.

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References

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The UoA does not cause serious or irreversible harm to habitat structure and function, PI 2.4.1 considered on the basis of the area covered by the governance body(s) responsible for fisheries management in the area(s) where the UoA operates

Scoring Issue SG 60 SG 80 SG 100 Commonly encountered habitat status The UoA is unlikely to The UoA is highly unlikely There is evidence that the reduce structure and function to reduce structure and UoA is highly unlikely to a Guide of the commonly encountered function of the commonly reduce structure and function habitats to a point where encountered habitats to a of the commonly encountered post there would be serious or point where there would be habitats to a point where irreversible harm. serious or irreversible harm. there would be serious or irreversible harm. Met? Yes Yes Yes

Rationale

The assessment of benthic habitats has changed since the last assessment. We now evaluate impacts on commonly encountered habitats and VMEs separately, and the definitions of serious or irreversible harm have changed.

For commonly encountered habitats we look for an appropriate definition of habitat categories. Within these, serious or irreversible harm means reduction in habitat structure and function such that the habitat would not recover 80% of structure and function within 5-20 years of fishing ceasing.

The Ross Sea (taken as the ‘managed area’) has been divided into 17 recognisable bioregions based on a number of variables including depth, substratum and the distribution and abundance of benthic taxa. The effects of fishing by the NZ fleet in each bioregion has been evaluated by Sharp (2010). This identified the number of pixels within each bioregion that were fished. Four bioregions had non-zero values: Bioregion 1 was 94% unfished, Bioregion 2 was 96.6% unfished, Bioregion 4 was 93.6% unfished and Bioregion 6 was 85.8% unfished. Also, all fishing is undertaken by longline only – a low-impact gear (it is noted that the work of Sharp 2010 include lateral movement estimates of longline gear).

The Ross Sea Region MPA also closes much of the region to fishing.

Setting aside VME habitats (considered below), there is evidence (Sharp 2010) from the percentage of the area actually affected that it is highly unlikely (a less than 20% probability) that the restricted fishing that takes place, and with low- impact gear, would affect any of the bioregions to the extent that they would not recover to 80% of their habitat structure and function within 5-20 years. SG60, SG80 and SG100 are met.

VME habitat status The UoA is unlikely to The UoA is highly unlikely There is evidence that the reduce structure and function to reduce structure and UoA is highly unlikely to b Guide of the VME habitats to a point function of the VME habitats reduce structure and function post where there would be serious to a point where there would of the VME habitats to a point or irreversible harm. be serious or irreversible where there would be serious harm. or irreversible harm. Met? Yes Yes No

Rationale

For VME habitats, serious or irreversible harm means reduction in habitat structure and function below 80% of their unimpacted state. It is noted that the minimal damage that occurs when a move-on rule is triggered does not constitute serious or irreversible harm (GSA3.14.2.2).

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The main evidence again comes from Sharp (2010). His conclusion was that estimates of total cumulative impact by New Zealand bottom fishing vessels in the Ross Sea fishery on benthic organisms remain low, on the order of 0.01% to 0.03% mortality for the most fragile VME taxa in the most heavily fished bioregions (i.e., on the Ross Sea shelf edge and continental slope). Extending this to the whole client group would mean 0.02-0.08% mortality – levels of impact that would not plausibly cause major changes in the structure or diversity of species assemblages.

VMEs are also specifically protected by a range of management measures described in 2.4.2 SI a. These include move- on rules, triggered when VME taxa are encountered; closure of VME ‘risk areas’; closure of specific sub-areas; prohibition of fishing in depths less than 550m; the establishment of the Ross Sea MPA. Enforcement of these measures, particularly the move-on rules, combined with closure of areas notified, is expected to effectively protect VMEs in the areas fished.

On the basis of the above, it is considered highly unlikely that the UoA would reduce structure and function of the VME habitats to a point where there would be serious or irreversible harm. SG60 and SG 80 are met.

The lack of direct evidence of recoverability (recognised to be a significant undertaking in the Ross Sea) means that SG100 is not met.

Minor habitat status There is evidence that the UoA is highly unlikely to c Guide reduce structure and function post of the minor habitats to a point where there would be serious or irreversible harm.

Met? No

Rationale

Whilst bioregions have been identified, specific minor habitats have not. Together with the lack of direct evidence of impact and recoverability (recognised to be a significant undertaking in the Ross Sea), this means that SG100 is not met. Given the acknowledged difficulty of identifying minor habitats, these have not been considered for RBF analysis and so only main and VME habitats are scored.

References

Sharp 2010 CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures: CM 22-06, 22-07, 22-08, 22-09, 91-05;

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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There is a strategy in place that is designed to ensure the UoA does not pose a risk of PI 2.4.2 serious or irreversible harm to the habitats

Scoring Issue SG 60 SG 80 SG 100 Management strategy in place There are measures in There is a partial strategy in There is a strategy in place for a Guide place, if necessary, that are place, if necessary, that is managing the impact of all expected to achieve the expected to achieve the MSC UoAs/non-MSC fisheries post Habitat Outcome 80 level of Habitat Outcome 80 level of on habitats. performance. performance or above. Met? Yes Yes Yes

Rationale

The CCAMLR ecosystem-based management strategy contains a number of provisions to manage the effects of the fishery on habitat:

- Most fishing in the Ross Sea occurs at depths of 550–1800 m and fishing is prohibited in bottom depths less than 550 m. The available information suggests that benthic fauna is limited below 500m depth - CM 22-04 (2010) and 22-05 (2008) containing provisions for restrictions on ‘higher risk’ bottom fishing activities by gill net and trawl; - CM 22-06 (2019) containing provisions for a) notification of the known and expected effects of the proposed fishing by each Contracting Party (including VMEs, benthos and benthic communities), for preliminary assessment by the Scientific Committee and approval; by the Commission; b) cease fishing on encountering VMEs and report such encounters; c) the Scientific Committee maintains a register of VME locations and provides advice for their protection; - CM 22-07 (2013) contains provisions for identification of VME ‘risk areas’ and their closure to fishing by CCAMLR secretariat; - CM 22-08 (2009) contains provisions for prohibition of fishing in depths shallower than 550m for the protection of benthic communities; - CM 22-09 prohibits all bottom fishing activities within defined areas, including two areas within SSRU ‘G’ in subarea 88.1; - CM 23-07 (2016) requires daily reporting of catches of target species and bycatch species, including benthic species/VME ‘indicator units’. Encounters with VMEs in the high seas of the Convention Area are notified under CM 22-06 and agreed instances of VMEs are recorded in the CCAMLR VME Registry. VMEs which occur in areas where bottom fishing is permitted are afforded special protection under Conservation Measure 22-09. The protocol for monitoring and reporting the incidental take of VME-indicator taxa is described in CM 22-07. The number of VME-indicator units recovered in each line segment of bottom-set longline (or string of pots) is reported to the CCAMLR Secretariat. Line segments with 5 or more VME-indicator units are reported immediately, and VME risk areas are declared within 1 nautical mile of the mid-point of each line segment with 10 or more VME-indicator units. Risk areas are immediately closed to further bottom fishing and remain closed until reviewed by the Scientific Committee and management actions are determined by the Commission. - 91-05 (2016). Establishing the Ross Sea region marine protected area.

These measures are considered to comprise an effective strategy which will serve to manage the impact of all MSC UoAs/non-MSC fisheries on habitats. SG60, SG80 and SG100 are therefore met.

Management strategy evaluation The measures are There is some objective Testing supports high b considered likely to work, basis for confidence that confidence that the partial Guide based on plausible argument the measures/partial strategy strategy/strategy will work, (e.g. general experience, will work, based on based on information directly post theory or comparison with information directly about about the UoA and/or similar UoAs/habitats). the UoA and/or habitats habitats involved. involved. LR MSC Reduced Reassessment Template 20190419 Page 69 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

Met? Yes Yes No

Rationale

The development and review of CMs by the Scientific Committee and Commission, the specific development of CMs in relation to the fishery and habitats present and the precautionary and comprehensive nature of the CMs in the Ross Sea provide a basis for confidence that the strategy will work. SG60 and SG80 are therefore met. No evidence of specific testing of the strategy has been provided (no doubt owing to the nature of the environment) and so SG100 is not met.

Management strategy implementation There is some quantitative There is clear quantitative evidence that the evidence that the partial c Guide measures/partial strategy is strategy/strategy is being post being implemented implemented successfully and successfully. is achieving its objective, as outlined in scoring issue (a). Met? Yes Yes

Rationale

Regular reporting protocols, electronic logbooks, full observer coverage and no evidence of breaches of CMs by Client Group vessels provides clear evidence that the strategy is being implemented successfully. SG80 and SG100 are therefore met.

Compliance with management requirements and other MSC UoAs’/non-MSC fisheries’ measures to protect VMEs There is qualitative There is some quantitative There is clear quantitative d evidence that the UoA evidence that the UoA evidence that the UoA complies with its complies with both its complies with both its Guide management requirements to management requirements management requirements and

post protect VMEs. and with protection measures with protection measures afforded to VMEs by other afforded to VMEs by other MSC UoAs/non-MSC MSC UoAs/non-MSC fisheries, fisheries, where relevant. where relevant. Met? Yes Yes Yes

Rationale

Quantitative evidence is available through VMS, electronic logbooks and full observer coverage that vessels within the UoA will comply with CCAMLR management requirements. There are no additional protection measures, relevant to the fishery, afforded to VMEs by other MSC UoAs/non-MSC fisheries within the Ross Sea. SG60, SG80 and SG100 are therefore all met.

References CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures: CM 22-06, 22-07, 22-08, 22-09, 91-05 CCAMLR Scientific Committee web pages https://www.ccamlr.org/en/science/scientific-committee Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

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Condition number (if relevant)

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Information is adequate to determine the risk posed to the habitat by the UoA and the PI 2.4.3 effectiveness of the strategy to manage impacts on the habitat

Scoring Issue SG 60 SG 80 SG 100 Information quality The types and distribution of The nature, distribution and The distribution of all habitats the main habitats are broadly vulnerability of the main is known over their range, understood. habitats in the UoA area are with particular attention to the known at a level of detail occurrence of vulnerable OR relevant to the scale and habitats. intensity of the UoA. If CSA is used to score PI a Guide 2.4.1 for the UoA: OR post Qualitative information is adequate to estimate the If CSA is used to score PI types and distribution of the 2.4.1 for the UoA: main habitats. Some quantitative information is available and is adequate to estimate the types and distribution of the main habitats. Met? Yes Yes No

Rationale

The identification of VMEs, VME risk areas and benthic bioregions (commonly encountered habitat types) through bathymetric, biological and other data in the Ross Sea, and the evaluation for these of the effects of longline fishing provides information on the nature, distribution and vulnerability of all main habitat types in the fishery at a level of detail relevant to the scale and intensity of the fishery – i.e. information is sufficient for a relatively restricted and low impact fishery. SG80 is met.

While mapping of VMEs takes place as information is gathered, the distribution of all habitat types across the Ross Sea is not fully known. SG100 is not met.

Information adequacy for assessment of impacts Information is adequate to Information is adequate to The physical impacts of the broadly understand the allow for identification of the gear on all habitats have nature of the main impacts of main impacts of the UoA on been quantified fully. gear use on the main the main habitats, and there habitats, including spatial is reliable information on the overlap of habitat with fishing spatial extent of interaction gear. and on the timing and b location of use of the fishing Guide OR gear.

post If CSA is used to score PI OR 2.4.1 for the UoA: Qualitative information is If CSA is used to score PI adequate to estimate the 2.4.1 for the UoA: consequence and spatial Some quantitative information attributes of the main is available and is adequate habitats. to estimate the consequence and spatial attributes of the main habitats.

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Met? Yes Yes No

Rationale

The nature, and extent, of impacts of the fishery on habitat types (bioregions) has been established. There is also good reporting and mapping of VME locations from application of the move-on rule and identification of VME risk areas from recording of VME-indicator species on lines. CCAMLR reporting protocols, coupled with VMS, observer programme, and bathymetric datasets, provide highly reliable information on the spatial extent of interaction and the timing and location of use of the fishing gear. SG60 and SG80 are met.

Physical impacts of the gear on the habitat types have not been quantified fully and so SG100 is not met.

Monitoring Adequate information Changes in all habitat c Guide continues to be collected to distributions over time are post detect any increase in risk to measured. the main habitats. Met? Yes No

Rationale

CCAMLR reporting measures are expected to continue in force as at present. These are sufficient to determine any increase in risk to habitat – e.g. by changes in the size of the fishery, fishing patterns and/or identification (and subsequent protection) of further areas of VME habitat.

References

CCAMLR VME Registry at: https://www.ccamlr.org/en/document/data/ccamlr-vme-registry; CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures: CM 22-06, 22-07, 22-08, 22-09, 91-05 Sharp 2010 Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The UoA does not cause serious or irreversible harm to the key elements of ecosystem PI 2.5.1 structure and function

Scoring Issue SG 60 SG 80 SG 100 Ecosystem status The UoA is unlikely to The UoA is highly unlikely to There is evidence that the disrupt the key elements disrupt the key elements UoA is highly unlikely to Guide underlying ecosystem underlying ecosystem disrupt the key elements a structure and function to a structure and function to a underlying ecosystem post point where there would be a point where there would be a structure and function to a serious or irreversible harm. serious or irreversible harm. point where there would be a serious or irreversible harm. Met? Yes Yes Yes

Rationale

‘Highly unlikely’ means that there is a more than a 30% probability of serious or irreversible harm. Potential serious or irreversible harm on ecosystem structure and function relates to effects such as trophic cascade caused by depletion of top predators, severely truncated size composition of the ecological community or gross changes in species diversity or genetic diversity.

Consideration of individual ecosystem components above (retained and bycatch species, ETP species and habitat effects) have not identified any impacts which would disrupt ecosystem structure and function to a point of serious or irreversible harm. Significant effects on the ecosystem structure and function (provision of ecosystem services) would therefore only be expected to arise from trophic effects (it is noted that indirect (trophic) effects on ETP species have been considered under PI 2.3.1).

Potential trophic effects of the fishery have been very usefully summarised in Mitchell (2014) and Pinkerton (2015) and the development of a trophic model for the Ross Sea has allowed testing of the effect of changing toothfish populations on the ecosystem.

This analysis has shown the groups with the highest trophic importance in decreasing order were: phytoplankton, mesozooplankton, Antarctic silverfish, small demersal fish, Antarctic krill and cephalopods. Pelagic fish and crystal krill were also likely to have relatively high trophic importance in the Ross Sea food web. These would represent the key elements underlying ecosystem structure and function. Toothfish are considered to be of moderate importance in the food web. Changing abundance of toothfish may affect medium sized demersal fish, but these in turn are of low importance in the food web, and so this would not have knock-on effects. A straightforward cascading effect due to toothfish removal is therefore considered unlikely.

It is also relevant that this remains an exploratory fishery, developing slowly and in a precautionary manner and toothfish biomass remains at a high level (around 66% B0). The fishery, as discussed earlier, is also very localised in effect and large parts of the Ross Sea are closed to fishing.

So, while ecosystem effects of toothfish removal cannot be ruled out, evidence is available which indicates that disruption of ecosystem structure and function to a point of serious or irreversible harm is highly unlikely. SG60, SG80 and SG100 are therefore met.

References

Mitchell, 2014 Pinkerton, 2015

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI LR MSC Reduced Reassessment Template 20190419 Page 74 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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There are measures in place to ensure the UoA does not pose a risk of serious or PI 2.5.2 irreversible harm to ecosystem structure and function

Scoring Issue SG 60 SG 80 SG 100 Management strategy in place There are measures in place, There is a partial strategy in There is a strategy that if necessary which take into place, if necessary, which consists of a plan, in place account the potential takes into account available which contains measures to a Guide impacts of the UoA on key information and is expected address all main impacts of elements of the ecosystem. to restrain impacts of the the UoA on the ecosystem, post UoA on the ecosystem so as and at least some of these to achieve the Ecosystem measures are in place. Outcome 80 level of performance. Met? Yes Yes Yes

Rationale

The CCAMLR ecosystem-based management strategy contains a number of provisions to manage the effects of the fishery on all ecosystem components, including analysis through modelling of potential trophic effects of the fishery. CCAMLR processes consider these ecosystem components as part of an integral plan for the fishery.

In particular, the remit of the Working Group on Ecosystem Monitoring and Management (WG-EMM) includes: Assessment of the status and trends of dependent and related populations including identification of information required to evaluate predator/prey/fisheries interactions and their relationships to environmental features, assessment of environmental features and trends which may influence abundance and distribution of harvested, dependent, related and/or depleted population and to develop management advice on status of Antarctic marine ecosystems.

In addition, the Working Group now provides advice on aspects of spatial protection, including marine protected areas and vulnerable marine ecosystems. SG60, SG80 and SG100 are met.

Management strategy evaluation The measures are There is some objective Testing supports high considered likely to work, basis for confidence that confidence that the partial b Guide based on plausible argument the measures/ partial strategy strategy/ strategy will work, (e.g., general experience, will work, based on some based on information directly post theory or comparison with information directly about the about the UoA and/or similar UoAs/ ecosystems). UoA and/or the ecosystem ecosystem involved. involved. Met? Yes Yes Yes

Rationale

The CCAMLR management strategy contains measures to address all identified impacts of the fishery on the ecosystem; all measures determined to be necessary have been implemented with ongoing research and testing of their effectiveness (for example through Scientific Committee reviews). The plan and measures are based on well understood relationships between the fishery and components (target stock, bycatch, ETP species and habitat) and elements (e.g. key bycatch species, vulnerable ETP species such as seabirds, VME habitats). The CCAMLR management strategy specifically seeks to ensure that harvesting is carried out in a sustainable manner and takes account of the effects of fishing on other components of the ecosystem. Collectively this provides high confidence that the strategy will work. SG60, SG80 and SG100 are met.

c Management strategy implementation

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There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is Guide is being implemented being implemented post successfully. successfully and is achieving its objective as set out in scoring issue (a). Met? Yes Yes

Rationale

Regular reporting protocols, full observer coverage and no evidence of breaches of CMs by Client Group vessels all provide evidence that measures are successfully implemented. The measures are designed to address all main impacts of the UoA on the ecosystem and routine monitoring is in place to determine their effectiveness. SG80 and SG100 are met.

References

CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures Hanchet et al 2014 Pinkerton 2015 CCAMLR Scientific Committee web pages https://www.ccamlr.org/en/science/scientific-committee

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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PI 2.5.3 There is adequate knowledge of the impacts of the UoA on the ecosystem Scoring Issue SG 60 SG 80 SG 100 Information quality

a Guide Information is adequate to Information is adequate to identify the key elements of broadly understand the key post the ecosystem. elements of the ecosystem.

Met? Yes Yes

Rationale

A balanced trophic model for the Ross Sea has been produced, which provides a good understanding of the key elements of the ecosystem and interactions between these. SG60 and SG80 are met.

Investigation of UoA impacts Main impacts of the UoA on Main impacts of the UoA on Main interactions between the these key ecosystem these key ecosystem UoA and these ecosystem b Guide elements can be inferred from elements can be inferred from elements can be inferred from post existing information, but have existing information, and existing information, and not been investigated in some have been have been investigated in detail. investigated in detail. detail. Met? Yes Yes Yes

Rationale

There is extremely good information on removals of toothfish and other fish species from the ecosystem. The role of toothfish in the ecosystem is well understood, and it is an integral component of the ecosystem model. The main interactions of the fishery and the receiving ecosystem have therefore been investigated.

SA3.18.1.2. requires that the management system should be capable of adapting management to environmental change and that monitoring of environmental change on the natural productivity of fisheries should be considered best practice, including recognition of the effect of climate change. In this regard, CCAMLR has established the Ecosystem Monitoring Program (CEMP) in 1989. The aims of CEMP are to both detect significant changes in critical components of the marine ecosystem within the Convention Area, to serve as a basis for the conservation of Antarctic marine living resources; and to distinguish between changes due to harvesting of commercial species and changes due to environmental variability, both physical and biological. CCAMLR has also established specific research initiatives – notably ‘Integrating Climate and Ecosystem Dynamics’ and ‘Southern Ocean Sentinel’ programmes. CCAMLR Resolution 30/XXVIII specifically addresses the issue of climate change. SG60, 80 and 100 are therefore met.

Understanding of component functions The main functions of the The impacts of the UoA on P1 components (i.e., P1 target target species, primary, c Guide species, primary, secondary secondary and ETP species and ETP species and and Habitats are identified post Habitats) in the ecosystem and the main functions of are known. these components in the ecosystem are understood. Met? Yes Yes

Rationale

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Direct effects of the fishery on target species, retained and bycatch species, ETP species and habitats have been identified and are generally understood; for ETP species this extends to considerations of possible effects on nursing Weddell seals and killer whales in specific areas. As this PI considers effects of the fishery on the ecosystem (with individual components being considered earlier), and an ecosystem model has been developed and used to test possible effects of the fishery, knowledge is considered sufficient to meet the SG80 and SG100 requirements.

Information relevance Adequate information is Adequate information is available on the impacts of available on the impacts of d Guide the UoA on these the UoA on the components post components to allow some of and elements to allow the the main consequences for main consequences for the the ecosystem to be inferred. ecosystem to be inferred. Met? Yes Yes

Rationale

There is excellent information on the direct effects (catches and direct mortality of target, bycatch, ETP species and VME taxa) of the fishery on each component/element; sufficient to allow the main consequences for the ecosystem to be inferred. This extends into indirect effects through modelling of the main consequences of fishing for the wider ecosystem. SG80 and SG100 are met.

Monitoring Adequate data continue to be Information is adequate to e Guide collected to detect any support the development of post increase in risk level. strategies to manage ecosystem impacts. Met? Yes Yes

Rationale

Significant data continue to be collected from the fishery to detect changes in risk level, including excellent information on fishing locations, practices and catches and locations of VMEs. Research is ongoing, including research to better characterise demersal fish assemblages. SG80 is met.

CCAMLR, principally through the Scientific Committee, have an established track record of keeping such information under review and using this to refine management of all ecosystem components. Information gathered is considered sufficient to support the development of strategies to manage each component. SG100 is also met.

References

Pinkerton 2015 Pinkerton et al 2009 CCAMLR Scientific Committee web pages https://www.ccamlr.org/en/science/scientific-committee CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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5.4 Principle 3 Principle 3 background The Ross Sea toothfish fishery is a catch-limited Olympic fishery fishery located within the area covered by the Convention on Antarctic Marine Living Resources (CAMLR) and the fishery is managed in accordance with the precautionary management strategy implemented by the Commission. Fishing is limited to notified vessels using demersal longlines. The fishing season is from 1st December to 31st August each year although the season generally only lasts four to eight weeks depending on summer sea ice conditions.

Vessels can enter the fishery when the season opens and fish until the catch limits are reached in each area. There are no allocated individual or group-based rights to catches of any volume. Members of CCAMLR who wish to fish in the Ross Sea must apply in accordance with the documented CCAMLR process specified annually. Permission to enter the fishery is assessed and approved by the Commission. This makes it possible for, but does not require, vessels to enter the fishery. Ross Sea Toothfish UoC vessels are a subset of this group and fish in subarea 88.1 and 88.2.

Current conservation Measures including allowed catches, seasons, and approved vessels are all contained within the CCAMLR Conservation Measures which are available at https://www.ccamlr.org/en/conservation-and- management/conservation-and-managment.

Management information

The management decision-making body in CCAMLR is the Commission. This includes the Scientific Committee, and two subsidiary bodies: The Standing Committee on Implementation and Compliance and The Standing Committee on Administration and Finance. The decision-making process undertaken by the Commission (including the Scientific Committee) is informed by management advice provided by its working groups. At the Commission, each member contributes one representative, who can be accompanied by alternate representatives and advisors. Matters of substance are determined by consensus decision-making. A Chair and Vice-chair oversee the Commission. These appointments are two years in term and are made by election amongst members.

Each controlling flag state for each of the Client Group Members is a signatory to the (CCAMLR) Convention and are active participants in the science and management meetings of CCAMLR.

At a national level, government agencies make decisions about fishery activities. Decisions are supported by some level of consultation. For the flag-states of vessels operated by the client group, the main government agencies involved in decision-making processes are:

At the level of the fishery client group, decisions on fishery activities are made within fishing companies by which vessels are owned and/or operated.

The fishery client group is composed Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Ervik Havfiske AS, Pesquerias Georgias SL, Australian Longline Pty Ltd, and Taurus Logistics LP. The client group consists of members in New Zealand, Australia and UK, Norway, Spain and the Ukraine with New Zealand (Silvifish Resources Ltd) providing the coordination focus for Client Group, scientific and management activity. Cost sharing within the client group is proportional and is based on the number of vessels participating for each group entity. Main items of expenditure are Certification Body annual audit fees; Group Entity Member’s work undertaken to meet the annual surveillance requirements and review of certification conditions; general education and development of the MSC fishery; participation at science forums; liaison with stakeholders; engagement of project management services to undertake the work required to maintain certification and complete the Group Action Plan; and any Group-approved Scientific projects and/or specific research activities undertaken.

In the last fishing season (2019/20) the UoC Companies operated nine vessels in the fishery (Australia 1, New Zealand 3, Spain 1, United Kingdom 4).

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• Australia: Australian Longline Pty Ltd - Antarctic Discovery • New Zealand: Sanford Ltd with San Aspiring and San Aotea II and TGL (Talleys Group Limited) with Janas; • Spain: Pesquerias Georgia SL, Tronio; • UK: Argos Georgia Ltd, Argos Georgia, Argos Froyanes, Nordic Prince, and Altamar • Ukraine: Taurus Logistics LP, Marigolds (didn’t fish 2019/20)

The flag states of client group vessels develop their own positions entering into CCAMLR meetings. This is achieved in different ways amongst client group flag states.

Australia: Consultation processes administered by Australian government agencies to develop their position on the Ross Sea fishery involve the Sub-Antarctic Resource Assessment Group, the Sub-Antarctic Fisheries Management Advisory Committee, and the CCAMLR Consultative Forum. These groups include members from government organisations, environmental groups, industry, and scientists. The Australian Antarctic Division leads Australia’s involvement in CCAMLR, while the Australian Fisheries Management Authority implements the Commission’s requirements. Other government agencies involved in the fishery include the Australian Customs and Border Protection Service, and the Department of Foreign Affairs and Trade.

New Zealand: In New Zealand, consultation processes leading to the state’s position taken to CCAMLR, and the development of the management approach in the fishery, include meetings of the Industry Toothfish Committee (government and industry) and the Antarctic Working Group (open membership that includes scientists, government, environmental and industry groups). Government agencies involved in the fishery include the Ministry of Foreign Affairs and trade, the Ministry for Primary Industries and the Department of Conservation. Government agencies meet with stakeholders generally about three times annually (before and after CCAMLR meetings, and on one other occasion). In addition, consultation on scientific matters relating to the fishery occurs on an ongoing basis.

Spain: The requirements of CCAMLR relevant to Spanish activities in the Ross Sea are enacted through legislation of the European Union and domestic policy. Overall responsibility for policy relevant to Spain’s participation in CAMLR Convention is held by the Secretariat General for Fishing (Secretaria General de Pesca) of the Ministry of Agriculture, Food and Environment (Ministerio de Agricultura, Alimentacion y Medio Ambiente). In advance of annual CCAMLR meetings, consultation opportunities are provided for non-government organisations and industry. These meetings include government agencies, policy advisors, industry, nongovernment organisations, research providers and other interested parties. With respect to science specifically, the Instituto Español de Oceanografía Centro Oceanográfico de Canarias is the main provider. There is additional science input on an ad hoc basis from other research establishments and universities.

UK: Similar to Spain, the requirements of CCAMLR relevant to UK activities in the Ross Sea are (currently) enacted through legislation of the European Union and domestic UK policy. Overall responsibility for management of the UK’s policy in relation to CCAMLR lies with the Polar Regions Unit of the Overseas Territories Directorate (Foreign and Commonwealth Office (FCO)). The FCO submits the required notifications to CCAMLR for fishing in the Ross Sea. Permits for UK vessels fishing in Antarctic waters are granted by the Secretary of State for Foreign and Commonwealth Affairs. The FCO provides written agreement allowing fishing, when it is satisfied that required conditions for fishing will be met. (Conditions include licensing, safety and insurance, compliance with CCAMLR Conservation Measures, etc.). Consultation processes leading to the position taken to CCAMLR, and the development of the management approach in the fishery, include review of the fishing activities by the Centre for Environment, Fisheries and Aquaculture Science (CEFAS). Government agencies consult with and meet with stakeholders as deemed necessary.

Ukraine: The State Agency of Fisheries of Ukraine (SAFU) is responsible for implementing the CCAMLR Conservation Measures and takes responsibility for competent management as a State Party to the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). All operating companies wanting their Ukraine flagged vessels to fish in the CCAMLR Convention Area must:

• Pass the procedure of registration and licensing; • ensure the high level of Vessel’s safety when operating in the CCAMLR Zone; • prevent marine pollution and ballast water pollution; and • provide the safety carriage of crew members (including scientific observers).

Ukrainian law "#222-VIII of March 02, 2015 “On licensing of types of economic activity enables allocation of the license to carry out a certain type of economic activity. This Law regulates relations in the field of licensing of economic activity, establishes a unified licensing procedure, supervision and control in the field of licensing, and liability for violations of the law on licensing of types of economic activity. Law #800 of October 30, 2013, “On fisheries, industrial fisheries and the protection of aquatic biological resources" permits commercial fishing/catch of aquatic biological resources beyond the limits of the Ukrainian jurisdiction. This confirms a legal right of a business entity to operate in waters beyond the LR MSC Reduced Reassessment Template 20190419 Page 81 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

limits of Ukrainian jurisdiction with the obligatory observance of the norms determined by international treaties with Ukraine, the legislation of foreign states or international organizations for fisheries management.

The CCAMLR monitoring, control and surveillance (MCS) regime is implemented in the client fishery and includes the requirement for at least two observers (one of whom is appointed in accordance with the CCAMLR Scheme of International Scientific Observation) to be present on all vessels. In addition, the use of VMS, participation in the Catch Documentation Scheme, and daily and monthly catch effort reporting are compulsory. Information captured through the implementation of these measures is scrutinised by SCIC and the Commission on an annual basis.

All client group vessels operating currently have electronic monitoring systems aboard. The group is currently discussing defining our EM minimum standards with a view to incorporating these in the Client Group Rules.

The UoC has a set of Client Group Rules which are reviewed and updated annually following the CCAMLR Meetings in October. At this time, the group holds its Annual General Meeting.

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Principle 3 Performance Indicator scores and rationales

The management system exists within an appropriate legal and/or customary framework which ensures that it: - Is capable of delivering sustainability in the UoA(s); PI 3.1.1 - Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and - Incorporates an appropriate dispute resolution framework

Scoring Issue SG 60 SG 80 SG 100 Compatibility of laws or standards with effective management There is an effective national There is an effective national There is an effective national legal system and a legal system and organised legal system and binding framework for cooperation and effective cooperation procedures governing a Guide with other parties, where with other parties, where cooperation with other necessary, to deliver necessary, to deliver parties which delivers post management outcomes management outcomes management outcomes consistent with MSC consistent with MSC consistent with MSC Principles 1 and 2 Principles 1 and 2. Principles 1 and 2.

Met? Yes Yes Yes

Rationale

The Ross Sea toothfish fishery operates under the auspices of an international treaty - the Convention for the Conservation of Antarctic Marine Living Resources – and is managed by the Commission for the Conservation of Antarctic Living Resources (www.ccamlr.org). The CCAMLR Convention, is an integral component of the Antarctic Treaty System. The objective of the CCAMLR Convention is “the conservation of Antarctic marine living resources”, where “conservation” includes rational use. This objective readily aligns with MSC Principles 1 and 2.

Any state participating in the Ross Sea toothfish fishery must be a member of CCAMLR. Under the CCAMLR umbrella, members work together to make decisions on matters of substance by consensus. The requirements of CCAMLR relating to the fishery are reviewed and agreed upon annually through an extensive meeting process. Binding measures, under which participants in the fishery must agree to, operate, and against which compliance is assessed, are enacted at the Commission level. Processes through which binding measures are developed by CCAMLR members are organised and effective. Requirements that must be met by states legally participating in the fishery are clear and agreed prior to the commencement of the fishing season.

Member states are obligated to implement the requirements of CCAMLR where these requirements apply to their own fishing operations. This is typically achieved by enacting specific components of domestic legislation. States may also implement additional requirements of their own, i.e., beyond measures developed by CCAMLR.

CCAMLR has developed memoranda of understanding with other multilateral bodies relevant to achieving its objectives, e.g., the Agreement on the Conservation of Albatrosses and Petrels.

Given the overarching CCAMLR structure, domestic legal requirements and binding measures for fisheries management, there is clearly an effective legal system and binding procedures governing cooperation with other parties which delivers management outcomes consistent with MSC Principles 1 and 2. A score of 100 is given.

Resolution of disputes The management system The management system The management system b incorporates or is subject by incorporates or is subject by incorporates or is subject by Guide law to a mechanism for the law to a transparent law to a transparent post resolution of legal disputes mechanism for the resolution mechanism for the resolution arising within the system. of legal disputes which is of legal disputes that is considered to be effective appropriate to the context of

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in dealing with most issues the fishery and has been and that is appropriate to the tested and proven to be context of the UoA. effective. Met? Yes Yes No

Rationale

The CCAMLR Convention Article XXV states that if any dispute arises between two or more of the Contracting Parties concerning the interpretation or application of the Convention, they shall consult among themselves with a view to having the dispute resolved by negotiation, inquiry, mediation, conciliation, arbitration, judicial settlement or other peaceful means of their own choice. If agreement is not reached, the matter can be referred for settlement to the International Court of Justice or to arbitration. In practice, any issues of contention among the CCAMLR member states can be raised and discussed at the meetings of the Commission and subordinate bodies. These processes are transparent and subject to scrutiny by all member states. In the case of a dispute the Client Group will establish a Review Committee made up of a single delegated representative from each of the Group Members with one member of that committee elected by them as a chair. This Review Committee will carry out a detailed investigation and share findings with the wider Client Group and recommend a Group response for final decision. This may range from no action required, written warning, compulsory corrective action with set implementation timeframe for compliance, suspension of certification for a specified period, through to expulsion from the Group Entity. In the case of any question of illegal, unreported, or unregulated fishing, the Member(s) will be suspended from using MSC certification as defined by the UoC until the issue has been resolved. Any Member having a vessel formally listed as IUU will be removed from the Client Group. The management system incorporates or is subject by law to a mechanism for the resolution of legal disputes. SG 60 is met. These mechanisms are transparent and considered to be effective in dealing with most issues and is appropriate to the context of the UoC. SG 80 is met. No evidence has been provided that it has been tested. SG 100 is not met.

Respect for rights The management system has The management system has The management system has a mechanism to generally a mechanism to observe the a mechanism to formally respect the legal rights legal rights created explicitly commit to the legal rights created explicitly or or established by custom of created explicitly or c Guide established by custom of people dependent on fishing established by custom of post people dependent on fishing for food or livelihood in a people dependent on fishing for food or livelihood in a manner consistent with the for food and livelihood in a manner consistent with the objectives of MSC Principles manner consistent with the objectives of MSC Principles 1 and 2. objectives of MSC Principles 1 and 2. 1 and 2. Met? NA NA NA

Rationale

There are no people dependent on fishing for food or livelihood in the Antarctica, so this scoring issue is not scored.

References

CCAMLR annual Fishery Reports. CCAMLR Basic Documents, December 2018. CCAMLR website. https://www.ccamlr.org/en/organisation Constable, A.J. (2011), ‘Lessons from CCAMLR on the implementation of the ecosystem approach to managing fisheries’, Fish and Fisheries 12: 138-151. Convention for the Conservation of Antarctic Marine Living Resources (CAMLR Convention), 1980. Nilsson, J.A., E.A. Fulton, M. Haward, C. Johnson (2016), ‘Consensus management in Antarctica’s high seas –

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Past success and current challenges, Marine Policy 73: 172-180.

Draft scoring range ≥80

More information sought Information gap indicator Has the dispute mechanism been tested CCAMLR or Client group? Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The management system has effective consultation processes that are open to interested and affected parties PI 3.1.2 The roles and responsibilities of organisations and individuals who are involved in the management process are clear and understood by all relevant parties

Scoring Issue SG 60 SG 80 SG 100 Roles and responsibilities Organisations and individuals Organisations and individuals Organisations and individuals involved in the management involved in the management involved in the management process have been identified. process have been identified. process have been identified. a Guide Functions, roles and Functions, roles and Functions, roles and post responsibilities are generally responsibilities are explicitly responsibilities are explicitly understood. defined and well defined and well understood for key areas of understood for all areas of responsibility and interaction. responsibility and interaction. Met? Yes Yes Yes

Rationale

Within CCAMLR, subsidiary bodies and individuals involved in the management process are identified, and their functions, roles, and responsibilities are defined and well understood. For example, the roles and responsibilities of working groups, committees, and the Commission are all clearly defined and articulated in accessible documentation (e.g., terms of reference, available on the CCAMLR website). Similarly, members of the Commission and Scientific Committee representatives are identified with contact details on the CCAMLR website. Working group participants, e.g., for the Working Group on Fish Stock Assessment that provides management advice, are listed in publicly available reports. The management processes associated with the operation of vessels under the control of the client group occur across six countries: Australia, New Zealand, Norway, Spain, United Kingdom and Ukraine. Commission reports list names and contact details of participants from all those countries, thereby establishing points of contact amongst the home nations of the client fishery. The fishery client group is composed Argos Froyanes Limited, Sanford Limited, Talley’s Group Limited, Ervik Havfiske AS, Pesquerias Georgias SL, Australian Longline Pty Ltd, and Taurus Logistics LP. The client group consists of members in New Zealand, Australia and UK, Norway, Spain and the Ukraine with New Zealand (Silvifish Resources Ltd) providing the coordination focus for Client Group, scientific and management activity. Australia: Agencies involved with Australian activities in the Ross Sea include the Australian Antarctic Division (AAD) (Department of the Environment), Australian Fisheries Management Authority (AFMA), Australian Customs and Border Protection Service, and the Department of Foreign Affairs and Trade. Domestic legislation includes provisions relevant to fishing activities in the Ross Sea focusing on fishing specifically (e.g., the Fisheries Management Act and Fisheries Management Regulations) as well as biodiversity more broadly (e.g., the Environmental Protection and Biodiversity Conservation Act). AFMA implements Conservation Measures agreed by CCAMLR. The responsibilities held by AAD and AFMA in relation to CCAMLR are articulated in Administrative Arrangements Orders made by Australia’s Governor General. An Interdepartmental Committee led by AAD and comprising the above agencies together with the Attorney General’s Department, Australian Customs and Border Protection Service and the CCAMLR Consultative Forum (a group of government, industry and eNGOs) consult to develop Australia’s positions at CCAMLR. New Zealand: New Zealand’s activity in the Ross Sea fishery is within the purview of a number of government departments, including the Ministry for Foreign Affairs and Trade (MFAT) (Antarctic Policy Unit), the Ministry for Primary Industries (MPI), and the Department of Conservation. MFAT is responsible for New Zealand’s participation in the Antarctic Treaty System overall. MPI issues the AMLR permit and High Seas Fishing Permits necessary for New Zealand-flagged vessels to fish in the CAMLR Convention area. Science developed and reviewed in New Zealand for this fishery is under the guidance of the Antarctic Working Group, convened by MPI. The remits of all government agencies are clearly defined in relation to the fishery. Agencies meet on an ongoing basis through the year to progress issues related to fisheries management, ensuring a joined-up approach across government. Government also meets with industry and other stakeholders on an ongoing basis, to allow for the discussion of management requirements, concerns and issues. Norway: In Norway, responsibility for fishing activities in CCAMLR waters is held by the Ministry of Industry, Trade and Fisheries and the Directorate of Fisheries. The responsibilities of these agencies include: implementation of national legislation to deliver on CCAMLR Conservation Measures, control and monitoring of Norwegian vessels inside and LR MSC Reduced Reassessment Template 20190419 Page 86 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

outside CCAMLR waters, submitting notifications to CCAMLR of Norway’s intention to fish in CCAMLR waters, and licensing vessels to ensure that CCAMLR and Norwegian domestic requirements are met. Spain: The requirements of CCAMLR relevant to Spanish activities in the Ross Sea are enacted through legislation of the European Union and domestic policy. Overall responsibility for policy relevant to Spain’s participation in CAMLR Convention is held by the Secretariat-General for Fishing (Secretaria General de Pesca) of the Ministry of Agriculture, Food and Environment (Ministerio de Agricultura, Alimentacion y Medio Ambiente). This office is also charged with submitting notifications to CCAMLR for Spanish vessels fishing in the Ross Sea. Other responsibilities of this office in relation to CCAMLR fisheries include vessel registration, licensing, vessel safety, compliance, marine pollution, and fisheries observers. UK: Similar to Spain, the requirements of CCAMLR relevant to UK activities in the Ross Sea are enacted through legislation of the European Union and domestic UK policy. Overall responsibility for management of the UK’s policy in relation to CCAMLR lies with the Polar Regions Unit of the Overseas Territories Directorate (Foreign and Commonwealth Office (FCO)). The FCO submits the required notifications to CCAMLR for fishing in the Ross Sea. Permits for UK vessels fishing in Antarctic waters are granted by the Secretary of State for Foreign and Commonwealth Affairs. The FCO provides written agreement allowing fishing, when it is satisfied that required conditions for fishing will be met. (Conditions include licensing, safety and insurance, compliance with CCAMLR Conservation Measures, etc.). Because the Argos vessels are registered in St. Helena, the Government of St. Helena issues the licence to fish and this licence carries conditions relating to safety and vessel operations. Ukraine: The State Agency of Fisheries of Ukraine (SAFU) is responsible for implementing the CCAMLR Conservation Measures and takes responsibility for competent management as a State Party to the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). All operating companies wanting their Ukraine flagged vessels to fish in the CCAMLR Convention Area must:

Ukrainian law "#222-VIII of March 02, 2015 “On licensing of types of economic activity enables allocation of the license to carry out a certain type of economic activity. This Law regulates relations in the field of licensing of economic activity, establishes a unified licensing procedure, supervision and control in the field of licensing, and liability for violations of the law on licensing of types of economic activity. Law #800 of October 30, 2013, “On fisheries, industrial fisheries and the protection of aquatic biological resources" permits commercial fishing/catch of aquatic biological resources beyond the limits of the Ukrainian jurisdiction. This confirms a legal right of a business entity to operate in waters beyond the limits of Ukrainian jurisdiction with the obligatory observance of the norms determined by international treaties with Ukraine, the legislation of foreign states or international organizations for fisheries management.

Organisations and individuals involved in the management process have been identified. Functions, roles and responsibilities are explicitly defined and well understood for all areas of responsibility and interaction. Therefore, a score of 100 is given.

Consultation processes The management system The management system The management system includes consultation includes consultation includes consultation processes that obtain processes that regularly processes that regularly relevant information from seek and accept relevant seek and accept relevant b Guide the main affected parties, information, including local information, including local post including local knowledge, to knowledge. The management knowledge. The management inform the management system demonstrates system demonstrates system. consideration of the consideration of the information obtained. information and explains how it is used or not used. Met? Yes Yes No

Rationale

CCAMLR: The CCAMLR system operates by consensus-based decision-making on matters of substance (Article XII). All members are able to contribute to discussion and decision-making. At the discretion of members, member delegations often include non-government stakeholders, e.g., representatives from the scientific community, as well as industry and LR MSC Reduced Reassessment Template 20190419 Page 87 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

environmental groups. Members submit papers to meetings (including working group meetings) and discussion on papers, together with any management advice or decisions made, are recorded in publicly-available reports. Observers are able to attend meetings of the Scientific Committee and CCAMLR Commission via invitations extended on approved request, and submit documents for the consideration of those meetings. Observers do not participate in decision-making. Commission meetings and meetings of CCAMLR’s subsidiary bodies occur regularly, on an annual basis, providing for the ongoing receipt and consideration of information from members and stakeholders. Observers participate in some, but not all, working groups. Interaction amongst the states to which the client group vessels are flagged occurs predominantly at CCAMLR meetings. The client group itself primarily interacts electronically. In addition, client group representatives meet on an approximately annual basis. The Client Group employs an independent fisheries consultancy (Silvifish Resources Ltd) to act as a point of contact for the Client Group in respect to Group business including MSC interactions (surveillance meetings, collation of combined Client Group catch and performance data etc.), review and update of Client Group rules, and general Client Group business. Silvifish Resource representatives typically have face-to-face meetings annually with both northern and southern hemisphere Client Group members. The flag states of client group vessels develop their own positions entering into CCAMLR meetings. This is achieved in different ways amongst client group flag states.

• Pass the procedure of registration and licensing; • ensure the high level of Vessel’s safety when operating in the CCAMLR Zone; • prevent marine pollution and ballast water pollution; and LR MSC Reduced Reassessment Template 20190419 Page 88 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

• provide the safety carriage of crew members (including scientific observers).

Ukrainian law "#222-VIII of March 02, 2015 “On licensing of types of economic activity enables allocation of the license to carry out a certain type of economic activity. This Law regulates relations in the field of licensing of economic activity, establishes a unified licensing procedure, supervision and control in the field of licensing, and liability for violations of the law on licensing of types of economic activity. Law #800 of October 30, 2013, “On fisheries, industrial fisheries and the protection of aquatic biological resources" permits commercial fishing/catch of aquatic biological resources beyond the limits of the Ukrainian jurisdiction. This confirms a legal right of a business entity to operate in waters beyond the limits of Ukrainian jurisdiction with the obligatory observance of the norms determined by international treaties with Ukraine, the legislation of foreign states or international organizations for fisheries management.

The management system includes consultation processes that obtain relevant information from the main affected parties, including local knowledge, to inform the management system. SG 60 is met. The processes regularly seek and accept relevant information, and the management system demonstrates consideration of the information obtained. SG 80 is met. However, it is not clear whether stakeholders feel the authorities demonstrate consideration of their input and explain how it is used or not used. At this time, SG 100 is not met.

Participation The consultation process The consultation process provides opportunity for all provides opportunity and Guide interested and affected encouragement for all c parties to be involved. interested and affected post parties to be involved, and facilitates their effective engagement. Met? Yes No

Rationale

As follows from SI 3.1.2b above, the consultation processes provide opportunity for all interested and affected parties to be involved. Commission meetings and meetings of CCAMLR’s subsidiary bodies occur regularly, on an annual basis, providing for the ongoing receipt and consideration of information from members and stakeholders. Meetings are publicly announced, and stakeholders receive formal invitations to take part. There is some evidence of consultation processes in all Client Group countries and this provides opportunities for the participation of a diversity of stakeholders in the management process. However, it is not clear, based on the available information that consultation processes in all countries encourage involvement and facilitate the effective engagement of all interested and affected parties. Hence, the consultation process provides opportunity for all interested and affected parties to be involved. SG 80 is met however it is not clear how the consultation processes provides encouragement and facilitate effective engagement so 100 is not met

References

Australian Fisheries Management Authority. (2014). Submission for Australian export from new and exploratory fisheries in the CCAMLR Ross Sea region. August 2014. Australian Fisheries Management Authority. CCAMLR website https://www.ccamlr.org/en/organisation CCAMLR. Undated. Rules of procedure of the Scientific Committee. CCAMLR. Undated. Rules of procedure of the Commission. Client Group Rules (2019/20) Ross Sea Longline Antarctic toothfish

Draft scoring range ≥80 More information sought

Information gap indicator Do stakeholders feel the authorities demonstrate consideration of their input and explain how it is used or not used?

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Evidence that the consultation processes facilitate effective engagement

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The management policy has clear long-term objectives to guide decision-making that PI 3.1.3 are consistent with MSC Fisheries Standard, and incorporates the precautionary approach

Scoring Issue SG 60 SG 80 SG 100 Objectives Long-term objectives to guide Clear long-term objectives Clear long-term objectives decision-making, consistent that guide decision-making, that guide decision-making, Guide with the MSC Fisheries consistent with MSC consistent with MSC a Standard and the Fisheries Standard and the Fisheries Standard and the post precautionary approach, are precautionary approach are precautionary approach, are implicit within management explicit within management explicit within and required policy. policy. by management policy. Met? Yes Yes Yes

Rationale

All the fisheries under the umbrella of CCAMLR are managed taking into account the precautionary approach, a practice that is totally consistent with the sustainability standard of the MSC. Overarching objectives are clearly stated in Article II of the text of the Convention. According to its Article II, the objective of the CCAMLR Convention is the conservation of Antarctic marine living resources, and any harvesting shall be conducted in accordance with the following three principles of conservation: i) prevention of decrease in the size of any harvested population to levels below those which ensure its stable recruitment; ii) maintenance of the ecological relationships between harvested, dependent and related populations and the restoration of depleted populations; and iii) prevention of changes or minimisation of the risk of changes in the marine ecosystem which are not potentially reversible over two or three decades, taking into account the state of available knowledge of the direct and indirect impact of harvesting, the effect of the introduction of alien species, the effects of associated activities on the marine ecosystem and of the effects of environmental changes, with the aim of making possible the sustained conservation of Antarctic marine living resources.

These requirements equal those of the precautionary approach, as laid out in the FAO Code of Conduct.

The management approach is made operational through a variety of mechanisms, including (but not limited to) harvest management rules, bycatch limits, and conservation measures. For example, the harvest of toothfish in the Ross Sea is managed such that the lower yield of the following two options is implemented: (i) the probability of the spawning biomass dropping below 20% of its median pre-exploitation level, over a 35-year harvesting period, is 10%, or, (ii) the median escapement in the spawning stock biomass over a 35-year period is 50% of the median pre-exploitation level, at the end of the projection period (Constable et al. 2000).

The focus of the Convention text on conservation dictates a precautionary approach to management. Further, the steady development of the fishery through time and ongoing data collection and research provide for feedback into management as new information becomes available. The CCAMLR community reflects on such specific elements of precaution in practice Hanchet et al. (2015).

The Convention text and application of its requirements in practice show that there are clear long-term objectives that guide decision-making, consistent with MSC Principles and Criteria and the precautionary approach, and that these are explicit within and required by management policy. A score of 100 is given.

References

Abrams, P.A. (2014). Synthesis: How precautionary is the policy governing the Ross Sea Antarctic toothfish (Dissostichus mawsoni) fishery? Antarctic Science 26:2-13.

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Constable, A., W. de la Mare, D. Agnew, I. Everson, D. Miller. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. CCAMLR website https://www.ccamlr.org/en/organisation Convention for the Conservation of Antarctic Marine Living Resources (CAMLR Convention), 1980. FAO Code of Conduct for Responsible Fisheries, 1995. Hanchet, S.M., Sainsbury, K., Butterworth, D., Darby, C., Bizikov, V., Rune Godø, O.; Ichii, T., Kock, K-H, López Abellán, L., Vacchi, M. (2015). CCAMLR’s precautionary approach to management of Ross Sea toothfish fishery. Antarctic Science. Antarctic Science, Volume 27, Issue 04, August 2015, pp 333-340

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

Overall Performance Indicator scores added from Client and Peer Review Draft Report

Overall Performance Indicator score

Condition number (if relevant)

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The fishery-specific management system has clear, specific objectives designed to PI 3.2.1 achieve the outcomes expressed by MSC’s Principles 1 and 2

Scoring Issue SG 60 SG 80 SG 100 Objectives Objectives, which are Short and long-term Well defined and measurable broadly consistent with objectives, which are short and long-term achieving the outcomes consistent with achieving the objectives, which are Guide expressed by MSC’s outcomes expressed by demonstrably consistent with a Principles 1 and 2, are MSC’s Principles 1 and 2, are achieving the outcomes post implicit within the fishery- explicit within the fishery- expressed by MSC’s Principles specific management system. specific management system. 1 and 2, are explicit within the fishery-specific management system. Met? Yes Yes Partial

Rationale

The objectives of the fishery are dictated by the management system. Therefore, the overall objective guiding the fishery is that of the CAMLR Convention: “the conservation of Antarctic marine living resources”. For the target species, the long-term objective is also articulated in the CAMLR Convention text (Article 2): “(a) prevention of decrease in the size of any harvested population to levels below those which ensure its stable recruitment. For this purpose its size should not be allowed to fall below a level close to that which ensures the greatest net annual increment”

The short-term objectives of target stock management are articulated by the harvest strategy. This provides for harvest managed such that the lower yield of the following two options is implemented: (i) the probability of the spawning biomass dropping below 20% of its median pre-exploitation level, over a 35-year harvesting period, is 10%, or, (ii) the median escapement in the spawning stock biomass over a 35-year period is 50% of the median pre-exploitation level, at the end of the projection period (Constable et al. 2000).

The fishery has been developed progressively over time, and each year, the catch limits applied may include specific precautionary decisions meant to align the fishery’s approach to harvesting to the broader CCAMLR context, including a precautionary approach.

Ongoing data collection from the fishery, and incorporation of that information base into management approaches, provide evidence that outcomes achieved with these objectives in place are aligned with MSC Principle 1. In relation to the outcomes expressed through Principle 2, the long-term objectives of the fishery, as articulated in the Convention, are in broad alignment with MSC. These are (Article 2): “(b) maintenance of the ecological relationships between harvested, dependent and related populations of Antarctic marine living resources and the restoration of depleted populations to the levels defined in sub-paragraph (a) above; and (c) prevention of changes or minimisation of the risk of changes in the marine ecosystem which are not potentially reversible over two or three decades, taking into account the state of available knowledge of the direct and indirect impact of harvesting, the effect of the introduction of alien species, the effects of associated activities on the marine ecosystem and of the effects of environmental changes, with the aim of making possible the sustained conservation of Antarctic marine living resources.”

Shorter term objectives aligned with Principle 2 are less clearly articulated. For vulnerable marine ecosystems, members are committed to avoiding significant adverse effects caused by bottom fishing activities (Conservation Measure 22-07 (2013)). Mechanisms for defining and protecting VMEs are explicit and performance against this measure can be demonstrated. While not framed as objectives per se, performance against management measures for other non-target species can also be measured, including bycatch limits. Limits for skates, rays, Macrourus spp., and any other bycatch species, are articulated in Conservation Measures 41-09 (2014) and 41-10 (2014). For Whitson’s grenadier (M. whitsoni), a quantitative yield assessment has been undertaken and used as a basis for bycatch limits (Hanchet et al. 200813). For rajids, this has been attempted but has not been successful as yet given data limitations.

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Move-on rules are another component of the bycatch management approach (Conservation Measure 33-03 (2014)), demonstrating an intent to reduce bycatch. While performance against bycatch limits can be demonstrated with data collected from the fishery, limits are not always a biologically-based expression of objectives.

Therefore, the appropriateness of bycatch limits for delivering on the objectives of CCAMLR, and on the outcomes expressed through MSC Principle 2, is not always clear.

Objectives consistent with achieving the outcomes expressed by MSC’s Principles are not only implicit (the SG 60 requirement), but also explicit in the fishery-specific management system. These are both short- and long-term, so SG 80 is met. P1 objectives are well defined and measurable, but this seems to a lesser extent to be the case with P2 objectives. This warrants a partial score on SG 100.

References CCAMLR website https://www.ccamlr.org/en/organisation

Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Hanchet, S.M., Fu, D. and Dunn, A. (2008). Indicative estimates of biomass and yield of Whitson’s grenadier (M. whitsoni) on the continental slope of the Ross Sea in Subareas 88.1 and 88.2. CCAMLR, Hobart. WG-FSA-08/32. Pinkerton, M.H., Maolagain, C. O., Forman, J. and Marriott, P. (2014). Discrimination of two species of grenadier (Gadiformes, Macrouridae), Macrourus whitsoni and M. caml, in the Ross Sea region of the Southern Ocean (CCAMLR Subareas 88.1 and 88.2) on the basis of otolith morphometrics. CCAMLR, Hobart. WG-FSA-14/63.

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The fishery-specific management system includes effective decision-making processes PI 3.2.2 that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery

Scoring Issue SG 60 SG 80 SG 100 Decision-making processes There are some decision- There are established a Guide making processes in place decision-making processes that result in measures and that result in measures and post strategies to achieve the strategies to achieve the fishery-specific objectives. fishery-specific objectives. Met? Yes Yes

Rationale

CCAMLR has well established decision‐making processes. They allow for stakeholder input and clear scientific analysis of the data available within the Commission, Working Groups and Scientific Committee, and they result in conservation measures and fisheries strategies designed to achieve their short‐ and long‐term fishery‐specific objectives. The management decision-making body in CCAMLR is the Commission. This includes the Scientific Committee, and two subsidiary bodies: the Standing Committee on Implementation and Compliance and the Standing Committee on Administration and Finance. The decision-making process undertaken by the Commission (including the Scientific Committee) is informed by management advice provided by its working groups. For example meetings of the CCAMLR Group on Fish Stock Assessment provides the principal decision-making process for the fishery, which results in long-term strategies (harvest control rules for fish stocks and strategies to protect the marine environment from fishing impacts) which are subsequently adopted by the members of the Client group At a national level, government agencies make decisions about fishery activities. Decisions are supported by some level of consultation. For the flag-states of vessels operated by the client group, the main government agencies involved in decision-making processes are:

• Australia: Department of Foreign Affairs and Trade, Australian Antarctic Division (Department for the Environment), Australian Fisheries Management Authority; • New Zealand: Ministry for Foreign Affairs and Trade, Ministry for Primary Industries, Department of Conservation; • Spain: Ministry of Agriculture, Food and Environment; • UK: Overseas Territories Directorate of the Foreign and Commonwealth Office. • Ukraine: The State Agency of Fisheries of Ukraine (SAFU) • At the national level, the decision making processes for the fishery are set out in the Fisheries Legislation, which established the administrative mechanisms for managing and regulating the fishery. These processes result in the setting of an annual TAC, technical restrictions for the fishery, and spatial and temporal constraints on fishing activity that form the strategy for controlling the exploitation rate of the stock in order to achieve the fishery specific objectives

There are decision-making processes in place that result in measures and strategies to achieve the fishery-specific objectives. SG 80 is met

Responsiveness of decision-making processes Decision-making processes Decision-making processes Decision-making processes b respond to serious issues respond to serious and respond to all issues Guide identified in relevant other important issues identified in relevant research, monitoring, identified in relevant research, monitoring, post evaluation and consultation, research, monitoring, evaluation and consultation, in a transparent, timely and evaluation and consultation, in a transparent, timely and adaptive manner and take in a transparent, timely and adaptive manner and take

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some account of the wider adaptive manner and take account of the wider implications of decisions. account of the wider implications of decisions. implications of decisions. Met? Yes Yes No

Rationale

Fisheries‐specific issues identified in relevant research are included in transparent decision‐making processes within the CCAMLR Working Groups and the Scientific Committee, as appropriate. Where and when necessary, modifications are made. Fisheries‐specific issues identified in relevant research are included in transparent decision‐making processes within the CCAMLR Working Groups and the Scientific Committee, as appropriate. Where and when necessary, modifications are made to the monitoring and evaluation of the fisheries (through modifications to the complex data‐recording systems and observer logbooks). A clear example of the well‐functioning responsiveness of the management system is its ability to halt the fishery within a subarea once the subarea’s proportion of the ‘trigger level’ has been caught. The public availability of reports from advisory and decision-making bodies provides transparency in terms of identifying issues, capturing discussions around these issues, and describing decisions and actions taken. Decisions are made in the context of wider implications. For example, catch limits for the target species are developed with reference to an assessment of its ecological role (Constable et al. 2000, Hanchet et al. (2015)). The opportunity for, and application of, adaptive decision-making is apparent given the annual meetings of working groups and the large volume of new information considered annually, together with the similarly regular and frequent consideration of management advice at the Commission level. A range of conservation measures applying to ecosystem management and target retained and bycatch species have been implemented in response to issues identified through research and monitoring. Decision-making processes typically respond to issues in a timely way so SG60 and SG 80 are met. However, this cannot be said to apply to all issues, as would be required to reach a score of 100.

Use of precautionary approach Decision-making processes c Guide use the precautionary post approach and are based on best available information.

Met? Yes

Rationale

The CCAMLR Convention includes a specific requirement (Article IX, 1f) to “formulate, adopt and revise conservation measures on the basis of the best scientific evidence available”. The quality of information presented, e.g., at working group meetings, is reviewed by those in attendance, as an integral part of the development of management advice contributed to decision-making processes. Identification of information needed to improve the basis for decision-making is a specific role of working groups and is described in the terms of reference for those groups. Compliance decision-making is also evidence-based, as described in reports of the Standing Committee on Implementation and Compliance, a subsidiary body of the Commission. There are specific, documented examples of a precautionary approach being applied to the management of this fishery. These include the development of the target stock assessment (e.g., where there was uncertainty in model parameters, values were chosen which would lead to more conservative estimates of biomass and sustainable yields Overall, decision-making processes use the precautionary approach and are based on the precautionary approach and the best available information by national experts working closely together in CCAMLR Working Groups, the Scientific Committee and the Commission. SG 80 is met.

Accountability and transparency of management system and decision-making process Some information on the Information on the fishery’s Formal reporting to all d fishery’s performance and performance and interested stakeholders Guide management action is management action is provides comprehensive post generally available on available on request, and information on the fishery’s request to stakeholders. explanations are provided for performance and any actions or lack of action management actions and LR MSC Reduced Reassessment Template 20190419 Page 96 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

associated with findings and describes how the relevant recommendations management system emerging from research, responded to findings and monitoring, evaluation and relevant recommendations review activity. emerging from research, monitoring, evaluation and review activity. Met? Yes Yes Yes

Rationale

CCAMLR reports and information on the CCAMLR website, describe how the management system responds to findings and relevant recommendations emerging from research, monitoring, evaluation and review activity. The whole CCAMLR process is based on dialogue, stakeholder involvement and extensive reporting. Reporting is very thorough under the CCAMLR management regime. Fishery reports (relating to all fishing activity in 88.1 and 88.2, a subset of which is carried out by the client group) are submitted every year, and these are available publicly online. Fishery reports document the number of vessels participating in the 88.1 and 88.2 fishery, the reported catch by Dissostichus species and weight, estimates of illegal catch, when the fishery was closed, data collected, updates to time series such as toothfish length-frequency distributions, bycatch by species group (Macrourids, rajids, others), VMEs encountered, seabirds and marine mammals captured, etc. (e.g., CCAMLR 2014). Discussion and analysis of fishery performance and management occurs in CCAMLR working groups and the Commission’s subsidiary bodies. This is formally reported in detailed documents publicly available online. Therefore, it is readily available to all stakeholders. A score of 100 is given because formal reporting to all interested stakeholders provides comprehensive information on fishery performance and management actions and describes how the management system responded to findings and relevant recommendations emerging from research, monitoring, evaluation and review activity.

Approach to disputes Although the management The management system or The management system or authority or fishery may be fishery is attempting to fishery acts proactively to subject to continuing court comply in a timely fashion avoid legal disputes or rapidly Guide challenges, it is not indicating with judicial decisions arising implements judicial decisions e a disrespect or defiance of from any legal challenges. arising from legal challenges. post the law by repeatedly violating the same law or regulation necessary for the sustainability for the fishery. Met? Yes Yes Yes

Rationale

Neither CCAMLR nor any of the Client group is subject to continuing court challenges or indicating a disrespect or defiance of the law by repeatedly violating the same law or regulation necessary for the sustainability for the fishery. The management system operates by consensus on substantive matters. This is expected to promote the resolution of challenges by negotiation, prior to legal challenges occurring. In addition, the system has a documented dispute resolution process that provides mechanisms for the settlement of disputes without their escalation to legal challenges. Specifically, dispute resolution is to be attempted by “negotiation, inquiry, mediation, conciliation, arbitration, judicial settlement or other peaceful means”. If unresolved, the dispute may then be referred to the International Court of Justice or to arbitration. The approach to dispute resolution is articulated in the CAMLR Convention (Article XXV). A score of 100 is given, as the management system has mechanisms in place to proactively avoid legal disputes.

References

CCAMLR https://www.ccamlr.org/en/organisation CCAMLR. (2014). Fishery report 2013: Exploratory fishery for Dissostichus spp. In Subareas 88.1 and 88.2. CCAMLR, Hobart. Available at: http://www.ccamlr.org/en/system/files/08%20TOT881%20882_2.pdf.

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Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Hanchet, S.M., Sainsbury, K., Butterworth, D., Darby, C., Bizikov, V., Rune Godø, O.; Ichii, T., Kock, K-H, López Abellán, L., Vacchi, M. (2015). CCAMLR’s precautionary approach to management of Ross Sea toothfish fishery. Antarctic Science. Antarctic Science, Volume 27, Issue 04, August 2015, pp 333-340

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Monitoring, control and surveillance mechanisms ensure the management measures in PI 3.2.3 the fishery are enforced and complied with

Scoring Issue SG 60 SG 80 SG 100 MCS implementation Monitoring, control and A monitoring, control and A comprehensive surveillance mechanisms surveillance system has monitoring, control and exist, and are implemented in been implemented in the surveillance system has been a Guide the fishery and there is a fishery and has demonstrated implemented in the fishery reasonable expectation that an ability to enforce relevant and has demonstrated a post they are effective. management measures, consistent ability to enforce strategies and/or rules. relevant management measures, strategies and/or rules. Met? Yes Yes Yes

Rationale

CCAMLR provides a clear and comprehensive monitoring system and control framework for Antarctic fisheries. There is a well implemented Monitoring, Control and Surveillance (MCS) system operating in the CCAMLR tooth fishery which mainly comprises the VMS system (CM 10-04 (2015)), a scientific observer programme (CM-51-06 (2016)), at sea and port vessel inspections system (CM 10-02 (2016) & 10-03 (2015)), catch and effort data collection and reporting (CM-23-06 (2012)), control over transshipment (CM-10-09 (2011)) and measures to prevent IUU fishing (CM 10-06 (2016); 10-07 (2016) & 10-08 (2017)).Surveillance of CCAMLR fisheries is undertaken by Member States and incorporates the CCAMLR observer scheme.

The CCAMLR’s monitoring, control and surveillance (MCS) regime is implemented in the client fishery and includes the requirement for at least two observers (one of whom is appointed in accordance with the CCAMLR Scheme of International Scientific Observation) to be present on all vessels. In addition, the use of VMS, participation in the Catch Documentation Scheme, and daily and monthly catch effort reporting are compulsory. Information captured through the implementation of these measures is scrutinised by SCIC and the Commission on an annual basis All client group vessels operating have satellite-based VMS allowing for the reporting of their position at all times as required under the vessels flag state, CCAMLR and RFMO obligations. These systems must be capable of being polled by both their respective Flag State and by the CCAMLR Secretariat. Group members must comply with all domestic and RFMO high-seas regulations including CCAMLR Conservation Measures in force at the time of their activity.

Hence, monitoring, control and surveillance mechanisms exist and are implemented in the fishery, and there is a reasonable expectation that they are effective. SG 60 is met. These measures qualify as a system and have demonstrated an ability to enforce relevant management measures, strategies and rules; see SI 3.2.3c below on compliance, SG 80 is met. The system is comprehensive and has demonstrated a consistent ability to enforce regulations. SG 100 is met.

Sanctions Sanctions to deal with non- Sanctions to deal with non- Sanctions to deal with non- b Guide compliance exist and there is compliance exist, are compliance exist, are some evidence that they are consistently applied and consistently applied and post applied. thought to provide effective demonstrably provide deterrence. effective deterrence. Met? Yes Yes Yes

Rationale

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The implementation of sanctions to deal with non‐compliance is an issue for the CCAMLR Member States, either through flag state control, or, coastal state jurisdiction over the Maritime Zone. Sanctions have been imposed by CCAMLR in the past, e.g., on vessels inspected at sea that were violating CCAMLR requirements, and vessels over-catching the target species (Review Panel 2008, SCIC 2011). Work is underway at the Commission level to systematically archive details of instances in which sanctions have been applied. Sanctions may include prosecution, inclusion on any IUU list, or listed by CCAMLR in the annual Provisional CCAMLR Compliance Report. Sanctions have never been imposed nor required on vessels operated by the Client Group. Client Group members are required to notify the Client Group, in a timely and comprehensive manner of any alleged or actual breeches of regulations, Conservation Measures or requirements. The Client Group will establish a Review Committee made up of a single delegated representative from each of the Group Members with one member of that committee elected by them as a chair. This Review Committee will carry out a detailed investigation. Following investigation, the Review Committee will share findings with the wider Client Group and recommend a Group response for final decision. This may range from no action required, written warning, compulsory corrective action with set implementation timeframe for compliance, suspension of certification for a specified period, through to expulsion from the Group Entity. Any member under investigation will retain representation on the Review Committee but will be excluded from voting on the outcome of any such actions taken in response to the issue(s). Hence, sanctions to deal with non-compliance exist and there is evidence that they are applied. SG 60 is met. Sanctions are consistently applied and thought to provide effective deterrence; see SI 3.2.3c below on compliance. SG 80 is met. Sanctions demonstrably provide effective deterrence, and SG 100 is met

Compliance Fishers are generally Some evidence exists to There is a high degree of thought to comply with the demonstrate fishers comply confidence that fishers management system for the with the management system comply with the management c Guide fishery under assessment, under assessment, including, system under assessment, post including, when required, when required, providing including, providing providing information of information of importance to information of importance to importance to the effective the effective management of the effective management of management of the fishery. the fishery. the fishery. Met? Yes Yes Yes

Rationale

The performance of fishers comprising the client group is monitored in several ways. This includes the required deployment of (at least) two observers (one of whom is appointed in accordance with the CCAMLR Scheme of International Scientific Observation), the use of VMS, participation in the Catch Documentation Scheme, and daily and monthly catch effort reporting. Compliance with the requirements in these areas is examined annually and documented in reports of the Commission. In addition, fishery reports provide information on data collected, for example, allowing an examination of how effectively vessels have delivered on the data collection requirements set out in advance of the fishing season, e.g., tagging requirements (CCAMLR 2014). For surveillance audits conducted following the certification of this fishery, each member of the client group provided an annual signed declaration confirming that they had not received any complaints or acquired knowledge of problems relating to their activities, including with respect to meeting the regulatory requirements. (Hough et al. 2014). A score of 100 is given, because there is a high degree of confidence that fishers comply with the management system under assessment, including providing information of importance to the effective management of the fishery.

Systematic non-compliance d Guide There is no evidence of post systematic non-compliance.

Met? Yes

Rationale

Compliance is examined annually, when the Standing Committee on Implementation and Compliance (SCIC) and the Commission convene. In addition, observers deployed on fishing vessels collect information during the fishing season, and monitoring relating to compliance (e.g., using VMS) occurs. Compliance issues are documented in the reports of LR MSC Reduced Reassessment Template 20190419 Page 100 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

SCIC and the Commission, and these reports (e.g., SCIC 2011, 2012) contain no evidence of systematic non-compliance amongst the client group. Further, and specific to the client fishery in the Ross Sea fishery, each member of the client group has produced an annual signed declaration of compliance confirming that they have not received any complaints or acquired knowledge of problems relating to their activities, including with respect to meeting the regulatory requirements As there is no evidence of systematic non-compliance in the fishery, a score of 80 is given.

References

CCAMLR. (2013). Report of the thirty-second meeting of the Commission. 23 October to 1 November 2013. CCAMLR, Hobart. CCAMLR. (2014). Fishery report 2013: Exploratory fishery for Dissostichus spp. In Subareas 88.1 and 88.2. CCAMLR, Hobart. Available at: http://www.ccamlr.org/en/system/files/08%20TOT881%20882_2.pdf. Client Group Rules (2019/20) Ross Sea Longline Antarctic toothfish Hough, A., Akroyd, J. and Medley, P. (2014). Surveillance Report: Ross Sea Toothfish Longline Fishery. Certificate No.: MML-F-087. November 2014. Intertek Fisheries Certification Ltd. Available at: http://www.msc.org/track-a- fishery/fisheries- in-the-program/certified/southern-ocean/ross-sea-toothfish-longline/assessment- downloads- 1/20141216_SR4_TOO100.pdf Review Panel. (2008). CCAMLR Performance Review Panel Report 1 September 2008. Accessed 21 January 2015. Available at: https://www.ccamlr.org/en/system/files/e- Prfrm%20Review%20Report%20Jun09_0.pdf SCIC. (2011). Report of the Standing Committee on Implementation and Compliance. 24 October 2011 to 28 October 2011. CCAMLR, Hobart. SCIC. (2012). Report of the Standing Committee on Implementation and Compliance. 23 October 2012 to 25 October 2012. CCAMLR, Hobart.

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There is a system of monitoring and evaluating the performance of the fishery-specific PI 3.2.4 management system against its objectives There is effective and timely review of the fishery-specific management system

Scoring Issue SG 60 SG 80 SG 100 Evaluation coverage There are mechanisms in There are mechanisms in There are mechanisms in a Guide place to evaluate some parts place to evaluate key parts of place to evaluate all parts of post of the fishery-specific the fishery-specific the fishery-specific management system. management system. management system. Met? Yes Yes Yes

Rationale

CCAMLR: Annual meetings of CCAMLR and its subsidiary and advisory bodies provide a mechanism to review all parts of the management system. This includes target species catch and effort information, bycatch, mitigation measures, conservation measures and compliance, observer deployments, and the performance of Conservation Measures against their intent. Within the broad agenda, the content of meetings is dictated in large part by the submissions of members, in addition to matters raised by the Secretariat, where members raise issues, ad hoc working groups can be formed and/or members can take the lead to work with others who are interested or involved.

Outside CCAMLR, the evaluation approaches of each client-group country include:

Australia: An annual workshop provides the opportunity for managers, policy-makers, scientists, fisheries observers, and industry representatives to meet and share information. Advisory groups (SouthMAC and SARAG) also provide some evaluative function.

New Zealand: The performance of the fishery, together with the associated components of the management system, is evaluated on an ongoing basis. Government agencies with responsibility for fishery management meet with industry three times per year. In addition, the Industry Toothfish Committee meets twice per year. Broader stakeholder meetings provide additional perspectives on the fishery management system. Meetings follow agendas developed case by case, and thereby provide a mechanism for participants to raise any matters of interest or concern.

UK/Spain/Norway/Ukraine: Research needs are identified on an ongoing basis, which requires an evaluation of the information requirements of the fishery. Considering all the above the assessment team deems that there are mechanisms in place to evaluate all parts of the management system. SG 100 is met.

Internal and/or external review The fishery-specific The fishery-specific The fishery-specific Guide management system is management system is management system is b subject to occasional subject to regular internal subject to regular internal post internal review. and occasional external and external review. review. Met? Yes Yes No

Rationale

CCAMLR conducts ongoing internal reviews of its processes and the performance of its Member States to meet the fishery‐specific management requirements outlined. These requirements are reviewed annually (to fit in with the annual fisheries cycle) by the appropriate CCAMLR Working Groups.

CCAMLR was subject to a comprehensive external performance review in 2008, carried out by a panel appointed by the Commission composed of nine persons (see http://www.ccamlr.org/pu/E/revpanrep.htm). The purpose of the

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performance review was to evaluate the Commission ‘s performance against comprehensive criteria and specifically against the objectives and principles set out in Article II of the Convention. A second review was carried out in 2016/2017 by a panel of eight independent experts. The evaluation addressed a wide range of topics and noted good progress in implementing the recommendations from the first review. This second performance review poses 29 recommendations addressing a wide range of topics; many improvements in CCAMLR activities were noted and progress in implementing the recommendations from the first review was evaluated as significant. Individual members of the client group have their own internal reviews conducted by the Government management Agency. The Client Group has a Review Committee made up of a single delegated representative from each of the Group. Members with one member of that committee elected by them as a chair. This Review Committee will carry out a detailed investigation and is empowered to request more specific relevant information from the Member or Members in question to assist this process. This information may include, but is not limited to, information on fishing activities including catch data, position data, observer reports, CoC audit reports, court records, compliance reports, and unloading documents. While external reviews have been conducted, they are not yet regular. Therefore, the requirements of Scoring Guidepost 80 are met, while 100 is not. That is, the fishery-specific management system is subject to regular internal and occasional external reviews.

References

Delegations of New Zealand, Norway, and the United Kingdom. (2014). Medium-term research plan for the Ross Sea toothfish fishery. WG-FSA-14/60. CCAMLR, Hobart. Available at: https://www.niwa.co.nz/sites/niwa.co.nz/files/fsa-14- 60.pdf CCAMLR. (2014). Report of the Thirty-third meeting of the Commission (Hobart, Australia, 20 to 31 October 2014). Preliminary version last updated 18 December 2014. CCAMLR, Hobart. Review Panel. (2008). CCAMLR Performance Review Panel Report 1 September 2008. Accessed 21 January 2015. Available at: https://www.ccamlr.org/en/system/files/e- Prfrm%20Review%20Report%20Jun09_0.pdf Review Panel (2017). Second Performance Review of CCAMLR – Final Report of the Panel (https://www.ccamlr.org/en/document/publications/second-performance-review-ccamlr-%E2%80%93-final-report- panel)

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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Overall Performance Indicator score

Condition number (if relevant)

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6 Appendices 6.1 Assessment information References Abrams, P.A. (2014). Synthesis: How precautionary is the policy governing the Ross Sea Antarctic toothfish (Dissostichus mawsoni) fishery? Antarctic Science 26:2-13. Acoura Marine 2017, 2018; Surveillance Audits. Ross Sea Toothfish Longline Fishery Australian Fisheries Management Authority. (2014). Submission for Australian export from new and exploratory fisheries in the CCAMLR Ross Sea region. August 2014. Australian Fisheries Management Authority. Brooks, C.M.; Andrews, A.H.; Ashford, J.R.; Ramanna, N.; Jones, C.D.; Lundstrom, C.C.; Cailliet, G.M. 2011. Age estimation and lead-radium dating of Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea. Polar Biology 34, 329–338. https://doi.org/10.1007/s00300-010-0883-z Bull, B., R.I.C.C. Francis, A. Dunn, A. McKenzie, D.J. Gilbert, M.H. Smith, R. Bian and D. Fu. 2012. CASAL (C++ algorithmic stock assessment laboratory): CASAL user manual v2.30-2012/03/21. NIWA Technical Report, 135: 280 pp. CCAMLR Annual Fishery Reports. CCAMLR Basic Documents, December 2018. CCAMLR website. https://www.ccamlr.org/en/organisation CCAMLR 37/02 2018. Summary Report of the CCAMLR Independent Stock Assessment Review for Toothfish (Norwich, United Kingdom, 18 to 22 June 2018). SC-CAMLR-XXXVII/02 Rev. 1, 06 September 2018 CCAMLR 38/12 2019. IUU fishing activity and trends in 2018/19 and IUU Vessel Lists. CCAMLR Secretariat. CCAMLR-38/12 Rev. 1. 16 September 2019 CCAMLR conservation measures at https://www.ccamlr.org/en/conservation-and-management/browse-conservation- measures CCAMLR. Undated. Rules of procedure of the Commission CCAMLR. (2014). Fishery report 2013: Exploratory fishery for Dissostichus spp. In Subareas 88.1 and 88.2. CCAMLR, Hobart. Available at: http://www.ccamlr.org/en/system/files/08%20TOT881%20882_2.pdf Client Group Rules (2019/20) Ross Sea Longline Antarctic toothfish CCAMLR. (2014). Fishery report 2013: Exploratory fishery for Dissostichus spp. In Subareas 88.1 and 88.2. CCAMLR, Hobart. Available at: http://www.ccamlr.org/en/system/files/08%20TOT881%20882_2.pdf. CCAMLR VME Registry at: https://www.ccamlr.org/en/document/data/ccamlr-vme-registry CCAMLR-36 2017. Report of the thirty-sixth meeting of the Commission. CCAMLR, Hobart, Australia. CCAMLR-38/BG/17. 02 October 2019. Technical procedure for retrieval and handling of unidentified fishing gear in the Convention Area Choi, H.-K., Jang, J.E., Byeon, S.Y., Chung, S., Choi, S.-G., Kim, H.W., Lee, H.J. 2019. Population structure of the Antarctic toothfish, Dissostichus mawsoni from the Areas 58 and 88 in the Antarctic Ocean based on mitochondrial and microsatellite DNA markers. WG-FSA-2019/36 CM 41-01 2019. Conservation Measure 41-01 (2019) General measures for exploratory fisheries for Dissostichus spp. in the Convention Area in the 2019/20 season. CM 41-09 2019. Conservation Measure 41-09 (2019) Limits on the exploratory fishery for Dissostichus mawsoni in Statistical Subarea 88.1 in the 2019/20 season. CM 41-10 2019. Conservation Measure 41-10 (2019) Limits on the exploratory fishery for Dissostichus mawsoni in Statistical Subarea 88.2 in the 2019/20 season Constable, A., de la Mare, W., Agnew, D., Everson, I. and Miller, D. (2000). Managing fisheries to conserve the Antarctic marine ecosystem: practical implementation of the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR). ICES Journal of Marine Science 57: 778–791. Constable, A.J. (2011), ‘Lessons from CCAMLR on the implementation of the ecosystem approach to managing fisheries’, Fish and Fisheries 12: 138-151. Delegations of New Zealand, Norway, and the United Kingdom. (2014). Medium-term research plan for the Ross Sea toothfish fishery. WG-FSA-14/60. CCAMLR, Hobart. Available at: https://www.niwa.co.nz/sites/niwa.co.nz/files/fsa-14- 60.pdf Devine, J., Parker, S. 2019. Summary of the toothfish fishery and tagging program in the Amundsen Sea region (SSRUs 882C–H) to 2018/19. WG-FSA-2019/12 Devine, J.; Parker, S.J.; Dunn, A. 2019. Characterisation of the Ross Sea region fishery up to 2018-19. WG-FSA- 2019. CCAMLR, Hobart, Australia. Dunn A., Parker, S. 2019. Stock Annex for the stock assessment of Ross Sea region Antarctic toothfish (Dissostichus mawsoni) WG-FSA-2019/09 Dunn, A. 2019a. Assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/08. Dunn, A. 2019b. Diagnostic plots for the assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2018/19. WG-FSA-2019/10 LR MSC Reduced Reassessment Template 20190419 Page 104 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

Eisert, R, M.H. Pinkerton, S.D. Newsome & O.T. Oftendal. 2013. A critical re-examination of the evidence for a possible dependence of Weddell seals (Leptonychotes weddellii) on Antarctic toothfish (Dissosticus mawsoni) in the Ross Sea, Antarctica. CCAMLR WG-EMM-13/28. FAO Code of Conduct for Responsible Fisheries, 1995. Fenaughty, J.M. 2019. Research data collection in CCAMLR longline fisheries for toothfish using electronic monitoring on fishing vessels. WG-FSA-2019/13 Fenaughty, J.M., Cryer, M., Dunn, A. 2018. Research results from the SPRFMO exploratory fishing program for Antarctic toothfish 2016 and 2017. WG-FSA-18/39 Fenaughty, J.M., Parker, S.J. 2014. Quantifying the impacts of ice on demersal longlining; a case study in CCAMLR Subarea 88.1. WG-FSA-14/55 Rev. 1 Fenaughty, J.M., Stevens, D.W., Hanchet, S.M. 2003. Diet of the Antarctic toothfish (Dissostichus mawsoni) from the Ross Sea, Antarctica (CCAMLR Statistical Subarea 88.1). CCAMLR Sci. 10:1–11 Froese, R. Pauly. D. (Ed.) 2014. FishBase. World Wide Web electronic publication. www.fishbase.org (11/2014) Hanchet, S., Mormede, S., Dunn, A. 2013. A characterisation of the toothfish fishery in Subareas 88.1 and 88.2 from 1997–98 to 2012–13. WG-FSA-13/48 Hanchet, S.M. Large, K. Parker, S.J. Mormede, S. Dunn, A. 2018. Proposal to continue the time series of research surveys to monitor abundance of Antarctic toothfish in the southern Ross Sea, 2018–2022. WG-FSA-18/41 Hanchet, S.M., Fu, D. and Dunn, A. (2008). Indicative estimates of biomass and yield of Whitson’s grenadier (M. whitsoni) on the continental slope of the Ross Sea in Subareas 88.1 and 88.2. CCAMLR, Hobart. WG-FSA-08/32. Hanchet, S.M. Rickard, G.J., Fenaughty, J.M., Dunn, A., Williams, M.J. 2008. A hypothetical life cycle for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea Region. CCAMLR Science 15: 35–53 Hanchet, S.M. Rickard, G.J., Fenaughty, J.M., Dunn, A., Williams, M.J. 2008. A hypothetical life cycle for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea Region. CCAMLR Science 15: 35–53 Hanchet, S.M., Sainsbury, K., Butterworth, D., Darby, C., Bizikov, V., Rune Godø, O.; Ichii, T., Kock, K-H, López Abellán, L., Vacchi, M. (2015). CCAMLR’s precautionary approach to management of Ross Sea toothfish fishery. Antarctic Science. Antarctic Science, Volume 27, Issue 04, August 2015, pp 333-340. Horn, P.L. 2002. Age and growth of Patagonian toothfish (Dissostichus eleginoides) and Antarctic toothfish (D. mawsoni) in waters from the subantarctic to the Ross Sea, Antarctica. Fisheries Research 56, 275–287. Horn, P.L.; Sutton, C.P.; DeVries, A.L. 2003. Evidence to support the annual formation of growth zones in otoliths of Antarctic toothfish (Dissostichus mawsoni). CCAMLR Science 10, 125–138. Hough, A., Akroyd, J. and Medley, P. (2014). Surveillance Report: Ross Sea Toothfish Longline Fishery. Certificate No.: MML-F-087. November 2014. Intertek Fisheries Certification Ltd. Available at: http://www.msc.org/track-a- fishery/fisheries- in-the-program/certified/southern-ocean/ross-sea-toothfish-longline/assessment- downloads- 1/20141216_SR4_TOO100.pdf https://fs.fish.govt.nz/Page.aspx?sc=SQU&pk=7 https://www.ccamlr.org/en/science/scientific-committee; https://www.undercurrentnews.com/2019/05/23/peru-raises-giant-squid-quota-to-450000t-for-2019/ Hückstädt LA, McCarthy MD, Koch PL, Costa DP. 2017 What difference does a century make? Shifts in the ecosystem structure of the Ross Sea, Antarctica, as evidenced from a sentinel species, the Weddell seal. Proc. R. Soc. B 284: 20170927. http://dx.doi.org/10.1098/rspb.2017.0927. Kock, K.-H., Barrera-Oro, E., Belchier, M., Collins, M.A., Duhamel, G., Hanchet, S., Pshenichnov, L., Welsford, D. Williams, R. 2012. The Role of Fish as Predators of Krill (Euphausia superba) and Other Pelagic Resources in the Southern Ocean. CCAMLR Science, 19: 115–169 Kuhn, K.L., Gaffney, P.M. 2008. Population subdivision in the Antarctic toothfish (Dissostichus mawsoni) revealed by mitochondrial and nuclear single nucleotide polymorphisms (SNPs). Antarctic Science 20(4): 327-338 Lee, S.R., Choi, S.-G., Chung, S., An, D.H., Kim, H.-W. 2019. Molecular analysis of stomach contents from Antarctic toothfish (Dissostichus mawsoni) collected from Area 58 and 88 from 2016 to 2018. WG-FSA-2019/37 Maschette, D., Wotherspoon, S., Ziegler, P. 2019. Exploration of CPUE standardisation variances in the Ross Sea (Subareas 88.1 and 88.2A South of 70°s) Antarctic toothfish (Dissostichus mawsoni) exploratory longline fishery. WG- SAM-2019/25 Mitchell, R.E. 2014. Ross Sea trophic research review. MRAG report to Ross Sea Client Group. Moody Marine, 2010. Initial Assessment – Ross Sea Toothfish Longline Fishery Moody Marine, 2015. First Re-Assessment – Ross Sea Toothfish Longline Fishery Moore, B., Mormede, S., Parker, S., Dunn, A. 2019. A preliminary model-based approach for estimating natural mortality of Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea Region. WG-SAM-2019/04 Mormede, S. 2014. Calculating effective releases and recaptures for stock assessments based on tag detection and tagging mortality indices. WG-SAM-14/30. CCAMLR, Hobart, Australia, 6 p. Mormede, S. 2017. Assessment models for Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea region to 2016/17. WG-FSA-17/37r1. CCAMLR, Hobart, Australia, 17 p. Mormede, S., Dunn, A., Hanchet, S.M. 2014. A Stock Assessment Model of Antarctic Toothfish (Dissostichus mawsoni) in the Ross Sea Region Incorporating Multi-Year Mark-Recapture Data. CCAMLR Science 21, 39–62.

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Mormede, S., Parker, S. 2018. Progress towards an assessment of Antarctic toothfish (Dissostichus mawsoni) in Subarea 88.2 SSRUs 882C–H for the years 2002/03 to 2017/18 using a two-area model. WG-FSA-18/37 MSC fishery database https://fisheries.msc.org/en/fisheries/ Mugue, N.S., Petrov, A.F., Zelenina, D.A., Gordeev, I.I., Sergeev, A.A. 2014. Low genetic diversity and temporal stability in the Antarctic toothfish (Dissostichus mawsoni) from near-continental seas of Antarctica. CCAMLR Science 21: 0:0 Nilsson, J.A., E.A. Fulton, M. Haward, C. Johnson (2016), ‘Consensus management in Antarctica’s high seas – O’Driscoll, R.L.; Hanchet, S.M.; Miller, B.S. (2012). Can acoustic methods be used to monitor grenadier (Macrouridae) abundance in the Ross Sea region? Journal of Ichthyology 52: 700-708. O’Driscoll, R.L.; Macaulay, G.J. (2003). Descriptive analysis of acoustic data collected during the 2003 exploratory fishery for toothfish in the Ross Sea. WG-FSA-03/28. Parker, S., Di Blasi, D. 2019. Second winter survey for Antarctic toothfish in the northern Ross Sea region. NIWA Report, 22 October 2019 Parker, S., Dunn, A. 2019. Fisheries research within the Ross Sea region Marine Protected Area. WG-SAM-2019/06 Parker, S., Jones, C. 2019. 2019 Ross Sea shelf survey results and notification for research in 2020. WG-SAM- 2019/03 Parker, S.J., Hanchet, S.M., Horn, P.L. 2014. Stock structure of Antarctic toothfish in Statistical Area 88 and implications for assessment and management. WG-SAM-14/26 Parker, Steven J., Sophie Mormede, Arthur L. Devries, Stuart M. Hanchet and Regina Eisert (2016). Have Antarctic toothfish returned to McMurdo Sound? Antarctic Science, Volume 28, Issue 1 February 2016 Phillips, N., Hanchet, S.M., Dunn, A. 2005. Stratification of catch-at-length data using tree based regression: an example using Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea. WG-SAM-05/8 Phillips, N., Hanchet, S.M., Dunn, A. 2005. Stratification of catch-at-length data using tree based regression: an example using Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea. WG-SAM-05/8 Pinkerton, M, J.M. Bradford-Grieve & S.M. Hanchet 2009. A balanced model of the food web of the Ross Sea, Antarctica. CCAMLR WG-EMM-07/24. Pinkerton, M. 2015. Effects of fishing for toothfish in the Ross Sea region. Report to WWF. NIWA, 53pp. Pinkerton, M.H., Maolagain, C. O., Forman, J. and Marriott, P. (2014). Discrimination of two species of grenadier (Gadiformes, Macrouridae), Macrourus whitsoni and M. caml, in the Ross Sea region of the Southern Ocean (CCAMLR Subareas 88.1 and 88.2) on the basis of otolith morphometrics. CCAMLR, Hobart. Review Panel. (2008). CCAMLR Performance Review Panel Report 1 September 2008. Accessed 21 January 2015. Available at: https://www.ccamlr.org/en/system/files/e- Prfrm%20Review%20Report%20Jun09_0.pdf Review Panel (2017). Second Performance Review of CCAMLR – Final Report of the Panel (https://www.ccamlr.org/en/document/publications/second-performance-review-ccamlr-%E2%80%93-final-report- panel) Rickard, G.J.; Roberts, M.J.; Williams, M.J.M.; Dunn, A.; Smith, M.H. (2010). Mean circulation and hydrography in the Ross Sea sector, Southern Ocean: Representation in numerical models. Antarctic Science 22, 533–558. https://doi.org/10.1017/S0954102010000246 SCIC. (2011). Report of the Standing Committee on Implementation and Compliance. 24 October 2011 to 28 October 2011. CCAMLR, Hobart. SCIC. (2012). Report of the Standing Committee on Implementation and Compliance. 23 October 2012 to 25 October 2012. CCAMLR, Hobart. Sharp, B.R. 2010. Updated impact assessment framework to estimate the cumulative footprint and impact on VME taxa of bottom longline fisheries in the CCAMLR area. CCAMLR WG_FSA-10/31 Smith, P.J., C.D. Roberts, A.L. Stewart, M McVeagh & C.D. Struthers 2007. Identification and speciation of Antarctic skates. CCAMLR WG-FSA-07/27. Stevens, D., Di Blasi, D., Parker, S. 2016. Results of the first winter longline survey to the northern Ross Sea region to investigate toothfish reproductive life history. WG-FSA-16/37 WG-FSA-2019/18. 20 September 2019. Gear loss reported by longline fishing vessels for the 2018 and 2019 fishing seasons. WG-SAM-18/09. Notification for scientific research in 2019/20 under CM 24-01: Proposal for a winter longline survey of Antarctic toothfish in the northern region of Subareas 88.1 and 88.2. Delegation of New Zealand.

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Previous assessments This is the second reassessment of this fishery. The same team members have been involved in all assessments of this fishery.

The initial main assessment began in January 2008 and completed (following an objection) in November 2010. This assessment was carried out using a pre-FAM assessment tree. There were eight conditions of certification, all closed prior to the re-assessment.

The first re-assessment of the fishery began in December 2015 and completed in January 2016. There was one condition of certification relating to Principle 1. This condition was closed prior to re-assessment.

Table 13. Summary of previous assessment conditions

Condition PI(s) Year closed Justification

Initial Assessment

Condition 1. Knowledge of Two PIs are relevant to this condition – 1.1.1.2, biology and ecology of the target 2013 1.1.1.2 and 1.3.1.1 these SG80 1.3.1.1 stock requirements are now met. The reduction in uncertainties in the tagging data and increase in the amount of data available for use in the assessment process meant that for the original client group, this PI was rescored Condition 2. Improved stock 1.1.1.6, from 75 to 80. The provision of similar assessment through wider 2012 3A.6.1 data from the new client group members tagging programme means that this PI is confirmed at a score of 80; the absence of multiple fishery indices prevent SG100 from being met, although it is noted that work is underway on pre-recruit surveys. The work of Sharp 2010 and other work in this area provide evidence on the effect of the fishery on habitat within fishing areas. We note the client submission summary of this, that the area available for fishing in the Condition 3. Knowledge of 2.1.1.1, appropriate depth ranges is less than 5% 2013 benthic habitat 2.1.5.3 of Subarea 88.1 and 2.5% of Subarea 88.2 and impacts are assessed even in fished areas to be extremely low with very few areas estimated to have experienced greater than 1% mortality and only one specific area reaching 3.97%. The uncertainties identified at the original assessment have been reduced. Combined with the precautionary harvest strategy, this level of information is Condition 4. Trophic effects 2.1.1.2 2013 considered sufficient to provide a basis for determining the effects of the fishery on general ecosystem structure and function. The SG80 requirement is therefore met. The consequences of current levels of Condition 5. By-catch 2.1.5.2 2011 mortality on the main non-target stock

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(macrourids) has been quantified and overall consequences certainly does not suggest an unacceptable impact. There is a mechanism through CCAMLR to identify and evaluate the appropriateness of closed areas (e.g. Condition 6. Closed areas 3A.7.2 2014 CM 22-06, 22-07, 22-08 and 22-09). Some have been implemented and enforced, others (MPAs) are being considered. Since the previous audit two new members have joined the client group. The new members have provided a summary of the roles of the relevant Condition 7. Management organisations with management 3A.1.1 2012 Responsibilities and Interactions responsibility in the fishery, including key areas of responsibility and interaction. These demonstrate that interactions are effective and operate without serious difficulty. The management system appears fully Condition 8. Management 3A.2.2 2012 compliant with all relevant national Responsibilities and Interactions legislation.

First Re-Assessment

Considering the data limited situation for Condition 1. The assessment this stock, the stock assessment, based should be appropriate for the on CPUE and tagging data from the stock and for the harvest control research blocks, is appropriate for the rule. This requires completion of stock and provides the necessary an appropriate stock assessment information for the current precautionary 1.2.4 2018 for the ASR stock (Sub-Area 88.2 harvest control rule. This has been SSRUs C-H). This should be accepted through WG-FSA review and accepted through WG-FSA used to determine stock status and set review and used to determine catch limits. Therefore, because the stock status and set catch limits assessment and HCR are now consistent, the condition is met.

Small-scale fisheries

Table 14. Small-scale fisheries

Percentage of vessels with length Percentage of fishing activity completed Unit of Assessment (UoA) <15m within 12 nautical miles of shore

Ross Sea Toothfish Longline 0 0

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6.2 Evaluation processes and techniques Site visits Stakeholders can meet with the assessment team onsite in Wellington, New Zealand on Thursday 26th March 2020. All stakeholder comments will be published ahead of the site visit.

The report shall include:

- An itinerary of site visit activities with dates. - A description of site visit activities, including any locations that were inspected. - Names of individuals contacted.

Reference(s): FCP v2.1 Section 7.16

Stakeholder participation

The report shall include:

- Details of people interviewed: local residents, representatives of stakeholder organisations including contacts with any regional MSC representatives. - A description of stakeholder engagement strategy and opportunities available.

Reference(s): FCP v2.1 Section 7.16

Evaluation techniques

The report shall include:

- Justification for how public announcements were developed. - Methodology used, including sample-based means of acquiring a working knowledge of the management operation and sea base. - Details of the scoring process e.g. group consensus process. - The decision rule for reaching the final recommendation e.g. aggregate principle-level scores above 80.

If the RBF was used for this assessment, the report shall include:

- The justification for using the RBF, which can be copied from previous RBF announcements, and stakeholder comments on its use. - The RBF stakeholder consultation strategy to ensure effective participation from a range of stakeholders including any participatory tools used. - A summary of the information obtained from the stakeholder meetings including the range of opinions. - The full list of activities and components that have been discussed or evaluated in the assessment, regardless of the final risk-based outcome.

The stakeholder input should be reported in the stakeholder input appendix and incorporated in the rationales directly in the scoring tables.

Reference(s): FCP v2.1 Section 7.16, FCP v2.1 Annex PF Section PF2.1

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6.3 Peer Review reports To be drafted at Public Comment Draft Report The report shall include unattributed reports of the Peer Reviewers in full using the relevant templates. The report shall include explicit responses of the team that include:

- Identification of specifically what (if any) changes to scoring, rationales, or conditions have been made; and, - A substantiated justification for not making changes where peer reviewers suggest changes, but the team disagrees.

Reference(s): FCP v2.1 Section 7.14

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6.4 Stakeholder input Client Group Rules

Client Group Rules Pertaining to the Client Group Members Operating under the Marine Stewardship Council’s requirements for the MSC certified Ross Sea Longline Antarctic toothfish Fishery (Dissostichus mawsoni) December 2019 to November 2020 Page 2 of 13

Contents Introduction ...... 3 1. Client Group Decisions...... 3 2. Applications to join the Client Group ...... 4 3. Information required from existing Group Members...... 5 4. Year-round Satellite VMS recording ...... 6 5. Compliance ...... 6 6. Client Group Review Committee ...... 7 7. Communications and annual requirements...... 8 8. Limitation of Unload Ports ...... 8 9. Product and species separation for vessels fishing in multiple CCAMLR Subareas...... 9 10. Chain of Custody Requirements ...... 9 11. Client Group Funding ...... 9 12. Minimum Standards Required for the UoC ...... 11 13. Members of the Client Group ...... 12 December 2019 to November 2020 Page 3 of 13

Introduction This document lists the rules for Members operating in the 'Unit of Assessment'1 (UoA) defining the MSC Ross Sea Antarctic toothfish fishery. The terms ‘Group Members’, Members, Client Group, or Ross Sea Toothfish Client Group (RSTCG) are used in this document to define individual or collective Members in this UoA. 1 See section 13 for definition The prime objective of these rules is to set clear expectations of what is required from Group Members operating in this certified fishery under the MSC Fisheries Standard and operating in compliance with the MSC Chain of Custody Standard for traceability. The document additionally specifies the process and requirements for new members wishing to be part of this UoA. Joining the Group is subject to conditions listed herein and to the approval of existing members. The minimum professional standards required by the RSTCG as a condition of membership are detailed. These rules apply to all members. Continuing membership is conditional on maintaining Group standards such that no member by any action, or lack of action, will allow the Client Group to come into disrepute; that is, harms the interests, reputation and good standing of the RSTCG and of the Certification attained by the UoA. Additionally, noting that this fishery is managed by the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR), that the standards of the CCAMLR managed fishery are upheld at all times. Acknowledging constraints in the ability of the Client Group to directly participate in CCAMLR processes and decision making, these standards are non-the-less intended to meet the requirements of the MSC

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fishery certification and facilitate certification renewal. They are intended to be reviewed and updated annually to best meet all objectives and outcomes listed above. These rules will be reviewed annually with any proposed changes submitted to the RSTCG for consideration by 1 October and an agreed version to come into effect by midnight November 14.

1. Client Group Decisions. Client Group decision making is based on Majority rule unless specifically stated otherwise in these rules; being that decision rule that selects alternatives which have a majority, that is, more than half the votes. December 2019 to November 2020 Page 4 of 13

A Chairman will be appointed by the Client Group members, for each annual meeting of the Client Group (normally held during the main CCAMLR meetings in Hobart). The Chairman will have a casting vote. Each Member of the group has a single vote which is independent of the number of vessels managed or controlled by that member.

2. Applications to join the Client Group Any interested party wishing to join the Client Group will have their application considered formally during the “Annual Application and Processing Period” (AAPP). The AAPP opens on the first day of September and closes on last day of November each year. During the AAPP the following processes will occur: • • By 1 August each year2: The applicant must provide all initial information required on the Ross Sea Toothfish Unit of Certification (RSTUoC) proforma, as well as the information listed below in the section ‘Information Required’. This provision is required to enable an effective assessment of the application; in particular, in matching the standards and requirements of the Group. This information shall be provided in written form and with an accompanying accurate English translation if required to facilitate UoC Member understanding and decision making.

2 All times and dates in UTC. • • From 1 October each year: The Client Group will review the material provided by the applicant and reserves the right to seek additional information if required to inform a decision. As part of due diligence by the UoC such information must include any potential or pending action by any managing organisation including, but not limited to, RFMOs, CCAMLR, or the State to which the vessel is flagged. The applicant will need to provide this in a timely manner to progress the application.

• • By 7 November each year: The Client Group will consider the application, additionally considering outcomes from the annual CCAMLR meetings, any changes to the requirements and management of the fishery, and any additional MSC requirements. The application and supporting information will be circulated to all members of the Client Group and the decision to allow an applicant to the Client Group will be taken by a majority decision

• • By 14 November each year: the applicant will be notified of the Client Group decision. An approval will enable the applicant to use the MSC label from 1 December of that current season.

Information required December 2019 to November 2020 Page 5 of 13

• • Documented experience with vessel operations and management. Including any experience in fishing within the Exclusive Economic Zones (EEZs) of any state and any high-seas fishing operations whether under the control of a Regional Fisheries Management Organisation (RFMO) or not. • • Full and transparent disclosure of beneficial ownership and company structures as specified in Section 3. Note that the information supplied will be subject to any auditing that the existing Group Members request. • • Evidence demonstrating that the applicant has a full understanding of, and/or documented effective involvement with MSC Chain of Custody (CoC) requirements in other fisheries. The application

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would additionally benefit by the applicant demonstrating an understanding of CCAMLR and of CCAMLR management principles and details of any marine or fishing research activities the applicant has previously been involved with. • • Full and frank disclosure of any historical or currently pending breaches of fisheries or maritime law in any international or domestic fishery. This information to include an account of any current investigation and the reporting any such issue pending investigation Including full disclosure of breaches by parent and associate companies as well as the beneficial owners. • • Documents listing the names and experience of key crew members to be used in the first season if the application is approved; including but not limited to fishing master(s), captain(s), and chief engineer(s). • • Documentation to include a comprehensive vessel general arrangement plan, current ice-class certification, maximum daily processing tonnage, fish-hold capacities, and a current flag state safety certificate. • • If a new entrant to the Client Group does not belong to the Flag State of an existing Client Group Member; that new Member must provide a full description of the domestic fishery management framework operating within their Flag State, an evaluation of the degree to which that new Member is consistent with that legislation, and how that domestic legislation facilitates involvement with CCAMLR. • • The Client Group expects that all Members’ vessels operating within the RSTUoC are fitted with Electronic Monitoring systems meeting at the least the minimum standards specified under paragraph 12. Pending discussion at the 2020 meeting this requirement may become mandatory. Any new entrant applicants must provide details indicating that they can meet this requirement in their applications

3. Information required from existing Group Members. In the interests of complete transparency all Members are required to supply complete written documentation detailing corporate structure and a full listing of all beneficial ownership. That is, the details of all beneficial owners and of any other entities that are obtaining any beneficial interest from the activities of that Member’s activities pursuant to their fishing operations. December 2019 to November 2020 Page 6 of 13

Should there be any change in circumstances in respect to shareholdings or beneficial interests as defined below the Member Group must advise the other members within one month and fully update the required information before 30 November of the calendar year in which the change has occurred. This information is to be kept on file for review by any Group Member or the Certification Body. The information provided is must include, but is not restricted to, the following: • • The names and the registered offices of all companies and parties involved in the operation, including, but not limited to, owners, operators, and charterers of the vessels used, and the holders of flag state permits to fish in those areas managed by CCAMLR as designated under the CAMLR Convention.

• • The names and addresses of all the individual owners or shareholders in the companies, parent companies, or beneficial interest equities if they personally hold 10% or more of the voting securities and investment power. The justification for this is that anybody with a shareholding of 10% or more may possess a level of beneficial interest or ownership that would enable that party to manipulate the overall transparency of the entity. This applies to any public / private multi-shareholding companies or structures.

• • The listing of beneficial ownership and interests must be complete at all levels of the ownership tree right up to the top branch of all parent entities where the ownership of all individuals in the various levels of the parent entities is 10% or greater.

4. Year-round Satellite VMS recording All Group members will have satellite-based VMS on all fishing vessels allowing for the reporting of their position at all times as required under the vessels flag state, CCAMLR and RFMO obligations. These systems must be capable of being polled by both their respective Flag State and by the CCAMLR Secretariat. LR MSC Reduced Reassessment Template 20190419 Page 113 of 120 www.lr.org LR Announcement Comment Draft Report Ross Sea Toothfish Longline

5. Compliance Group members will comply with all domestic and RFMO high-seas regulations including CCAMLR Conservation Measures in force at the time of their activity. Group members are required to notify the RSTCG in a timely and comprehensive manner of any alleged or actual breaches of regulations, Conservation Measures or requirements in longline toothfish fisheries where the alleged or actual breach is likely to be evaluated for compliance by any relevant RFMO, CCAMLR, or Flag State; and the December 2019 to November 2020 Page 7 of 13 breach is as serious to warrant prosecution, inclusion on any IUU list, or listed by CCAMLR in the annual Provisional CCAMLR Compliance Report3. 3 CCAMLR Conservation Measure10-10 - CCAMLR Compliance Evaluation Procedure. Section 3. Such information is to remain internal and confidential to the Client Group. Any such alleged or actual breaches will be reviewed by Client Group Members to assess the seriousness of the issue and decide whether any further action is required to be taken by the Client Group as defined under Paragraph 6.

6. Client Group Review Committee Should the Client Group decide by decision taken as defined in Paragraph 1 that an alleged or actual breach as defined in paragraph 5 requires an additional response, the Client Group will establish a Review Committee made up of a single delegated representative from each of the Group Members with one member of that committee elected by them as a chair. This Review Committee will carry out a detailed investigation and is empowered to request more specific relevant information from the Member or Members in question to assist this process. This information may include, but is not limited to, information on fishing activities including catch data, position data, observer reports, CoC audit reports, court records, compliance reports, and unloading documents. This information may include an independent audit by a nominated third party using the vessel’s electronic monitoring EM records. The Review Committee will impartially investigate any issues arising; with particular regard to the integrity and credibility of the Client Group. Following investigation, the Review Committee will share findings with the wider Client Group and recommend a Group response for final decision. This may range from no action required, written warning, compulsory corrective action with set implementation timeframe for compliance, suspension of certification for a specified period, through to expulsion from the Group Entity. Any member under investigation will retain representation on the Review Committee but will be excluded from voting on the outcome of any such actions taken in response to the issue(s). In the case of any question of illegal, unreported, or unregulated fishing in longline toothfish fisheries the Member(s) will be suspended from using MSC certification as defined by the UoA until the issue has been resolved. Resolution will include, but is not limited to, the findings of the relevant RFMO, of CCAMLR, or in the case of a domestic fishery the relevant court or agency. Any Member having a vessel formally listed as IUU will be removed from the Client Group. December 2019 to November 2020 Page 8 of 13

Any Member of the Client Group, including a Member under investigation, has the right to request arbitration by a suitable third party to ensure a fair, timely, and appropriate resolution. Where possible all steps must be taken to determine and appoint the arbitrator by consensus decision by all Group Entity members. Should this prove impossible a majority view will be accepted.

7. Communications and annual requirements. Noting the wide geographical spread of Members communications may be carried out using a range of communication methods. Unless better options are available communications will be written and transmitted by email. No response from any Member in respect to an issue will be taken as general agreement with the wider Group response for that issue. Members are requested to update contact details with Group Membership as required to ensure full participation. The following tasks are required to be carried out annually. • • Determine joining fees for new applicants to the Group. (by 1 August)

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• • Set a schedule of annual fees and Member levies to cover the Group Entity costs in relation to the management of the Group, annual reviews, administration, and on-going certification costs. (By 14 November)

• • Provide seasonal catch data on target and by-catch species, provide a written compliance declaration, and supply any other requested information required to carry out either the annual MSC Surveillance audit or for recertification (in those years). This information is currently requested, collated, and presented for MSC use as aggregate figures by Silvifish Resources Ltd (SRL) in their role as Client Group coordinators to maintain confidentiality for individual Members. (By 1 August).

• • Client Group Rules - review and update these rules. (By 14 November)

8. Limitation of Unload Ports Client Group members are to unload at the following countries only: • • New Zealand • • Australia • • South Africa • • South Georgia / Falkland Islands • • Montevideo, Uruguay • • Punta Arenas, Chile • • Walvis Bay, Namibia • • Réunion

This list may be extended after consideration and approval by the Client Group. December 2019 to November 2020 Page 9 of 13

9. Product and species separation for vessels fishing in multiple CCAMLR Subareas. Group Members will ensure that their vessels will physically separate product caught from each area in the hold by means such as pound boards and covers. Vessels will use methods such as time stamped photographs and independent observer evidence to verify stowage and appropriate segregation during a trip. Any Patagonian toothfish Dissostichus eleginoides caught will be marked for ease of identification and stowed separately from the target MSC species Antarctic toothfish Dissostichus mawsoni.

10. Chain of Custody Requirements Group Members must follow all Chain of Custody (CoC) principles and requirements to ensure that the CoC is maintained through to the point where any fish product has reached its target destination; under either the MSC fishery management regime or to the end-customer under the logo’s right of use requirements.

11. Client Group Funding Once accepted into this Group Entity, all participants agree to provide payment as specified in this section. a). Annual Expenditure Where possible, annual budgets will be set to cover planned expenditure. Costs covered by Group Entity members are (but not limited to); • • Certification Body annual audit fees. • • Group Entity Member’s work undertaken to meet the annual surveillance requirements and review of certification conditions. • • General education / development of the MSC fishery. • • Participation at science forums.

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• • Liaison with stakeholders. • • Engagement of project management services to undertake the work required to maintain certification and complete the Group Action Plan. • • Any Group-approved Scientific projects and/or specific research activities undertaken

Funding to cover the expenses of ongoing fishery certification is to be paid as costs occur, in a proportion basis outlined below. All outstanding amounts for the previous 12 months are to be paid in full by each entity member by 20 December each year. December 2019 to November 2020 Page 10 of 13

The portion of yearly expenditure attributed to each Group Entity member will be based on a proportional “vessel participation” basis. Participation will be determined by the number of vessels operated by each member that have, or intend to, operate in either CCAMLR Sub area 88.1 or 88.2. As an example: Group Entity No. of Vessels % of Yearly MSC costs Incurred Participating Member 1 3 50% Member 2 2 33% Member 3 1 17% Total 6 100%

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6.5 Conditions – delete if not applicable To be drafted from Client and Peer Review Draft Report The report shall document all conditions in separate tables. The CAB shall include rationale for exceptional circumstances in the summary of conditions in the Client and Peer Review Draft Report and all subsequent reports.

For reassessments, the CAB shall note:

- If and how any of the new conditions relate to previous conditions raised in the previous assessment or surveillance audits. - If and why any conditions that were raised and then closed in the previous assessment are being raised again in the reassessment. - If any conditions are carried over from a previous assessment, including an explanation of: - Which conditions are still open and being carried over. - Why those conditions are still open and being carried over. - Progress made in the previous assessment against these conditions. - Why recertification is being recommended despite outstanding conditions from the previous assessment. - If any previous conditions were closed after the 4th Surveillance Audit and reassessment site visit (i.e. in Year 5), including the rationale for re-scoring and closing out of the condition.

Reference(s): FCP v2.1 Section 7.18

Table X – Condition 1

Performance Indicator

Score State score for Performance Indicator

Cross reference to page number containing scoring template table or copy justification text Justification here. If condition relates to a previous condition or one raised and closed in the previous assessment include information required here

Condition State condition

Milestones State milestones and resulting scores where applicable

Consultation on Include details of any verification required to meet requirements in FCP v2.1 7.19.8 condition

6.6 Client Action Plan To be added from Public Comment Draft Report The report shall include the Client Action Plan from the fishery client to address conditions.

Reference(s): FCP v2.1 Section 7.19

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6.7 Surveillance To be drafted from Client and Peer Review Draft Report The report shall include the program for surveillance, timing of surveillance audits and a supporting rationale.

Reference(s): FCP v2.1 Section 7.28

Table X– Fishery surveillance program

Surveillance level Year 1 Year 2 Year 3 Year 4

e.g. On-site e.g. On-site e.g. On-site e.g. On-site surveillance audit & e.g. Level 5 surveillance audit surveillance audit surveillance audit re-certification site visit

Table X – Timing of surveillance audit

Proposed date of surveillance Year Anniversary date of certificate Rationale audit e.g. Scientific advice to be released in June 2018, proposal to postpone e.g. 1 e.g. May 2018 e.g. July 2018 audit to include findings of scientific advice

Table X – Surveillance level rationale

Year Surveillance activity Number of auditors Rationale

e.g. From client action plan it can be deduced that information needed to verify progress towards conditions 1.2.1, 2.2.3 and 3.2.3 can be provided remotely in year 3. Considering that milestones indicate that most e.g. 1 auditor on-site with e.g.3 e.g. On-site audit conditions will be closed out in year 3, remote support from 1 auditor the CAB proposes to have an on-site audit with 1 auditor on-site with remote support – this is to ensure that all information is collected and because the information can be provided remotely.

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6.8 Harmonised fishery assessments There are no overlapping fisheries.

6.9 Objection Procedure – delete if not applicable To be added at Public Certification Report stage The report shall include all written decisions arising from a ‘Notice of Objection’, if received and accepted by the Independent Adjudicator.

Reference(s): FCP v2.1 Annex PD

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7 Template information and copyright This document was drafted using the ‘MSC Reduced Reassessment Reporting Template v2.1’.

The Marine Stewardship Council’s ‘MSC Reduced Reassessment Reporting Template v2.1’ and its content is copyright of “Marine Stewardship Council” - © “Marine Stewardship Council” 2019. All rights reserved.

Template version control

Version Date of publication Description of amendment

1.0 08 October 2014 Date of first release

Appendix 1.1 & 1.2 – amendments made in line with April 2015 1.0 Erratum 8 April 2015 release of FCR v2.0 erratum

2.0 17 December 2018 Release alongside Fisheries Certification Process v2.1

2.1 29 March 2019 Minor document changes for usability

A controlled document list of MSC program documents is available on the MSC website (msc.org)

Senior Policy Manager Marine Stewardship Council Marine House 1 Snow Hill London EC1A 2DH United Kingdom

Phone: + 44 (0) 20 7246 8900 Fax: + 44 (0) 20 7246 8901 Email: [email protected]

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