(Walleye) Pollock Mid-Water Trawl

Marine Stewardship Council fisheries assessments

UCSL – United Certification Systems Limited

Office 003, Pamelva Court,

1 Anastasi Shoukri Street, 3035, Limassol, Cyprus

Mobile phone: +7-960-242-4845

Website: https://ucsl.eu/ FSA East Sakhalin Walleye pollock mid-water trawl

Photo obtained from the client Photo (photo of the press service of LLC "Russian Fishing Company" for the agency "Fishnews")

Announcement Comment Draft Report

Conformity Assessment Body (CAB) UCSL United Certification Systems Limited

Assessment team Dr. Vineetha Aravind, Dr. Johanna Pierre, Dr. Geir Hønneland

Fishery client Fishery Shipowners Association (FSA) (Russian Federation)

Assessment type Initial Assessment

Date July 2021 UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

1 Contents

1 Contents ...... 2 Table of Tables ...... 5 Table of Figures ...... 6 2 Glossary ...... 7 List of symbols and reference points ...... 9 3 Executive summary ...... 10 4 Report details ...... 12 4.1 Authorship and peer review details ...... 12 4.2 Version details ...... 13 5 Unit(s) of Assessment and Unit(s) of Certification and results overview ...... 14 5.1 Unit(s) of Assessment and Unit(s) of Certification ...... 14 5.1.1 Unit(s) of Assessment ...... 14 5.1.1 Unit(s) of Certification ...... 15 5.1.2 Scope of assessment in relation to enhanced or introduced fisheries – delete if not applicable ...... 16 5.2 Assessment results overview ...... 16 5.2.1 Determination, formal conclusion and agreement ...... 16 5.2.2 Principle level scores ...... 16 5.2.3 Summary of conditions ...... 16 5.2.4 Recommendations ...... 17 6 Traceability and eligibility ...... 18 6.1 Eligibility date ...... 18 6.2 Traceability within the fishery ...... 18 6.3 Eligibility to enter further chains of custody ...... 19 7 Scoring ...... 20 7.1 Summary of Performance Indicator level scores ...... 20 7.2 Principle 1 ...... 21 7.2.1 Principle 1 background ...... 21 7.2.1.1 Distribution and stock structure ...... 21 7.2.1.2 Stock assessment ...... 24 7.2.1.3 Stock status ...... 25 7.2.1.4 Reference points ...... 26 7.2.1.5 Harvest control rule ...... 28 7.2.2 Principle 1 Performance Indicator scores and rationales ...... 29 PI 1.1.1 – Stock status ...... 29 PI 1.1.2 – Stock rebuilding ...... 31

MSC FCP 2.2, Reporting Template v1.2. Page 2 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.2.1 – Harvest strategy ...... 32 PI 1.2.2 – Harvest control rules and tools ...... 35 PI 1.2.3 – Information and monitoring ...... 37 PI 1.2.4 – Assessment of stock status ...... 39 7.2.3 Principle 1 references ...... 42 7.2.4 Catch profiles ...... 43 7.3 Principle 2 ...... 44 7.3.1 Principle 2 background ...... 44 7.3.1.1 Overview of the aquatic ecosystem ...... 44 7.3.1.2 Primary and Secondary Species ...... 44 7.3.1.3 Endangered, Threatened and Protected Species ...... 47 7.3.1.4 Habitats ...... 49 7.3.1.5 Cumulative impacts ...... 50 7.3.2 Principle 2 Performance Indicator scores and rationales ...... 52 PI 2.1.1 – Primary species outcome ...... 52 PI 2.1.2 – Primary species management strategy ...... 54 PI 2.1.3 – Primary species information ...... 57 PI 2.2.1 – Secondary species outcome ...... 59 PI 2.2.2 – Secondary species management strategy ...... 61 PI 2.2.3 – Secondary species information ...... 64 PI 2.3.1 – ETP species outcome ...... 66 PI 2.3.2 – ETP species management strategy ...... 68 PI 2.3.3 – ETP species information ...... 72 PI 2.4.1 – Habitats outcome ...... 74 PI 2.4.2 – Habitats management strategy ...... 76 PI 2.4.3 – Habitats information ...... 78 PI 2.5.1 – Ecosystem outcome ...... 80 PI 2.5.2 – Ecosystem management strategy ...... 81 PI 2.5.3 – Ecosystem information ...... 83 7.3.3 Principle 2 references ...... 86 7.4 Principle 3 ...... 87 7.4.1 Principle 3 background ...... 87 7.4.1.1 Jurisdiction ...... 87 7.4.1.2 Management set-up and legislation ...... 87 7.4.1.3 Objectives ...... 89 7.4.1.4 Consultation mechanisms ...... 89 7.4.1.5 Enforcement, sanctions and compliance ...... 90 7.4.1.6 Review of the management system ...... 93 7.4.2 Principle 3 Performance Indicator scores and rationales ...... 95

MSC FCP 2.2, Reporting Template v1.2. Page 3 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 3.1.1 – Legal and/or customary framework ...... 95 PI 3.1.2 – Consultation, roles and responsibilities ...... 99 PI 3.1.3 – Long term objectives ...... 103 PI 3.2.1 – Fishery-specific objectives ...... 105 PI 3.2.2 – Decision-making processes ...... 107 PI 3.2.3 – Compliance and enforcement ...... 111 PI 3.2.4 – Monitoring and management performance evaluation ...... 115 7.4.3 Principle 3 references ...... 118 8 Appendices ...... 119 8.1 Assessment information ...... 119 8.1.1 Small-scale fisheries ...... 119 8.2 Evaluation processes and techniques ...... 120 8.2.1 Site visits ...... 120 8.2.2 Stakeholder participation ...... 120 8.2.3 Evaluation techniques ...... 120 8.3 Peer Review reports ...... 121 8.4 Stakeholder input ...... 122 8.5 Conditions – delete if not applicable ...... 123 8.5.1 Conditions – delete if not applicable ...... 123 8.6 Client Action Plan ...... 124 8.7 Surveillance ...... 125 8.8 Risk-Based Framework outputs – delete if not applicable ...... 126 8.8.1 Consequence Analysis (CA) ...... 126 8.8.2 Productivity Susceptibility Analysis (PSA) ...... 127 8.8.3 Consequence Spatial Analysis (CSA) ...... 129 8.8.4 Scale Intensity Consequence Analysis (SICA) ...... 130 8.9 Harmonised fishery assessments – delete if not applicable ...... 131 8.10 Objection Procedure – delete if not applicable ...... 133 8.11 UoA company and vessel list ...... 134 9 Corporate branding...... 135 10 Template information and copyright ...... 136

MSC FCP 2.2, Reporting Template v1.2. Page 4 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Table of Tables

TABLE 1 – FISHERIES PROGRAM DOCUMENTS VERSIONS ...... 13

TABLE 2 – UNIT(S) OF ASSESSMENT (UOA) ...... 14

TABLE 3 – UNIT(S) OF CERTIFICATION (UOC) ...... 15

TABLE 4 – PRINCIPLE LEVEL SCORES ...... 16

TABLE 5 – SUMMARY OF CONDITIONS ...... 17

TABLE 6 – TRACEABILITY INFORMATION ...... 18

TABLE 7 – DRAFT PERFORMANCE INDICATOR SCORES (AT ACDR) ...... 20

TABLE 8 – BIOLOGICAL REFERENCE POINTS FOR POLLOCK OF EAST SAKHALIN SUBZONE...... 27

TABLE 9 – TOTAL ALLOWABLE CATCH (TAC) AND CATCH DATA – EAST SAKHALIN SUBZONE ...... 43

TABLE 10 – TOTAL ALLOWABLE CATCH (TAC) AND CATCH DATA – EAST SAKHALIN BY COMPANIES OF FSA ...... 43

TABLE 12. UOA CATCH INFORMATION (T) COLLECTED THROUGH THE COMMERCIAL (INDUSTRIAL) SYSTEM OF MONITORING, BASED ON VESSEL DAILY REPORTS OF LANDED CATCH IN THE EAST SAKHALIN SUBZONE (2016-2020). CATCH VOLUMES SHOWING AS 0.0 T ARE NON-ZERO, BUT LESS THAN 10 KG. (SOURCE: FISHERY CLIENT)...... 46

TABLE 13 – ETP AND OUT-OF-SCOPE SPECIES REPORTED TO INTERACT WITH SEA OF OKHOTSK POLLOCK MIDWATER TRAWL FISHERIES. CLASSIFICATIONS BY THE INTERNATIONAL UNION FOR THE CONSERVATION OF NATURE AND NATURAL RESOURCES (IUCN) AND THE RED DATA BOOK OF THE RUSSIAN FEDERATION (RRDB) ARE SHOWN. ACAP IS THE AGREEMENT ON THE CONSERVATION OF ALBATROSSES AND PETRELS. (SOURCES INCLUDE REFERENCES THEREIN)...... 48

TABLE 14 – OBSERVED SEABIRD AND MARINE MAMMAL ENCOUNTERS IN THE SOO MIDWATER TRAWL POLLOCK FISHERY BASED ON TINRO DATA AND PRESENTED IN SIEBEN ET AL. (2021). NOTE THAT BOTH OUT-OF-SCOPE SECONDARY MAIN SPECIES AND ETP SPECIES ARE SHOWN...... 49

TABLE 15 – SCORING ELEMENTS IDENTIFIED FOR THIS ANNOUNCEMENT COMMENT DRAFT REPORT. NOTE THAT SPECIES IDENTIFIED AND/OR THEIR CATEGORISATION REQUIRE CONFIRMATION AT THE SITE VISIT. ADDITIONAL PRIMARY, SECONDARY AND ETP SPECIES MAY ALSO BE ADDED AS SCORING ELEMENTS. NOTE THAT “DATA-DEFICIENT” IN THIS CONTEXT INDICATES THE POTENTIAL REQUIREMENT OF THE MSC RISK BASED FRAMEWORK TO ASSESS OUTCOME PERFORMANCE INDICATORS. TBC = TO BE CONFIRMED (AT OR BEFORE THE SITE VISIT)...... 50

TABLE 16 – SANCTIONS PRESCRIBED IN RUSSIAN LAW FOR DIFFERENT TYPES OF FISHERY-RELATED OFFENCES (SOURCE: PRE- ASSESSMENT REPORT)...... 91

TABLE 17 – SMALL-SCALE FISHERIES ...... 119

TABLE 18 – CONDITION 1 ...... 123

TABLE 19 – FISHERY SURVEILLANCE PROGRAM ...... 125

TABLE 20 – TIMING OF SURVEILLANCE AUDIT ...... 125

TABLE 21 – SURVEILLANCE LEVEL JUSTIFICATION ...... 125

TABLE 22 – CA SCORING TEMPLATE ...... 126

TABLE 23 – PSA PRODUCTIVITY AND SUSCEPTIBILITY ATTRIBUTES AND SCORES ...... 127

TABLE 24 – SPECIES GROUPED BY SIMILAR TAXONOMIES (IF FCP V2.2 ANNEX PF4.1.5 IS USED) ...... 128

TABLE 25 – CSA RATIONALE TABLE FOR PI 2.4.1 HABITATS ...... 129

TABLE 26 – SICA SCORING TEMPLATE FOR PI 2.5.1 ECOSYSTEM ...... 130

TABLE 27 – LIST OVERLAPPING FISHERIES (TO BE DETERMINED) ...... 131

TABLE 28 – OVERLAPPING FISHERIES ...... 131

TABLE 29 – SCORING DIFFERENCES ...... 132

TABLE 30– RATIONALE FOR SCORING DIFFERENCES ...... 132

TABLE 31 – VESSEL’S LIST OF FSA IN UOA. (SOURCE OF DATA: FROM CLIENT CHECKLIST)...... 134

MSC FCP 2.2, Reporting Template v1.2. Page 5 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Table of Figures

FIGURE 1 - GENERAL DIAGRAM OF POLLOCK POPULATION STRUCTURE (SOURCE: SHUNTOV ET AL., 1993)...... 22

FIGURE 2 – POLLOCK MANAGEMENT SUBZONES (SOURCE: HTTP://RUSSIANPOLLOCK.COM/)...... 23

FIGURE 3 – DYNAMICS OF KF-WEIGHTED STOCK INDEX (YWT) AGAINST THE BACKGROUND OF SCALED STOCK INDICES OBTAINED FROM 6 DIFFERENT SOURCES OF INFORMATION ON POLLOCK FISHERY IN THE EAST SAKHALIN SUBZONE DURING THE PERIOD 1976–2019...... 24

FIGURE 4 – DIAGNOSTIC RESULTS OF THE KAFKA MODEL FOR THE POLLOCK STOCK OF THE EAST SAKHALIN SUBZONE IN THE PERIOD 1976–2018. (SOURCE: TINRO, 2019)...... 25

FIGURE 5 – TREND IN POLLOCK FISHABLE STOCK BIOMASS IN THE EAST SAKHALIN SUBZONE DURING THE PERIOD 1976–2019 AND ITS FORECAST UNTIL 2021 INCLUSIVELY BASED ON THE MODELLING RESULTS AGAINST THE BACKGROUND OF WEIGHTED OBSERVABLE STOCK INDICES...... 26

FIGURE 6 – THEORETICAL CURVE OF YIELD PER RECRUIT VS. COEFFICIENT OF FISHING MORTALITY F FOR POLLOCK OF EAST SAKHALIN SUBZONE...... 26

FIGURE 7 – THEORETICAL CURVE OF SPAWNING STOCK BIOMASS PER RECRUIT VS. COEFFICIENT OF FISHING MORTALITY F FOR POLLOCK OF EAST SAKHALIN SUBZONE...... 27

FIGURE 8 – HCR DIAGRAM AND PHASE TRAJECTORY OF FISHING INDICATORS FOR POLLOCK IN THE EAST SAKHALIN SUBZONE IN THE PERIOD 1976–2019 AND THEIR FORECAST UP TO 2021 INCLUSIVE ACCORDING TO THE RESULTS OF MODELLING...... 28 FIGURE 9 – THE FISHING MONITORING SYSTEM IN FAR EAST OF RUSSIA...... 91

MSC FCP 2.2, Reporting Template v1.2. Page 6 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

2 Glossary

ACAP Agreement on the Conservation of Albatrosses and Petrels ACDR Announcement Comment Draft Report AIS Automatic Identification System B Biomass CAB Conformity Assessment Body CFMC Centre for the Monitoring of Fisheries and Communications CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora CPUE Catch Per Unit Effort ETP Endangered, Threatened or Protected (species) F Fishing mortality rate FAO Food and Agriculture Organisation of the United Nations FCR Fisheries Certification Requirements FFA Federal Fisheries Agency (Rosrybolovstvo) FGBNU Federal State Budgetary Research Institution FSB Federal Security Service of Russian Federation HCR Harvest Control Rule IUCN International Union for the Conservation of Nature and Natural Resources IUU Illegal Unreported and Unregulated (fishing) IWC International Whaling Commission KamchatNIRO Kamchatka branch of the All-Russian Science Research Institute of Fisheries and Oceanography LME Large marine ecosystems LTL Low Trophic Level (species) M Natural mortality rate MagadanNIRO Magadan branch of the All-Russian Science Research Institute of Fisheries and Oceanography MSC Marine Stewardship Council NE TA FFA North-Eastern Territorial Administration of Federal Fishing Agency PCDR Public Comment Draft Report PI Performance Indicator PRI Point of Recruitment Impairment RRDB Red Data Book of the Russian Federation RBF Risk-Based Framework SI Scoring Issue SOO Sea of Okhotsk SSB Spawning Stock Biomass TAC Total Allowable Catch TINRO Pacific branch of the All-Russian Science Research Institute of Fisheries and Oceanography UNCLOS United Nations Convention on the Law of the Sea

MSC FCP 2.2, Reporting Template v1.2. Page 7 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

UNFSA United Nations Fish Stocks Agreement UoA Unit of Assessment UoC Unit of Certification VNIRO All-Russian Science Research Institute of Fisheries and Oceanography VME Vulnerable Marine Ecosystem VMS Vessel Monitoring System WWF Worldwide Fund for Nature

MSC FCP 2.2, Reporting Template v1.2. Page 8 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

List of symbols and reference points

Blim Minimum biomass below which recruitment is expected to be impaired or the stock dynamics are unknown.

BMSY Biomass corresponding to the maximum sustainable yield (biological reference point); the peak value on a domed yield-per-recruit curve.

Bpa Precautionary biomass below which spawning stock biomass (SSB) should

not be allowed to fall to safeguard it against falling to Blim.

Btrigger Value of spawning stock biomass (SSB) that triggers a specific management action. F Instantaneous rate of fishing mortality.

Flim Fishing mortality rate that is expected to be associated with stock ‘collapse’ if maintained over a longer time (precautionary reference point).

FMSY F giving maximum sustainable yield (biological reference point).

Fpa Precautionary buffer to avoid that true fishing mortality is at Flim when the

perceived fishing mortality is at Fpa. K Carrying Capacity MSY Maximum Sustainable Yield

MSC FCP 2.2, Reporting Template v1.2. Page 9 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

3 Executive summary

Draft determination to be completed at Public Comment Draft Report stage This report is the Announcement Comment Draft Report (ACDR) which provides details of the MSC assessment process for FSA East Sakhalin Walleye pollock mid-water trawl fishery. The ACDR was published in July 2021. A review of information presented by the client has been reviewed and evaluated by the assessment team – at the ACDR stage this does not represent a final scoring outcome or a certification decision. The provisional 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. 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. Any stakeholder comments received will be published ahead of the site visit. Currently, this has not been scheduled, but is anticipated to be off-site in line with the current MSC Derogation for COVID-191. Arrangements will be made for stakeholders to meet with the assessment team virtually if meetings cannot be held onsite. The Target Eligibility Date for this assessment is the date of publication of the Public Comment Draft Report (PCDR) version of the assessment report. The assessment team for this fishery assessment comprised of Dr. Geir Hønneland (Team Leader and Principle 3 specialist), Dr. Vineetha Aravind (Principle 1 specialist) and Dr. Johanna Pierre (Principle 2 specialist).

Client fishery strengths Principle 1:  The fishery removals and stock abundance are monitored efficiently with sufficient frequency to support a robust Harvest Control Rule that is responsive to the state of the stocks.  All information required by the HCR is monitored with high frequency and there is a good understanding of inherent uncertainties in the information and growing awareness of the robustness of assessment and management to this uncertainty.  Research and management are of high international standards. Principle 2:  There is a significant amount of information available on the SOO ecosystem, and its components and elements. While there were some gaps in UoA-specific information available at this ACDR stage, there is extensive fishery-dependent information from other SOO UoAs and previous certification processes. Principle 3:  The fishery operates within an established management framework, with effective decision-making procedures, consultation mechanisms and enforcement system.

Client fishery weaknesses Principle 1:  No particular weaknesses are identified. Principle 2:  Prior to identifying weaknesses, UoA-specific information is required, such as primary, secondary and ETP species catch/interactions (including primary and secondary species discarded catch), and evidence from the UoA of the implementation of management measures. Principle 3:  Information about inspections and compliance has yet not been verified by enforcement authorities.  There is no mechanism for external review of the fishery-specific management stytem.

1 https://www.msc.org/docs/default-source/default-document-library/for-business/program-documents/chain-of-custody-supporting- documents/msc-covid-19-guidance-for-cabs---fisheries.pdf

MSC FCP 2.2, Reporting Template v1.2. Page 10 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

It is noted that information for all three Principles will be reviewed and verified throughout the assessment process, including during the site visit.

Summary of further information to be sought / clarified: Principle 1:  clarification of stock status reference points calculation  details on comprehensive information collection  information on any sensitivity analysis done Principle 2:  stock status and management information (including implementation) for primary and secondary species  information on unwanted catch of primary and secondary species  information relating to review(s) of alternative measures to minimise UoA-related mortality of primary, secondary and ETP species  UoA-specific information on ETP interactions/captures  UoA-specific ETP management measures in place, and evidence of implementation  information on the nature and extent of seafloor contact by trawl gear, and composition of the seafloor habitats that gear may encounter  clarification of any ongoing work underway to measure changes in habitat distribution  any information available on the extent of gear loss  UoA-specific observer information relevant to Principle 2 components, elements, and Performance Indicators  information on the deployment of observers in the UoA

Principle 3:  inspections and infringements data  reviews of the fishery-specific management system

Determination On completion of the initial review of information and scoring, the assessment team neither concludes that no PI is likely to score below 60 nor weighted average score for any of the three principles to score below 80. Based on the ACDR provisional scoring this fishery is likely to pass the assessment against the MSC standard criteria, however, this is subject to client, peer and stakeholder review.

MSC FCP 2.2, Reporting Template v1.2. Page 11 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

4 Report details 4.1 Authorship and peer review details Peer reviewer information to be completed at Public Comment Draft Report stage

The assessment of the FSA East Sakhalin Walleye pollock mid-water trawl fishery fishery was conducted by the following Team from UCSL United Certification Systems Limited:

Principle 1 Lead: Dr. Vineetha Aravind Dr Vineetha Aravind is experienced in shellfish fisheries research, breeding and management for around 7 ½ years. She did her Masters in Fisheries and Doctorate in Mariculture from Central Marine Fisheries Research Institute, under the Indian Council for Agricultural Research. She has an MPhil in Psychology and has an experience of 15 years in education and training in Middle East and India. She has done the 3rd year audit of Indonesian Blue Swimmer Crab gillnet and trap fishery and was the P3 assessor in the Palk Bay Flower Shrimp trawl fishery of India. She was closely associated in the pre-assessment of 5 species of trawl fishery in Kerala (India Kerala Shrimp and Cephalopod trawl fishery) as a trainee. She is also the FIP manager of trawl fisheries in Kerala, India. She was also a co-trainer for MSC Fish for good programme for Indonesia. She is a certified lead auditor of ISO 22000-2018. Dr. Vineetha Aravind is a fully trained to version FCP v2.1 MSC fishery team leader with additional training in traceability, RBF and MSC/ASC Chain of Custody auditor.

Principle 2 Lead: Dr. Johanna Pierre Dr Johanna Pierre has more than 15 years of experience working on commercial and recreational fishing, in marine and freshwater environments. Her work includes fisheries management, policy, regulation and monitoring, as well as sustainability assessments and evaluations of fishery and environmental performance. Johanna has worked for government, academia, non-profit organisations and industry. She has a Ph.D. in Environmental Biology and Ecology (University of Alberta, Canada), a B.Sc. (Hons I) (University of Canterbury, New Zealand) and completed post-doctoral studies at the University of Tokyo (Japan). Johanna has extensive experience working on fisheries and other fields of science in Canada, Japan, China, South Korea, Australia, New Zealand. Her fisheries work spans the Pacific, Atlantic, and Indian oceans, and high-latitude oceans in both northern and southern hemispheres. Johanna is a certified MSC fishery team member, Chain of Custody auditor, and member of the MSC Peer Review College and Technical Consultants Register. Her experience covers MSC peer reviews (P1, P2, P3), surveillance audits (P1, P2, P3, including as Team Leader (TL)), fishery assessments (P2, P3), and fishery pre-assessments (P1, P2, P3, and TL). Recent work includes longline, pole and line, pot/trap, trawl, purse seine and small-scale fisheries, both in fisheries under national jurisdiction and those managed by multilateral bodies (such as Regional Fisheries Management Organisations).

Team Leader and Principle 3 Lead: Dr. Geir Hønneland Dr Geir Hønneland holds a PhD in political science from the University of Oslo and an LL.M. in the law of the sea from the Arctic University of Norway. He has studied international fisheries management (with main emphasis on enforcement and compliance issues), international environmental politics and international relations in Polar regions for more than 25 years. He has been affiliated with the Fridtjof Nansen Institute in Oslo as PhD student and research fellow (1996-2006), research director (2006-2014), director (2015-2019) and now adjunct professor. Among his fisheries-related books is Making Fishery Agreements Work (Edward Elgar, 2012; China Ocean Press, 2016). Before embarking on an academic career, he worked five years for the Norwegian Coast Guard, where he was trained and certified as a fisheries inspector. Geir has been involved in MSC assessments since 2009 and has acted as P3 expert in more than 50 full assessments and re-assessments, as well as a number of pre-assessments and surveillance audits. His experience from full assessments includes a large number of demersal, pelagic and reduction fisheries in the Northeast Atlantic, the North Pacific and Southern Ocean, including crustaceans, as well as inland, bivalve and enhanced salmon fisheries. In the Northeast Atlantic, he has covered the international management regimes in the Barents Sea, Norwegian Sea, North Sea, Skagerrak, Kattegat and the Baltic Sea, and the national management regimes in Norway, Sweden, Denmark, Iceland, Faroe Islands, Greenland, Finland, Russia, Poland, the UK, the Netherlands and Germany, as well as the EU level. He is qualified as an MSC Team Leader (Fisheries Standard v2.0, Fisheries Certification Process v2.2) and Chain of Custody Auditor (v2.0) and has also passed the ISO 19011-2018 course as Lead Auditor – Management Systems Auditing. Full CV is available on request.

Use of the Risk-Based Framework (RBF): Dr. Vineetha Aravind and Dr. Johanna Pierre have been fully trained in the use of the MSC’s Risk Based Framework (RBF).

MSC FCP 2.2, Reporting Template v1.2. Page 12 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Peer reviewer information to be completed at Public Comment Draft Report stage. Peer Reviewer 1: Peer Reviewer 2:

4.2 Version details Table 1 – Fisheries program documents versions

Document Version number

MSC Fisheries Certification Process Version 2.2

MSC Fisheries Standard Version 2.01

MSC General Certification Requirements Version 2.4.1

MSC Reporting Template Version 1.2

MSC FCP 2.2, Reporting Template v1.2. Page 13 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

5 Unit(s) of Assessment and Unit(s) of Certification and results overview 5.1 Unit(s) of Assessment and Unit(s) of Certification 5.1.1 Unit(s) of Assessment

UCSL United Certification Systems Limited as the Conformity Assessment Body confirms that FSA East Sakhalin Walleye midwater trawl pollock is in scope for MSC assessment through meeting the following scope requirements:

 The fishery does not target amphibians, reptiles, birds or mammals (7.4.2.1, MSC 2020a);

 The fishery does not use poisons or explosives (7.4.2.2, MSC 2020a);

 The fishery is not conducted under a controversial unilateral exemption to an international agreement (7.4.2.3, MSC 2020a);

 The client or client group does not include an entity that has been successfully prosecuted for a forced or child labour violation in the last 2 years (7.4.2.4, MSC 2020a);

 The client or client group does not include an entity that has been convicted for a violation in law with respect to shark finning (7.4.2.10, MSC 2020a);

 There is a mechanism for resolving disputes, and disputes do not overwhelm the fishery (7.4.2.11, MSC 2020a).

A single Unit of Assessment (UoA) is determined for the fishery, as presented in Table 2, below.

Table 2 – Unit(s) of Assessment (UoA)

UoA 1 Description

Walleye pollock (Gadus chalcogrammus (formed – Theragra chalcogramma)) Species In Russian – минтай.

In FAO Code Subareas: East-Sakhalin subzone (61.05.3) of the Sea of Okhotsk zone Stock (61.05).

Fishing gear type(s) Midwater (pelagic) trawl. Vessel type – large tonnage vessels equipped with special trawl and, if relevant, vessel system aboard. type(s)

The client group is represented by Fishery Shipowners Association (FSA) which includes the following companies: LLC "Russian Fishery Company", JSC "INTRAROS", LLC "Vostokrybprom", LLC "Sovgavanryba", JSC "DMP-RM", JSC "RMD-YuVA 1", JSC Client group "TURNIF" and LLC "Russian Pollock". Companies and their vessels that are operated by FSA East Sakhalin Walleye pollock mid-water trawl fishery client group (correct at the time of drafting the ACDR) are detailed in Section 8.11 (Table 31). If required, an up-to-date list will be available from UCSL United Certification Systems Limited upon request. All other potential Russian fishing enterprises which are not members of the Fishery Shipowners Association (FSA), but have legal quotas for harvesting Walleye pollock in Other eligible fishers East-Sakhalin subzone (61.05.3) of the Sea of Okhotsk zone (61.05); in EEZ of Russian Federation, and catch its on their own or contracted vessels with using midwater trawl.

MSC FCP 2.2, Reporting Template v1.2. Page 14 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Far Eastern Federal District, Sakhalin Region, Far Eastern fisheries basin (EEZ of Russian Geographical area Federation in East-Sakhalin subzone (61.05.3) of the Sea of Okhotsk zone (61.05)).

5.1.1 Unit(s) of Certification It is anticipated that the Units of Certification (UoC) will be the same as the UoA, as detailed in Table 3 above. This will be confirmed in the Public Certification Report.

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

UoC 1 Description

Walleye pollock (Gadus chalcogrammus (formed – Theragra chalcogramma)) Species In Russian – минтай.

In FAO Code Subareas: East-Sakhalin subzone (61.05.3) of the Sea of Okhotsk zone Stock (61.05).

Fishing gear type(s) Mid-water (pelagic) trawl. Vessel type – large tonnage vessels equipped with special trawl and, if relevant, vessel system aboard. type(s)

The client group is represented by Fishery Shipowners Association (FSA) which includes the following companies: LLC "Russian Fishery Company", JSC "INTRAROS", LLC "Vostokrybprom", LLC "Sovgavanryba", JSC "DMP-RM", JSC "RMD-YuVA 1", JSC Client group "TURNIF" and LLC "Russian Pollock". Companies and their vessels that are operated by FSA East Sakhalin Walleye pollock mid-water trawl fishery client group (correct at the time of drafting the ACDR) are detailed in Section 8.11 (Table 31) of this report. If required, an up-to-date list will be available from UCSL United Certification Systems Limited upon request. Far Eastern Federal District, Sakhalin Region, Far Eastern fisheries basin (EEZ of Russian Geographical area Federation in East-Sakhalin subzone (61.05.3) of the Sea of Okhotsk zone (61.05)).

MSC FCP 2.2, Reporting Template v1.2. Page 15 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

5.1.2 Scope of assessment in relation to enhanced or introduced fisheries – delete if not applicable

FSA East Sakhalin Walleye pollock mid-water trawl fishery is not enhanced nor is it an introduced species-based fishery (ISBF). Therefore, enhanced and ISBF fishery assessment considerations do not apply.

5.2 Assessment results overview 5.2.1 Determination, formal conclusion and agreement To be drafted at Public Comment Draft Report stage

The CAB shall include in the report a formal statement as to the certification determination recommendation reached by the assessment team on whether the fishery should be certified.

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

Reference(s): FCP v2.2, 7.20.3.h and Section 7.21

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

The CAB shall include in the report the scores for each of the three MSC principles in the table below.

Reference(s): FCP v2.2 Section 7.17

Table 4 – Principle level scores

Principle UoA 1 UoA 2 UoA 3 UoA 4

Principle 1 – Target species

Principle 2 – Ecosystem impacts

Principle 3 – Management system

5.2.3 Summary of conditions To be drafted at Client and Peer Review Draft Report stage

The CAB shall include in the report a table summarising conditions raised in this assessment. Details of the conditions shall be provided in the appendices. If no conditions are required, the CAB shall include in the report a statement confirming this. Reference(s): FCP v2.2 Section 7.18

MSC FCP 2.2, Reporting Template v1.2. Page 16 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Table 5 – Summary of conditions

Carried Related to Condition Performance Exceptional over from previous Condition Deadline number Indicator (PI) circumstances? previous condition? certificate?

Yes / No / Yes / No Yes / No / NA NA

5.2.4 Recommendations To be drafted at Client and Peer Review Draft Report stage

If the CAB or assessment team wishes to include any recommendations to the client or notes for future assessments, these may be included in this section.

MSC FCP 2.2, Reporting Template v1.2. Page 17 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

6 Traceability and eligibility 6.1 Eligibility date It is anticipated that the eligibility date would be set as the publication date of the Public Comment Draft Report (PCDR) version of the assessment report. This would be confirmed at the publication of the PCDR, if desired by the client and if product harvested after the eligibility date and sold or stored as under-assessment fish can be handled in conformity with the MSC requirements as detailed in 7.8 (MSC, 2020a).

6.2 Traceability within the fishery There is a multistage control system in the Russian system for fisheries management. The first stage is inspections conducted by Coast Guard vessels in the region of catching. Inspectors check catch permits, number of and construction (technical parameters) of traps, production ratios, quantity of production etc. The second stage is conducted in port. If a vessel goes to port it is obliged to send out preliminary information 72 hours before landing and more detailed information 24 hours before landing, where the status of the information about catch permits, quantity of production, quantity of fish caught (in green weight) is checked. All unloading procedures are made under the control of Border Control (FSB) authorities. (See Section 7.4.1 for further information about the Russian enforcement system). Thus, the risk of non-certified gear used within the fishery and a possibility of vessels from the UoA fishing outside the UoA or in different geographical areas are close to zero. All vessels are equipped with VMS, which sends information about the vessel’s coordinates on a continuous basis to the State CFMS. All logistic procedures (including moving products from catching vessel to transport vessel with transhipment in the sea) in the Russian Exclusive Economic Zone must be fulfilled in the presence of a Border Control (FSB) inspector who checks the catch permits, production ratios, quantity of production and so on. In addition, the vessel will have to fulfil all above-mentioned procedures. There are strict internal procedures on board the vessels (required by Russian law) and a sophisticated system of enforcement measures at sea and on land to ensure that these requirements are complied with. Therefore, the risk of substitution of mixing certified (target species) and non-certified (by-catch species) catch is minimal. All planned trans-shipments have to be reported in advance to Russian enforcement authorities, so that they have the possibility to check the operations physically. Logbooks are kept on both catch and transport vessels for one year; then they are kept by the fishing company for three more years. Separate written documentation is also issued for the transaction. Catching vessels may tranship products to transport vessel at sea, upon which transport vessels will land the products in Russian and/or foreign port (but transport vessels will deliver cargo via Russian port as all marine living resources caught in the Russian EEZ or on the Russian continental shelf have to be taken to Russian port before being exported). Also, the catching vessel may land products in Russian port directly. Catching vessels have on board only products caught and processed by themselves. There are two points of ownership change for the products (that is points from which subsequent Chain of Custody should start): transport vessel or port.

Table 6 – Traceability information

Factor Description

Never. FSA uses only fishing gear (specified) in the fishing permits issued by the North-Eastern Will the fishery use gears that are not part of the UoC? Territorial Administration of Federal Fishing Agency (NE TA FFA).

If yes, please describe: Fishing gear used in the fishery and specified in - If this may occur on the same trip, on the same the catch permits are specified in the documents vessels, or during the same season; submitted for MSC certification. The use of fishing - How any risks are mitigated. gear specified in the catch permits is controlled by inspectors of the NE TA FFA.

Will vessels in the UoC also fish outside the UoC Never. The fishing area is located exclusively at geographic area? the geographic coordinates specified in permits by the Northeast Territorial Office of the Federal Fisheries Agency (NE TA FFA).

MSC FCP 2.2, Reporting Template v1.2. Page 18 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

If yes, please describe: - If this may occur on the same trip; The location of the fishing area and the fishing in - How any risks are mitigated. the geographic coordinates specified in the catch permits are monitored by the NE TA FFA inspectors. When fishing for certified target catch species, Do the fishery client members ever handle certified uncertified by-catch species are included in the by- and non-certified products during any of the activities catch. After the catching, the raw material is covered by the fishery certificate? This refers to both delivered to the processing factory, where the at-sea activities and on-land activities. caught raw material is sorted according to the target species (certified and non-certified). After processing and packaging, certified products are - Transport sorted, labeled and stacked (folded) into separate - Storage freezers (separate freezer holds of the vessel) and - Processing separated. To minimize the risk of mixing at each - Landing stage (transportation, storage, processing, - Auction unloading and auction), electronic records are maintained, certified products are stored, processed (accompanying documents), marked If yes, please describe how any risks are mitigated. separately and subsequently tracked to minimize mixing risks. Does transhipment occur within the fishery? Finished products are reloaded both in the port and at sea. To minimize the risk, during overloading, certified products are shipped to If yes, please describe: separate holds and processed separately. After - If transhipment takes place at-sea, in port, or storage, certified products are separated and both; tracked. To minimize risks along the entire route of - If the transhipment vessel may handle product products, electronic records and document flow from outside the UoC; are maintained. - How any risks are mitigated. Are there any other risks of mixing or substitution Never. To minimize the risk, catches of certified between certified and non-certified fish? species, after sorting, are processed, packaged, marked, stored and separated separately, and at

each stage, electronic records of the quantity If yes, please describe how any risks are mitigated. (volume) of products are kept.

6.3 Eligibility to enter further chains of custody To be drafted at Client and Peer Review Draft Report stage

The CAB shall include in the report a determination of whether the seafood product will be eligible to enter certified chains of custody, and whether the seafood product is eligible to be sold as MSC certified or carry the MSC ecolabel.

The CAB shall include in the report a list of parties, or category of parties, eligible to use the fishery certificate, and sell product as MSC certified.

The CAB shall include in the report the point of intended change of ownership of product, a list of eligible landing points, and the point from which subsequent Chain of Custody certification is required.

If the CAB makes a negative determination under FCP v2.2 Section 7.9, the CAB shall state that fish and fish products from the fishery are not eligible to be sold as MSC certified or carry the MSC ecolabel. If the client group includes other entities such as agents, unloaders, or other parties involved with landing or sale of certified fish, this needs to be clearly stated in the report including the point from which Chain of Custody is required.

Reference(s): FCP v2.2 Section 7.9

MSC FCP 2.2, Reporting Template v1.2. Page 19 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7 Scoring 7.1 Summary of Performance Indicator level scores

The following draft performance indicator scores are provided (Table 7). These scores may change as the Assessment Team receives and responds to new information provided through the assessment process, and as later versions of the assessment report are produced.

Table 7 – Draft Performance Indicator scores (at ACDR)

Principle Component Performance Indicator (PI) Score 1.1.1 Stock status ≥ 80 Outcome 1.1.2 Stock rebuilding 1.2.1 Harvest strategy 60-79 1 1.2.2 Harvest control rules & tools ≥ 80 Management 1.2.3 Information & monitoring ≥ 80 1.2.4 Assessment of stock status 60-79 2.1.1 Outcome ≥ 80 Primary species 2.1.2 Management ≥ 80 2.1.3 Information ≥ 80 2.2.1 Outcome <60 (RBF) Secondary species 2.2.2 Management 60-79 2.2.3 Information <60 (RBF) 2.3.1 Outcome <60 (RBF) 2 ETP species 2.3.2 Management 60-79 2.3.3 Information 60-79 2.4.1 Outcome ≥ 80 Habitats 2.4.2 Management 60-79 2.4.3 Information ≥ 80 2.5.1 Outcome ≥ 80 Ecosystem 2.5.2 Management 60-79 2.5.3 Information 60-79 3.1.1 Legal & customary framework ≥ 80 Governance and 3.1.2 Consultation, roles & responsibilities ≥ 80 policy 3.1.3 Long term objectives ≥ 80 3.2.1 Fishery specific objectives ≥ 80 3 3.2.2 Decision making processes ≥ 80 Fishery specific management 3.2.3 Compliance & enforcement ≥ 80 system Monitoring & management performance 3.2.4 ≥ 80 evaluation

MSC FCP 2.2, Reporting Template v1.2. Page 20 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.2 Principle 1 7.2.1 Principle 1 background

7.2.1.1 Distribution and stock structure Walleye pollock is an important species in the ecosystems of the subarctic Pacific Ocean, and is one of the world’s largest fisheries.It is one of the most abundant and widely distributed Gadid fishes in the Pacific ocean. It occurs in all marine coastal areas in the northern part of Pacific Ocean. Its distribution extends from the Chukotka Sea to the south along the coast of the North American continent down to Monterey Bay and along the Asian coast down to Korea Strait. Across this vast distribution range, there are several regions that have quite remarkable abundance and high commercial impact of walleye pollock which includes Korea Bay, Peter the Great Bay, Alaska Bay, Sakhalin, Hokkaido, South Kuril and East Kamchatka regions. The richest populations of Walleye Pollock live in the Sea of Okhotsk and in the Bering Sea. They are called North Okhotsk Sea and East Bering Sea super-populations, respectively, because of their huge biomass. There are no other massive fish populations like these two. Populations with such immense and complex structures usually include the core and several lateral subpopulations. The core subpopulation of the North Okhotsk Sea population is located in the north-eastern part of the sea which is also the main reproductive area for walleye pollock, with nearly 80 % of all producers and eggs being produced during one spawning season, and nearly 90 % of all juveniles. The lateral subpopulations inhabit the western part of the Sea of Okhotsk. Due to the separation of the super-population between spawning and feeding areas, which jointly occupy almost the whole sea, the walleye pollock sub-populations continually invade new feeding locations that are less favorable for their reproduction. Similar pattern is observed in the East Bering Sea super-population of walleye pollock, which is usually half larger than the North Okhotsk Sea super-population. However, during some periods, like the present scenario, the North Okhotsk Sea super-population will have a larger biomass. The West Alaskan, Olyutor-Karaginsk, East Kamchatka and East Korean populations are rather abundant, at some years reaching several million metric tons in biomass. Moreover, there are many small populations of walleye pollock at different regions, including Peter the Great Bay, Tatar Strait, Commander Islands, East Alaska, Vancouver and four assemblages near Hokkaido. The distinctiveness of all other populations is still hypothetical and unconfirmed. Inspite of migrations from Hokkaido and South Kuril regions during feeding season, there is high evidence for isolated South Okhotsk from North Okhotsk walleye pollock. The survey data analysis has demonstrated the distinctiveness of the East Kamchatka walleye pollock population and its isolation from the Olyutor-Karaginsk population. Walleye pollock from the northern assemblages tend to migrate actively, while the extend of migrations in the southern assemblages is relatively less. The northern populations reproduce mostly in spring time, while the south populations reproduce in fall (Korean waters) or, which is more often, in winter. The majority of population assemblages occurs in the southern and, especially, in the south-western parts of the walleye pollock distribution area that is explained by their local adaptations to complex marine ecosystems, including the intricate structure of marine currents in that region, located on the border between the temperate and subtropical zones. The present assessment is for the stock of East Sakhalin subzone (61.05.3), which is managed as a separate management area under Russian fisheries management.

MSC FCP 2.2, Reporting Template v1.2. Page 21 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Figure 1 - General diagram of Pollock population structure (Source: Shuntov et al., 1993).

The summary biomass of populations: а– up to 10 million tons and more, b – from several hundred thousand to several million tons, c - from several ten thousand to several hundred thousand tons. The arrows show the Pollock travel paths. The light circles are autumn or winter spawning and dark ones are the spring spawning. Populations: East Korean (1), Peter the Great Bay (2), Shimana (3), Toyama (4), West Hоккаido (5), Tatar Strait (6), South Hоккаido (7), East Hоккаido (8), South Kuril (9), North Hоккаido or Raus (10), North Okhotsk Sea super population (11), East Kamchatka (12), Commander (13), Olyutorsky-Karaginsky (14), Koryak (15), East Bering Sea super population (16), East Aleutian (17), West Alaska (18), East Alaska (19), Vancouver (20)

Pollock fishing is managed under various subzones in Russian fishery management (Figure. 2) Each subzone has its own management measures, regulations and controls. The total allowable catch (TAC) is divided among the subzones as below: − Northern Sea of Okhotsk (5.1) − Western – Kamchatka (5.2) − East Sakhalin subzone (5.3) − Kamchatka – Kuril (5.4) This allocation may vary depending on the seasonal availability of pollock resources.

MSC FCP 2.2, Reporting Template v1.2. Page 22 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Figure 2 – Pollock management subzones (Source: http://russianpollock.com/).

There is considerable data on the spawning grounds and migratory pattern of Pollock in Okshotsk sea. The main Pollock spawning grounds are located on the shelf or in the immediate vicinity, which prevents the roe from being carried to deep-water areas where there are adverse conditions. In the Sea of Okhotsk, the most important spawning grounds of Pollock is the western Kamchatka including the southern part of the Shelikhov Gulf. The second spawning ground is located in south of the Tauiskaya Inlet. Pollock breeds in cold weather and spawning period extends upto 6-7 months with peak spawning during 2-3 months. Spawning time differs among the different populations. Spawning begins in the Shelikhov Gulf, then extends to the northwestern part of the Sea of Okshotsk. Spawning time in each of the neighbouring spawning areas generally differs by about 2-3 weeks. The latest spawning is observed over the East Sakhalin shelf, where it peaks during May and very rarely extends into early June. The division into subzones are mainly based on administrative ease, but long-standing studies on the population structure also has backed this up. The study of stock structure was undertaken by Japanese and Russian scientists from 1970s onwards, and is continuing. Based on morphological, biological and genetic studies in pollock, several authors suggested that there were between 2- 10 populations of pollock in the SoO within a larger metapopulation. In Russia, West Bering Sea west, West Bering Sea Navarinsky, Sea of Okhotsk, and Sea of Japan pollock stocks are mostly considered reproductively isolated from one another, even though there exists some migration between them, and are addressed separately from one another by the Russian authorities for purposes of stock assessment (Kotenev and Glubokov 2007); (Federal Fisheries Agency, Kamchatka Branch 2020). (Source: FishSource). Complications in elucidating pollock population structure include life histories that entail different habitats for spawning, overwintering, and feeding; larval drift from one region to another; and different population dynamics at low and high abundance (Kotenev and Glubokov 2007); (Grant et al. 2010). The main spawning and over-wintering habitat of Sea of Okhotsk pollock is in the Russian fisheries management sub-areas of North Okhotsk, West Kamchatka, and Kamchatka-Kuril--sub-areas with the West Kamchatka shelf the most important spawning location for this complex population. A smaller concentration of Sea of Okhotsk spawners is located off the eastern coast of Sakhalin, which might be a separate stock.

MSC FCP 2.2, Reporting Template v1.2. Page 23 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.2.1.2 Stock assessment The stock status of the walleye Pollock of East Sakhalin is estimated by the mathematical model "Cohort analysis with Kalman filter" (KAFKA model) (Mikheev, 2016; Babayan et al., 2018). The KAFKA model has teo main advantages over other available models (Mikheev, 2016). Firstly, the application of the Kalman filter in this model makes it possible to obtain stock estimates that take into account errors in catches, including systematic ones, caused for example, by unaccounted catch. Secondly, the Kalman filter makes it possible to process multiple sources of information and calculate a weighted stock index based on them, which is used in constructing an adjusted filter estimate and can be considered as a standardized one (Mikheev, 2016). The KAFKA model was configured using a standard matrix of catches by fishing years and age classes, a dataset on catches per unit of effort (CPUE) for large (BMRT, large refrigerator trawler) and medium (MTF, medium-capacity fleet) tonnage vessels and stock indices from bottom trawl surveys and ichthyoplankton surveys. • Stock estimates based on the TINRO trawl surveys data for the period 2000–2019, excluding 2003, 2007– 2009, units of million specimens; • CPUE, with conversion of tonnes per vessel fishing day into million specimens per vessel fishing day: • BMRT (Large-tonnage fleet) for periods of years: 1986–1992; 2002–2019 using an average weight of one caught specimen of 0.65 kg; • BMRT for the period of years: 2007–2019 using actual average weights of one caught specimen by year of fishing; • MTF for the period 1976–1982 using an average weight of one caught specimen of 0.65 kg; • MTF for the period 1983–1992 using an average weight of one caught specimen of 0.65 kg; • MTF for the period 2002–2019 using an average weight of one caught specimen of 0.65 kg; • MTF for the period 2007–2019 using actual average weights of one caught specimen by year of fishing; • larvae abundance estimates based on materials of SakhNIRO and TINRO ichthyoplankton surveys for the years: 2000–2018 excluding 2003, 2013, 2016(when no surveys were done), The stock estimates obtained from cohort analysis from trawl survey data were then corrected using Kalman filter (KF) based on CPUE data of BMRT (large refrigerator trawler) - and SRTM (medium refrigerator trawler)-type vessels as stock indices for various fishing periods. The indicated indices for each information source were scaled up by the corresponding catchability coefficient and were therefore considered as directly observed stock values. For scaled stock indices, weights were found during filter operation and used to calculate a weighted stock index. These indices are shown in the Figure 3 for comparison.

Figure 3 – Dynamics of KF-weighted stock index (ywt) against the background of scaled stock indices obtained from 6 different sources of information on pollock fishery in the East Sakhalin Subzone during the period 1976–2019. Y-axis: Fishable stocks, unit: millions of individuals. (Source: TINRO, 2019).

MSC FCP 2.2, Reporting Template v1.2. Page 24 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

The largest weights belonged to CPUE of BMRT-type vessels, and the filter gave them preference where the indices from different information sources were overlapped (Figure 3). A multi-year series of weighted scaled stock indices was used to calculate the loss function in the process of parametric optimization of the KAFKA model. Taking into account the discrepancy in the recruitment estimates obtained, and the priority importance of these estimates for stock forecasting, a series of 11 model recalculations was performed with a variation of recruitment for the next two years in the range from 300 to 700 million specimens. The loss function (negative log-likelihood function) between weighted indices and model estimates of stock was used as an indicator of the quality of modeling. The estimation of model parameters considers process errors scaled with length of time series data. Changes in time series length (number of years considered) can affect the resulting trends. This is due to the fact that changes in the series of observations cannot but affect both the results of parametric optimization of the model and the estimates of noises variances in the observed stock indices. As a consequence, the filter can change the significance of the observations and the model in the corrected estimates and shift the position of the latter ones both towards the observations and in the direction of the model forecast. Figure 4 shows the diagnostic results when the data array is reduced by 10 years: from 2018 to 2009 inclusive.

Figure 4 – Diagnostic results of the KAFKA model for the pollock stock of the East Sakhalin subzone in the period 1976–2018. (Source: TINRO, 2019).

The scatter in retrospective estimates, starting from 2010 and earlier, fits into the confidence interval of the estimation (Figure 4).

7.2.1.3 Stock status The long-term dynamics of the estimates of the fishable pollock stock off northeastern Sakhalin for the entire fishing period, obtained using the KAFKA model, is shown in the Figure 5.

MSC FCP 2.2, Reporting Template v1.2. Page 25 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Figure 5 – Trend in pollock fishable stock biomass in the East Sakhalin subzone during the period 1976–2019 and its forecast until 2021 inclusively based on the modelling results against the background of weighted observable stock indices.

SBt – trawling survey-based estimate of fishable stock biomass (TINRO data); Bcort – corrected estimate of fishable stock biomass (results of KAFKA model); b’Wt – weighted stock index (results of KAFKA model); Bprt – predicted fishable stock biomass (results of KAFKA model); dBBt, dBHt – upper and lower 95% assessment confidence interval Based on the above results of calculations using the KAFKA model, it is assumed that the fishable pollock stock biomass in the East Sakhalin subzone for 2020 and 2021 respectively will amount to 498.7 kt with a 95% confidence interval from 195.69 to 801.69 kt and 504.5 kt varied between 136.04 and 873.01 kt (Figure 5).

7.2.1.4 Reference points To estimate the reference points of the pollock stock control in the East Sakhalin subzone, yield per recruit model (Y/R) was used. The analysis of the yield per recruit was performed according to the formula:

Curve of yield per recruit vs. coefficient of fishing mortality F for the stock being forecasted is shown in the Figure 6.

Figure 6 – Theoretical curve of yield per recruit vs. coefficient of fishing mortality F for pollock of East Sakhalin subzone.

MSC FCP 2.2, Reporting Template v1.2. Page 26 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

The dependence of the spawning stock biomass per recruit for pollock of the considered area was calculated by the formula:

Curve of spawning stock biomass per recruit vs. coefficient of fishing mortality F is shown in Figure 7.

Figure 7 – Theoretical curve of spawning stock biomass per recruit vs. coefficient of fishing mortality F for pollock of East Sakhalin subzone.

Target reference point for removal rate = 0.25 was calculated using the Baranov formula: , for =0.35 (Figure 7) and M=0.4. The fishable stock biomass, calculated as , turned out to be equal to 500 kt. This indicator was used as a target reference point for stock biomass Btg. The limit reference point for fishable stock biomass was calculated as 20% of virgin biomass, estimated by the value of and the average recruitment over the fishing period. As a result, a value of 157.6 kt was obtained. The limit reference point for the rate of removal was calculated using the Baranov formula for =0.6 (Figure 5) and M=0.4, and obtained a value of 0.4 for it. The calculated reference points for the stock being forecasted are shown in Table 8.

Table 8 – Biological reference points for pollock of East Sakhalin subzone 0.2 SPR(0) 0.231 kg/recruit Rср. 682.3 million specimens B20%=0.2 SPR(0)*Rср. 157.6 kt Blim=B20% 157.6 kt YPR(Fmax) 0.067 kg/recruit Rmax 1882.8 million specimens Ymax=YPR(Fmax)*Rmax 126.2 kt Bmax=Ymax/Emax; 498.6 kt

MSC FCP 2.2, Reporting Template v1.2. Page 27 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Btg=Bmax 500 kt Etg=Emax 0.25 Elim=E20% 0.4

7.2.1.5 Harvest control rule Using the obtained biological reference points, the Harvest Control Rule has been constructed, which is represented in the diagram of control in the Figure 8.

Figure 8 – HCR diagram and phase trajectory of fishing indicators for pollock in the East Sakhalin subzone in the period 1976–2019 and their forecast up to 2021 inclusive according to the results of modelling.

An important stage in testing the control strategy is to assess the probability that the stock biomass will not go down below the limit reference point at a given rate of exploitation. On the diagram of control (Figure 8) it can be seen from the confidence intervals of the forecast estimates that during the fishing process the probability of a decrease in the forecasted stock below the limit reference point exceeds 5%. In this regard, more accurate risks assessments were required. The risk that predicted stock biomass would go below Blim after removal was calculated to be between 7 and 9.5%. In this case, overfishing risk at exploitation within the established HCRs is guaranteed not to exceed the critical level of 20-30% (Babayan, 20000. Thus, if HCR is observed, the pollock stock will be maintained within biologically safe limits, i.e., at such level at which the population’s reproductive capability will not be lost. Therefore, the pollock TAC in the East Sakhalin subzone for 2021 is recommended in the amount of 126.1 kt.

MSC FCP 2.2, Reporting Template v1.2. Page 28 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.2.2 Principle 1 Performance Indicator scores and rationales PI 1.1.1 – Stock status PI 1.1.1 The stock is at a level which maintains high productivity and has a low probability of recruitment overfishing Scoring Issue SG 60 SG 80 SG 100

Stock status relative to recruitment impairment Guide It is likely that the stock is It is highly likely that the There is a high degree of post above the point where stock is above the PRI. certainty that the stock is a recruitment would be impaired above the PRI. (PRI). Met? Yes Yes No

Rationale

Information regarding the stock of East Sakhalin Pollock is collected regularly and there is up-to-date stock assessment available. The stock biomass was found ot be above Blim (estimated to be above 157.6kt). According to the calculations made using the KAFKA model, it is assumed that the fishable pollock stock biomass in the East Sakhalin subzone for 2020 and 2021 respectively will amount to 498.7 kt with a 95% confidence interval from 195.69 to 801.69 kt and 504.5 kt varied between 136.04 and 873.01 kt. Therefore, it is highly likely that the fishable stock biomass of East Sakhalin is above Blim (the point where recruitment would be impaired) and this meets SG 60 and SG 80.

As the lower bound interval of KAFKA model is below the Blim for the projected value of 2021, SG 100 is not met. Stock status in relation to achievement of Maximum Sustainable Yield (MSY) Guide The stock is at or fluctuating There is a high degree of post around a level consistent with certainty that the stock has MSY. been fluctuating around a b level consistent with MSY or has been above this level over recent years. Met? Yes No

Rationale

Both the SSB and FSB was found to be fluctuating above or at Target biomass (Btg set as 500kt) since 2009. (Refer Figure. 4) . This accounts for more than one generation time of Pollock, which is usually 10 years (Ref. https://www.fishbase.de/summary/318). This meets SG 80. Considering the lower 95% assessment confidence interval obtained by KAFKA model for the last few years is below Btg, it cannot be said with a high degree of certainity that the stock is fluctuating around a level consistent with MSY. Potential information gaps related to the stock status of pollock in East Sakhalin Subzone will be further discussed during the site visit. At ACDR stage, SG 100 is not met. References

 TINRO, 2019.  SakhNIRO, 2019.

MSC FCP 2.2, Reporting Template v1.2. Page 29 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Stock status relative to reference points Type of reference point Value of reference point Current stock status relative to reference point

Reference point PRI (1/2 BMSY). 157.6 kt B2021/Blim = 3.20 used in scoring Blim = B20% stock relative to PRI (SIa)

Reference point BMSY. 500 kt B2021/Btg = 1.01 used in scoring Btg = Bmax stock relative to MSY (SIb)

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2, Reporting Template v1.2. Page 30 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.1.2 – Stock rebuilding PI 1.1.2 Where the stock is reduced, there is evidence of stock rebuilding within a specified timeframe Scoring Issue SG 60 SG 80 SG 100

Rebuilding timeframes Guide A rebuilding timeframe is The shortest practicable specified for the stock that is rebuilding timeframe is post the shorter of 20 years or 2 specified which does not times its generation time. exceed one generation time a For cases where 2 for the stock. generations is less than 5

years, the rebuilding timeframe is up to 5 years. Met? NA NA

Rationale

The stock of East Sakhalin Wall eye Pollock has been above MSY for more than last 10 years. PI 1.1.1 scored ≥ 80. So, rebuilding PI not scored. Rebuilding evaluation Guide Monitoring is in place to There is evidence that the There is strong evidence that determine whether the rebuilding strategies are the rebuilding strategies are post rebuilding strategies are rebuilding stocks, or it is rebuilding stocks, or it is effective in rebuilding the likely based on simulation highly likely based on b stock within the specified modelling, exploitation rates simulation modelling, timeframe. or previous performance that exploitation rates or previous they will be able to rebuild the performance that they will be

stock within the specified able to rebuild the stock within timeframe. the specified timeframe. Met? NA NA NA

Rationale

The stock of East Sakhalin Wall eye Pollock has been above MSY for more than last 10 years. PI 1.1.1 scored ≥ 80. So, rebuilding PI not scored. References

 TINRO, 2019.  http://russianpollock.com/

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range NA

Information gap indicator NA

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

Condition number (if relevant) NA

MSC FCP 2.2, Reporting Template v1.2. Page 31 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.2.1 – Harvest strategy 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 Guide 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 post management objectives stock and the elements of the stock and is designed to a reflected in PI 1.1.1 SG80. harvest strategy work achieve stock management 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

According to the Fishing Rules (2019) Walleye Pollock is harvested only using mid-water trawl. The harvest strategy includes a TAC based on scientific forecast of each year’s fishable biomass. This is monitored by a scientific agency and is managed by well defined fishery regulations like gear specifications, size limits, effort controls and seasons. The harvest strategy is responsive to the state of stock. There is good evidence that TACs are based on the scientific advice and that catch is maintained within the TACs. This meets SG 60, SG 80 and SG 100. Harvest strategy evaluation Guide 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 post experience or plausible evidence exists that it is fully evaluated and evidence argument. achieving its objectives. exists to show that it is b achieving its objectives including being clearly able to maintain stocks at target levels. Met? Yes Yes No

Rationale

The stock assessment provides an independent assessment of the effectiveness of management in controlling SSB and limiting the exploitation rate. The harvest strategy has been used to provide TAC and is continuously monitored (Table 3). The robust state of pollock stock provides evidence that the harvest strategy is achieving its objectives. Figure 7 shows optimal removal as 25%, i.e., for the forecasted fishable stock biomass of 504.5kt, it will be 126.1 kt during 2021. For 2020 optimal removal will be 24.9% or 124.2 kt for the stock of 498.7 kt. Therefore, a TAC of 125 kt is recommended for 2020. It is indicated by the forecasts that as long as the HCR is followed, there is 95% probability that the SSB will be maintained above Blim and Btg. There is evidence from stock assessments that the harvest strategy is working and is achieving its objectives. SG 60 and SG 80 are met. The harvest strategy has not been fully evaluated by MSE or similar exercises, so it cannot be said that this will meet SG 100. Harvest strategy monitoring Guide Monitoring is in place that is c expected to determine post whether the harvest strategy is working.

MSC FCP 2.2, Reporting Template v1.2. Page 32 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Met? Yes

Rationale

The following monitoring is in place in the fishery: long-term data on annual catch and catches per unit effort for vessels of large and medium tonnage; data of bottom trawl and ichthyoplankton surveys; long-term data on the age and length composition of commercial and scientific pollock fishing to provide biomass indicators to formulate the harvest strategy’s HCR and to ensure that the strategy is working. This meets SG 60. Harvest strategy review Guide The harvest strategy is d periodically reviewed and post improved as necessary. Met? No

Rationale

There is no information that the harvest strategy is periodically reviwed and improved. Thus SG 100 is not met. Shark finning Guide It is likely that shark finning is It is highly likely that shark There is a high degree of e not taking place. finning is not taking place. certainty that shark finning is post not taking place. Met? NA NA NA

Rationale

The target species is not shark. Review of alternative measures Guide 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 post and practicality of alternative and practicality of alternative and practicality of alternative measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- f 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? Yes No No

Rationale

There are mesh size regulations that ensure maximum escape of juvenile fishes. Mid water trawls should have an inner mesh size not less than 100 mm for a net of nylon and not less than 110 mm for all the other kinds of material. Mid water trawl allows pollock juveniles (less than 35 cm) to escape the net through a special insert with selective "mirror" arrangement of the mesh. Use of selective insert, which is mandatory for the midwater walleye pollock fishery, is an important solution for the improvement of the selectivity of fishing gear. Recent studies confirm the high efficiency of the applied selective insert. This meets SG 60. Though there is evidence that there are reviews of the efficiency of gear modifications in reducing juvenile catch, there is not enough evidence that there is a regular or biennial review of the same. Thus SG 80 and SG 100 are not met. References

 TINRO, 2019.  http://russianpollock.com/

MSC FCP 2.2, Reporting Template v1.2. Page 33 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) 1

MSC FCP 2.2, Reporting Template v1.2. Page 34 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.2.2 – Harvest control rules and tools 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 Guide 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 post 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 of recruitment impairment expected to keep the stock another more appropriate a (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

A well-defined HCR is in place that is consistent with the harvest strategy that aims to maintain the pollock stock at or above MSY. This is used to determine a TAC using the “precautionary principle”. Biological reference points for fishable stock (Btg and Blim) and reference points for rate of removal (Etg and Elim) are well defined and set. The TAC is calculated using projections for the fishable stock biomass for a period of two years in advance and this ensures that the stock is fluctuating around MSY and will not fall below Blim. Figure 8 shows the trend in the fishery for the past four decades and it is evident that the HCR is able to keep the fishery stable at or above the target level consistent with MSY. This meets SG 60 and SG 80. It is not evident that the HCR has taken into account the ecological role of the stock, so SG 100 is not met. HCRs robustness to uncertainty Guide The HCRs are likely to be The HCRs take account of a robust to the main wide range of uncertainties post uncertainties. including the ecological role b of the stock, and there is evidence that the HCRs are robust to the main uncertainties. Met? Yes No

Rationale

The HCR takes into account the main uncertainities of the pollock stock as it is based on the probabilistic stock assessment model (KAFKA model) with a ‘Precautionary Principle’ which predicts the stock for the next two years and a TAC is decided based on the fishable stocks forecasted. This meets SG 80. It is not sure that the HCR is taking into consideration a wide range of uncertainities and is robust to the main uncertainiites. The current HCR is based on the stock biomass of Pollock and whether it has taken into account of the ecological role of the stock is not clear. Though studies on representaitons of year classes in the catch and weight of specimen are undertaken, this is not used in HCR formation. So, SG 100 is not met. HCRs evaluation Guide There is some evidence that Available evidence Evidence clearly shows c tools used or available to indicates that the tools in use that the tools in use are post implement HCRs are are appropriate and effective effective in achieving the appropriate and effective in in achieving the exploitation exploitation levels required levels required under the

MSC FCP 2.2, Reporting Template v1.2. Page 35 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

controlling exploitation. HCRs. under the HCRs.

Met? Yes Yes Yes

Rationale

The fishery has a combination of regulatory measures to implement the TAC, like catch quotas allocated to fleet sectors, gear and mesh regulations, and time/area closures. VMS is operational is an effective tool in monitoring vessel activity including total days at sea, time spent in fishing and compliance with closed areas. Annual catches of pollock have always been within the TAC (Table 3). This meets SG 60 and 80. It is evident that TACs have not been exceeded and the target stock levels are maintained. This demonstrates that the mechanisms for maintaining exploitation levels required in the HCR are achieving the objective and this are effective. Thus SG 100 is also met. References

 TINRO, 2019.  http://russianpollock.com/

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2, Reporting Template v1.2. Page 36 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.2.3 – Information and monitoring PI 1.2.3 Relevant information is collected to support the harvest strategy Scoring Issue SG 60 SG 80 SG 100

Range of information Guide Some relevant information Sufficient relevant A comprehensive range of related to stock structure, information related to stock information (on stock post 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 the harvest strategy. and other information such as a environmental information),

including some that may not be directly related to the current harvest strategy, is available. Met? Yes Yes No

Rationale

The East Sakhalin Pollock fishery collects information from various sources to assess the state of the stocks and the amount of pollock allowable catch. For pollock of the East Sakhalin, there are long-term data on annual catch, catches per unit effort, age and length composition, rate of sexual maturation, natural mortality and catches per standard trawling on data of surveys. Data on the statistics of the pollock fishery were taken from the Industrial (Commercial) Monitoring System of the Russian Federal Fisheries Agency (IMS) for the period 2007−2019 and from archival sources of SakhNIRO for the previous period (fishing forecasts 1978−2004). The structure of fish aggregations was analyzed annually according to the results of their mass measurements and biological analyses. In total, more than 450 thousand fish specimens were measured during the period 1976–2019. Recruitment variations were studied using Beverton & Holt and Ricker stock recruitment relationships model. The influence of zooplankton on pollock recruitment is widely researched. Matrix of catch (thousands of individuals) by age (4 to 10 full years) and by year (1976–2017) is available, as well as mean multi-year values of weight, percentage of mature individuals and percentage of commercial-size individuals by age, calculated using full biological analysis (FBA) and instantaneous rates of natural mortality by age, with age determination based on otoliths. This meets SG60. The stock biomass of Sakhalin pollock is estimated using several scientific methods, like trawl survey, acoustic survey, ichthyoplankton survey and commercial CPUE. Information regarding composition of fishing fleet is collected from FFA vessel licensing system, logbooks, FSB reporting of at sea activities, scientific observers and fishery inspectors. Daily fishing activity is recorded through the VMS. Therefore SG 80 is met. Though it is evident that there is a range of information on stock structure, stock productivity, fleet composition, stock abundance and UoA removals, it is not clear that there is enough information on environmental factors, even unrelated to harvest strategy. Therefore SG 100 is not met. Monitoring Guide Stock abundance and UoA Stock abundance and UoA All information required by removals are monitored and removals are regularly the harvest control rule is post 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 b sufficient frequency to consistent with the harvest of certainty, and there is a support the harvest control control rule, and one or good understanding of 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.

MSC FCP 2.2, Reporting Template v1.2. Page 37 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Met? Yes Yes No

Rationale

Stock abundance and fishery removals are monitored annually from multiple sources of information. This meets SG 60. Several sources of information were used to assess the state of stocks and the amount of the pollock allowable catch: long-term data on annual catch and catches per unit effort for vessels of large and medium tonnage; data of bottom trawl and ichthyoplankton surveys; long-term data on the age and length composition of commercial and scientific pollock fishing. The Industrial (Commercial) Monitoring System of the Russian Federal Fisheries Agency (IMS) is collecting data from 2007 and archival data is available from SakhNIRO. Logbook data can be checked with VMS. Therefore, there is regular monitoring of stock abundance and UoA removals consistent with HCR and SG 80 is met. Even though all information needed for HCR is monitored with high frequency and accuracy, it is not clear that there is a good understanding of all the inherent uncertainities in the information. So, SG 100 is not met. Comprehensiveness of information Guide There is good information on c all other fishery removals post from the stock. Met? All elements: Yes

Rationale

The fishery removals from the pollock stock of East Sakhalin are monitored and information is available. SG 80 is met. References

 TINRO, 2019.  http://russianpollock.com/.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥ 80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2, Reporting Template v1.2. Page 38 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

PI 1.2.4 – Assessment of stock status 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 Guide The assessment is The assessment takes into appropriate for the stock and account the major features a post for the harvest control rule. relevant to the biology of the species and the nature of the UoA. Met? Yes Yes

Rationale

The assessment of the status of Pollock forsheries from East Sakhalin relies on information from both fishery dependent and independent sources to estimate stock indicators relative to precautionary reference points consistent to the management decisions. The assessment takes into account the major features of biology of the species like age structures, spawning and abundance level. Therefore SG 80 and SG 100 are met. Assessment approach Guide The assessment estimates The assessment estimates stock status relative to stock status relative to b post generic reference points reference points that are appropriate to the species appropriate to the stock and category. can be estimated. Met? Yes Yes

Rationale

The assessment estimates stock status relative to reference points appropriate to the stock with a Y/R model based on target stock data (Table 8). Therefore, SG 60 and SG 100 are met. Uncertainty in the assessment Guide The assessment identifies The assessment takes The assessment takes into major sources of uncertainty. uncertainty into account. account uncertainty and is c post evaluating stock status relative to reference points in a probabilistic way. Met? Yes Yes No

Rationale

The major uncertainity for pollock stock is recruitment variability which is taken into account in the stock assessment. The East Sakhalin pollock estimates uncertainty in current stock indicators and allows determination of the probability of spawning stock biomass and fishing mortality relative to reference points. The assessment provides the inputs and their uncertainty to a harvest control rule that determines the probability of TAC options exceeding these reference points over 2-year projection periods. Therefore, this meets SG60 and SG80. Probabilistic analysis however does not specifically assess Btr, so uncertainty of the stock relative to this key reference point is lacking and therefore SG100 is not met.

MSC FCP 2.2, Reporting Template v1.2. Page 39 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

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

Rationale

The assessment has been carried out using the KAFKA model and is shown to be robust. It is not clear whether alternate hypothesis and assessment approaches have been explored. Therefore, SG 100 is not met. Peer review of assessment Guide The assessment of stock The assessment has been e status is subject to peer internally and externally post review. peer reviewed. Met? No No

Rationale

There is no evidence that the stock status is peer reviewed internally and externally. So, SG 80 is not met. References

 Babayan V.K. Precautionary Approach to Estimating Total Allowable Catch (TAC). Analysis and recommendations for use. Moscow: VNIRO Publishing. 2000. – 190 p. [In Russian] (Бабаян В.К. Предосторожный подход к оценке общего допустимого улова (ОДУ). Анализ и рекомендации по применению. М.: Издательство ВНИРО. 2000. 190 с.).  Babayan V.K., Bobyrev A.E., Bulgakova T.I., Vasiliev D.A., Ilyin O.I., Kovalev Yu.A., Mikhailov A.I., Mikheev A.A., Petukhova N G., Safaraliev I.A., Chetyrkin A.A., Sheremetyev A.D. Methodological recommendations for the assessment of stocks of priority types of aquatic biological resources. Moscow: VNIRO Publishing. 312 p. [In Russian]. (Бабаян В.К., Бобырев А.Е., Булгакова Т.И., Васильев Д.А., Ильин О.И., Ковалев Ю.А., Михайлов А.И., Михеев А.А., Петухова Н.Г., Сафаралиев И.А., Четыркин А.А., Шереметьев А.Д. Методические рекомендации по оценке запасов приоритетных видов водных биологических ресурсов. М.: Изд-во ВНИРО. 2018. 312 с.).  http://russianpollock.com/.  Mikheev A.A, 2016. Application of the Kalman filter in the cohort model to adjust the stock estimates in the presence of unaccounted catch // Voprosy Rybolovstva. Vol. 17. No. 1. P. 568–589. [In Russian] (Михеев А.А., 2016. Применение фильтра Калмана в когортной модели для корректировки оценок запаса при наличии неучтенного вылова // Вопр.Рыболовства. Т. 17. № 1. С. 568-589.).  Pushnikov V.V, 1982. Population structure of the Sea of Okhotsk pollock and the state of its stocks. - Author's abstract. diss. for the degree of Candidate of Biological Sciences. - Moscow, 23 p. [In Russian] (Пушников В.В., 1982. Популяционная структура минтая Охотского моря и состояние его запасов. - Автореф. дисс. на соиск.уч.степ.канд.биол.наук. - М., 23 с.).  Kalman R.E. A new approach to linear filtering and prediction problems // J. Basic Eng. 1960. V. 82. P. 34–45. [In English].  TINRO, 2019.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator Information sufficient to score PI

MSC FCP 2.2, Reporting Template v1.2. Page 40 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Overall Performance Indicator scores added from Client and Peer Review Draft Report stage Overall Performance Indicator score Condition number (if relevant) 2

MSC FCP 2.2, Reporting Template v1.2. Page 41 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.2.3 Principle 1 references Babayan V.K. Precautionary Approach to Estimating Total Allowable Catch (TAC). Analysis and recommendations for use. Moscow: VNIRO Publishing. 2000. – 190 p. [In Russian] (Бабаян В.К. Предосторожный подход к оценке общего допустимого улова (ОДУ). Анализ и рекомендации по применению. М.: Издательство ВНИРО. 2000. 190 с.). Babayan V.K., Bobyrev A.E., Bulgakova T.I., Vasiliev D.A., Ilyin O.I., Kovalev Yu.A., Mikhailov A.I., Mikheev A.A., Petukhova N G., Safaraliev I.A., Chetyrkin A.A., Sheremetyev A.D. Methodological recommendations for the assessment of stocks of priority types of aquatic biological resources. Moscow: VNIRO Publishing. 312 p. [In Russian]. (Бабаян В.К., Бобырев А.Е., Булгакова Т.И., Васильев Д.А., Ильин О.И., Ковалев Ю.А., Михайлов А.И., Михеев А.А., Петухова Н.Г., Сафаралиев И.А., Четыркин А.А., Шереметьев А.Д. Методические рекомендации по оценке запасов приоритетных видов водных биологических ресурсов. М.: Изд-во ВНИРО. 2018. 312 с.). Grant et al., 2010. Shifting-balance stock structure in North Pacific walleye pollock (Gadus chalcogrammus), ICES Journal of Marine Science 67(8):1687-1696 http://russianpollock.com/about/info/ https://www.fishsource.org/stock_page/1820 https://doi.org/10.1016/S0065-2881(08)60429-0 Mikheev A.A, 2016. Application of the Kalman filter in the cohort model to adjust the stock estimates in the presence of unaccounted catch // Voprosy Rybolovstva. Vol. 17. No. 1. P. 568–589. [In Russian] (Михеев А.А., 2016. Применение фильтра Калмана в когортной модели для корректировки оценок запаса при наличии неучтенного вылова // Вопр.Рыболовства. Т. 17. № 1. С. 568-589.). Pushnikov V.V, 1982. Population structure of the Sea of Okhotsk pollock and the state of its stocks. - Author's abstract. diss. for the degree of Candidate of Biological Sciences. - Moscow, 23 p. [In Russian] (Пушников В.В., 1982. Популяционная структура минтая Охотского моря и состояние его запасов. - Автореф. дисс. на соиск.уч.степ.канд.биол.наук. - М., 23 с.). Kalman R.E. A new approach to linear filtering and prediction problems // J. Basic Eng. 1960. V. 82. P. 34–45. [In English]. Kotenev, B.N.; Glubokov, A.I., 2007. Walleye pollock Theragra chalcogramma from the Navarin region and adjacent waters of the Bering Sea: ecology, biology, and stock structure, State Committee for Fisheries of the Russian Federation, Moscow (Russian Federation); Russian Federal Research Inst. of Fisheries. Shuntov, V.P., Volkov, A.F., Temykh, O.F., Dulepova, E.P., 1993. Walleye pollock in the ecosystem of Far Eastern Seas, TINRO, Vladivostock, 426 pp. (in Russian). TINRO, 2019. (in Russian).

MSC FCP 2.2, Reporting Template v1.2. Page 42 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.2.4 Catch profiles Catch profiles are available in Tables 9 and 10.

Table 9 – Total Allowable Catch (TAC) and catch data – East Sakhalin subzone

TAC Year 2020 125,0 n, thous. tons

UoA share of TAC Year 2020 14357,184 n, tons

UoA share of total TAC Year 2020 11.866 n, %

Year (most Total green weight catch by UoC 2020 14304,840 n, tons recent)

Year (second Total green weight catch by UoC 2019 14088,391 n, tons most recent)

Table 10 – Total Allowable Catch (TAC) and catch data – East Sakhalin by companies of FSA* Name of Fishing area Year TAC, Quota of Actual total All actual company company, catch of total catch thousand company in the (of all fleet) in metric metric fishing area, the fishing tons tons / % area, metric tons thousand metric tons Fishery East Sakhalin 2016 107,0 12666,146 12660,548 105,1 Shipowners / 12.867 % Association (FSA) 2017 104,0 12309,007 8002,082 93,7 / 12.867 % 2018 107,2 12689,709 12681,183 104,7 / 12.867 % 2019 126,0 14863,443 14088,391 117,2 / 11.866 % 2020 125,0 14357,184 14304,840 115,7 / 11.866 % 2021* NA NA NA NA * Clarifying for catch profiles in Tables 9 and 10, data for 2021 will be obtained from Client within site visit.

MSC FCP 2.2, Reporting Template v1.2. Page 43 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.3 Principle 2 7.3.1 Principle 2 background 7.3.1.1 Overview of the aquatic ecosystem The SOO is a cold temperate zone Large Marine Ecosystem (LME) covering 1.6 million km2, between northern Japan and Russia2. The mean and maximum depths of this subarctic basin are around 890 m and 3,900 m respectively. It is characterised by a complex current system including three large cyclonic gyres which vary seasonally, and ice formation over considerable areas. The SOO connects to the Sea of Japan, through the Strait of Tartary and La Pérouse Strait, west and south of Sakhalin respectively. Through the Kuril Straits, it also connects with the Pacific Ocean basin. Flows between these connected waterbodies affect the hydrologic characteristics of the SOO, and the generally cyclical circulation of the SOO is a key influence structuring the ecosystem. The atmospheric conditions of the northwest Pacific are another key influence, affecting hydrography (Kim, 2012). Overall, the SOO is considered to be moderately or highly productive. Nutrients enter the system from the Amur River outflow and via water exchange with neighbouring ocean basins. Nutrients are then transported horizontally and vertically with the ocean currents and the mixing of the water column, in turn affecting primary productivity and other marine life (Radchenko, 2015). Strong tidal mixing also occurs. The SOO hosts a diverse biota. More than 60 species of seabirds, 19 species of marine mammals and over 400 fish species occur there. The epipelagic fish community is dominated by walleye pollock, with this species comprising around 56 – 72% of the biomass from the 1980s – 2000s. Northern smoothtongue (Leuroglossus schmidti) and herring have been the next most important contributors to epipelagic fish biomass over time, though at significantly lower levels (less than half of the biomass of walleye pollock at most, and sometimes significantly lower). Pacific salmon (pink Onchorhynchus gorbuscha, chum O. keta, sockeye O. nerka), capelin (Mallotus villosus), Japanese anchovy (Engraulis japonicus), Pacific sardine (Sardinops sagax), and other species are also present (Radchenko et al., 2010). Walleye pollock are both predators and prey for other ecosystem components and elements, and the species has been considered an important influence on ecosystem dynamics. Oceanographically-induced declines of walleye pollock and Japanese sardine abundance are have reportedly led to increases in zooplankton, including predatory zooplankton and the biomass of other fish species (Radchenko et al., 2010). Pollock and herring share similar diets, but do not necessarily compete (i.e. where planktonic prey are not limited). Ecosystem modelling of the SOO has been undertaken since the 1980s. Methods have included bioenergetic approaches (e.g., Shuntov and Dulepova, 1997) and Ecopath models comprising nine to almost 50 functional groups (e.g., Radchenko, 2015; Chaikina, 2020). Trophodynamic modelling conducted by K.M. Gorbatenko and I.V. Melnikov (2019) found that around 22% of annual zooplankton production was consumed, 6.2% by nekton. Of that, walleye pollock consumed 51%, while herring and squid consumed 19% and 17% respectively. As well as plankton, pollock consume small fish (including juvenile pollock), shrimps and other benthos, adapting their diet to environmental conditions. Pollock are prey for predatory fish (halibut, cod, grenadiers) and some marine mammals. I.V. Radchenko (2015) found using Ecopath modelling that the most influential groups in the SOO ecosystem were whales, detritus, phytoplankton, adult walleye pollock, euphausiids, copepods, cod and saffron cod, cephalopods, forage fish, and protozoa, and concluded that this indicated a combination of top-down, bottom-up, and mid-trophic level controls. The SOO ecosystem was considered stable, with fisheries extractions not having significant negative impacts on marine resources (Radchenko, 2015). Research on ecosystem dynamics is ongoing. Climate change impacts have been explored through modelling the Okhotsk ecosystem, finding that temperature is a significant influence on the continued functionality of the ecosystem under a changing climate. Ice cover has been below average since 2004 (Zuenko et al., 2019). Environmental changes affecting oxygen cycling are especially important. Model outputs show the top 150 m of the SOO to be the most stable with respect to ecosystem survivability, while vulnerability increases at depth (Varotsos and Krapivin, 2019). The Russian Federation joined MARPOL (the International Convention for the Prevention of Pollution from Ships) in 1958, as a Member State. Therefore, vessels must be operated such that marine pollution and waste discharge requirements are met.

7.3.1.2 Primary and Secondary Species At this ACDR stage, catch information collected through the Commercial (Industrial) System of Monitoring and based on vessel daily reports was available on primary and secondary species catch landed in the East Sakhalin subzone (2016-2020 and through to May 2021). For 2016-2020, this catch information and species classification in accordance

2 https://www.lmehub.net/#sea-of-okhotsk [Accessed 10 June 2021]

MSC FCP 2.2, Reporting Template v1.2. Page 44 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR with MSC requirements are shown in Table 12. The nature and extent of discarded catch is unclear as yet for the UoA. Preparation of additional information (including observer data) is underway, and provision of this is for the site visit is anticipated. Across SOO midwater trawl pollock fisheries that are MSC-certified or in assessment, there are few species classified as “main”. Landed catches comprising >97% of the target species are described for the UoA. In comparable pollock fisheries, Pacific herring (Clupea pallasii) has been classified as a main primary (Sieben et al., 2021) or retained species (Payne et al., 2018). Japp and Scarcella (2021) stated that herring are caught in similar quantities in the ESS as in other parts of the SOO. However, the preliminary catch information available for this ACDR reflects much lower catches of herring (quantities an order of magnitude lower than reported for these other assessed fisheries, and a mean proportion of 0.34% reported 2016-2020; Table 12), appropriate for a classification of “minor”. This will be investigated as observer data becomes available, and at the site visit. A broad range of minor species have been identified from other midwater trawl fisheries targeting walleye pollock in the SOO. Observers are tasked with quantitative and qualitative assessments of fish and invertebrate bycatch and their records reflect the range of species caught in other pollock UoAs operating in the SOO (Payne et al., 2018; Sieben et al., 2021). Based on the information available to prepare this ACDR, the Pacific herring, Pacific salmon and Pacific cod (Gadus macrocephalus) may be evaluated as primary species (Payne et al., 2018; Japp and Scarcella, 2021; Sieben et al., 2021), managed through TACs or “Possible Yield” allocations. For herring, the management regime is reported to include biologically-based reference points, and a range of informative data sources and analyses (age structure, cohort analysis, biomass surveys). Fishery closures are reported to operate to protect spawners and recruiting stock, and only companies fishing for pollock are able to obtain permits for herring (Japp and Payne, 2020; Smirnov et al., 2016; and Panfilov et al., 2017, cited by Sieben et al., 2021). Salmon and Pacific cod are assessed stocks also subject to TACs. Other management measures set out in the Fishing Rules of the Far East Fishing Basin (2019) and relevant to primary and secondary species include:  a minimum mesh size of 100 mm for nylon pollock trawls and 110 mm for all other materials (intended to help reduce the capture of small fish)  if bycatch exceeds 2% of the pollock catch in a single haul, the excess must be returned to the sea and a move-on rule implemented (the vessel must relocate >5 miles from the area in which that bycatch was taken)  time/area closures, including seasonal closures the prohibition of trawling <30 miles offshore or 5-12 miles of islands. The development of a bycatch reduction device to enhance the escape of juvenile pollock and other bycatch from the net is reported to be underway. Management measures (and associated evidence for their implementation) will be confirmed at the site visit. This will enable confirmation of the appropriate assignation of catch species to the primary and secondary categories. For example, while a TAC is applied to sculpins, it is unknown as yet whether this is linked to reference points or biologically based limits. Out of scope species that are not ETP must also be evaluated as “main”, in the secondary species category. For this ACDR, the following out of scope species have been identified using information from comparable SOO pollock fisheries (no UoA specific information on interactions with these species was provided) (Table 14). Information on biologically-based limits was not available for these species.  Horned puffin (Fratercula corniculata), tufted puffin (Lunda cirrhata): noting that these species may have been mistranslated and the genus “Puffinus” is the seabird group intended. This will be investigated at the site visit.  Okhotsk ringed seal (Phoca hispida ochotensis).  Ribbon seal (Histriophoca fasciata). Depending on the nature and extent of information that is available prior to the site visit, the Risk Based Framework (RBF) may be used to assess primary and secondary main and minor species, or, minor species may not be assessed (MSC Fisheries Certification Process PF4.1.4).

MSC FCP 2.2, Reporting Template v1.2. Page 45 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Table 11. UoA catch information (t) collected through the Commercial (Industrial) System of Monitoring, based on vessel daily reports of landed catch in the East Sakhalin subzone (2016-2020). Catch volumes showing as 0.0 t are non-zero, but less than 10 kg. (Source: Fishery client).

Catch reported 2016 2017 2018 2019 2020 Total Mean % Catch (t) % Catch (t) % Catch (t) % Catch (t) % Catch (t) % Sculpins (Cottidae) 416.7 0.39 1164.5 1.22 940.0 0.83 168.3 0.14 135.4 0.12 2824.8 0.49 Pink salmon (Onchorhynchus gorbuscha) 0.3 0.00 0.00 0.3 0.00 Flatfish 0.00 9.1 0.01 9.1 0.00 Pleuronectidae 0.0 0.00 0.00 0.5 0.00 0.5 0.00 Chum salmon (Onchorhynchus keta) 0.1 0.00 0.00 0.1 0.00 Blue king crab (Paralithodes platypus) 10.0 0.01 10.0 0.00 Blue king crab (Paralithodes platypus) 23.1 0.02 23.1 0.00 Spiny lobster (Lebbeus groenlandicus) 0.00 0.7 0.00 0.7 0.00 Sea cucumber (Cucumaria sp.) 5.8 0.01 0.00 5.8 0.00 Walleye pollock (Gadus chalcogrammus; target species) 104478.9 96.76 93665.0 98.37 112486.2 99.17 115630.1 99.58 110501.2 99.84 573248.5 98.85 Saffron cod (Eleginus gracilis) 1804.5 1.67 0.00 1.7 0.00 1.1 0.00 1807.4 0.31 Pacific herring (Clupea pallassii) 1270.6 1.18 354.5 0.37 321.2 0.28 11.2 0.01 1957.6 0.34 Pacific cod (Gadus macrocephalus) 0.00 15.4 0.01 15.4 0.00 Chinook salmon (Onchorhynchus tchawytcha) 0.0 0.00 0.00 0.0 0.00 Total 107976.8 100.0 95217.1 100.0 113428.4 100.0 116119.6 100.0 110674.1 100.0 579903.2 100.00

MSC FCP 2.2, Reporting Template v1.2. Page 46 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

7.3.1.3 Endangered, Threatened and Protected Species In relation to management of ETP, the Russian Federation is a member or contracting party to the following:  Convention on International Trade in Endangered Species (CITES)  International Whaling Commission (IWC)  International Union for the Conservation of Nature and Natural Resources (IUCN) In addition, Russia is a Range State of the Agreement on the Conservation of Albatrosses and Petrels (ACAP). Three ACAP-listed species are known to occur in the SOO (Laysan albatross (Phoebastria immutabilis), black-footed albatross (Phoebastria nigripes) and short-tailed albatross (Phoebastria albatrus)). In Russia, ETP are protected in accordance with Federal Law No. 52 “On Fauna”. The Red Data Book of the Russian Federation underpins the federal-level ETP legislation3. The official protected species list was revised most recently in April 2020. The Ministry of Natural Resources and Environment holds responsibility for the list. Regional red lists are also maintained and ETP listed by the IUCN are protected (Payne et al., 2018). For this ACDR, no UoA-specific ETP interaction information was available. Provision of this is anticipated for the site visit. In other assessed SOO pollock fisheries, while ETP reported from comparable SOO pollock fisheries is shown in Ошибка! Источник ссылки не найден.. Steller sea lion (Eumetopias jubatus) and short-tailed albatross have been ETP of particular interest in SOO pollock fisheries over time (Payne et al., 2018). A significant body of work on ETP interactions was undertaken to meet Conditions raised in the initial assessment of the Sea of Okhotsk pollock fishery completed in 2013 (Intertek, 2013). Steller sea lions feed on fisheries waste around vessels, and bycatch events resulting in mortalities have been reported. The frequency of such interactions may be affected by the proximity of trawling to sea lion rookeries. Historic changes in sea lion abundance (1960s-1970s) pre-date the pollock fishery in the SOO (Shuntov, 1986, cited in Payne et al., 2018). Abundance of the SOO population of this species is reported to have increased, from around 2,000 animals in the 1960s to 5,000 in 2005 (Burkanov et al., 2011, cited in Sieben et al., 2021). As in other trawl fisheries, seabirds may be injured or killed in pollock fisheries when struck by trawl warps exposed while nets are deployed (e.g. Abraham and Thompson, 2009), and on collision with netsonde cables (Melvin et al., 2010). The occurrence of such interactions has been shown to increase when fish processing waste is being discharged, facilitated by the formation of seabird aggregations around vessels (Abraham et al., 2009; Pierre et al., 2012). In another SOO pollock UoA, strikes on both trawl warps and echosounder cables have been documented, involving fulmars and slaty-backed gulls. Injury and mortality were not observed. Artyukhin (2020, cited by Japp and Payne, 2020) reported that when trawlers are operating in ice, the exposed length of cables is reduced because fishers work to submerge cables to ameliorate ice damage. This resulted in a lower cable strike risk for seabirds. Voluntary measures to reduce the risk of cable strikes are considered unlikely to be implemented without economic benefits for fishers. (The testing or implementation of seabird bycatch mitigation measures to reduce cable strikes and mortalities was recommended for another certified SOO pollock fishery, within the term of the current certificate (Payne et al., 2018)). Bycatch of seabirds in trawl nets has been reported to be an unusual event. Seasonal differences in the extent of seabird mortalities resulting from trawl fishing were considered likely, while Artyukhin’s overall conclusion was that SOO seabird populations would not experience significant negative impacts due to these fishery interactions (Artyukhin, 2020, cited by Japp and Payne, 2020). Reporting sightings of the short-tailed albatross is mandatory for pollock fishing vessels. Given the species’ Endangered status, reported sightings would not be expected often. However, birds are known to occur off Sakhalin as well as other SOO locations (e.g., Gluschenko et al., 2015; Artyukhin, 2015, cited in Payne et al., 2018). Other ETP species that have been considered in SOO pollock fishery assessment processes have included sea otters (Enhydra lutris; not impacted given the offshore fishing locations used by the UoA), sleeper sharks (a single bycaught animal reported in Intertek, 2013), and grey whales (Eschrichtius robustus; sightings reported, Japp and Scarcella, 2021). C. Sieben et al. (2021) presented a table of seabird and marine mammal interactions with the SOO midwater trawl pollock fishery, based on TINRO data provided to them (Table 14). Measures to be applied when pollock fishing vessels encounter a single animal or group of cetaceans include the following. These measures are understood to be voluntary and will be investigated further at the site visit.  Observing the animal(s)

3 https://redbookrf.ru/ [Accessed 15 June 2021]

MSC FCP 2.2, Reporting Template v1.2. Page 47 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

 Recording the time and coordinates of the encounter in the vessel log  Photographing the animals to enable subsequent photo identification to be conducted  Reporting the encounter to other vessels in the area  Travelling at slow speeds and allowing the animal(s) to pass the vessel  Not approaching within 100 m  Not trawling in the vicinity  Not crossing the animals’ direction of travel or otherwise directing the vessel towards them  Not remaining around cetaceans for extended periods  Not travelling at high speeds or creating a risk of collision When marine mammals are caught in a trawl, they must be returned to the water as soon as possible so their survival is maximised. If dead, bycaught marine mammals should be photographed before being returned to the sea, and an entry recorded in the vessel log. Sea lions are not to be fed. Information collected is to be provided to TINRO. Observers are tasked with recording marine mammal and seabird interactions and potential mortality from fishing operations. Observer monitoring in place in the UoA will be investigated at the site visit. The Fishing Rules define areas closed to fishing designated to protect marine mammals and key foraging habitats (e.g. Steller sea lion rookeries and haul-out areas occur in the Kuril and Magadan reserves (Sieben et al., 2021)). Indirect effects on ETP may include:  Effects on trophodynamics (due to the removal of target, primary and secondary species)  Provisioning (i.e. when ETP forage on fish waste discharged from vessels, e.g. seabirds and Steller sea lions), noting that larger vessels produce fishmeal, which limits the amount of processing waste discarded.  Vessel strikes Depending on the nature and extent of information that is available prior to the site visit, the RBF may be used to assess ETP interactions with the UoA.

Table 12 – ETP and out-of-scope species reported to interact with Sea of Okhotsk pollock midwater trawl fisheries. Classifications by the International Union for the Conservation of Nature and Natural Resources (IUCN) and the Red Data Book of the Russian Federation (RRDB) are shown. ACAP is the Agreement on the Conservation of Albatrosses and Petrels. (Sources include references therein). Species Classification Source Cetaceans Minke whale (Balaenoptera acutorostrata) ETP: IUCN Least Concern Payne and Japp 2020 Pinnipeds Steller sea lion (Eumetopias jubatus) ETP: RRDB Category 2 Payne et al. 2018 Decreasing IUCN Not Threatened Ringed seal (Phoca hispida) Secondary main Sieben et al. 2021 IUCN Least Concern Ribbon seal Secondary main Payne and Japp 2020 (Histriophoca fasciata) IUCN Least Concern Seabirds Short-tailed albatross ETP: IUCN Vulnerable Payne et al. 2018 (Phoebastria albatrus) RRDB Category 1 Endangered

MSC FCP 2.2, Reporting Template v1.2. Page 48 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

ACAP Annex 1 Northern fulmar Secondary main Artyukhin 2015 cited in Payne and (Fulmarus glacialis) Japp 2020; Artyukhin 2015, 2020 cited IUCN Least Concern in Sieben et al. 2021 Slaty-backed gull Secondary main Payne and Japp 2020 (Larus schistisagus) IUCN Least Concern Horned puffin Secondary main Sieben et al. 2021 (Fratercula corniculata) IUCN Least Concern Tufted puffin (Lunda cirrhata) Secondary main Sieben et al. 2021 IUCN Least Concern Puffinus species? To be confirmed Sieben et al. 2021

Table 13 – Observed seabird and marine mammal encounters in the SOO midwater trawl pollock fishery based on TINRO data and presented in Sieben et al. (2021). Note that both out-of-scope secondary main species and ETP species are shown.

7.3.1.4 Habitats The fishery generally operates at depths of 200-300 m, landing catch using midwater trawls. On that basis, habitat impacts will be limited to transient effects of gear passing through the water column and any lost gear. The location of the net in the water column, and in relation to the substrate, is monitored electronically. Observers deployed on other pollock midwater trawl vessels report nets operating 3 – 10 m above the seabed (Payne et al., 2018). Demersal trawling is prohibited in by the Fishing Rules of the Far East Fishing Basin (2019) and spatial restrictions on fishing provide additional mitigation of habitat impacts. The detection of benthic species in the trawl catch has been considered an indication of the trawl contacting the seafloor. The locations of VME-indicator species have been reported using information collected from trawl (research) surveys (references in Payne et al., 2018), while VMEs have not been designated. A harmonised CAB approach to VMEs was determined in January 2021, that is, VMEs meeting the MSC definition have not been designated in Far Eastern waters. How gear encounters with the seabed are monitored, and the nature of any interactions, will be investigated further at the site visit. At this ACDR stage, any benthic habitats that may be encountered are considered ‘minor’. There is no information available for this assessment on lost gear in this UoA. However, some indicative information may be available from observer reports. By comparison, the loss of midwater trawl gear is less likely to occur than for demersal trawl gear, which can more readily snag on the substrate. Gear loss is disincentivised by replacement cost. The extent of gear loss will be investigated at the site visit.

MSC FCP 2.2, Reporting Template v1.2. Page 49 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

The water column is identified as the only commonly encountered habitat. Minor habitats (which would be encountered if the gear did contact the seabed) will be investigated at the site visit.

7.3.1.5 Cumulative impacts Cumulative impacts of MSC UoAs on P2 components require consideration as follows:  The cumulative impact of overlapping MSC UoAs hinders the recovery of primary main species  Two or more UoAs have catches of secondary main species that are considerable  For ETP species, the combined impacts of MSC UoAs must be evaluated where either national and/or international requirements set catch limits for these species. At this ACDR stage, no main primary species have been identified. Potential main secondary species have been identified, and these would require consideration with overlapping UoAs. There are no national or international limits set for ETP species. See Appendix Ошибка! Источник ссылки не найден. for additional information on harmonisation with other UoAs.

Table 14 – Scoring elements identified for this Announcement Comment Draft Report. Note that species identified and/or their categorisation require confirmation at the site visit. Additional primary, secondary and ETP species may also be added as scoring elements. Note that “Data-deficient” in this context indicates the potential requirement of the MSC Risk Based Framework to assess Outcome Performance Indicators. TBC = To be confirmed (at or before the site visit).

Component Scoring elements Designation Data-deficient

Walleye pollock P1 (target species) No (Gadus chalcogrammus)

Chum salmon Primary Minor No? (Onchorhynchus keta)

Pink salmon Primary Minor No? (Onchorhynchus gorbuscha)

Chinook salmon Primary (Onchorhynchus Minor No? tchawytcha)

Pacific cod (Gadus Primary Minor No macrocephalus)

Pacific herring (Clupea Primary Minor No pallassii)

Secondary Ringed seal (Phoca hispida) Main Yes

Ribbon seal Secondary Main Yes (Histriophoca fasciata)

Northern fulmar Secondary Main Yes (Fulmarus glacialis)

Slaty-backed gull Secondary Main Yes (Larus schistisagus)

Horned puffin Secondary Main Yes (Fratercula corniculata)

MSC FCP 2.2, Reporting Template v1.2. Page 50 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl ACDR

Tufted puffin Secondary Main Yes (Lunda cirrhata)

Secondary/ETP Puffinus sp.? Main (if Secondary) TBC

Secondary Flatfish Minor Yes

Secondary Sculpins Minor Yes

Blue king crab Secondary Minor Yes (Paralithodes platypus)

Spiny lobster Secondary Minor Yes (Lebbeus groenlandicus)

Sea cucumber (Cucumaria Secondary Minor Yes spp.)

Saffron cod (Eleginus Secondary Minor Yes gracilis)

Minke whale ETP No (Balaenoptera acutorostrata)

Steller sea lion (Eumetopias ETP No jubatus)

Short-tailed albatross ETP TBC (Phoebastria albatrus)

Habitats Water column Commonly Encountered No

Seabed habitats contacted Habitats Minor No by fishing gear (TBC)

MSC FCP 2.2, Reporting Template v1.2. Page 51 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

7.3.2 Principle 2 Performance Indicator scores and rationales PI 2.1.1 – Primary species outcome PI 2.1.1 The UoA aims to maintain primary species above the point where recruitment would be 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 Guide 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 post PRI. species are above the PRI

and are fluctuating around a

OR level consistent with MSY. OR

If the species is below the PRI, the UoA has measures If the species is below the a in place that are expected to PRI, there is either evidence 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

Based on the information available for this ACDR, there are no main primary species in the UoA catch. Therefore, this Scoring Issue is not scored. If data deficient main species are identified when UoA-specific observer information becomes available, the RBF would be required to score those species for this PI. Minor primary species stock status Guide Minor primary species are highly likely to be above the post PRI.

OR b If below the PRI, there is evidence that the UoA does not hinder the recovery and rebuilding of minor primary species. Met? No

Rationale

MSC FCP 2.2 Template CRV2 Page 52 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Pacific herring, cod and salmon are identified as primary minor species based on the information available for this ACDR. These all comprise <0.4% of landed catch. Additional minor species may be identified when UoA-specific observer information becomes available. Stock status information on primary species is required for this Scoring Issue. Additional information is requested, and SG100 is not considered met currently. Depending on the nature and extent of information that is available, the RBF may be required to assess data deficient primary minor species, or, minor species may not be assessed (MSC Fisheries Certification Process PF4.1.4). References

 Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator More information required UoA-specific observer information Stock status information for primary species

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 53 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.1.2 – Primary species management strategy PI 2.1.2 There is a strategy in place that is designed to maintain or to not hinder rebuilding of 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 Guide 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 post are expected to maintain or to necessary, that is expected to main and minor primary not hinder rebuilding of the maintain or to not hinder species. main primary species at/to rebuilding of the main primary a 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

There are no main primary species identified in the catch information provided. Therefore, SG60 and SG80 are met by default. For herring, the management regime is reported to include biologically-based reference points, and a range of informative data sources and analyses (age structure, cohort analysis, biomass surveys). Fishery closures are reported to operate to protect spawners and recruiting stock, and only companies fishing for pollock are able to obtain permits for herring. Salmon and Pacific cod are subject to TACs, and further information is sought on how those are set. Other management measures set out in the Fishing Rules of the Far East Fishing Basin (2019) which may be relevant to primary species include:  a minimum mesh size of 100 mm for nylon pollock trawls and 110 mm for all other materials (intended to help reduce the capture of small fish)  time/area closures  move-on rules  prohibition of trawling <30 miles offshore or 5-12 miles of islands. Additional information is sought to inform this Scoring Issue.

Management strategy evaluation Guide 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 post plausible argument (e.g., measures/partial strategy will strategy/strategy will work, b general experience, theory or work, based on some based on information directly 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

MSC FCP 2.2 Template CRV2 Page 54 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

There are no main species based on information available for this ACDR. Therefore, SG60 and SG80 are met by default. Additional information is required on management of primary minor species to determine whether SG100 is met. Therefore, this Scoring Issue is scored as not met on a precautionary basis. Management strategy implementation Guide There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is post is being implemented being implemented c successfully. successfully and is achieving its overall objective as set out in scoring issue (a). Met? Yes No

Rationale

There are no main primary species based on information available for this ACDR. Therefore, SG80 is met by default. Additional information is required on primary minor species to determine whether SG100 is met. Therefore, this Scoring Issue is scored as not met on a precautionary basis. Shark finning Guide It is likely that shark finning is It is highly likely that shark There is a high degree of d not taking place. finning is not taking place. certainty that shark finning is post not taking place. Met? NA NA NA

Rationale

There are no primary species identified that are sharks. This Scoring Issue is not scored. Review of alternative measures Guide 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 post practicality of alternative and practicality of alternative and practicality of alternative measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- e 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? Yes Yes No

Rationale

There are no main primary species based on information available for this ACDR. Therefore, SG60 and SG80 are met by default. There is no information available for this ACDR on unwanted catch of primary minor species. Therefore, SG100 is not met. References

MSC FCP 2.2 Template CRV2 Page 55 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

 Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator More information required Management information on primary species Information on unwanted catch of primary species

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 56 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.1.3 – Primary species information PI 2.1.3 Information on the nature and extent of primary species is adequate to determine the 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 Guide Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is available and is adequate available and is adequate to post 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.

OR OR a 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? NA NA NA

Rationale

Based on the information available for this ACDR, there are no main primary species in the UoA catch. Therefore, this Scoring Issue is not score. Information adequacy for assessment of impact on minor primary species Guide Some quantitative information is adequate to estimate the b post impact of the UoA on minor primary species with respect to status. Met? Yes

Rationale

Catch quantity is recorded for minor primary species. Further, the status of these stocks is quantitatively assessed (to be confirmed at the site visit). On that basis, some quantitative information is adequate to estimate the impact of the UoA on minor primary species with respect to status and SG100 is met. Information adequacy for management strategy Guide 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 c post main primary species. manage main primary all primary species, and species. evaluate with a high degree of certainty whether the strategy is achieving its objective.

MSC FCP 2.2 Template CRV2 Page 57 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Met? Yes Yes No

Rationale

There are no primary main species identified, therefore, SG60 and SG80 are met by default. Additional information (e.g. recent primary species stock assessments) is required to confirm that information is adequate to support a strategy to manage all primary species, and evaluate with a high degree of certainty whether the strategy is achieving its objective. At this ACDR stage, SG100 is not met and further information is sought. References

 Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator More information required Stock assessment or other appropriate information to inform scoring of 2.1.3(c).

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 58 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.2.1 – Secondary species outcome PI 2.2.1 The UoA aims to maintain secondary species above a biologically based limit and does 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 Guide 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 post 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 recovery and rebuilding. 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? No No No

Rationale

No UoA-specific information on interactions with out of scope main secondary species was available for this ACDR. Out of scope main secondary species identified from other SOO UoAs include seabirds (northern fulmar, slaty-backed gull) and marine mammals (ringed and ribbon seal). Further, puffins and/or Puffinus species may be included. Information on biologically based limits for these species is not available. SG 60 is not met. It is expected that the use of the RBF will be required to score these species. No other main secondary species were identified in the information available. Minor secondary species stock status Guide Minor secondary species are highly likely to be above b post biologically based limits.

MSC FCP 2.2 Template CRV2 Page 59 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

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

Rationale

For the known secondary species, information on status with respect to biologically based limits is not available. Further, based on reports from other SOO pollock midwater trawl fisheries, UoA-specific observer data is expected to identify a large number of additional secondary minor species. SG100 is not met currently. Depending on the nature and extent of information that is available, the RBF may be required to assess data deficient secondary minor species, or, minor species may not be assessed (MSC Fisheries Certification Process PF4.1.4). References

 Intertek. 2013. Russian Sea of Okhotsk mid-water trawl walleye pollock (Theragra chalcogramma) fishery. Public Certification Report. Intertek Moody Marine.  Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range <60 RBF required Information gap indicator UoA-specific observer information on main and minor secondary species, including out of scope main secondary species Information on the status of secondary species identified

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

Condition number (if relevant) 3

MSC FCP 2.2 Template CRV2 Page 60 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.2.2 – Secondary species management strategy PI 2.2.2 There is a strategy in place for managing secondary species that is designed to maintain 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 Guide 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 post expected to maintain or not UoA that is expected to main and minor secondary hinder rebuilding of main maintain or not hinder species. secondary species at/to levels rebuilding of main secondary a 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

For the main secondary species identified, information available from other pollock midwater trawl UoAs indicates that the operational approach of the fishery results in low levels of captures expected to maintain or not hinder recovery or rebuilding of main secondary species populations. Observers document seabird and marine mammal bycatch, and some spatial protection is in place (trawling is prohibited <30 miles offshore or 5-12 miles of islands). Status of out of scope species is reviewed regulatory and protection provisions updated as new relevant information becomes available. SG60 and SG80 are met. For minor secondary species, management measures set out in the Fishing Rules of the Far East Fishing Basin (2019) which may be relevant include:  a minimum mesh size of 100 mm for nylon pollock trawls and 110 mm for all other materials (intended to help reduce the capture of small fish)  time/area closures  move-on rules  prohibition of trawling <30 miles offshore or 5-12 miles of islands. Elements of a strategy are present that meet the requirements of the MSC definition: a cohesive and strategic arrangement which may comprise one or more measures, an understanding of how it/they work to achieve an outcome and which should be designed to manage impact on that component specifically. A strategy needs to be appropriate to the scale, intensity and cultural context of the fishery and should contain mechanisms for the modification fishing practices in the light of the identification of unacceptable impacts. Further information is sought on how the measures in place specifically relate to the main and minor secondary species caught in the UoA. While that is under investigation, SG100 is not met. Management strategy evaluation Guide 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 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 comparison with similar information directly about the about the UoA and/or species UoAs/species). UoA and/or species involved. involved.

MSC FCP 2.2 Template CRV2 Page 61 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Met? Yes Yes No

Rationale

Information reported from other pollock midwater trawl UoAs provides an objective basis for confidence that the measures/partial strategy will work for main secondary species. Observers onboard vessels record interactions and the information available shows that these occur at low levels. UoA-specific information will be investigated at the site visit. Testing does not appear to have occurred for main or minor species. SG60 and SG80 are met. SG100 is not. Management strategy implementation Guide There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is post is being implemented being implemented c successfully. successfully and is achieving its objective as set out in scoring issue (a). Met? No No

Rationale

There is no information available for the UoA specifically, to show that the measures/partial strategy is being implemented successfully (e.g. as could be derived from observer information for the UoA). SG80 and SG100 are not met. This will be investigated further at the site visit. Shark finning Guide It is likely that shark finning is It is highly likely that shark There is a high degree of d not taking place. finning is not taking place. certainty that shark finning is post not taking place. Met? NA NA NA

Rationale

Sharks are not included in the catch information received to date. On that basis, this scoring issue is not relevant and therefore not scored. This will be investigated further at the site visit. Review of alternative measures to minimise mortality of unwanted catch Guide There is a review of the There is a regular review of There is a biennial review of post potential effectiveness and the potential effectiveness the potential effectiveness practicality of alternative and practicality of alternative and practicality of alternative measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- e 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 No No

Rationale

MSC FCP 2.2 Template CRV2 Page 62 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR going to meal, rather than being discharged from the vessel). In other UoAs, it is reported that transitioning the fleet to more modern vessels that process fish waste onboard (thereby eliminating any discarding) is underway. The extent of UoA-specific consideration of the implementation of measures to minimise mortality of main secondary species is not clear as yet, and therefore on a precautionary basis, SG80 is scored as not met. This will be investigated further at the site visit. A biennial review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of unwanted catch of all secondary species does not appear to occur in the UoA. This will also be investigated at the site visit. References

 Japp, D. and Payne, A. 2020. Russia Sea of Okhotsk pollock. Second Surveillance Report. Lloyd’s Register.  Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information required Information on how some elements of the management strategy in place specifically relate to main and minor secondary species. Evidence that the measures/partial strategy is being implemented successfully. Information to determine whether there is regular review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of unwanted catch of main and minor secondary species, and measures are implemented as appropriate.

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

Condition number (if relevant) 4

MSC FCP 2.2 Template CRV2 Page 63 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.2.3 – Secondary species information PI 2.2.3 Information on the nature and amount of secondary species taken is adequate to 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 Guide Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is available and adequate to available and adequate to post 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 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? No No No

Rationale

Information on main secondary species that may be caught in the UoA has been drawn from other assessment processes. Provision of UoA-specific observer information is requested. Out of scope main secondary species include seabirds and marine mammals. Currently, SG60, SG80 and SG100 are not met, on the basis of the UoA-specific information available. It is likely that if the RBF is used to score these species at 2.2.1, there would be some quantitative information available and adequate to assess productivity and susceptibility attributes. Information adequacy for assessment of impacts on minor secondary species Guide Some quantitative information is adequate to estimate the b post impact of the UoA on minor secondary species with respect to status. Met? No

Rationale

While catch information available included some secondary species, UoA-specific observer information was not available for this ACDR. Based on information reported from other SOO pollock midwater trawl UoAs, observer information is expected to include a significant number of secondary minor species. It is considered unlikely that status information would be available for all of these. Currently, SG100 is not met. This will be investigated further at the site visit.

MSC FCP 2.2 Template CRV2 Page 64 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Information adequacy for management strategy Guide 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 post main secondary species. manage main secondary all secondary species, and c species. evaluate with a high degree of certainty whether the strategy is achieving its objective. Met? Yes No No Rationale

Main secondary species are likely to include pinnipeds and seabirds, based on findings in other SOO pollock midwater trawl UoAs. Information is adequate to support measures to manage trawl interactions with such species. SG60 is met. A partial strategy includes the requirements of an understanding of how the strategic elements work to achieve an outcome and an awareness of the need to change the measures should they cease to be effective. Without clarity about the main secondary species interactions occurring in the UoA, it cannot be concluded that information is adequate to support the partial strategy as required. SG80 and SG100 are not met. This will be investigated further at the site visit. References

 Japp, D. and Payne, A. 2020. Russia Sea of Okhotsk pollock. Second Surveillance Report. Lloyd’s Register.  Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L. and Japp, D.W. 2019. Russia Sea of Okhotsk Pollock. Surveillance Report (first surveillance). Acoura Marine.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range <60 The RBF may be used at 2.2.1, thereby influencing scoring at 2.2.3a. Information gap indicator More information required UoA-specific information on out of scope main secondary species UoA-specific observer information Information on the status of secondary main and minor species Information supporting management measures in place for main secondary species for this UoA

Overall Performance Indicator scores added from Client and Peer Review Draft Report stage Overall Performance Indicator score Condition number (if relevant) 5

MSC FCP 2.2 Template CRV2 Page 65 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.3.1 – ETP species outcome PI 2.3.1 The UoA meets national and international requirements for the protection of ETP species 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 Guide Where national and/or Where national and/or Where national and/or international requirements set international requirements set international requirements set post limits for ETP species, the limits for ETP species, the limits for ETP species, there a effects of the UoA on the combined effects of the is a high degree of certainty 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

There are no ETP species identified for which national or interational limits apply. This Scoring Issue is not scored. Direct effects Guide Known direct effects of the Direct effects of the UoA are There is a high degree of UoA are likely to not hinder highly likely to not hinder confidence that there are no b post recovery of ETP species. recovery of ETP species. significant detrimental direct effects of the UoA on

ETP species. Met? No No No

Rationale

At this ACDR stage, there is no UoA-specific ETP interaction information available. Therefore, assessment of known direct effects of the UoA is constrainted. Based on information available for another pollock midwater trawl UoA operating in the ESS, ETP species that would require consideration are Steller sea lions and short-tailed albatross. A single interaction with a minke whale has also been recorded. In that assessment, consideration of these species has resulted in SG80 being met. This will be investigated further at the site visit. Based on the UoA-specific information available, SG60, SG80 and SG100 cannot currently be scored. The RBF may be required to score this PI. Indirect effects Guide Indirect effects have been There is a high degree of considered for the UoA and confidence that there are no c post are thought to be highly significant detrimental likely to not create indirect effects of the UoA unacceptable impacts. on ETP species. Met? No No

Rationale

Information on the ETP species that interact with the UoA is required to score this Scoring Issue, and on that basis, SG80 and SG100 are not currently met. However, it is noted that for another pollock midwater trawl UoA operating

MSC FCP 2.2 Template CRV2 Page 66 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR in the ESS, SG80 was met. If there are not unique UoA-specific impacts, that scoring would also be expected to apply here. If the RBF is used to score elements for this PI, this Scoring Issue would not be scored for those elements. References

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range <60 RBF may be required for some/all scoring elements Information gap indicator More information required Information on UoA interactions with ETP

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

Condition number (if relevant) 6

MSC FCP 2.2 Template CRV2 Page 67 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.3.2 – ETP species management strategy PI 2.3.2 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.

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) Guide 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 post mortality of ETP species, and impact on ETP species, managing the UoA’s impact are expected to be highly including measures to on ETP species, including a likely to achieve national and minimise mortality, which is measures to minimise 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? Yes Yes No

Rationale

Species protection is provided for by Federal Law No. 52 “On Fauna” in Russia, and these species are identified in the Red Book of the Russian Federation. Russia is a member of CITES, IWC, IUCN, MARPOL and a Range State for ACAP. For the ETP considered likely to interact with the fishery based on other SOO pollock midwater trawl UoAs (Steller sea lions, short-tailed albatross, cetaceans), the following management measures apply:  observers deployed in pollock fisheries record interactions with seabirds and marine mammals, including mortalities  evidenced by other pollock midwater trawl UoAs, the operational approach of the fishery invokes levels of interactions with ETP that are expected to to be highly likely to achieve national and international requirements for the protection of ETP species.  the Kuril and Magadan reserves contribute to protection of Steller sea lion at their rookeries and haul out sites, and trawling is not permitted within 30 nm of these sites  a suite of measures is set out for managing cetacean encounters, including recording and reporting the encounter, reducing vessel speed, and not trawling in the vicinity  reporting sightings of the short-tailed albatross is mandatory  sea lions are not to be fed deliberately (noting their attraction to feed on fishery waste)  the fleet is transitioning to vessels that do not discharge fish processing waste, which will reduce ETP attraction to fishing operations and therefore capture and injury risks. UoA-specific information is not available for this ACDR, including mechanisms for the modification fishing practices in the light of the identification of unacceptable impacts. If additional ETP species are identified from UoA-specific information, management applying to those elements will require additional consideration. This will be investigated further at the site visit. On the basis of the information available, SG60 and SG80 are met. A comprehensive strategy (“a complete and tested strategy made up of linked monitoring, analyses, and management measures and responses”, MSC Fisheries Standard, Table SA8) is not in place. SG100 is not met.

MSC FCP 2.2 Template CRV2 Page 68 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Management strategy in place (alternative) Guide 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 post the UoA does not hinder the UoA does not hinder the managing ETP species, to b recovery of ETP species. recovery of ETP species. ensure the UoA does not hinder the recovery of ETP species. Met? NA NA NA

Rationale

Scoring Issue (a) is scored. Therefore, Scoring Issue (b) is not. Management strategy evaluation Guide The measures are There is an objective basis The strategy/comprehensive considered likely to work, for confidence that the strategy is mainly based on post based on plausible measures/strategy will work, information directly about the argument (e.g., general based on information directly fishery and/or species c 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 No

Rationale

Information available for the species and other pollock UoAs provide an objective basis for confidence that the measures/partial strategy will work. The SOO subpopulation of Steller sea lion is reported to have increased in the timeframe since the pollock fishery started in this area (from around 2,000 animals in the 1960s to 5,000 in 2005). Observer reports include captures of 4 animals in the SOO midwater trawl pollock fishery with observer coverage reported at approximately 15%. For cetaceans, sightings and a single mortality have been reported in other UoAs. For short-tailed albatross, UoA risks involve cable strikes and net captures. Reporting of short-tailed albatorss sightings is required and observer information would be expected to document instances of birds bycaught and landed on the vessel (noting that this does not necessarily reflect the full extent of interactions). The fleet transitioning to vessels that do not discharge processing waste will effectively reduce cable strike risks as fishing operations will be less attractive to foraging birds. The timeframe for this in the UoA will be confirmed at the site visit. SG60 and SG80 are met. Recent quantitative analysis to support the efficacy of the strategy, and UoA-specific observer information, were not available for this ACDR stage. SG100 is not met. Management strategy implementation Guide There is some evidence that There is clear evidence that the measures/strategy is the strategy/comprehensive post being implemented strategy is being implemented d successfully. successfully and is achieving its objective as set out in scoring issue (a) or (b). Met? No No

Rationale

UoA-specific observer information was not available for this ACDR stage, and this is requested. Information on compliance with trawling restrictions (i.e. offshore from rookeries and in key foraging areas) could also inform this Scoring Issue. SG80 is not met.

MSC FCP 2.2 Template CRV2 Page 69 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Review of alternative measures to minimise mortality of ETP species Guide 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 post practicality of alternative and practicality of alternative and practicality of alternative e measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- 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 No No

Rationale

In other SOO pollock UoAs, seabird strikes on trawl warps and echosounder cables have been observed, involving fulmars and slaty-backed gulls. Injury and mortality were not detected. Voluntary measures to reduce the risk of these cable strikes were considered unlikely to be implemented without economic benefits for fishers, and there is an awareness of tested measures being available. SG60 is met. Discarded fish processing waste is recognised as an attractant to seabirds and pinnipeds, which increases the likelihood of these species interacting with the fishing gear. In other UoAs, it is reported that transitioning the fleet to more modern vessels that process fish waste onboard (thereby eliminating any discarding) is underway. In another SOO pollock midwater trawl UoA, the review of observer information is also documented, while such information was not available for this ACDR. The extent of UoA-specific consideration of the implementation of measures to minimise mortality of ETP is not clear as yet, and therefore on a precautionary basis, SG80 is scored as not met. This will be investigated further at the site visit. Evidence of a biennial review of the potential effectiveness and practicality of alternative measures to minimise UoA- related mortality of unwanted catch of ETP does not appear to be available for the UoA. This will also be investigated at the site visit. References

 Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Pierre, J.P., Abraham, E.R., Cleal, J. and Middleton, D.A.J. 2012. Controlling trawler waste discharge to reduce seabird mortality. Fisheries Research 131-133: 30-38.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information required UoA-specific information on ETP management in place, and evidence of implementation As per the MSC definition of “strategy”, mechanisms for the modification fishing practices in the light of the identification of unacceptable impacts Information to determine whether there is regular review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of ETP species, and measures are implemented as appropriate

MSC FCP 2.2 Template CRV2 Page 70 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

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

Condition number (if relevant) 7

MSC FCP 2.2 Template CRV2 Page 71 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.3.3 – ETP species information PI 2.3.3 Relevant information is collected to support the management of UoA impacts on ETP species, including: - 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 Guide Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is adequate to assess the available to assess with a post 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

threat to protection and injuries and the OR recovery of the ETP species. consequences for the status of ETP species. a If RBF is used to score PI OR 2.3.1 for the UoA:

Qualitative information is If RBF is used to score PI adequate to estimate 2.3.1 for the UoA: productivity and susceptibility attributes for Some quantitative information ETP species. is adequate to assess productivity and susceptibility attributes for ETP species. Met? Yes No No

Rationale

Qualitative information is adequate to estimate the UoA related mortality on ETP species, based on reported interactions among other assessed UoAs recently and under previous MSC assessment cycles. Life history information is also available for ETP species. SG60 is met. Quantitative information was not available for this ACDR to adequately assess the UoA related mortality and impact, e.g., information collected by at-sea observers. SG80 and SG100 are not met. The RBF may require consideration here, if used at 2.3.1. Information adequacy for management strategy Guide Information is adequate to Information is adequate to Information is adequate to support measures to measure trends and support support a comprehensive post manage the impacts on ETP a strategy to manage strategy to manage impacts, b species. impacts on ETP species. minimise mortality and injury of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives.

MSC FCP 2.2 Template CRV2 Page 72 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Met? Yes No No

Rationale

Information available from the literature and other pollock midwater trawl UoAs is adequate to support measures to manage the impacts on ETP species. SG60 is met. UoA-specific information available for this ACDR was not adequate to measure trends to support a strategy to manage impacts. SG80 is not met. However, based on the findings for previous SOO pollock midwater trawl UoAs, it is anticipated that SG80 would be met when UoA-specific information is provided. Information is not adequate to support a comprehensive strategy to manage impacts, minimise mortality and injury of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives. SG100 is not met. References

Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register. Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine. Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information required UoA-specific information on ETP interactions/ captures

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

Condition number (if relevant) 8

MSC FCP 2.2 Template CRV2 Page 73 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.4.1 – Habitats outcome PI 2.4.1 The UoA does not cause serious or irreversible harm to habitat structure and function, 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 Guide 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 post of the commonly encountered function of the commonly reduce structure and function a habitats to a point where encountered habitats to a of the commonly encountered 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 midwater trawl fishing gear used by the UoA is generally towed at depths of 200 – 300 m and can fish to within 3 – 10 m of the seabed. Therefore, the impact on the water column, as the only common encountered habitat, is temporary while the gear is moves through the water during trawl tows. Vessels do not use any other fishing method or gear. SG60, SG80 and SG100 are met. VME habitat status Guide 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 post of the VME habitats to a point function of the VME habitats reduce structure and function b 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? NA NA NA

Rationale

Noting with previous SOO harmonisation decisions and MSC requirements, no VMEs have been designated in the SOO (while the presence of VME-indicator organisms has been reported). The midwater trawl method should not contact the seabed, and demersal trawling is prohibited. This scoring issue is not scored. Minor habitat status Guide There is evidence that the UoA is highly unlikely to post reduce structure and function c of the minor habitats to a point where there would be serious or irreversible harm. Met? No

Rationale

MSC FCP 2.2 Template CRV2 Page 74 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

The midwater trawl gear is not designed to fish on, or contact, the seabed. However, occasional contact may occur. Other SOO pollock midwater trawl assessment processes have noted the occurrence of benthic species in the reported catch and considered that an indicator of seafloor contact. No information was available for this ACDR stage on gear loss, and this will be explored further at the site visit. The natural disincentives for gear loss are the cost of replacing it, and any operational issues that gear fouling (leading to loss) may cause. With currently available information, SG100 is not met. This will be investigated further at the site visit. References

Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine. Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator More information required Nature and extent of seabed contact made by the trawl gear Information on gear loss Composition of minor habitats in the UoA area

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 75 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.4.2 – Habitats management strategy PI 2.4.2 There is a strategy in place that is designed to ensure the UoA does not pose a risk of serious or irreversible harm to the habitats Scoring Issue SG 60 SG 80 SG 100

Management strategy in place Guide There are measures in There is a partial strategy in There is a strategy in place for place, if necessary, that are place, if necessary, that is managing the impact of all a post expected to achieve the expected to achieve the MSC UoAs/non-MSC fisheries Habitat Outcome 80 level of Habitat Outcome 80 level of on habitats. performance. performance or above. Met? Yes Yes No

Rationale

Demersal trawling in the SOO is prohibited by the Fishing Rules (2019), and only midwater trawl gear is used by the UoA. VMEs have not been designated. Therefore, a partial strategy is in place that is expected to achieve the Habitat Outcome 80 level of performance or above. SG60 and SG80 are met. There does not appear to be strategy in place for managing the impact of all MSC UoAs/non-MSC fisheries on habitats. SG100 is not met. Management strategy evaluation Guide The measures are There is some objective Testing supports high considered likely to work, basis for confidence that confidence that the partial post based on plausible argument the measures/partial strategy strategy/strategy will work, b (e.g. general experience, will work, based on based on information directly theory or comparison with information directly about about the UoA and/or similar UoAs/habitats). the UoA and/or habitats habitats involved. involved. Met? Yes Yes No

Rationale

An objective basis for confidence that the partial strategy will work arises from the gear being designed to fish in the water column, and that UoC vessels fish exclusively with this gear. SG60 and SG80 are met. Testing does not appear to have been undertaken. SG100 is not met. Management strategy implementation Guide There is some quantitative There is clear quantitative evidence that the evidence that the partial post measures/partial strategy is strategy/strategy is being c being implemented implemented successfully and successfully. is achieving its objective, as outlined in scoring issue (a). Met? No No

Rationale

In comparable SOO UoAs, observer-collected information has comprised quantitative evidence that the measures/partial strategy is being implemented successfully. Such information is requested to ascertain whether SG80 is met. In that absence of additional information, SG80 is not currently met. SG100 is not met.

MSC FCP 2.2 Template CRV2 Page 76 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

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

Rationale

VMEs have not been designated in the SOO. Therefore, this Scoring Issue does not apply. References

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information sought Evidence that the partial strategy is being implemented successfully in the UoA (e.g. recent UoA-specific observer information on the nature/extent of seafloor contacts made by the gear, gear depths during trawling compared to seafloor depths)

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

Condition number (if relevant) 9

MSC FCP 2.2 Template CRV2 Page 77 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.4.3 – Habitats information PI 2.4.3 Information is adequate to determine the risk posed to the habitat by the UoA and the effectiveness of the strategy to manage impacts on the habitat Scoring Issue SG 60 SG 80 SG 100

Information quality Guide 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, post understood. habitats in the UoA area are with particular attention to the known at a level of detail occurrence of vulnerable

relevant to the scale and habitats. OR intensity of the UoA.

If CSA is used to score PI OR a 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: types and distribution of the 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

One commonly encountered habitat comprises the “main” habitat, with no VME designated in the SOO. The nature, distribution and vulnerability of the main habitat in the UoA area is known at a level of detail relevant to the scale and intensity of the UoA. SG60 and SG80 are met. Sedminents of the SOO have been mapped, VME indicator organisms identified, and benthos (including habitat forming organisms) characterised. Based on the information available to this ACDR, SG100 is not considered met. However, additional information is sought to investigate that further. Information adequacy for assessment of impacts Guide 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 post 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 location of use of the fishing b gear. OR

OR If CSA is used to score PI

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

MSC FCP 2.2 Template CRV2 Page 78 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

habitats. to estimate the consequence and spatial attributes of the main habitats. Met? Yes Yes No

Rationale

VMS records provide some information on fishing locations, with locations transmitted every 10 minutes. Logbook information on fishing locations is also available. Information is adequate to allow for identification of the main impacts of the UoA on the main habitats, and there is reliable information on the spatial extent of interaction and on the timing and location of use of the fishing gear. SG60 and SG80 are met. SG100 is not, as the physical impacts of the gear on all habitats have been quantified fully. Monitoring Guide Adequate information Changes in all habitat continues to be collected to distributions over time are c post detect any increase in risk to measured. the main habitats.

Met? Yes No

Rationale

Continued use of VMS and logbooks (which were initially hard copy but more recently implemented in electronic form) will provide adequate information to detect any increase in risk to the main habitats. SG80 is met. Some temporal comparisons have been identified for benthos in other SOO UoAs. However, for this ACDR, it was not clear from the information available whether changes in all habitat distributions over time are measured. SG100 is not met based on the information currently available. However, this will be investigated further at the site visit. References

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator More information sought Habitat distribution information, especially the occurrence of vulnerable habitats (as per 2.3.3(b)) Information regarding any ongoing habitat work, to measure changes in habitat distribution over time (as per 2.3.3(c))

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 79 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.5.1 – Ecosystem outcome PI 2.5.1 The UoA does not cause serious or irreversible harm to the key elements of ecosystem structure and function Scoring Issue SG 60 SG 80 SG 100

Ecosystem status Guide 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 post underlying ecosystem underlying ecosystem disrupt the key elements a structure and function to a structure and function to a underlying ecosystem 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

The key elements underlying ecosystem structure and function are climate, and a combination of top-down, bottom-up and mid-trophic level controls were identified by Radchenko (2015), using Ecopoath modelling. Radchenko (2015) conmcluded the SOO ecosystem was stable, and that fishery extractions had no negative impacts on marine resources. The UoA will obviously have no impact on climate. Together, these findings are taken as evidence that the UoA is highly unlikely to disrupt the key elements underlying ecosystem structure and function to a point where there would be a serious or irreversible harm. SG60, SG80 and SG100 are met. References

Radchenko, V. 2015. Characterization of the Sea of Okhotsk ecosystem based on ecosystem modeling. Aquatic Biological Resources 155: 79-111 [In Russian, with abstract in English]. http://www.vniro.ru/files/trydi_vniro/archive/tv_2015_t_155_article_7.pdf

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range >80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 80 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.5.2 – Ecosystem management strategy PI 2.5.2 There are measures in place to ensure the UoA does not pose a risk of serious or irreversible harm to ecosystem structure and function Scoring Issue SG 60 SG 80 SG 100

Management strategy in place Guide 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 post account the potential takes into account available which contains measures to impacts of the UoA on key information and is expected address all main impacts of a elements of the ecosystem. to restrain impacts of the the UoA on the ecosystem, 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 No

Rationale

There are measures in place which take into account the potential impacts of the UoA on key elements of the ecosystem. While there are some differences in findings between studies, cetaceans, pollock, cods and forage fish have all been recognised as influential in the SOO ecosystem. The measures comprise a partial strategy, in that they consider the available information and can restrain impacts. For example, vessel operations around cetaceans include reducing vessel speed, not trawling, not approaching within 100 m, reporting the encounter to vessels in proximity, and allowing the animal to move past the vessel. For pollock, cod, and herring, primary species management measures are in place. Measures relating to bycatch species include move-on rules and a disincentive for landing more than 2% bycatch in a haul. On that basis, SG60 and SG80 are considered to be met. There does not appear to be a strategy that consists of a plan to address ecosystem impacts. SG100 is not met. Management strategy evaluation Guide The measures are There is some objective Testing supports high considered likely to work, basis for confidence that confidence that the partial post based on plausible argument the measures/ partial strategy strategy/ strategy will work, b (e.g., general experience, will work, based on some based on information directly 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 No

Rationale

While UoA-specific observer information is not available, there has been ongoing (and improving) levels of observer coverage in the SOO pollock fishery over time, as described in other MSC UoAs. Research on ecosystem elements and components is ongoing, and very detailed modelling has been undertaken to explore ecosystem processes including the effects of fishing. Overall, there is some objective basis for confidence that the measures/ partial strategy will work, based on some information directly about the UoA and/or the ecosystem involved. SG60 and SG80 are met. Overall there does not appear to have been explicit testing of the partial strategy, and SG100 is not met. Management strategy implementation c Guide There is some evidence that There is clear evidence that the measures/partial strategy the partial strategy/strategy is post is being implemented being implemented

MSC FCP 2.2 Template CRV2 Page 81 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

successfully. successfully and is achieving its objective as set out in scoring issue (a). Met? No No

Rationale

At an ecosystem level, the conclusion that the fishery is not causing serious or irreversible harm, as supported by detailed Ecopath modelling (published in 2015), and stock-level management for primary species provides some indication that the measures/partial strategy are likely to be implemented successfully. SG60 is met. However, for this ACDR, UoA-specific observer information was not available and implementation of the strategy at the UoA level requires further consideration. This will be investigated at the site visit. SG80 and SG100 are currently not met. However, it is anticipated, based on the findings from comparable UoAs, that at least SG80 will be met when additional information is available for consideration. References

 Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Radchenko, V. 2015. Characterization of the Sea of Okhotsk ecosystem based on ecosystem modeling. Aquatic Biological Resources 155: 79-111 [In Russian, with abstract in English]. http://www.vniro.ru/files/trydi_vniro/archive/tv_2015_t_155_article_7.pdf  Shuntov, V.P. and Y.P. Dulepova. 1997. Современный статус, био- и рыбопродуктивность экосистемы Охотского моря [Current status, bio and fish productivity of the Okhotsk Sea ecosystem], p 248-261. In: V.V. Sapoznikov (ed.) Экология морей России [Ecology of the Russian Seas]. VNIRO, Moscow.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information required UoA-specific information on implementation of measures to manage ecosystem impacts

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

Condition number (if relevant) 10

MSC FCP 2.2 Template CRV2 Page 82 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 2.5.3 – Ecosystem information 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 Guide Information is adequate to Information is adequate to a identify the key elements of broadly understand the key post the ecosystem. elements of the ecosystem. Met? Yes Yes

Rationale

A substantial amount of information is available on ecosystem elements and components, and this has been collected through research (fishery dependent, and fishery independent) conducted over decades. SG60 and SG80 are met. Investigation of UoA impacts Guide 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 post elements can be inferred from elements can be inferred from elements can be inferred from b 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 No

Rationale

As noted in (a), a large amount of fishery dependent, and fishery independent, research on the ecosystem elements and components has been undertaken. The UoA is part of a larger SOO midwater trawl fishing fleet targeting pollock. While the exact nature and extent of fishery impacts will vary among UoAs due to areas fished, for example, there is sufficient commonality to conclude that the main impacts of the UoA on key ecosystem elements can be inferred from existing information, and some have been investigated in detail. SG60 and SG80 are met. Research continues relating to ecosystem impacts, and it cannot be concluded based on the information available that main interactions of the UoA with key ecosystem elements have (all) been investigated in detail. SG100 is not met. Understanding of component functions Guide The main functions of the The impacts of the UoA on P1 components (i.e., P1 target target species, primary, post species, primary, secondary secondary and ETP species c and ETP species and and Habitats are identified Habitats) in the ecosystem and the main functions of are known. these components in the ecosystem are understood. Met? Yes No

Rationale

The information available on the ecosystem components has been collected over decades, with research conducted from a range of perspectives (e.g. single-species studies, stock assessment, trawl surveys, habitat and sediment studies, trophodynamics, etc.) Overall, the main functions of the components (i.e., P1 target species, primary, secondary and ETP species and Habitats) in the ecosystem are known. SG80 is met.

MSC FCP 2.2 Template CRV2 Page 83 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

For this ACDR, additional UoA-specific information is requested on primary, secondary, and ETP species in particular, to evaluate impacts. This information appears to exist and has not been available to the team as yet. Currently, SG100 is precautionarily scored as not met. However, with additional information, this will be reconsidered.

Information relevance Guide Adequate information is Adequate information is available on the impacts of available on the impacts of post the UoA on these the UoA on the components d 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? No No

Rationale

For this ACDR, UoA-specific observer information was not available. Catch reporting provides some information on primary and secondary species caught in the UoA. Information from other comparable UoAs informs consideration of ecosystem impacts. However, without additional UoA-spoecific information, SG80 is not met. This will be investigate further at the site visit. Monitoring Guide Adequate data continue to be Information is adequate to collected to detect any support the development of e post increase in risk level. strategies to manage ecosystem impacts. Met? No No

Rationale

Some data continue to be collected to detect any increase in risk level. As well as the broad range of research work continuing over time (e.g. on climate, trophic relationships and ecosystem components) and logbook records, fishery dependent information collected by observers will be important for this. At the ACDR stage, information on observer deployments in the UoA (including the approach to future placements and data gathering) was not available. SG80 is not met currently, however this will be investigated further at the site visit. Similarly, SG100 is not met. References

 Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register.  Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine.  Radchenko, V.I., Dulepova, E.P., Figurkin, A.L., Katugin, O.N., Ohshima, K., Nishioka, J., McKinnell, S.M., Tsoy, A.T. 2010. Status and trends of the Sea of Okhotsk region, 2003-2008, pp. 268-299 In S.M. McKinnell and M.J. Dagg [Eds.] Marine Ecosystems of the North Pacific Ocean, 2003-2008. PICES Special Publication 4, 393 p.  Radchenko, V. 2015. Characterization of the Sea of Okhotsk ecosystem based on ecosystem modeling. Aquatic Biological Resources 155: 79-111 [In Russian, with abstract in English]. http://www.vniro.ru/files/trydi_vniro/archive/tv_2015_t_155_article_7.pdf  Shuntov, V.P. and Y.P. Dulepova. 1997. Современный статус, био- и рыбопродуктивность экосистемы Охотского моря [Current status, bio and fish productivity of the Okhotsk Sea ecosystem], p 248-261. In: V.V. Sapoznikov (ed.) Экология морей России [Ecology of the Russian Seas]. VNIRO, Moscow.  Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register.

MSC FCP 2.2 Template CRV2 Page 84 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range 60-79

Information gap indicator More information required UoA-specific information on ecosystem components (as per Scoring Issue (d)) Information collection that continues to detect any increase in risk (e.g. UoA-specific observer deployments), as per Scoring Issue (e)

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

Condition number (if relevant) 11

MSC FCP 2.2 Template CRV2 Page 85 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

7.3.3 Principle 2 references Abraham, E.R.; Thompson F.N. 2009. Warp strike in New Zealand trawl fisheries, 2004–05 to 2006–07. New Zealand Aquatic Environment and Biodiversity Report No. 33. 21 p. Abraham, E.R., Pierre, J.P., Middleton, D.A.J., Cleal, J., Walker, N.A. and Waugh, S.M. 2009. Effectiveness of fish waste management strategies in reducing seabird attendance at a trawl vessel. Fisheries Research 95: 210-219. Chaikina, N. 2020. A model of the Okhotsk Sea with a focus on marine mammals. Fisheries Centre Research Reports 28: 23-34. Glushchenko, Y.N., Korobov, D.V. and Burkovsky, O.A. 2015. New information on the distribution and abundance of three albatross species in the Sea of Okhotsk. Russian Journal of Ornithology 24(1127) Express: 1183-1190. Gorbatenko, K.M. and Melkinov, I.V. 2019. Trophodynamics of marine organisms in the epipelagic layer of the Okhotsk Sea in 2000s. Izvestiya TINRO 198:143-163. doi: 10.26428/1606-9919-2019-198-143-163 [In Russian; Abstract in English] Intertek. 2013. Russian Sea of Okhotsk mid-water trawl walleye pollock (Theragra chalcogramma) fishery. Public Certification Report. Intertek Moody Marine. Japp, D. and Scarcella, G. 2021. Russia Sea of Okhotsk pollock. Public Certification Report. Scope Extension. Lloyd’s Register. Japp, D. and Payne, A. 2020. Russia Sea of Okhotsk pollock. Second Surveillance Report. Lloyd’s Register. Kim, S.T. 2012. A review of the Sea of Okhotsk ecosystem response to the climate with special emphasis on fish populations. ICES Journal of Marine Science 69: 1123-1133. Melvin, E.F., Dietrich, K.S., Fitzgerald, S.M. and Cardoso, T. 2010. Reducing seabird strikes with trawl cables in the Pollock catcher-processor fleet in the eastern Bering Sea. Polar Biology 34: 215-226. Payne, A.I.L. and Japp, D.W. 2019. Russia Sea of Okhotsk Pollock. Surveillance Report (first surveillance). Acoura Marine. Payne, A.I.L., O’Boyle, R. and Japp, D.W. 2018. Russia Sea of Okhotsk Pollock. Public Certification Report. Acoura Marine. Pierre, J.P., Abraham, E.R., Cleal, J. and Middleton, D.A.J. 2012. Controlling trawler waste discharge to reduce seabird mortality. Fisheries Research 131-133: 30-38. Radchenko, V. 2015. Characterization of the Sea of Okhotsk ecosystem based on ecosystem modeling. Aquatic Biological Resources 155: 79-111 [In Russian, with abstract in English]. http://www.vniro.ru/files/trydi_vniro/archive/tv_2015_t_155_article_7.pdf Radchenko, V.I., Dulepova, E.P., Figurkin, A.L., Katugin, O.N., Ohshima, K., Nishioka, J., McKinnell, S.M., Tsoy, A.T. 2010. Status and trends of the Sea of Okhotsk region, 2003-2008, pp. 268-299 In S.M. McKinnell and M.J. Dagg [Eds.] Marine Ecosystems of the North Pacific Ocean, 2003-2008. PICES Special Publication 4, 393 p. Shuntov, V.P. and Y.P. Dulepova. 1997. Современный статус, био- и рыбопродуктивность экосистемы Охотского моря [Current status, bio and fish productivity of the Okhotsk Sea ecosystem], p 248-261. In: V.V. Sapoznikov (ed.) Экология морей России [Ecology of the Russian Seas]. VNIRO, Moscow. Shuntov V.P. and Ivanov O.A. 2015. Marine mammals in macro-ecosystems of Far Eastern seas and adjacent waters of the North Pacific. Izvestiya TINRO 181: 57–76. Sieben, C., Medley, P. and Lajus, D. 2021. FSA Sea of Okhotsk pollock fishery. Announcement Comment Draft Report. Lloyd’s Register. Varotsos, C.A. and Krapivin, V.F. 2019. Modeling the state of marine ecosystems: A case study of the Okhotsk Sea. Journal of Marine Systems 194: 1-10. Zuenko Y.I., Aseeva N.L., Glebova S.Y., Gostrenko L.M., Dubinina A.Y., Dulepova E.P., Zolotov A.O., Loboda S.V., Lysenko A.V., Matveev V.I., Muktepavel L.S., Ovsyannikov E.E., Figurkin A.L. and Shatilina T.A. 2019. Recent changes in the Okhotsk Sea ecosystem (2008–2018). Izvestiya TINRO 197: 35–61. [In Russian, with abstract in English].

MSC FCP 2.2 Template CRV2 Page 86 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

7.4 Principle 3 7.4.1 Principle 3 background

7.4.1.1 Jurisdiction The fishery takes place exclusively in waters under Russian jurisdiction: in the Russian territorial sea and exclusive economic zone (EEZ).

7.4.1.2 Management set-up and legislation The executive power in the Russian Federation is shared between the President and the Government, led by the Prime Minister. There are three main categories of federal bodies of governance: policy-making ministries (in Russian: ministerstva), implementing agencies (in Russian: agentstva) and services (in Russian: sluzhby), which often have a control function. The five most high-level ministries, among them the Ministry of Foreign Affairs and the Ministry of Defence, as well as a number of important agencies and services, are directly subordinate to the President. The remaining are under the purview of the Government (which, for all practical purposes, is appointed by the President as well). Some agencies and services under the Government (i.e. not directly under the President) are subordinate to a specific ministry while others report directly to the Prime Minister. When the Soviet Union fell apart, the Soviet Ministry of Fisheries was turned into a Russian State Committee for Fisheries (a category that no longer exists), which after an extensive reform of Russia’s federal system of governance in 2004 was turned into today’s Federal Fisheries Agency (FFA – in Russian: Rosrybolovstvo). The FFA has interchangeably been an “independent” agency directly subordinate to the Prime Minister, and an agency subordinate to the Ministry of Agriculture – since 2012 it has been under the Ministry. In line with the overall guidance of the 2004 reform, the Ministry is responsible for the formulation of Russia’s fisheries policy, while the FFA oversees the daily management of fisheries, including the determination of specific fishing rules and the implementation of regulations set by the Ministry. Russia is a federative state consisting of 85 federal subjects (“regions”), some of which are ethnically defined, like republics and autonomous districts (in Russian: okruga) and some not, like counties (in Russian: oblasti) and territories (in Russian: krai). Between the federal and regional level there are eight federal districts, which are primarily responsible for overseeing the implementation of federal legislation in the regions, and that regional laws and regulations are not in contradiction to federal legislation. The Far Eastern Federal District covers eight federal subjects in the easternmost part of the Russian Federation, among them Sakhalin Oblast (“county”), where the UoA fishery is located. Within the Russian Government, the Ministry of Agriculture interacts with other federal ministries, e.g. with the Ministry of Natural Resources and Environment (in Russian: Minprirody) through its implementing Agency for Monitoring of Natural Resources (in Russian: Rosprirodnadzor), which carries out environmental impact assessments of fisheries regulations. The FFA has 18 territorial administrations (in Russian: upravlenia), most of which cover several federal subjects. The territorial administrations are responsible for licencing, monitoring of quota uptake, and the administration of closed areas, amongh other things. The UoA fishery is subject to the control of the Sakhalin-Kuril Territorial Administration (SKTA; in Russian: SKTU), which comprises only one federal subject, Sakhalin Oblast, and is located in Yuzhno- Sakhalinsk. The traditional geographical entities in Soviet/Russian fisheries management are the “basins”. Currently there are eight basins; one of them is the Far Eastern Fisheries Basin, which includes the Chukchi Sea, the Bering Sea, the Sea of Okhotsk, the Sea of Japan and the Pacific Sea west of Western Kamchatka and the Kuril Islands. The basin level is no longer a central management level in Russia, but there are still advisory boards at basin level as well as general fishing rules that apply to the entire basin (see below). In addition to the territorial administrations, which are an integral part of the FFA, the federal agency has a number of subordinate bodies of governance. One group is the rybvods (Russian acronym for fisheries administration), formally “basin administrations for fisheries and protection of biological aquatic resources”. There is one main office (Glavrybvod, literally main fisheries administration) in Moscow and 26 regional offices, including one in Sakhalin Oblast, Sakhrybvod (located in Yuzhno-Sakhalinsk). The rybvods existed in Soviet times and had an important role in fisheries management as the Ministry of Fisheries’ main representations at regional level, responsible, among other things, for licencing, quota control and enforcement in port and at sea. During the post-Soviet period, enforcement responsibilities have gradually been transferred to other bodies of governance (see section on enforcement and compliance below), but the rybvods still exist and are now primarily involved in aquaculture, reproduction and enhancement of fisheries.

MSC FCP 2.2 Template CRV2 Page 87 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Enforcement of fisheries regulations in Russia is the joint responsibility of the FFA through its regional offices – in the UoA fisheries: SKTA – and the Coast Guard, which is under the Border Service of the Federal Security Service (FSB). The FFA is responsible for the control of quota uptake and takes care of paper control related to licenses, catch logs and VMS data, while the Coast Guard carries out physical inspections in port and at sea, including at transshipment. The Coast Guard’s authority is limited to marine waters; the FFA, through its regional offices and those of the rybvods, is responsible for the management of freshwater basins. Fish caught in waters under Russian jurisdiction must be landed in Russian ports. The Coast Guard conducts random inspections at sea, including from helicopters. Inspectors control the catch from last haul (e.g. catch composition and fish size) and fishing gear (e.g. mesh size) on deck and the volume of fish in the holds. Using established conversion factors for the relevant fish product, the inspectors calculate the volume of the fish in round weight and compare this with the catches reported to the authorities. The Federal Fisheries Monitoring Center, with its seven territorial departments including one in Sakhalin Oblast (Yuzhno-Sakhalinsk), is the technical hub for all electronic reporting from the fishing companies and vessels, including electronic logbooks and other catch reports as well as VMS data. The FFA territorial departments and the Coast Guard cooperate tightly with the Fisheries Monitoring Centers, as well as with other countries and international fisheries organizations. Working on behalf of the FFA in Sakhalin Oblast, SKTA has an enforcement department with 18 fisheries inspection squads located in every local administrative area (rayon) in the Oblast. The total number of inspectors is around 100. They are occasionally assisted by the police, prosecutors, private security companies and even fishers in their enforcement activities. The Veterinary Service (in Russian: Rosselkhoznadzor) is the only sluzhba ([controlling] service; see above) under the Ministry of Agriculture. For several years in the mid- and late 2000s, it was responsible for monitoring and enforcement across all fields of work under the Ministry, including fisheries, but now its remit is limited to more traditional veterinary services, such as supervision of animal health. Hence, it is responsible for sanitary inspections of landed fish. The Ministry of Agriculture and its subordinate bodies of governance cooperate with other governmental agencies in the enforcement of fisheries regulations. The Federal Customs Service inspects cargoes with fish caught under Russian jurisdiction and intended for export and hence plays an important role in maintaining traceability of fish products. The Federal Tax Service is involved in investigations of economic crime within the fishing industry. The Ministry of Natural Resources through its Agency for Monitoring of Natural Resources (Rosprirodnadzor) assesses the environmental impact of fisheries and is responsible for the protection of habitats and protected, endangered or threatened species. Other groups of organizations subordinate to the FFA are scientific institutes and educational institutions, such as universities and colleges. There is one federal fisheries research institute, VNIRO (the Russian Federal Research Institute for Fisheries and Oceanography). VNIRO has 28 regional branches, the so-called NIROs (Russian abbreviation for the words “Scientific Research Fisheries Oceanography”, used in the names of all the fisheries research institutes). These used to be administratively independent but were in 2019 incorporated into VNIRO as the federal institute’s regional offices. In the Far Eastern Fishery Basin there are five regional institutes: MagadanNIRO (Magadan in Magadan Oblast), KamchatNIRO (Petropavlovsk-Kamchatskiy in Kamchatka Krai), KhabarovskNIRO (Khabarovsk in Khabarovsk Krai), SakhNIRO (Yuzhno-Sakhalinsk in Sakhalin Oblast) and TINRO (Vladivostok in Primorskiy Krai; “T” stands for Tikhookeanskiy, which means the Pacific Ocean). SakhNIRO conducts research on marine and freshwater resources in the Sakhalin-Kuril region in order to monitor the status of commercial species and prepares annual forecasts and management advice (see below). Further, there are six “technical universities” and nine subordinate colleges, among them Sakhalinsk Maritime College in Nevelsk, which is under the Far Eastern State Technical Fisheries University, located in Vladivostok. All the above are federal management bodies, which have the leading role in Russian fisheries management. There is, however, a limited role also for regional authorities. The Sakhalin and Kuril Islands together constitute Sakhalin Oblast, one of Russia’s 85 federal subjects (“regions”). Just like the federal level of governance, regional authorities in Russia have their own executive, legislative and judicial powers. The executive power is led by a Governor’s office with a subordinate “regional administration” or “government” (either designation can be used), which in turn consists of a number of departments (where there is a regional administration) or ministries (where there is a government). Sakhalin Oblast has a government of 18 ministries and 10 agencies, including the Sakhalin Fisheries Agency (SFA), which is not to be confused with the Federal Fisheries Agency’s regional office, the Sakhalin-Kuril Territorial Administration (SKTA; see above) – the former is subordinate to the (regional) Governor, the latter to the (federal) Minister of Agriculture. The basic legal document underpinning fisheries management in the Russian Federation is the Federal Act on Fisheries and Conservation of Aquatic Biological Resources (20 December 2004) (the Federal Fisheries Act). The Act has been revised several times, last in 2014. Other important legislation at the federal level includes the Federal Act on the Protection of the Environment (10 January 2002), the Federal Act on the Exclusive Economic Zone of the Russian Federation (17 December 1998) and the Federal Act on the Continental Shelf of the Russian Federation (30 November 1995). TACs are set by the FFA, based on input from scientific institutions, the public advisory councils at different management levels (see below) as well as from industry and other stakeholders directly. The quota setting procedure in the Far Eastern Fishey Basin is preceded by a considerable amount of work on collecting and analysis of data from

MSC FCP 2.2 Template CRV2 Page 88 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR the regional fisheries research institutes SakhNIRO, KamchatNIRO, MagadanNIRO, and TINRO. After analyzing and processing the collected data on the status of aquatic biological resources the experts of the relevant research institutes and laboratories prepare quota recommendations which are subsequently discussed at various levels of governance and arenas for interaction between science, politics and the public. First, the scientific data and quota recommendations are reviewed at biological subpanel sessions at the individual research institutes, attended by scientists, representatives of federal and regional authorities, fishing companies and other stakeholders, including the media. Second, the material is reviewed by the leading forecasting experts in the region at the Far Eastern Forecasting Council. Third, a revised quota recommendation is forwarded to VNIRO for review, first at the institute’s Academic Council, attended by both VNIRO and external scientists, and then at its Fish Industry Council on Fisheries Forecast meeting, where also representatives from the management authorities participate. Fourth, the quota recommendations are discussed in the fora for public involvement at the basin and regional level, for the UoA fishery: the Far Eastern Basin Scientific-Technical Council (overseen by federal authorities/the FFA) and Sakhalin Regional Fisheries Council (overseen by regional authorities/the Governor). At both levels, public hearings are held where representatives from the respective bodies of governance and science present the quota recommendations and the science underpinning them and respond to queries from the public. As noted below, the public councils have a coordinating role in transferring public and stakeholder opinion into the management process. Fifth, the recommendations are subject to environmental impact assessments by the Agency for Monitoring of Natural Resources (Rosprirodnadzor), performed largely by external experts from the Russian Academy of Science. Finally, the FFA makes decisions on TAC for the various species in the various basins and fishing zones, and then on the distribution of quota shares among users.

7.4.1.3 Objectives Russian fisheries law defines protection and rational use of aquatic biological resources as the main goal of the country’s fisheries management. ‘Protection and rational use’ was an established concept in Soviet legislation on the protection of the environment and exploitation of natural resources, and has remained so in the Russian Federation. ‘Rational use’ bears resemblance to the internationally recognized ideal of sustainability, insofar as the emphasis is on long-term and sustained use of the resource, supported by science for socio-economic purposes. The Federal Fisheries Act states that the protection of aquatic biological resources shall be given priority to their rational use. The precautionary approach is not mentioned explicitly, but the requirement to protect aquatic biological resources and take the best scientific knowledge into account equals the requirements of the precautionary approach, as laid out in the FAO Code of Conduct and its technical guidelines. The Russian Federation has signed and ratified a number of international agreements which adopt the precautionary approach, including the 1995 UN Straddling Stocks Agreement. The provisions of international agreements entered into by the Russian Federation stood above those of national law according to the 1993 Russian Constitution, but that was changed when the Constitution was subjected to its first major revision in 2020. In Russia, the rights of fishery-dependent communities are explicitly stated in the Federal Fisheries Act. The Act states that ‘the small indigenous peoples of the North, Siberia and the Far East’ (ethnic groups with a ‘traditional’ lifestyle consisting of less than 50,000 people) shall be given access to fish resources in order to secure their livelihood. It gives ‘fisheries to protect the traditional lifestyle of small indigenous peoples of the North Siberia and the Far East’ extended rights compared to the other types of fisheries listed in the Act (of which the most important are ‘industrial fisheries’, ‘coastal fisheries’ and ‘fisheries for scientific and enforcement purposes’).

7.4.1.4 Consultation mechanisms The Russian (and previously Soviet) system for fisheries management has a long tradition of involving industry and other stakeholders in the management process. In recent years, the traditional arenas for interaction between authorities and stakeholders has been supplemented by new platforms for public engagement with management. The Federal Fisheries Act requires that any citizen, public organization or association (of legal entities) has the right to provide their input into the decision-making process within Russia’s system for fisheries management. A formal arena for interaction between government, industry and other stakeholders are the advisory boards, the so-called fishery councils, set up at federal, basin and regional levels. At the federal level, the Public Fisheries Council was established in 2008 in accordance with the requirement in the Federal Public Chamber Act that all federal bodies of governance (with a few exceptions) shall have a public council that will serve as an arena of interaction between the authorities and the general public. The Council consists of members from various federal bodies of governance, the fishing industry, research institutions and other interested stakeholders, such as non-governmental organizations (WWF). Members are proposed by the public (in practice public organizations), and the FFA appoints up to 50 members for periods of two years.

MSC FCP 2.2 Template CRV2 Page 89 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Basin-level fishery councils have existed since Soviet times, named ‘scientific-technical councils’. In line with the general regionalization that took place in Russia during the 1990s, similar bodies were set up at the level of federal subjects, named ‘regional fisheries councils’. Both were made mandatory in the 2004 Federal Fisheries Act. Rules of procedures for the ‘basin scientific-technical councils’ in the Russian Federation were adopted in 2008. They state that the councils shall advice the authorities on a wide range of fishery-related issues, including conduct of fisheries in the relevant basin; control and surveillance; conservation; recovery and harvesting of aquatic biological resources; distribution of quotas and other issues of importance to ensure sustainable management of fisheries. The fishery councils consist of representatives of federal and regional authorities, the fishing industry, research institutions and non-governmental organizations (NGOs), including the indigenous people of the North, Siberia and the Far East. The basin level councils are headed by federal authorities, the councils at federal subject level by regional authorities. The Far Eastern Basin Scientific-Technical Council consists of representatives from the FFA, the Ministry of Agriculture, the Ministry of Natural Resources, the Federal Security Service (FSB), the Veterinary Agency, the Antimonopoly Agency, scientific institutions and fishing companies and associations. Associations for the indigenous peoples of the Russian Far East and Far North were allowed to apply for representation on the Council in 2021. It is headed by a Deputy Director of the FFA, i.e. the federal management authority. As with other public councils at different management levels, the Far Eastern Scientific-Technical Council has an advisory role in all aspects of fisheries management. It has a particularly important role in coordinating stakeholder input to revisions of fisheries legislation and regulations. The Council actively encourages proposals from stakeholders and acts as a coordinating body for further input into the management process. Meetings are held in Vladivostok at least twice a year. The meetings are open to the public. At a more general level, all new federal regulations in Russia have to go through public hearings; i.e. all draft proposals for new regulations have to be published at the website https://regulation.gov.ru, administered by the Ministry of Economic Development, where the public are given 15–30 days to provide their comments. Further, the FFA has a dedicated “Open Agency” initiative which is comprehensively detailed on their website. In addition to the use of the Public Fisheries Council and consultation bodies at lower level, this includes the use of internet conferences with citizens, reference groups to discuss policy initiatives, and a general objective to increase public access to information. Management bodies also have functions on their websites by which citizens can get in touch with the authorities. E.g., at the website of the FFA, there is detailed information about how citizens can get in touch via telephone and directly from the website. There is even the possibility to book a personal appointment at the Agency.

7.4.1.5 Enforcement, sanctions and compliance Enforcement of fisheries regulations in Russia is the joint responsibility of the FFA though its regional offices – in the UoA fisheries: SKTA – and the Coast Guard, which is under the Border Service of the Federal Security Service (FSB). The FFA is responsible for control of quota uptake and also takes care of paper control related to licenses, catch logs and VMS data (Figure 9)., while the Coast Guard carries out physical inspections at sea. The Coast Guard’s authority is limited to marine waters; the FFA, through its regional offices and those of the rybvods (see SI 3.1.1a above), is responsible for the management of freshwater basins. Fish caught in waters under Russian jurisdiction must be landed in Russian ports. The Coast Guard conducts randon inspections at sea, including from helicopters. Inspectors control the catch, gear and documents. The Federal Fisheries Monitoring Center, with its 7 territorial departments including one in Sakhalin, is the technical hub for all electronic reporting from the fishing companies and vessels, including electronic logbooks and other catch reports as well as VMS data. The FFA territorial departments and the Coast Guard cooperate tightly with the Fisheries Monitoring Centers, as well as with other countries and international fisheries organizations. Working on behalf of the FFA in Sakhalin Oblast, SKTA has an enforcement department with 18 fisheries inspection squads located in every local administrative area (rayon) in the Oblast. The total number of inspectors is around 100, including non-staff inspectors who can apply for limited enforcement authority (up till the point at which an infringement is reported) and guards hired from private security companies. The inspectors are occasionally assisted by the police, prosecutors, and other governmental enforcement bodies. The Veterinary Service (in Russian: Rosselkhoznadzor) is the only sluzhba ([controlling] service; see PI 3.1.1 above) under the Ministry of Agriculture. For several years in the mid- and late 2000s, it was responsible for monitoring and enforcement across all fields of work under the Ministry, including fisheries, but now its remit is limited to more traditional veterinary services, such as supervision of animal health. Hence, it is responsible for sanitary inspections of landed fish. The Ministry of Agriculture and its subordinate bodies of governance cooperate with other governmental agencies in the enforcement of fisheries regulations. The Federal Customs Service inspects cargoes with fish caught under Russian jurisdiction and intended for export and hence plays an important role in maintaining traceability of fish products. The Federal Tax Service is involved in investigations of economic crime within the fishing industry. The Ministry of Natural Resources through its Agency for Monitoring of Natural Resources (Rosprirodnadzor) assessess

MSC FCP 2.2 Template CRV2 Page 90 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR the environmental impact of fisheries and is responsible for the protection of habitats and protected, endangered or threatened species.

Figure 9 – The fishing monitoring system in Far East of Russia.

The Code of the Russian Federation on Administrative Infractions specifies sanctions and the level of fines that can be issued administratively by enforcement bodies. According to Art. 8.17(2), failure to comply with rules and requirements relating to fishing activities in the inland waters, in the territorial sea, on the continental shelf, in the EEZ and on the high sea, can be met by the following sanctions: For citizens (individuals): 50-100 % of the value of the illegally caught catch, with or without confiscation of vessel and fishing gear; for executive officers (e.g. skippers/captains): 100-150 % the value of the catch, with or without confiscation of vessel and fishing gear; and for legal entities (e.g. shipowner or operator of a vessel): 200-300 % of the catch, with or without confiscation of vessel and fishing gear.

A more detailed overview of sanctions is provided in Table 16. Table 15 – Sanctions prescribed in Russian law for different types of fishery-related offences (source: pre- assessment report).

Type of violation/offences Corresponding sanction/fine "Code of the Russian Federation on Administrative Offenses" 30.12.2001 № 195-FZ

MSC FCP 2.2 Template CRV2 Page 91 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Article 8.16 (2). Failure to comply with Administrative penalty - from 5,000 to 10,000 roubles. the rules for maintaining ship documents Aricle 8.17 (2). Violation of regulatory Administrative penalty: requirements or conditions of activity in inland sea waters, in the territorial  for citizens from 0.5 to 1 times the value of the catch, with or sea, on the continental shelf, in the without confiscation of vessel and fishing gear; exclusive economic zone of the  for executives from 1 to 1.5 times the value of the catch, with or Russian Federation or in the open without confiscation of vessel and fishing gear; sea  for enterprises from 2 to 3 times the value of the catch, with or without confiscation of vessel and fishing gear.

Article 8.33 Administrative warning; Administrative penalty: Violation of the rules of protection of  for citizens from 2,000 to 5,000 roubles; the habitat or migration routes of objects of the animal world  for executives from 5,000 to 10,000 roubles; and aquatic biological resources  for enterprises from 10,000 to 15,000 roubles.

Article 8.37 (2). Violation of hunting Administrative penalty: rules, rules governing fishing and other uses of wildlife  for citizens from 1,000 to 5,000 roubles, with or without confiscation of vessel and fishing gear;  for executives from 20,000 to 50,000 roubles, with or without confiscation of vessel and fishing gear;  for enterprises from 100,000 to 200,000 roubles, with or without confiscation of vessel and fishing gear. Article 8.38. Violation of the rules for Administrative penalty: the protection of aquatic biological resources  for citizens from 2,000 to 3,000 roubles;  for executives from 10,000 to 15,000 roubles;  for entrepreneurs from 10,000 to 15,000 roubles or ban on activity up to 90 days;  for enterprises from 100,000 to 200,000 roubles or ban on activity up to 90 days; Article 8.39. Violation of the rules for Administrative penalty: the protection and use of natural resources in specially protected  for citizens from 3,000 to 4,000 roubles, with or without natural territories confiscation of vessel and fishing gear and illegal productions;  for executives from 15,000 to 20,000 roubles, with or without confiscation of vessel and fishing gear and illegal productions;  for enterprises from 300,000 to 500,000 roubles, with or without confiscation of a vessel and fishing gear and illegal productions.

MSC FCP 2.2 Template CRV2 Page 92 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Article 18.3 (2) Violation of the border Administrative warning; Administrative penalty: regime in the territorial sea and internal sea waters of the Russian  for citizens from 3 hundred to 1 thousand rubles with or without Federation confiscation of the instruments of Commission or the subject of an administrative offense;  for executives from 2 to 5 thousand rubles with or without confiscation of the instruments of Commission or the subject of an administrative offense;  for enterprises from 8 to 12 thousand rubles with or without confiscation of the instruments of Commission or the subject of an administrative offense.

"The Criminal Code of the Russian Federation" 13.06.1996 № 63-FZ Article 256. Illegal fishery (catch) of (1) Penalty for Illegal fishery from 300 to 500 thousand rubles, or salary aquatic biological resources (income) for 2-3 years, or obligatory work up to 480 hours, or correctional work up to 2 years, or prison up to 2 years. (3) If illegal fishery committed by a person using his official position or by a group of persons in a preliminary conspiracy or by an organized group or persons who have caused particularly serious damage are punishable by penalty from 500 to 1000 thousands rubles, or salary (income) for 3-5 years, or prison 2-5 years with the deprivation of the right to occupy certain positions or engage in certain activities for a period of up to 3 years or without it. Article 257. Violation of the rules for Penalty up to 200 thousand rubles, or salary (income) 18 moths, or the protection of aquatic biological deprivation of the right to occupy certain positions or engage in certain resources activities for a period of up to 3 years, or obligatory work up to 480 hours, or correctional work up to 2 years.

Based on the level of compliance documented in other MSC assessments of Russian fisheries, including pollock fisheries in the Sea of Okhotsk (Radchenko 2017; see also the assessment reports of the fisheries listed in the harmonization section), there is reason to assume that fishers are generally thought to comply with regulations. The client has provided the assessment team with a detailed list of infringements committed by its vessels during the period 2016–2020, with information about the types of infraction, sanction and follow-up at company level. The numbers of infringements were as follows: 2016: 3, 2017: 2, 2018: 0, 2019: 2 and 2020: 0. The two violations from 2017 were from the salmon and cod fisheries, the rest from the pollock fishery. Of the five infringements in the pollock fishery, three were fishing in restricted areas and two were underreporting (discovery of fish not accounted for at landing inspection). The catch in restricted areas was fined from RUR 392,700 to 563,742, and the underreporting of catch from RUR 81,850 to 105,000. The following is noted for all of the offences on follow-up at company level: ‘An unscheduled test of the knowledge of the captain of the vessel of the current legislation on fishing was carried out. It is indicated that such violations in the future are inadmissible.’ The overview does not say anything of the number of inspections carried out, but based on the capacity of the enforcement system it is fair to conclude that the number of inspections by far exceeds the number of detected infractions.

7.4.1.6 Review of the management system There are various mechanisms in place to evaluate key parts of the fishery-specific management system, but at varied levels of ambition and coverage. At the fishery councils meetings, found at federal, basin and regional levels (see above), management authorities receive feedback on management practices from the industry and other interested stakeholders. The FFA and the Ministry of Agriculture report annually to the Government, the Presidential Administration and the Federal Assembly (to both the lower chamber, the State Duma, and the upper chamber, the Federation Council) about their work, with emphasis on achievements in the fishing industry. Other federal agencies also review parts of the fisheries management system. For instance, the Auditor General evaluates how allocated funds are spent, and the Anti-Monopoly Service how competition and investment rules are observed. Within FFA,

MSC FCP 2.2 Template CRV2 Page 93 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR there is regular review of the performance of the Agency’s regional offices. In the establishment of TACs, the scientific advice from VNIRO’s regional branches is peer reviewed by the head office in Moscow, and then forwarded to FFA and the federal natural resources monitoring agency Rosprirodnadzor for comments. It is also presented to the general public for discussion at public hearings, announced in the local press. At the regional level, the SFA is under scrutiny by the regional Government in Sakhalin Oblast, as well as the legislative body at oblast level, the regional Duma.

MSC FCP 2.2 Template CRV2 Page 94 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

7.4.2 Principle 3 Performance Indicator scores and rationales PI 3.1.1 – Legal and/or customary framework PI 3.1.1 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); - 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 Guide 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 post framework for cooperation and effective cooperation procedures governing with other parties, where with other parties, where cooperation with other a necessary, to deliver necessary, to deliver parties which delivers 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 fishery takes place in Russian internal and territorial waters only and hence falls under exclusive Russian jurisdiction. Within the Russian Government, fisheries policy falls under the purview of the Ministry of Agriculture (Minselkhoz). The implementing body for fisheries management under the Ministry is the Federal Fisheries Agency (FFA) (Rosrybolovstvo), which is the successor of the former State Committee for Fisheries (abolished in 2004), and in turn the Soviet Ministry of Fisheries. The Ministry is responsible for the formulation of Russia’s fisheries policy, while the FFA oversees the daily management of fisheries, including the determination of specific fishing rules and the implementation of regulations set by the Ministry. Within the Russian Government, the Ministry of Agriculture interacts with other federal ministries, e.g. with the Ministry of Natural Resources and Environment (Minprirody) through its implementing Agency for Monitoring of Natural Resources (Rosprirodnadzor), which carries out environmental impact assessments of fisheries regulations. Within the Russian Government, the Ministry of Agriculture interacts with other federal ministries, e.g. with the Ministry of Natural Resources and Environment (in Russian: Minprirody) through its implementing Agency for Monitoring of Natural Resources (in Russian: Rosprirodnadzor), which carries out environmental impact assessments of fisheries regulations. The FFA has 18 territorial administrations (in Russian: upravlenia), most of which cover several federal subjects. The territorial administrations are responsible for licencing, monitoring of quota uptake, and the administration of closed areas, amongh other things. The UoA fishery is subject to the control of the Sakhalin-Kuril Territorial Administration (SKTA; in Russian: SKTU), which comprises only one federal subject, Sakhalin Oblast, and is located in Yuzhno- Sakhalinsk. The traditional geographical entities in Soviet/Russian fisheries management are the “basins”. Currently there are eight basins; one of them is the Far Eastern Fisheries Basin, which includes the Chukchi Sea, the Bering Sea, the Sea of Okhotsk, the Sea of Japan and the Pacific Sea west of Western Kamchatka and the Kuril Islands. The basin level is no longer a central management level in Russia, but there are still advisory boards at basin level as well as general fishing rules that apply to the entire basin (see PI 3.1.2 below). In addition to the territorial administrations, which are an integral part of the FFA, the federal agency has a number of subordinate bodies of governance. One group is the rybvods (Russian acronym for fisheries administration), formally “basin administrations for fisheries and protection of biological aquatic resources”. There is one main office

MSC FCP 2.2 Template CRV2 Page 95 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

(Glavrybvod, literally main fisheries administration) in Moscow and 29 regional offices, including one in Sakhalin Oblast, Sakhrybvod (located in Yuzhno-Sakhalinsk). The rybvods existed in Soviet times and had an important role in fisheries management as the Ministry of Fisheries’ main representations at regional level, responsible, among other things, for licencing, quota control and enforcement in port and at sea. During the post-Soviet period, enforcement responsibilities have gradually been transferred to other bodies of governance (see PI 3.2.3 below), but the rybvods still exist and are now primarily involved in aquaculture, reproduction and enhancement of fisheries. Other groups of organizations subordinate to the FFA are scientific institutes and educational institutions, such as universities and colleges. There is one federal fisheries research institute, VNIRO (the Russian Federal Research Institute for Fisheries and Oceanography). VNIRO has 28 regional branches, the so-called NIROs (Russian abbreviation for the words “Scientific Research Fisheries Oceanography”, used in the names of all the fisheries research institutes). These used to be administratively independent but were in 2019 incorporated into VNIRO as the federal institute’s regional offices. In the Far Eastern Fishery Basin there are five regional institutes: MagadanNIRO (Magadan in Magadan Oblast), KamchatNIRO (Petropavlovsk-Kamchatskiy in Kamchatka Krai), KhabarovskNIRO (Khabarovsk in Khabarovsk Krai), SakhNIRO (Yuzhno-Sakhalinsk in Sakhalin Oblast) and TINRO (Vladivostok in Primorskiy Krai, “T” stands for Tikhookeanskiy, which means the Pacific Ocean). SakhNIRO conducts research on marine and freshwater resources in the Sakhalin-Kuril region in order to monitor the status of commercial species and prepares annual forecasts and management advice (see below). Further, there are six “technical universities” and nine subordinate colleges, among them Sakhalinsk Maritime College in Nevelsk, which is under the Far Eastern State Technical Fisheries University, located in Vladivostok. Yet another group of institutions subordinate to the FFA are the federal and regional offices of the Center for Systems for Monitoring of Fisheries and Communication (Fisheries Monitoring Center). There are the technical hubs for all kinds of reporting from vessels, including electronic logbooks, and vessel monitoring systems (VMS) (Figure 9). There are seven regional Monitoring Centers, including one in Sakhalin Oblast (Yuzhno-Sakhalinsk). All the above are federal management bodies, which have the leading role in Russian fisheries management. There is, however, a limited role also for regional authorities. The Sakhalin and Kuril Islands together constitute Sakhalin Oblast, one of Russia’s 85 federal subjects (“regions”). Just like the federal level of governance, regional authorities in Russia have their own executive, legislative and judicial powers. The executive power is led by a Governor’s office with a subordinate “regional administration” or “government” (either designation can be used), which in turn consists of a number of departments (where there is a regional administration) or ministries (where there is a government). Sakhalin Oblast has a government of 18 ministries and 10 agencies, including the Sakhalin Fisheries Agency (SFA), which is not to be confused with the Federal Fisheries Agency’s regional office, the Sakhalin-Kuril Territorial Administration (SKTA; see above) – the former is subordinate to the (regional) Governor, the latter to the (federal) Minister of Agriculture. The basic legal document underpinning fisheries management in the Russian Federation is the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources (Federal Fisheries Act). The Act has been revised several times, last in 2014. Other important legislation at the federal level includes the Federal Act on the Protection of the Environment (10 January 2002), the Federal Act on the Exclusive Economic Zone of the Russian Federation (17 December 1998) and the Federal Act on the Continental Shelf of the Russian Federation (30 November 1995). Hence, there is an effective national legal system in place to deliver management outcomes consistent with MSC Principles 1 and 2. SG 60 and SG 80 are met. There is a system in place which delivers such outcomes. SG 100 is met. Resolution of disputes Guide The management system The management system The management system incorporates or is subject by incorporates or is subject by incorporates or is subject by post law to a mechanism for the law to a transparent law to a transparent resolution of legal disputes mechanism for the resolution mechanism for the resolution b arising within the system. of legal disputes which is of legal disputes that is considered to be effective appropriate to the context of 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

There are effective, transparent dispute resolution mechanisms in place, as fishers can take their case to court if they do not accept the rationale behind an infringement accusation by enforcement authorities or the fees levied against

MSC FCP 2.2 Template CRV2 Page 96 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR them. Verdicts at the lower court levels can be appealed to higher levels. However, most disputes are solved within the system for fisheries management, not requiring judicial treatment. There are well-established systems of consultation with user groups in place for the fishery (see PI 3.1.2 below), confirmed in federal and regional legislation and transparent for actors within the fishing industry. Hence, 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 UoA. SG 80 is met. It cannot be concluded at ACDR stage that the mechanism has been tested and proven to be effective. SG 100 is not met. Respect for rights Guide 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 post respect the legal rights legal rights created explicitly commit to the legal rights created explicitly or or established by custom of created explicitly or established by custom of people dependent on fishing established by custom of c 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? Yes Yes Yes

Rationale

In Russia, the rights of fishery-dependent communities are explicitly stated in the Federal Fisheries Act. The Act states that “the small indigenous peoples of the North, Siberia and the Far East” (ethnic groups with a “traditional” lifestyle consisting of less than 50,000 people) shall be given access to fish resources in order to secure their livelihood. It gives “fisheries to protect the traditional lifestyle of small indigenous peoples of the North Siberia and the Far East” extended rights compared to the other types of fisheries listed in the Act (of which the most important are “industrial fisheries”, “coastal fisheries” and “fisheries for scientific and enforcement purposes”). This is implemented in Sakhalin Oblast for the regions’ indigenous peoples Ainu, Oroks and Nivkhs. Hence, the management system has a mechanism to generally respect the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood in a manner consistent with the objectives of MSC Principles 1 and 2. SG 60 is met. The system has a mechanism to observe such rights, so SG 80 is met. Since it is founded in law, the mechanism formally commits to these rights, and SG 100 is met. References

 ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).

MSC FCP 2.2 Template CRV2 Page 97 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

 Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).  Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.  Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 98 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.1.2 – Consultation, roles and responsibilities PI 3.1.2 The management system has effective consultation processes that are open to interested and affected parties 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 Guide Organisations and individuals Organisations and individuals Organisations and individuals involved in the management involved in the management involved in the management post process have been identified. process have been identified. process have been identified. Functions, roles and Functions, roles and Functions, roles and a 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 No

Rationale

The functions, roles and responsibilities of the different countries involved in the management of the Barents Sea fisheries, as well as of the different organisations and individuals involved at the national level, are explicitly defined in international agreements and national laws and regulations, as well as in long-standing practice; see SI 3.1.1a for an overview of the main state bodies engaged in the management of the fishery, and SI 3.1.2b for an overview of non- governmental organisations involved. Organisations and individuals involved in the management process have been identified, and according to the submitted client checklist, their functions, roles and responsibilities are generally understood. SG 60 is met. The functions, roles and responsibilities are explicitly defined in legislation and long-standing practice and well understood for key areas of responsibility and interaction. SG 80 is met. It remains to be seen at interviews during the site visit whether these are well understood for all areas. At this point, SG100 is not met. Consultation processes Guide The management system The management system The management system includes consultation includes consultation includes consultation post processes that obtain processes that regularly processes that regularly relevant information from seek and accept relevant seek and accept relevant the main affected parties, information, including local information, including local b 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

The Russian (and previously Soviet) system for fisheries management has a long tradition of involving industry and other stakeholders in the management process. In recent years, the traditional arenas for interaction between authorities and stakeholders has been supplemented by new platforms for public engagement with management. The Federal Fisheries Act requires that any citizen, public organization or association (of legal entities) has the right to provide their input into the decision-making process within Russia’s system for fisheries management. A formal arena

MSC FCP 2.2 Template CRV2 Page 99 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR for interaction between government, industry and other stakeholders are the advisory boards, the so-called fishery councils, set up at federal, basin and regional levels. At the federal level, the Public Fisheries Council was established in 2008 in accordance with the requirement in the Federal Public Chamber Act that all federal bodies of governance (with a few exceptions) shall have a public council that will serve as an arena of interaction between the authorities and the general public. The Council consists of members from various federal bodies of governance, the fishing industry, research institutions and other interested stakeholders, such as non-governmental organizations (WWF). Members are proposed by the public (in practice public organizations), and the FFA appoints up to 50 members for periods of two years. Basin-level fishery councils have existed since Soviet times, named ‘scientific-technical councils’. In line with the general regionalization that took place in Russia during the 1990s, similar bodies were set up at the level of federal subjects, named ‘regional fisheries councils’. Both were made mandatory in the 2004 Federal Fisheries Act. Rules of procedures for the ‘basin scientific-technical councils’ in the Russian Federation were adopted in 2008. They state that the councils shall advice the authorities on a wide range of fishery-related issues, including conduct of fisheries in the relevant basin; control and surveillance; conservation; recovery and harvesting of aquatic biological resources; distribution of quotas and other issues of importance to ensure sustainable management of fisheries. The fishery councils consist of representatives of federal and regional authorities, the fishing industry, research institutions and non-governmental organizations (NGOs), including the indigenous people of the North, Siberia and the Far East. The basin level councils are headed by federal authorities, the councils at federal subject level by regional authorities. The Far Eastern Basin Scientific-Technical Council consists of representatives from the FFA, the Ministry of Agriculture, the Ministry of Natural Resources, the Federal Security Service (FSB), the Veterinary Agency, the Antimonopoly Agency, scientific institutions and fishing companies and associations. Associations for the indigenous peoples of the Russian Far East and Far North were allowed to apply for representation on the Council in 2021. It is headed by a Deputy Director of the FFA, i.e. the federal management authority. As with other public councils at different management levels, the Far Eastern Scientific-Technical Council has an advisory role in all aspects of fisheries management. It has a particularly important role in coordinating stakeholder input to revisions of fisheries legislation and regulations. The Council actively encourages proposals from stakeholders and acts as a coordinating body for further input into the management process. Meetings are held in Vladivostok at least twice a year. The meetings are open to the public. At a more general level, all new federal regulations in Russia have to go through public hearings; i.e. all draft proposals for new regulations have to be published at the website https://regulation.gov.ru, administered by the Ministry of Economic Development, where the public are given 15–30 days to provide their comments. Further, the FFA has a dedicated “Open Agency” initiative which is comprehensively detailed on their website. In addition to the use of the Public Fisheries Council and consultation bodies at lower level, this includes the use of internet conferences with citizens, reference groups to discuss policy initiatives, and a general objective to increase public access to information. Management bodies also have functions on their websites by which citizens can get in touch with the authorities. E.g., at the website of the FFA, there is detailed information about how citizens can get in touch via telephone and directly from the website. There is even the possibility to book a personal appointment at the Agency. Hence, 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. At ACDR stage, it cannot be ascertained that the authorities also explain how their input is used or not used. SG 100 is not met. Participation Guide The consultation process The consultation process provides opportunity for all provides opportunity and post interested and affected encouragement for all c parties to be involved. interested and affected 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 at both national and international level. Meetings are publicly announced, and authorities encourage all

MSC FCP 2.2 Template CRV2 Page 100 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR interested parties, including NGOs and the media, to attend. The various hearing opportunities available online also contribute to encouraging and facilitating public involvement. Hence, the consultation process provides opportunity for all interested and affected parties to be involved. SG 80 is met. It has not been adequately documented at ACDR stage that authorities not only provide opportunity, but actively encourage all parties to be involved and facilitate their effective engagement. SG 100 is not met. References

 ФЕДЕРАЛЬНЫЙ ЗАКОН О ПОРЯДКЕ РАССМОТРЕНИЯ ОБРАЩЕНИЙ ГРАЖДАН РОССИЙСКОЙ ФЕДЕРАЦИИ, N 59-ФЗ (Federal Act on the treatment of citizens’ requests to state organs, Federal Assembly [Parliament] of the Russian Federation, 2006).  ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Об образовании Общественного совета при Федеральном агентстве по рыболовству, N 301 (Regulation on the establishment of a public council at the Federal Fisheries Agency, 2008).  ОБ УТВЕРЖДЕНИИ ПОРЯДКА ДЕЯТЕЛЬНОСТИ БАССЕЙНОВЫХ НАУЧНО- ПРОМЫСЛОВЫХ СОВЕТОВ (On the confirmation of arrangements for basin scientific and fishery councils, Federal Fisheries Agency, Russian Federation, 2008).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).  Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).  Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.  Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage

MSC FCP 2.2 Template CRV2 Page 101 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 102 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.1.3 – Long term objectives PI 3.1.3 The management policy has clear long-term objectives to guide decision-making that are consistent with MSC Fisheries Standard, and incorporates the precautionary approach Scoring Issue SG 60 SG 80 SG 100

Objectives Guide Long-term objectives to guide Clear long-term objectives Clear long-term objectives decision-making, consistent that guide decision-making, that guide decision-making, post with the MSC Fisheries consistent with MSC consistent with MSC a Standard and the Fisheries Standard and the Fisheries Standard and the 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 No

Rationale

Russian fisheries law defines protection and rational use of aquatic biological resources as the main goal of the country’s fisheries management. ‘Protection and rational use’ was an established concept in Soviet legislation on the protection of the environment and exploitation of natural resources, and has remained so in the Russian Federation. ‘Rational use’ bears resemblance to the internationally recognized ideal of sustainability, insofar as the emphasis is on long-term and sustained use of the resource, supported by science for socio-economic purposes. The Federal Fisheries Act states that the protection of aquatic biological resources shall be given priority to their rational use. The precautionary approach is not mentioned explicitly, but the requirement to protect aquatic biological resources and take the best scientific knowledge into account equals the requirements of the precautionary approach, as laid out in the FAO Code of Conduct and its technical guidelines. The Russian Federation has signed and ratified a number of international agreements which adopt the precautionary approach, including the 1995 UN Straddling Stocks Agreement. The provisions of international agreements entered into by the Russian Federation stood above those of national law according to the 1993 Russian Constitution, but that was changed when the Constitution was subjected to its first major revision in 2020. Hence, clear long-term objectives that guide decision-making, consistent with MSC Principles and Criteria and the precautionary approach, are explicit within management policy. SG 60 and SG 80 are met. However, such objectives are not made mandatory for lower-level regulations and policy implementation at national level. SG 100 is not met. References

 Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (Fish Stocks Agreement), New York, 4 August 1995.  Code of Conduct for Responsible Fisheries, FAO, 2011.  ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches

MSC FCP 2.2 Template CRV2 Page 103 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).  Приказ Сахалино-Курильского территориального управления Росрыболовства Водные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).  Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.  Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Precautionary Approach to Capture Fisheries and Species Introductions, FAO Technical Guidelines for Responsible Fisheries, No. 2, FAO, Rome, 1996.  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 104 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.2.1 – Fishery-specific objectives PI 3.2.1 The fishery-specific management system has clear, specific objectives designed to achieve the outcomes expressed by MSC’s Principles 1 and 2 Scoring Issue SG 60 SG 80 SG 100

Objectives Guide Objectives, which are Short and long-term Well defined and measurable broadly consistent with objectives, which are short and long-term post achieving the outcomes consistent with achieving the objectives, which are 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 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

Short- and long-term objectives are explicit in legislation at federal and regional level, as well as in the in the research programmes of the relevant research institutes. This includes objectives to maintain fish stocks at sustainable levels (here: both target stocks and other retained species) and protect other parts of the ecosystem, such as habitats. These objectives are broadly consistent with achieving the outcomes expressed by MSC’s Principles 1 and 2. SG 60 is met. The objectives are short- and long-term and measurable, in the sense that performance against them can be measured through the enforcement bodies’ recording and inspection routines (see PI 3.2.3 below). SG 80 is met. P1 objectives are well defined, but P2 objectives are less so, warranting a partial score at SG 100. References

 ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).  Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).

MSC FCP 2.2 Template CRV2 Page 105 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

 Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.  Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 106 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.2.2 – Decision-making processes PI 3.2.2 The fishery-specific management system includes effective decision-making processes 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 Guide There are some decision- There are established making processes in place decision-making processes a post that result in measures and that result in measures and strategies to achieve the strategies to achieve the fishery-specific objectives. fishery-specific objectives. Met? Yes Yes

Rationale

Established decision-making procedures at federal and regional levels have evolved over several decades and are now codified in the Federal Fisheries Act, general provisions for fisheries in the Far Eastern Fishery Basin and specific regulations for the salmon fishery. The Ministry of Agriculture decides on policy and regulatory schemes, while the FFA acts as an implementing body under the Ministry, with a main responsibility for secondary legislation and day-today regulation of the fishery (see SI 3.1.1a above). The FFA acts centrally, but to a large extent also through its regional departments (here: SKTA) and subordinate bodies of governance (such as the rybvods, here: Sakhrybvod). The decision-making processes include the establishment of regulatory measures based on scientific advice and corroborated in stakeholder bodies, public hearings and environmental impact assessments. All decisions are formally made by the FFA at federal level and SKTA at regional level, including the establishmet of regulations and TAC. In practice, internal distribution of the TAC at regional level is to a large extent influenced by the Far Eastern Basin Scientific-Technical Council, which formally only has an advisory role. The council has representatives from all relevant stakeholders; it meets twice a year in Vladivostok and is open to the public. Decisions are made by simple majority, but are in practice nearly always based on consensus. There are also procedures for more general public hearings in place. Consultation mechanisms are further described in SI 3.1.2b above, the enforcement system in SI 3.2.3a below. Hence, there are decision-making processes in place that result in measures and strategies to achieve the fishery- specific objectives. This applies to the UoA fishery as it does to Russian fisheries in general; see PIs 3.1.1 and 3.1.2 above. SG 60 is met. The processes are well established – evolved over several decades and now codified in the 2004 Federal Fisheries Act and secondary legislation at federal and regional level. SG 80 is met. Responsiveness of decision-making processes Guide Decision-making processes Decision-making processes Decision-making processes respond to serious issues respond to serious and respond to all issues post identified in relevant other important issues identified in relevant research, monitoring, identified in relevant research, monitoring, evaluation and consultation, research, monitoring, evaluation and consultation, b 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 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

MSC FCP 2.2 Template CRV2 Page 107 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

The well-established decision-making procedures at federal and regional level in Russia respond to serious and other issues identified in research, monitoring, evaluation or by groups with an interest in the fishery through the arenas for regular consultations between governmental agencies and the public. This happens in the fishery councils at basin and regional level and through ad hoc consultation with the industry and other stakeholders (see PI 3.1.2 above). In addition, there is close contact between authorities and scientific research institutions, primarily between the FFA and VNIRO at the federal level and their subordinate bodies at regional level. SG 60 and SG 80 are met. It is difficult to document that all issues are responded to. SG 100 is not met. Use of precautionary approach Guide Decision-making processes use the precautionary c post approach and are based on best available information. Met? Yes

Rationale

Decision-making processes at the national level in Russia are based on scientific recommendations from VNIRO. The Federal Fisheries Act, which applies to the capture of all marine species, requires fisheries management to be based on the precautionary approach and the best available information (see PI 3.1.3 above). SG 80 is met. Accountability and transparency of management system and decision-making process Guide Some information on the Information on the fishery’s Formal reporting to all fishery’s performance and performance and interested stakeholders post management action is management action is provides comprehensive 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 d 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 No

Rationale

Information is available on the fishery’s performance and management action on the websites of the FFA and its regional offices, here STKA, as well as those of regional authorities, here SFA. SG 60 is met. Explanations are provided for actions or lack of action associated with findings and relevant recommendations emerging from research, monitoring, evaluation and review activity, to some extent on the mentioned websites but in particular at the public meetings and hearings presented under SI 3.1.2b above. SG 80 is also met. In order to reach SG 100, reporting must be formal and information comprehensive. Timely online posting of all protocols counts, in the opinion of the assessment team, as formal reporting as much as distribution via mail or email. Protocols from meetings in the public councils are available on the FFA and SKTA websites, but the latter is only updated since 2017. The assessment team has not been provided with protocols from meetings in the decision- making bodies, e.g. the technical-scientific councils. SG 100 is not met. Approach to disputes Guide Although the management The management system or The management system or e authority or fishery may be fishery is attempting to fishery acts proactively to post subject to continuing court comply in a timely fashion avoid legal disputes or rapidly challenges, it is not indicating with judicial decisions arising implements judicial decisions a disrespect or defiance of from any legal challenges. arising from legal challenges. the law by repeatedly

MSC FCP 2.2 Template CRV2 Page 108 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

violating the same law or regulation necessary for the sustainability for the fishery. Met? Yes Yes Yes

Rationale

The Russian system for fisheries management is not 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. SG 60 is met. If taken to court by fishing companies, the management authority complies with the judicial decision in a timely manner, in accordance with the formal procedures laid down in the fisheries acts and general legislation on the distribution of power in the respective country. SG 80 is met. The management authority maintains a tight cooperation with user groups at the regulatory level (see PI 3.1.2 above), ensuring as high legitimacy as possible for regulations and other management decisions. Regulatory and enforcement authorities offer advice to the fleet on how to avoid infringements, keeping them updated on changes in the regulations. They also have the authority to issue administrative penalties for minor infringements (serious enough to be met by a reaction above a written warning), thus referring only the more serious cases to prosecution by the police and possible transfer to the court system. Since the management system acts proactively to avoid legal disputes and rapidly implements judicial decisions, SG 100 is met. References

 ФЕДЕРАЛЬНЫЙ ЗАКОН О ПОРЯДКЕ РАССМОТРЕНИЯ ОБРАЩЕНИЙ ГРАЖДАН РОССИЙСКОЙ ФЕДЕРАЦИИ, N 59-ФЗ (Federal Act on the treatment of citizens’ requests to state organs, Federal Assembly [Parliament] of the Russian Federation, 2006).  ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  Об образовании Общественного совета при Федеральном агентстве по рыболовству, N 301 (Regulation on the establishment of a public council at the Federal Fisheries Agency, 2008).  ОБ УТВЕРЖДЕНИИ ПОРЯДКА ДЕЯТЕЛЬНОСТИ БАССЕЙНОВЫХ НАУЧНО- ПРОМЫСЛОВЫХ СОВЕТОВ (On the confirmation of arrangements for basin scientific and fishery councils, Federal Fisheries Agency, Russian Federation, 2008).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).  Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).  Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.

MSC FCP 2.2 Template CRV2 Page 109 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

 Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 110 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.2.3 – Compliance and enforcement PI 3.2.3 Monitoring, control and surveillance mechanisms ensure the management measures in the fishery are enforced and complied with Scoring Issue SG 60 SG 80 SG 100

MCS implementation Guide Monitoring, control and A monitoring, control and A comprehensive post surveillance mechanisms surveillance system has monitoring, control and exist, and are implemented in been implemented in the surveillance system has been the fishery and there is a fishery and has demonstrated implemented in the fishery a reasonable expectation that an ability to enforce relevant and has demonstrated a they are effective. management measures, consistent ability to enforce strategies and/or rules. relevant management measures, strategies and/or rules. Met? Yes Yes No

Rationale

Enforcement of fisheries regulations in Russia is the joint responsibility of the FFA though its regional offices – in the UoA fisheries: SKTA – and the Coast Guard, which is under the Border Service of the Federal Security Service (FSB). The FFA is responsible for control of quota uptake and also takes care of paper control related to licenses, catch logs and VMS data, while the Coast Guard carries out physical inspections at sea. The Coast Guard’s authority is limited to marine waters; the FFA, through its regional offices and those of the rybvods (see SI 3.1.1a above), is responsible for the management of freshwater basins. Fish caught in waters under Russian jurisdiction must be landed in Russian ports. The Coast Guard conducts randon inspections at sea, including from helicopters. Inspectors control the catch, gear and documents. The Federal Fisheries Monitoring Center, with its 7 territorial departments including one in Sakhalin, is the technical hub for all electronic reporting from the fishing companies and vessels, including electronic logbooks and other catch reports as well as VMS data. The FFA territorial departments and the Coast Guard cooperate tightly with the Fisheries Monitoring Centers, as well as with other countries and international fisheries organizations. Working on behalf of the FFA in Sakhalin Oblast, SKTA has an enforcement department with 18 fisheries inspection squads located in every local administrative area (rayon) in the Oblast. The total number of inspectors is around 100, including non-staff inspectors who can apply for limited enforcement authority (up till the point at which an infringement is reported) and guards hired from private security companies. The inspectors are occasionally assisted by the police, prosecutors, and other governmental enforcement bodies. The Veterinary Service (in Russian: Rosselkhoznadzor) is the only sluzhba ([controlling] service; see PI 3.1.1 above) under the Ministry of Agriculture. For several years in the mid- and late 2000s, it was responsible for monitoring and enforcement across all fields of work under the Ministry, including fisheries, but now its remit is limited to more traditional veterinary services, such as supervision of animal health. Hence, it is responsible for sanitary inspections of landed fish. The Ministry of Agriculture and its subordinate bodies of governance cooperate with other governmental agencies in the enforcement of fisheries regulations. The Federal Customs Service inspects cargoes with fish caught under Russian jurisdiction and intended for export and hence plays an important role in maintaining traceability of fish products. The Federal Tax Service is involved in investigations of economic crime within the fishing industry. The Ministry of Natural Resources through its Agency for Monitoring of Natural Resources (Rosprirodnadzor) assessess the environmental impact of fisheries and is responsible for the protection of habitats and protected, endangered or threatened species. 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.

MSC FCP 2.2 Template CRV2 Page 111 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

At ACDR stage, it is too early to conclude that the system is comprehensive and has demonstrated an ability to enforce regulations. SG 100 is not met. Sanctions Guide Sanctions to deal with non- Sanctions to deal with non- Sanctions to deal with non- post compliance exist and there is compliance exist, are compliance exist, are b some evidence that they are consistently applied and consistently applied and applied. thought to provide effective demonstrably provide deterrence. effective deterrence. Met? Yes Yes No

Rationale

Sanctions to deal with non-compliance in Russian waters exist in within the system for fisheries management, as well as in the wider legal system. Both make wide use of administrative fines and refer serious cases to the judicial system. The Russian Federal Fisheries Act requires the withdrawal of quota rights if a fishing company has committed two serious violations of the fisheries regulations within one calendar year, among other things. The Code of the Russian Federation on Administrative Infractions specifies sanctions and the level of fines that can be issued administratively by enforcement bodies. According to Art. 8.17(2), failure to comply with rules and requirements relating to fishing activities in the inland waters, in the territorial sea, on the continental shelf, in the EEZ and on the high sea, can be met by the following sanctions: For citizens (individuals): 50-100 % of the value of the illegally caught catch, with or without confiscation of vessel and fishing gear; for executive officers (e.g. skippers/captains): 100-150 % the value of the catch, with or without confiscation of vessel and fishing gear; and for legal entities (e.g. shipowner or operator of a vessel): 200-300 % of the catch, with or without confiscation of vessel and fishing gear. Hence, sanctions to deal with non-compliance exist and there is evidence that they are applied; see SI 3.2.3c below on infractions and fines in the UoA fishery. SG 60 is met. Sanctions are consistently applied and thought to provide effective deterrence; see SI 3.2.3c below on infractions and fines in the UoA fishery. SG 80 is met. Based on the limited information about inspections available at the time of the ACDR, it cannot be concluded that sanctions demonstrably provide effective deterrence, so SG 100 is not met. Compliance Guide Fishers are generally Some evidence exists to There is a high degree of post thought to comply with the demonstrate fishers comply confidence that fishers management system for the with the management system comply with the management fishery under assessment, under assessment, including, system under assessment, c 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 No

Rationale

Based on the level of compliance documented in other MSC assessments of Russian fisheries, including pollock fisheries in the Sea of Okhotsk (Radchenko 2017; see also the assessment reports of the fisheries listed in the harmonization section), there is reason to assume that fishers are generally thought to comply with regulations and provide information of importance to the effective management of the fishery. SG 60 is met. The client has provided the assessment team with a detailed list of infringements committed by its vessels during the period 2016–2020, with information about the types of infraction, sanction and follow-up at company level. The numbers of infringements were as follows: 2016: 3, 2017: 2, 2018: 0, 2019: 2 and 2020: 0. The two violations from 2017 were from the salmon and cod fisheries, the rest from the pollock fishery. Of the five infringements in the pollock fishery, three were fishing in restricted areas and two were underreporting (discovery of fish not accounted for at landing inspection). The catch in restricted areas was fined from RUR 392,700 to 563,742, and the underreporting of catch from RUR 81,850 to 105,000. The following is noted for all of the offences on follow-up at company level: ‘An unscheduled test of the knowledge of the captain of the vessel of the current legislation on fishing was carried out. It is indicated that such violations in the future are inadmissible.’ The overview does not say anything of the number of

MSC FCP 2.2 Template CRV2 Page 112 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR inspections carried out, but based on the capacity of the enforcement system it is fair to conclude that the number of inspections by far exceeds the number of detected infractions. Hence, some evidence exists that fishers comply, and SG 80 is met. Without any confirmation from the enforcement authorities, it cannot be concluded with a high degree of confidence that fishers comply. SG 100 is not met. Systematic non-compliance Guide There is no evidence of d post systematic non-compliance. Met? Yes

Rationale

No evidence of systematic non-compliance has been presented to the assessment team. References

 ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166-ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014).  КОДЕКС РОССИЙСКОЙ ФЕДЕРАЦИИ ОБ АДМИНИСТРАТИВНЫХ ПРАВОНАРУШЕНИЯХ (‘Code of the Russian Federation on Administrative Offences‘), N 195-ФЗ, Federal Assembly of the Russian Federation, 2001 (last revised 2017).  Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019).  Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019).  Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin- Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019).  Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver.  Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019).  Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye-organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

MSC FCP 2.2 Template CRV2 Page 113 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator More information sought More information sought about inspections and infringements in the fishery

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 114 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

PI 3.2.4 – Monitoring and management performance evaluation PI 3.2.4 There is a system of monitoring and evaluating the performance of the fishery-specific 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 Guide There are mechanisms in There are mechanisms in There are mechanisms in post place to evaluate some parts place to evaluate key parts of place to evaluate all parts of a of the fishery-specific the fishery-specific the fishery-specific management system. management system. management system. Met? Yes Yes No

Rationale

There are various mechanisms in place to evaluate key parts of the fishery-specific management system, but at varied levels of ambition and coverage. At the fishery councils meetings, found at federal, basin and regional levels (see SI 3.1.2b above), management authorities receive feedback on management practices from the industry and other interested stakeholders. The FFA and the Ministry of Agriculture report annually to the Government, the Presidential Administration and the Federal Assembly (to both the lower chamber, the State Duma, and the upper chamber, the Federation Council) about their work, with emphasis on achievements in the fishing industry. Other federal agencies also review parts of the fisheries management system. For instance, the Auditor General evaluates how allocated funds are spent, and the Anti-Monopoly Service how competition and investment rules are observed. Within FFA, there is regular review of the performance of the Agency’s regional offices. In the establishment of TACs, the scientific advice from VNIRO’s regional branches is peer reviewed by the head office in Moscow, and then forwarded to FFA and the federal natural resources monitoring agency Rosprirodnadzor for comments. It is also presented to the general public for discussion at public hearings, announced in the local press. At the regional level, the SFA is under scrutiny by the regional Government in Sakhalin Oblast, as well as the legislative body at oblast level, the regional Duma. Hence, the fishery has in place mechanisms to evaluate key parts of the management system, so SG 60 and SG 80 are met. It is a principal challenge to claim that “all” parts of a fisheries management system are subject to review, but it seems reasonable to expect some sort of a holistic evaluation of the fishery-specific system as such, which does not seem to take place in the UoA fishery. SG 100 is not met. Internal and/or external review Guide The fishery-specific The fishery-specific The fishery-specific post management system is management system is management system is b subject to occasional subject to regular internal subject to regular internal internal review. and occasional external and external review. review. Met? Yes Yes No

Rationale

Regular internal review of the fishery-specific management system is performed through FFA’s continuous evaluation of the performance of regional management in the Far Eastern Fishery Basin and other forms of review listed under SI 3.2.4a above. SG 60 is met. As regards external review, the MSC Fisheries Standard states that external here means ‘external to the fishery’, but not necessarily international. The Guidance (GSA4.10.1) specifies that ‘external’ review might be conducted by another department within an agency, or another agency or organization within the country. It is a matter of definition

MSC FCP 2.2 Template CRV2 Page 115 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR where the division line goes between internal and external reviews, and to what extent external review of elements of the management system constitutes review of the management as such; e.g. review of scientific information is not a review of the management system itself. As part of the fulfilment of an MSC condition in the Russia Sea of Okhotsk fishery, the Russian Far Eastern management system was evaluated. Hence, the system is subject to regular internal and occasional external review, SG 80 is met. It is not subject to regular external review, so SG 100 is not met. References

Draft scoring range and information gap indicator added at Announcement Comment Draft Report stage Draft scoring range ≥80

Information gap indicator More information sought More information sought about external review of the management system

MSC FCP 2.2 Template CRV2 Page 116 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

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

Condition number (if relevant) NA

MSC FCP 2.2 Template CRV2 Page 117 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

7.4.3 Principle 3 references Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (Fish Stocks Agreement), New York, 4 August 1995. Code of Conduct for Responsible Fisheries, FAO, 2011. ФЕДЕРАЛЬНЫЙ ЗАКОН О ПОРЯДКЕ РАССМОТРЕНИЯ ОБРАЩЕНИЙ ГРАЖДАН РОССИЙСКОЙ ФЕДЕРАЦИИ, N 59-ФЗ (Federal Act on the treatment of citizens’ requests to state organs, Federal Assembly [Parliament] of the Russian Federation, 2006). ФЕДЕРАЛЬНЫЙ ЗАКОН О РЫБОЛОВСТВЕ И СОХРАНЕНИИ ВОДНЫХ БИОЛОГИЧЕСКИХ РЕСУРСОВ, N 166- ФЗ, (Federal Fisheries Act, Federal Assembly [Parliament] of the Russian Federation, 2004, last revised 2014). Об образовании Общественного совета при Федеральном агентстве по рыболовству, N 301 (Regulation on the establishment of a public council at the Federal Fisheries Agency, 2008). ОБ УТВЕРЖДЕНИИ ПОРЯДКА ДЕЯТЕЛЬНОСТИ БАССЕЙНОВЫХ НАУЧНО- ПРОМЫСЛОВЫХ СОВЕТОВ (On the confirmation of arrangements for basin scientific and fishery councils, Federal Fisheries Agency, Russian Federation, 2008). Об утверждении правил рыболовства для Дальневосточного рыбохозяйственного бассейна (с изменениями на 4 июня 2018 года) (редакция, действующая с 1 января 2019 года) (утратил силу с 17.06.2019 на основании приказа Минсельхоза России от 23.05.2019 N 267). (Fishing regulations for the Far Eastern Fisher Basin, Ministry of Agriculture, 2019). Precautionary Approach to Capture Fisheries and Species Introductions, FAO Technical Guidelines for Responsible Fisheries, No. 2, FAO, Rome, 1996. Приказ Минсельхоза России от 09.11.2018 N 516 (ред. от 17.09.2019) "Об утверждении общего допустимого улова водных биологических ресурсов во внутренних морских водах Российской Федерации, территориальном море Российской Федерации, на континентальном шельфе Российской Федерации, в исключительной экономической зоне Российской Федерации и Каспийском море на 2019 год" (Order of the Ministry of the Ministry of Agriculture of the Russian Federation on total allowable catches of aquatic biological resources in the internal waters, territorial sea and exclusive economic zone and on the continental shelf of the Russian Federation, as well as in the Caspian Sea for 2019, Ministry of Agriculture, 2019). Приказ Сахалино-Курильского территориального управления РосрыболовстваВодные биологические ресурсы, предоставленные в пользование физическим лицам, относящимися к коренным малочисленным народам Севера, Сибири и Дальнего Востока Российской Федерации, проживающим на территории Сахалинской области, для рыболовства в целях обеспечения традиционного образа жизни и осуществления традиционной хозяйственной деятельности в 2019 году (Order of the Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency on quotas for aquatic biological resources for to small indigenous peoples of the North in Sakhalin Oblast for 2019). Radchenko V.I. 2017. Russian Fisheries Management System Performance (The Sea of Okhotsk Walleye Pollock Fishery Case Study). North Pacific Anadromous Fish Commission, Vancouver. Распоряжение агентства по рыболовству Сахалинской области от 13.02.2019 № 3.29-26-р «О предоставлении в пользование водных биологических ресурсов для осуществления рыболовства в целях обеспечения ведения традиционного образа жизни и осуществления традиционной хозяйственной деятельности коренных малочисленных народов Севера, Сибири и Дальнего Востока Российской Федерации». (Regulations on traditional and subsistenc fisheries for the small indigenous peoples of the North, Siberia and the Far East, Sakhalin Regional Fisheries Agency, 2019). Websites of the Federal Fisheries Agency (http://www.fish.gov.ru/), Sakhalin-Kuril Territorial Administration of the Federal Fisheries Agency (http://sktufar.ru/), Glavrybvod/rybvody (http://www.fish.gov.ru/podvedomstvennye- organizatsii/rybvody), Sakhrybvod (http://www.sakhrybvod.ru/), Sakhalin Oblast administration (https://sakhalin.gov.ru/), the Federal Fisheries Monitoring Center (http://cfmc.ru/), Sakhalin Fisheries Monitoring Center (http://cfmc.ru/filialy-i-otdely/sahalinskiy_filial/).

MSC FCP 2.2 Template CRV2 Page 118 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8 Appendices 8.1 Assessment information 8.1.1 Small-scale fisheries The FSA East Sakhalin Walleye pollock mid-water trawl fishery is not a small-scale fishery (Table 17) because longline fishing activity is completed outside 12 nautical miles of shore on the large and middle tonnage vessels with total length more than 15 m.

Table 16 – Small-scale fisheries

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

1 – FSA East Sakhalin Walleye pollock mid-water trawl 0 % 0 % fishery

MSC FCP 2.2 Template CRV2 Page 119 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.2 Evaluation processes and techniques 8.2.1 Site visits

The CAB shall include in the report: - 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 v2.2 Section 7.16 8.2.2 Stakeholder participation

The CAB shall include in the report:

- 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 v2.2 Section 7.16 8.2.3 Evaluation techniques

At Announcement Comment Draft report stage, if the use of the RBF is triggered for this assessment, the CAB shall include in the report:

- The plan for RBF activities that the team will undertake at the site visit. - 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. - The full list of activities and components to be discussed or evaluated in the assessment.

At Client Draft Report stage, if the RBF was used for this assessment, the CAB shall include in the report: - 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 v2.2 Section 7.16, FCP v2.2 Annex PF Section PF2.1

MSC FCP 2.2 Template CRV2 Page 120 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.3 Peer Review reports To be drafted at Public Comment Draft Report stage

The CAB shall include in the report unattributed reports of the Peer Reviewers in full using the relevant templates. The CAB shall include in the report 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 v2.2 Section 7.14

MSC FCP 2.2 Template CRV2 Page 121 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.4 Stakeholder input To be drafted at Client and Peer Review Draft Report stage

The CAB shall use the ‘MSC Template for Stakeholder Input into Fishery Assessments’ to include all written stakeholder input during the stakeholder input opportunities (Announcement Comment Draft Report, site visit and Public Comment Draft Report). Using the ‘MSC Template for Stakeholder Input into Fishery Assessments’, the team shall respond to all written stakeholder input identifying what changes to scoring, rationales and conditions have been made in response, where the changes have been made, and assigning a ‘CAB response code’.

The ‘MSC Template for Stakeholder Input into Fishery Assessments’ shall also be used to provide a summary of verbal submissions received during the site visit likely to cause a material difference to the outcome of the assessment. Using the ‘MSC Template for Stakeholder Input into Fishery Assessments’ the team shall respond to the summary of verbal submissions identifying what changes to scoring, rationales and conditions have been made in response, where the changes have been made, and assigning a ‘CAB response code’.

Reference(s): FCP v2.2 Sections 7.15, 7.20.5 and 7.22.3

MSC FCP 2.2 Template CRV2 Page 122 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.5 Conditions – delete if not applicable 8.5.1 Conditions – delete if not applicable To be drafted at Client and Peer Review Draft Report stage

The CAB shall document in the report all conditions in separate tables.

Reference(s): FCP v2.2 Section 7.18, 7.30.5 and 7.30.6

Table 17 – Condition 1

Performance Indicator

Score State score for Performance Indicator.

Cross reference to page number containing scoring template table or copy justification Justification text here.

Condition State condition.

Condition deadline State deadline for the condition.

Exceptional Check the box if exceptional circumstances apply and condition deadline is longer than circumstances ☐ the period of certification (FCP v2.2 7.18.1.6). Provide a justification.

Milestones State milestones and resulting scores where applicable.

Verification with other Include details of any verification required to meet requirements in FCP v2.2 7.19.8. entities

Complete the following rows for reassessments.

Check the box if the condition is being carried over from a previous certificate and include a justification for carrying over the condition (FCP v2.2 7.30.5.1.a).

Carried over condition ☐ Include a justification that progress against the condition and milestones is adequate (FCP v2.2 7.30.5.2). The CAB shall base its justification on information from the reassessment site visit.

Check the box if the condition relates to a previous condition that was closed during a previous certification period but where a new condition on the same Performance Indicator or Scoring Issue is set. Related condition ☐

Include a justification – why is a related condition being raised? (FCP v2.2 7.30.6 & G7.30.6).

Check the box if the condition has been rewritten. Include a justification (FCP v2.2 Condition rewritten ☐ 7.30.5.3).

MSC FCP 2.2 Template CRV2 Page 123 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.6 Client Action Plan To be drafted at Public Comment Draft Report stage

The CAB shall include in the report the Client Action Plan from the fishery client to address conditions.

Reference(s): FCP v2.2 Section 7.19

MSC FCP 2.2 Template CRV2 Page 124 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.7 Surveillance To be drafted at Client and Peer Review Draft Report stage

The CAB shall include in the report the program for surveillance, timing of surveillance audits and a supporting justification.

Reference(s): FCP v2.2 Section 7.28

Table 18 – 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 19 – 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 20 – Surveillance level justification

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.

MSC FCP 2.2 Template CRV2 Page 125 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.8 Risk-Based Framework outputs – delete if not applicable To be drafted at Client and Peer Review Draft Report stage

8.8.1 Consequence Analysis (CA)

The CAB shall complete the Consequence Analysis (CA) table below for each data-deficient species under PI 1.1.1, including rationales for scoring each of the CA attributes.

Reference(s): FCP v2.2 Annex PF Section PF3

Table 21 – CA scoring template

Consequence Scoring element Consequence score subcomponents

Population size Principle 1: Stock status outcome Reproductive capacity

Age/size/sex structure

Geographic range

Rationale for most vulnerable subcomponent

Rationale for consequence score

MSC FCP 2.2 Template CRV2 Page 126 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.8.2 Productivity Susceptibility Analysis (PSA)

The CAB shall include in the report an MSC Productivity Susceptibility Analysis (PSA) worksheet for each Performance Indicator where the PSA is used and one PSA rationale table for each data-deficient species identified, subject to FCP v2.2 Section PF4. If species are grouped together, the CAB shall list all species and group them indicating which are most at-risk.

Reference(s): FCP v2.2 Annex PF Section PF4

Table 22 – PSA productivity and susceptibility attributes and scores

Performance Indicator

Productivity

Scoring element (species)

Attribute Rationale Score

Average age at maturity 1 / 2 / 3

Average maximum age 1 / 2 / 3

Fecundity 1 / 2 / 3

Average maximum size 1 / 2 / 3 Not scored for invertebrates

Average size at maturity 1 / 2 / 3 Not scored for invertebrates

Reproductive strategy 1 / 2 / 3

Trophic level 1 / 2 / 3

Density dependence 1 / 2 / 3 Invertebrates only

Susceptibility

Fishery Only where the scoring Insert list of fisheries impacting the given scoring element (FCP v2.2 Annex PF element is scored 7.4.10) cumulatively

Attribute Rationale Score

Insert attribute rationale. Note specific requirements in FCP v2.2 Areal Overlap Annex PF4.4.6.b, where the impacts of fisheries other than the UoA 1 / 2 / 3 are taken into account

MSC FCP 2.2 Template CRV2 Page 127 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Insert attribute rationale. Note specific requirements in FCP v2.2 Encounterability Annex PF4.4.6.b, where the impacts of fisheries other than the UoA 1 / 2 / 3 are taken into account

Selectivity of gear type 1 / 2 / 3

Post capture mortality 1 / 2 / 3

Catch (weight) Insert weights or proportions of fisheries impacting the given scoring Only where the scoring 1 / 2 / 3 element is scored element (FCP v2.2 Annex PF4.4.4) cumulatively

Table 23 – Species grouped by similar taxonomies (if FCP v2.2 Annex PF4.1.5 is used)

Species common name (if Most at-risk in Species scientific name Taxonomic grouping known) group?

Indicate the group that this species e.g. Genus species belongs to, e.g. Scombridae, Yes / No subspecies Soleidae, Serranidae, Merluccius spp.

MSC FCP 2.2 Template CRV2 Page 128 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.8.3 Consequence Spatial Analysis (CSA)

The CAB shall complete the Consequence Spatial Analysis (CSA) table below for PI 2.4.1, if used, including rationales for scoring each of the CSA attributes.

Reference(s): FCP v2.2 Annex PF Section PF7

Table 24 – CSA rationale table for PI 2.4.1 Habitats

Consequence Rationale Score

Regeneration of biota 1 / 2 / 3

Natural disturbance 1 / 2 / 3

Removability of biota 1 / 2 / 3

Removability of substratum 1 / 2 / 3

Substratum hardness 1 / 2 / 3

Substratum ruggedness 1 / 2 / 3

Seabed slope 1 / 2 / 3

Spatial Rationale Score

Gear footprint 1 / 2 / 3

Spatial overlap 1 / 2 / 3

Encounterability 1 / 2 / 3

MSC FCP 2.2 Template CRV2 Page 129 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.8.4 Scale Intensity Consequence Analysis (SICA)

The CAB shall complete the Scale Intensity Consequence Analysis (SICA) table below for PI 2.5.1, if used, including rationales for scoring each of the SICA attributes.

Reference(s): FCP v2.2 Annex PF Section PF8

Table 25 – SICA scoring template for PI 2.5.1 Ecosystem

Spatial scale of Temporal scale Intensity of Relevant Consequence fishing activity of fishing activity fishing activity subcomponents Score

Species

composition Performance Indicator Functional group PI 2.5.1 Ecosystem composition outcome

Distribution of the

community

Trophic

size/structure

Rationale for spatial scale of fishing activity

Rationale for temporal scale of fishing activity

Rationale for intensity of fishing activity

Rationale for consequence score

MSC FCP 2.2 Template CRV2 Page 130 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.9 Harmonised fishery assessments – delete if not applicable In considering nearby fisheries for harmonization, the team reviewed MSC guidance including:

PB1.3.1 Teams assessing overlapping UoAs shall ensure consistency of outcomes so as not to undermine the integrity of MSC fishery assessments.

PB1.3.2 Teams shall prepare for harmonisation with overlapping UoAs no later than the site visit.

PB1.3.3.2 Teams shall ensure that conclusions are consistent between the 2 (or more) fishery assessments, with respect to evaluation, scoring and conditions.

GPB1.1. The MSC-MSCI Vocabulary defines overlapping fisheries as, “2 or more fisheries which require assessment of some, or all, of the same aspects of MSC Principles 1, 2 and/or 3 within their respective units of certification”. This definition is also relevant for the Unit of Assessment (UoA). Harmonisation is not necessary in assessments of fisheries that use similar gears or management approaches but operate in clearly different geographic areas. Based on this MSC guidance, the team identifies six fisheries to consider for harmonization; see Table 27.

Table 26 – List overlapping fisheries (to be determined)

Performance Indicators to Fishery name Certification status and date harmonise

Certified: Russia Sea of Okhotsk pollock September 2013 Hamonization not needed https://fisheries.msc.org/en/fisheries/russia-sea-of- since fishery was assessed okhotsk-pollock/@@view Recertified: according to v1.3 August 2018 Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock ACDR: P2: 2.1.1-2.2.3 https://fisheries.msc.org/en/fisheries/fishery- shipowners-association-fsa-russia-sea-of-okhotsk- March 2021 P3: PIs 3.1.1 – 3.1.3 pollock/@@assessments

East Kamchatka Alaska (Walleye) pollock mid- P1: water trawl PCDR: P2: PIs 2.1.1-2.2.3 https://fisheries.msc.org/en/fisheries/east-kamchatka- June 2021 alaska-walleye-pollock-mid-water-trawl/@@view P3: PIs 3.1.1 – 3.1.3

Western Bering Sea pollock Final Report: P2: PIs 2.1.1-2.2.3 https://fisheries.msc.org/en/fisheries/western-bering- sea-pollock/@@view June 2021 P3: PIs 3.1.1 – 3.1.3 Kuril Islands Pelagic Trawl and Danish Seine Pollock Fishery PCDR: P2: PIs 2.1.1-2.2.3 https://fisheries.msc.org/en/fisheries/kuril-islands- pelagic-trawl-and-danish-seine-pollock- May 2021 P3: PIs 3.1.1 – 3.1.3 fishery/@@view

Vityaz-Avto Danish seine walleye pollock fishery Certified: P2: PIs 2.1.1-2.2.3 https://fisheries.msc.org/en/fisheries/vityaz-avto- danish-seine-walleye-pollock-fishery/@@view April 2021 P3: PIs 3.1.1 – 3.1.3

Table 27 – Overlapping fisheries

Supporting information

- Describe any background or supporting information relevant to the harmonisation activities, processes and outcomes.

MSC FCP 2.2 Template CRV2 Page 131 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

Was either FCP v2.2 Annex PB1.3.3.4 or PB1.3.4.5 applied when harmonising? Yes / No

Date of harmonisation meeting DD / MM / YY

If applicable, describe the meeting outcome

- e.g. Agreement found among teams or lowest score adopted.

Table 28 – Scoring differences

East Western Fishery Kuril Islands Vityaz-Avto Kamchatka Bering Sea FSA East Shipowners Pelagic Trawl Danish seine Alaska pollock Sakhalin Association and Danish walleye Performance (Walleye) Walleye pollock (FSA) Russia Seine Pollock pollock Indicators (PIs) pollock mid- mid-water trawl Sea of Fishery fishery fishery Okhotsk water trawl

pollock

2.1.1 ≥ 80 ≥80 100 100 100 80

<60* (more 85 85 2.1.2 ≥ 80 information 85 80 needed)

2.1.3 ≥ 80 ≥80 100 85 100 80

2.2.1 <60 (RBF) <60* (RBF) 85 85 80 85

2.2.2 60-79 ≥80 70 75 80 80

2.2.3 <60 (RBF) <60* (RBF) 75 75 80 70

3.1.1 ≥80 95 ≥80 95 95 100

3.1.2 ≥80 95 ≥80 95 95 95

3.1.3 ≥80 100 ≥80 100 100 100

Table 29– Rationale for scoring differences

If applicable, explain and justify any difference in scoring and rationale for the relevant Performance Indicators (FCP v2.2 Annex PB1.3.6).

P2: UoA-specific information has not been available for the ACDR stage. P3: More than half of the scores are exactly the same, while the rest are within the 80-100 range.

If exceptional circumstances apply, outline the situation and whether there is agreement between or among teams on this determination.

⃰ UoA1: pelagic trawl; UoA2: Danish seine snurrevad

MSC FCP 2.2 Template CRV2 Page 132 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.10 Objection Procedure – delete if not applicable To be added at Public Certification Report stage

The CAB shall include in the report all written decisions arising from the Objection Procedure.

Reference(s): MSC Disputes Process v1.0, FCP v2.2 Annex PD Objection Procedure

MSC FCP 2.2 Template CRV2 Page 133 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

8.11 UoA company and vessel list

Table 30 – Vessel’s list of FSA in UoA. (Source of data: from Client Checklist).

Vessel name Length (m) IMO number Owner company Kapitan Oleynichuk 114 8625961 JSC "TURNIF" Vladivostok 104 9060429 Pioner Nikolaeva 104 7942180 Porfiriy Chanchibadze 104 8228684 Mys Basargina 104 8423557 Borodino 104 8831649 JSC "INTRAROS" Berezina 104 8878116 Novouralsk 104 7943184 LLC "Vostokrybprom" Geroi Shironintsy 104 7832945 Ivan Kalinin 104 8721179 LLC "Sovgavanryba" Pavel Batov 104 8721090 JSC "DMP-RM" Pavel Panin 94 7703998 LLC "RMD-UVA 1" Vladimir Limanov 108 9860867 LLC Vostokrybprom

MSC FCP 2.2 Template CRV2 Page 134 UCSL UCSL United Certification Systems Limited: FSA East Sakhalin Walleye pollock mid-water trawl fishery ACDR

9 Corporate branding

This template may be formatted to comply with the Conformity Assessment Body (CAB) corporate identity. The CAB shall ensure that content and structure follow the template.

Examples of appropriate amendments are:

a. A title page with the company logo; b. A company header and footer used throughout the report;

c. Replacement of font styles;

d. Inclusion of contact details for the assessment team members in relation to consultation

e. Deletion of any sections that are not applicable, though CABs should leave any sections that will be populated later in the assessment; and,

f. Deletion of introductory text or instructions.

MSC FCP 2.2 Template CRV2 Page 135 UCSL UCSL United Certification Systems Limited: KZB-herring WBS and EK Pacific cod bottom longline ACDR 10 Template information and copyright This document was drafted using the ‘MSC Reporting Template v1.2’.

Template version control

Version Date of publication Description of amendment

1.0 17 December 2018 Date of first release

1.1 29 March 2019 Minor document changes for usability

1.2 25 March 2020 Release alongside Fisheries Certification Process v2.2

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

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]

MSC FCP 2.2 Template CRV2 Page 136 of 136 UCSL