Announcement Comment Draft Report FSA Sea of Okhotsk Pollock Fishery

Marine Stewardship Council fisheries assessments

Lloyd’s Register 6 Redheughs Rigg South Gyle Edinburgh, EH12 9DQ United Kingdom T +44 (0)131 619 2100 E [email protected] www.lr.org

FSA Sea of Okhotsk pollock fishery

Announcement Comment Draft Report

Conformity Assessment Body (CAB) Lloyd’s Register

Assessment team Chrissie Sieben, Paul Medley, Dmitry Lajus

Fishery client Fishery Shipowners Association (FSA)

Assessment type Initial Assessment

Date March 2021

LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

Assessment Data Sheet

CAB details Lloyd’s Register Address 6 Redheughs Rigg Edinburgh EH12 9DQ Phone/Fax +44 (0)131 619 2100 Email [email protected] Contact name(s) Deirdre Duggan

Client details Address Fishery Shipowners Association of Ul. Sadovaya-Sapasskaya 21/1,919, Moscow, Russian Federation, 107217 Phone/Fax +7 495 762 70 02 Email [email protected] Contact name(s) Alexey Osintsev

Assessment Team Team Leader / P2 Assessor Chrissie Sieben P1 Assessor Paul Medley P3 Assessor Dmitry Lajus

Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

Assessment Data Sheet...... 2 1.1 List of Tables ...... 6 1.2 List of Figures ...... 7 2 Glossary ...... 9 3 Executive summary ...... 11 4 Report details ...... 13 4.1 Authorship ...... 13 4.2 Peer Reviewers ...... 14 4.3 RBF Training ...... 14 4.4 Version details ...... 14 5 Unit(s) of Assessment and Unit(s) of Certification and results overview ...... 15 5.1 Unit(s) of Assessment and Unit(s) of Certification ...... 15 5.1.1 Unit(s) of Assessment ...... 15 5.1.2 Unit(s) of Certification ...... 16 5.2 Assessment results overview...... 17 5.2.1 Determination, formal conclusion and agreement ...... 17 5.2.2 Principle level scores...... 17 5.2.3 Summary of conditions ...... 17 5.2.4 Recommendations ...... 18 6 Traceability and eligibility ...... 19 6.1 Eligibility date ...... 19 6.2 Traceability within the fishery ...... 19 6.3 Eligibility to enter further chains of custody ...... 21 6.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to enter further chains of custody 21 7 Scoring ...... 22 7.1 Summary of Performance Indicator level scores ...... 22 7.2 Fishery overview ...... 23 7.2.1 The client fishery ...... 23 7.2.2 Management framework ...... 25 7.2.3 Catch profiles and data availability ...... 26 7.3 Principle 1 ...... 33 7.3.1 Sea of Okhotsk walleye pollock stock ...... 33 7.3.2 Stock status ...... 34 7.3.3 Harvest strategy ...... 36 7.3.4 Harvest Control Rule ...... 39 7.3.5 HCR testing ...... 40 7.3.6 Information ...... 41

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

7.3.7 Stock Assessment ...... 44 7.3.8 Principle 1 Performance Indicator scores and rationales ...... 47 ...... 47 ...... 49 ...... 53 ...... 56 ...... 60 7.4 Principle 2 ...... 63 7.4.1 Introduction ...... 63 7.4.2 Primary and secondary species ...... 64 7.4.3 ETP species ...... 65 7.4.4 Habitats ...... 67 7.4.5 Ecosystem ...... 68 7.4.6 Principle 2 scoring elements ...... 69 7.4.7 Principle 2 Performance Indicator scores and rationales...... 70 ...... 70 ...... 73 ...... 77 ...... 80 ...... 82 ...... 86 ...... 88 ...... 91 ...... 95 ...... 97 ...... 99 ...... 101 ...... 105 ...... 106 ...... 109 7.5 Principle 3 ...... 113 7.5.1 Jurisdiction ...... 113 7.5.2 Legal and customary framework ...... 113 7.5.3 Fisheries-specific management ...... 115 7.5.4 Monitoring, control and surveillance ...... 118 7.5.5 Principle 3 Performance Indicator scores and rationales...... 121 ...... 121 ...... 125 ...... 129 ...... 131 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

...... 133 ...... 137 ...... 140 8 References ...... 142 9 Appendices ...... 147 9.1 Assessment information ...... 147 9.1.1 Previous assessments ...... 147 9.1.2 Small-scale fisheries ...... 147 9.2 Evaluation processes and techniques ...... 148 9.2.1 Site visits ...... 148 9.2.2 Stakeholder participation ...... 148 9.2.3 Evaluation techniques ...... 148 9.3 Peer Review reports ...... 151 9.4 Stakeholder input ...... 152 9.5 MSC Technical Oversight ...... 153 9.6 Conditions ...... 154 9.6.1 Summary of conditions closed under previous certificate ...... 154 9.6.2 Conditions – delete if not applicable ...... 154 9.7 Client Action Plan ...... 155 9.8 Surveillance ...... 156 9.9 Risk-Based Framework outputs ...... 157 9.9.1 Consequence Analysis (CA) ...... 157 9.9.2 Productivity Susceptibility Analysis (PSA)...... 158 9.9.3 Consequence Spatial Analysis (CSA) ...... 160 9.9.4 Scale Intensity Consequence Analysis (SICA) ...... 161 9.10 Harmonised fishery assessments ...... 162 9.10.1 MSC Directions for harmonisation between overlapping MSC fisheries ...... 162 9.11 Objection Procedure – delete if not applicable ...... 168 10 Template information and copyright ...... 169

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

1.1 List of Tables Table 1. Fisheries program documents versions ...... 14 Table 2. Unit of Assessment (UoA) ...... 15 Table 3. Unit(s) of Certification (UoC) ...... 16 Table 4. Principle level scores ...... 17 Table 5. Summary of conditions...... 18 Table 6. Traceability within the fishery ...... 20 Table 7. Summary of Performance Indicator level scores. * Scoring not complete...... 22 Table 8. List of vessels in the UoA as of March 2021...... 23 Table 9. Summary of UoA logbook data for 2016 – 2020 in tonnes and as a % of total retained catch. The Principle 2 designations as per the definitions given in Section 7.4.1 are also given. Source: Primorsky Territory Department, Federal Agency for Fishery ...... 27 Table 10. 2016 – 2020 observer coverage for the entire Russian SOO pollock PCA fleet. From Japp and Payne (2020). Note that the FSA fleet was part of the PCA fleet up until the second half of 2020...... 28 Table 11. Number of trips observed aboard FSA vessels in the SOO pollock fishery between 2016-2020. Source: TINRO...... 28 Table 12. Summary of bycatch species encountered in 2020 observer survey trawls aboard client group vessels during pollock fishing operations in the UoA area. Data compiled by assessment team from TINRO UoA observer reports. None of the species listed make up more than 2% of the total observed catch (based on average catch per hour). At this ACDR stage, only walleye pollock, Pacific herring and Pacific cod are considered Primary species. This is to be confirmed prior to or at the site visit...... 30 Table 13. Harvest strategy performance, comparing TAC to reported catch, and fishing mortality and spawning stock biomass to 0.24 (FTR) and 5089 kt (BTR). Table to be completed prior to site visit ...... 37 Table 14. Observed seabird and marine mammal encounters in the entire SOO mid-water trawl pollock fishery, based on TINRO observer data (translated summary provided to the team)...... 66 Table 15. Scoring elements ...... 69 Table 16. At-sea inspection activities by the Coastguard, 2017–2019 (data from FSB East Arctic Coastguard Department). From Japp and Payne (2020)...... 119 Table 17. Compliance statistics of FSA companies (12 vessels in 2019), 2016-2019 (based on data provided by the Client)...... 120 Table 18. Small-scale fisheries ...... 147 Table 19. Condition 1 ...... 154 Table 20. Fishery surveillance program ...... 156 Table 21. Timing of surveillance audit ...... 156 Table 22. Surveillance level justification ...... 156 Table 23. CA scoring template ...... 157 Table 24. PSA productivity and susceptibility attributes and scores...... 158 Table 25. Species grouped by similar taxonomies (if FCP v2.2 Annex PF4.1.5 is used) ...... 159 Table 26. CSA rationale table for PI 2.4.1 Habitats ...... 160 Table 27. SICA scoring template for PI 2.5.1 Ecosystem ...... 161 Table 28. MSC directions for harmonisation between overlapping MSC fisheries ...... 162 Table 29. Overlapping fisheries ...... 163 Table 30. Overlapping fisheries information ...... 163 Table 31. Comparison of P2 scoring element tables with overlapping fisheries ...... 164 Table 32. Principle 1 Scoring differences ...... 165 Table 33. Principle 2 PI 2.1.1 (a) Pacific herring, status relative to PRI ...... 165 Table 34. Principle 2 PI 2.2.1 (a) Northern Fulmar, status relative to BBL ...... 165 Table 35. Principle 2 PI 2.3.1(a) Stellar sea lion and Short-tailed albatross, recognition of national limits ...... 166 Table 36. Principle 2 PI 2.4.1 (b), identification of VMEs and PI 2.4.2 (a&d) scoring...... 166 Table 37. Principle 3 Scoring differences ...... 166 Table 38. Rationale for scoring differences ...... 167

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

1.2 List of Figures Figure 1 Left: Russian Far East (RFE) Fishery Management Zones (www.russianpollock.com). The UoA fishery operates in the Sea of Okhotsk (zone 61.05), in subzones 05.1 (Northern Sea of Okhotsk); 05.2 (Western Kamchatka) and 05.4 (Kamchatka-Kuril). Right: Areas of specialized pollock fishing for the entire Russian fleet (2) in the Sea of Okhotsk during January 1-April 9, 2019 (Season A). The black dots (1) are observer sampling points. Source: TINRO translated summary of 2016-2020 observer reports for the SOO mid-water trawl pollock fishery...... 16 Figure 2. Example of label applied to frozen pollock packaging at sea. The label indicates inter alia the species name, day of production, catch subzone, catch method and vessel name. Note that the reference to MSC is linked to the fishery’s previous certification as part of the PCA fishery (see Payne et al. (2018)) and is not in use at present. Image provided by Client...... 19 Figure 3. Large autonomous freezing trawler “Geroi Shironintsy” (fleetphoto.ru/photo/61195)...... 24 Figure 4. Schematic and gear specifications for one of the larger mid-water trawl types used in the fishery. From 2020 Fishering Service LTD gear catalogue. www.fishering.com...... 25 Figure 5. Distribution of walleye pollock in the Sea of Japan, Sea of Okhotsk, Bering Sea and Gulf of Alaska. Source: http://www.fao.org/figis/geoserver/factsheets/species.html for “Alaska pollock”...... 33 Figure 6. General scheme of the functional area and location of the main areas of reproduction of the Sea of Okhotsk pollock. Legend: 1- spawning grounds; 2 - wintering aggregations; 3 - feeding area; 4 - spawning migrations; 5 - feeding migrations. Source: FFA (2008)...... 34 Figure 7. Estimated instantaneous fishing mortality coefficients for North Sea of Okhotsk pollock. Source: Varkentin and Ilyin (2015)...... 35 Figure 8. Estimated numbers of North Sea of Okhotsk pollock recruitment. Source: Varkentin and Ilyin (2015)...... 35 Figure 9. North Sea of Okhotsk pollock estimated exploitable biomass (top) and spawning stock biomass (bottom) 1963-2021 with reference points, 90% bootstrapped confidence intervals and two year projection. Source: KamchatNIRO (2020)...... 36 Figure 10. Multi-year average age distribution of pollock in the North Sea of Okhotsk before and after introduction of ‘mirror’ inserts in trawl cod-ends. Source: Varkentin and Ilyin (2015)...... 39 Figure 11. Implementation of HCR for North Sea of Okhotsk pollock in 2007–2019 (including projections). Source: Varkentin and Ilyin (2015)...... 40 Figure 12. Predicted dynamic of North Sea of Okhotsk pollock spawning biomass at capture intensity recommended according to HCR and yearly yield of 800 (1), 900 (2) and 1000 (3) thousand tonnes (kt). Source: Varkentin and Ilyin (2015) ...... 41 Figure 13. Probability of spawning biomass decreasing lower than the limit reference point. Source: Varkentin and Ilyin (2015)...... 41 Figure 14. Retrospective analysis results for North Sea of Okhotsk spawning stock. Source: Varkentin and Ilyin (2015)...... 45 Figure 15. North Sea of Okhotsk pollock estimated spawning stock biomass 1963-2021 with reference points, 90% bootstrapped confidence intervals and two-year projection. Source: KamchatNIRO (2020) ...... 47 Figure 16. Herring spatial distribution and catches (per 1 hour of trawling) in the pollock fishery in Season “A” of 2017, showing overlap between the pollock fishery and the Northern SOO Pacific herring stock. Source: Smirnov et al. (2017). Figure to be updated ...... 64 Figure 17. Status of herring in the northern SOO to 2016. Spawner biomass has since the early 1990s been within or above the target region (shaded area between BTR1 and BTR2, with BCP being the mean). Source: Payne et al. (2018). To be updated with latest stock assessment...... 71 Figure 18. Population estimates and trends of Steller sea lions in Russian waters (all ages and sexes) in 3 regions: the Kuril Islands; Commander Islands and the Sea of Okhotsk. Data prior to 2000 are based on reconstructed decadal abundance estimates. Data since 2000 are based on survey results. From Burkanov et al. (2011) and references therein...... 89 Figure 19. Distribution of macrobenthos along the eastern Sakhalin shelf. From Nadtochy and Budnikova (2004) ... 101 Figure 20. Distribution of total macrobenthos biomass (gm-2) along the shelves of Eastern Sakhalin (top left), western Kamchatka (top right) and Shelikhov Bay (bottom) in 2002 and 2004 and comparison with 1970-80s survey data. Distribution by taxonomic group for each area is shown in Nadtochy et al. (2007). From Radchenko et al. (2010). ... 102 Figure 21. Percentage of species of different taxonomic groups in benthic (left) and pelagic (right) trawl catches from the Sea of Okhotsk (Volvenko et al., 2018) ...... 109 Figure 22. Overview of fisheries management in Russia (adjusted in relation to marine fisheries in the Northwest Pacific). From Valle-Esquivel et al. (2021) with modifications...... 115 Figure 23. The SOO pollock TAC decision-making process flow chart. From Payne et al. (2018)...... 116

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

Figure 24. Overview of the Fishery Monitoring System operated by the Kamchatka CFMC. From Payne et al. (2018)...... 118

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

2 Glossary ABR Aquatic Biological Resources B Biomass CAB MSC Conformity Assessment Body CITES Committee on International Trade in Endangered Species CFMC Centre for Fisheries Monitoring and Communications CPUE Catch per unit effort CV Coefficient of Variation DVR Daily Vessel Report DVNPS Far Eastern Scientific and Technical Council EEZ Exclusive Economic Zone ETP Endangered, Threatened, Protected species F Fishing mortality FAO Food and Agriculture Organization (of the UN) FFA Federal Fishery Agency (or Rosrybolovstvo) FMS Fishery Monitoring System (operated by CFMC) FSA Fishery Shipowner Association FSB Federal Security Service (Coastguard) GMI State Marine Inspectorate of Northeastern Border Control Department (now the Coastguard) HCR Harvest Control Rule HS Harvest Strategy IUCN International Union for the Conservation of Nature and Natural Resources IUU Illegal, Unreported and Unregulated fishing KamchatNIRO Russian Research Institute for Fisheries and Oceanography, covering Russian Far Eastern seas and the open Pacific Ocean, based in Kamchatka M Natural mortality MCS Monitoring, Control and Surveillance MSC Marine Stewardship Council MSY Maximum Sustainable Yield NGO Non-Governmental Organization NPFC North Pacific Fisheries Commission PCA Pollock Catchers Association PCDR Public Comment Draft Report PI Performance Indicator PICES North Pacific Marine Science Organization PRI Point of Recruitment Impairment PSA Productivity Susceptibility Analysis RBF Risk-Based Framework (MSC) RFE Russian Far East Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

SG Scoring Guidepost (60, 80, 100) SI Scoring Issue (individual performance criteria under each SG) SOO Sea of Okhotsk SSB Spawning Stock Biomass TAC Total Allowable Catch TINRO Russian Research Institute for Fisheries and Oceanography, covering Russian Far Eastern seas and the open Pacific Ocean, based in Vladivostok UoA Unit of Assessment (MSC) UoC Unit of Certification (MSC) VMS Vessel Monitoring System VNIRO All-Russian Research Institute for Fisheries and Oceanography (Moscow)

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

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 the FSA Sea of Okhotsk pollock fishery. The process begins with publication of the ACDR on 26th March 2021 and was concluded (to be determined at a later date) » A review of information presented by the client has been scored by the assessment team – please note this does not represent a final scoring outcome or a certification decision. » The scoring presented in this report has not been reviewed by stakeholders, peer reviewers or the client – these steps will all take place from here onwards. A variation request will be submitted for this initial site visit to be conducted remotely, in line with the MSC derogation. » Stakeholders are encouraged to review the scoring presented in this assessment and use the Stakeholder Input Form to provide evidence to the team of where changes to scoring are necessary. » All stakeholder comments will be published ahead of the site visit. Stakeholders can meet with the assessment team commencing 25th May 2021 either on-site in Russia or off-site using video conferencing software, depending on the status of Covid-19 restrictions in place at that time. Given the ongoing COVID-19 pandemic, LR is submitting a Variation Request for this initial assessment to be conducted remotely, in line with the MSC Feb 26th COVID-19 derogation. The result of the VR will be available on the MSC website before the site visit. » The Target Eligibility Date for this assessment is the certification date (this has not been determined).

The assessment team for this fishery assessment comprised of Chrissie Sieben, who acted as team leader and primary Principle 2 specialist; Paul Medley who was primarily responsible for evaluation of Principle 1 and Dmitry Lajus who was primarily responsible for evaluation of Principle 3.

Client strengths » A notable strength of the fishery is the robust and well-defined fisheries management system in the Russian Far East, with established decision-making and consultation processes, tested mechanisms for dispute resolution, and a comprehensive monitoring, control and surveillance system in place. The management system supports and coordinates fisheries research and stock assessments through the federal fisheries research institute, VNIRO (the Russian Federal Research Institute for Fisheries and Oceanography) with its 28 regional branches, the so-called NIROs. There is a harvest strategy in place for the target stock, walleye pollock in the northern Sea of Okhotsk, which consists of a process of monitoring, stock assessment, scientific advice and controls that manage the state of the pollock stock and its components, and the fishing fleets and their operations, and the interactions between these. The primary dynamic control on harvest levels is the annual total allowable catch (TAC), which is distributed among the different areas and fleets, and which is backed up by more static measures, including the limited licensing, gear controls and seasonal closures. The management process is adaptive and has shown an ability to adjust as information becomes available or methods are shown to be unreliable. At present, there is a high degree of certainty that the stock has been fluctuating around or above a level consistent with MSY. An observer programme is in place for the SOO pollock fishery, as implemented by TINRO, with the aim of collecting scientific data to underpin the stock information used in formal assessments and to contribute data on ecosystem impacts, including on seabird and marine mammal interactions. In addition, key ecosystem components such as the main primary species (Pacific herring), ETP species (Steller sea lion) and benthic habitats are closely monitored, with precautionary management in place. Although some information gaps have been identified, the impact of the fishery on ecosystem components and elements, such as trophodynamics, is not thought to affect the overall sustainability of this fishery.

Client weaknesses

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

» At this ACDR stage, the main weakness has been accessing up to date information on stock assessments and surveys, not all of which is made publicly available. Where information was available, this was mostly in Russian and had to be accessed through the Client. This affected the team’s ability to consider the latest, most relevant information in scoring at this ACDR stage. Additional weaknesses were identified in the observer reports where species-specific data on seabird interactions were not always apparent and it is not clear whether this stems from issues with translation or from the observer monitoring protocol itself. These matters will need to be discussed further at the site visit. In relation to Principle 3, at this ACDR stage, the team have not yet had the opportunity to verify the data on compliance and sanctions with the Russian authorities; scoring could therefore not be completed in full.

Summary of Key Issues for Further Investigation » The following information is requested in relation to SOO walleye pollock: › 2020 stock assessment documentation including tables of TAC, catch, annual fishing mortality and biomass estimates; › Annual estimates or indicators of discard rate; › More detail on review procedures (e.g. working group minutes, recommendations etc.) undertaken since 2017 › More detail is required on how BTR and FTR have been estimated explaining why biomass has been above apparent MSY in recent years. » Catch data verification mechanisms to be discussed; » Degree of overlap between UoA and each herring stock to be determined based on up to date data » Updated stock assessment information is required on the two Pacific herring stocks that potentially overlap with the SOO pollock fishery. » Stock assessment for Pacific cod stock requested; » Bycatch species list to be reviewed and additional Primary species to be identified as needed; » More information requested on bird species identified in the TINRO observer reports for the SOO mid-water trawl pollock fishery and the UoA specifically; » More information sought on gear deployment and likelihood of bottom contact during fishing or following gear loss; » Up-to-date information on benthic surveys requested; » Up-to-date information on ETP species (Steller sea lion) surveys requested; » Up-to-date information seabird surveys requested; » Up-to-date information on ecosystem modelling requested; » Incidences of fishery non-compliance to be discussed » Data on compliance and sanctions to be verified with the authorities. » Traceability procedure to be discussed

For interested readers, the report also provides background to the target species and fishery covered by the assessment, the wider impacts of the fishery and the management regime, supported by full details of the assessment team, a full list of references used and details of the stakeholder consultation process.

Lloyd’s Register confirm that this fishery is within scope.

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

4 Report details 4.1 Authorship

All team members listed below have completed all requisite training and signed all relevant forms for assessment team membership on this fishery.

Assessment team leader: Chrissie Sieben Primarily responsible for assessment under Principle 2 Chrissie Sieben is an independent fisheries consultant with a Master’s Degree in Marine Environmental Protection which she obtained at the University of Wales, Bangor. Chrissie specialises in marine and fisheries ecology, marine environmental impact assessments and sustainable fisheries development. She was the MSC fisheries scheme manager at ME Certification Ltd (which later became CU UK) up until December 2018. Previous to joining MEC, she worked as a fisheries consultant and marine ecologist on UK-based and international projects. Chrissie is now an independent assessor with over ten years’ experience with the MSC certification requirements and has acted as team leader and P2 assessor on a range of preassessments, surveillance audits and full assessments of demersal and pelagic fisheries in the Atlantic, Mediterranean, Indian Ocean, Southern Ocean and Pacific. A full list of completed assessments is available in her CV. She also regularly participates in MSC training sessions and workshops. Chrissie speaks fluent French and Dutch in addition to English. She has successfully completed the MSC online team leader training on the Risk-Based Framework (RBF), FCRv2.0, FCPv2.1 and FCPv2.2 as well as ISO19011 on auditing management systems and has no conflict of interest in relation to this assessment.

Expert team member: Paul Medley Primarily responsible for assessment under Principle 1 Paul Medley is an independent fisheries scientist. He holds a PhD in fisheries science. He has carried out a wide number of stock assessments, conducted peer reviews and teaching assignments. Paul Medley has been involved more than 20 full assessments, several pre-assessments and fishery improvement plans. Paul Medley has over 30 years’ experience of mathematical modelling of fisheries and ecological systems and data management, including data acquisition to fit and test models, with the objective of providing scientific advice to fishery management. He has worked on a wide number of fisheries including spiny lobster, conch, shrimp, squid, octopus, tuna and pelagics. He has been an invited expert for a number of stock assessment working group meetings and stock assessment reviews and most recently has focused on using the new Stan modelling software for producing MCMC posterior probability densities for population dynamics models. He has been involved in developing the MSC certification methodology and carried out various MSC assessments, including a number of North Sea pelagics and groundfish, Barents Sea and West Coast USA groundfish, Iceland groundfish stocks, Patagonian and Antarctic toothfish, icefish and krill. He have also helped prepare some fisheries for MSC certification, namely Suriname and Guyana seabob shrimp, Bahamas spiny lobster, Madagascar octopus, UK brown shrimp. Paul has passed MSC training and has no Conflict of Interest in relation to this fishery. Full CV available upon request

Expert team member: Dmitry Lajus Primarily responsible for assessment under Principle 3 Dr. Dmitry Lajus received a M.S. degree from the St. Petersburg State University and PhD degree from Zoological Institute, Russian Academy of Sciences. Now Dr. Dmitry Lajus is an Associate Professor at the Department of Ichthyology and Hydrobiology at St. Petersburg State University. In 2006 he received a Fulbright Fellowship at the University of New Hampshire on fish historical ecology. He specializes mostly in the population biology of marine organisms such as fish, invertebrates and seagrass. Dr. Lajus has an extensive list of peer-reviewed publications, chapters in books, conference proceedings, participation in international conferences, and involvement in international research and educational projects. A number of publications are on sustainable fisheries such as the first Russian seafood consumer guide (with WWF-Russia). He participated in multiple MSC pre-assessments and full assessments on different species such as Pacific salmon, Pacific halibut, Pacific cod, pollock, common perch, pikeperch, crabs and others in various parts of Russia, consulted for a number of fisheries, and peer-reviewed MSC certification reports. Dmitry has passed MSC training and has no Conflict of Interest in relation to this fishery. Full CV available upon request.

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

4.2 Peer Reviewers

Peer reviewer information to be completed at Public Comment Draft Report stage

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

Justification to be added here as to why these particular peer reviewers were appointed - to be framed in terms of their specific areas of expertise relevant to this particular fishery and why they will be in a position to provide expert reviews to ensure the scores and rationales given by the assessment team have taken account of all the available information and can be scientifically justified.

4.3 RBF Training Chrissie has been fully trained in the use of the MSC’s Risk Based Framework (RBF). For this assessment, the RBF is likely to be triggered for Secondary species outcome (PI 2.2.1) and ETP species outcome (PI 2.3.1). Information on how the RBF was applied in this assessment can be reviewed in section 9.2.3 and outputs in section 9.9.

4.4 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

*Default assessment tree

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LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

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

Lloyd’s Register confirms that this fishery is in conformity with the MSC scope requirements (FCP v2.2 Section 7.4): • the fishery does not target amphibians, reptiles, birds or mammals; • the fishery does not use poisons or explosives; • the fishery does not operate under a controversial unilateral exemption to an international agreement; • the client group does not include an entity that has been successfully prosecuted for a forced labour violation in the last 2 years; • the fishery management framework includes a mechanism for resolving disputes and the fishery is not overwhelmed by disputes; • the fishery is not an enhanced or introduced species-based fishery; and • the client group does not include an entity that has been convicted for a shark finning violation in the last 2 years

A single Unit of Assessment (UoA) has been identified for this fishery, as defined in Table 2. There are no other eligible fishers; the Unit of Certification (UoC) is therefore the same as the UoA.

Table 2. Unit of Assessment (UoA) (Provisional - will be confirmed in accordance with MSC FCP V2.2 7.17.3)

UoA 1 Description

Species Walleye pollock (Gadus chalcogrammus), also referred to as Alaska or Russian pollock

Sea of Okhotsk Pollock stock (Northern Sea of Okhotsk subzone (61.05.1); Western Stock Kamchatka subzone (61.05.2); Kamchatka-Kuril subzone (61.05.4) (See Figure 1) Fishing gear type(s) and, if relevant, vessel Mid-water pelagic trawl type(s)

Client group Fishery Shipowner Association

Other eligible fishers None

The Sea of Okhotsk (Northern Sea of Okhotsk subzone (61.05.1); Western Kamchatka Geographical area subzone (61.05.2); Kamchatka-Kuril subzone (61.05.4), FAO 61

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Figure 1 Left: Russian Far East (RFE) Fishery Management Zones (www.russianpollock.com). The UoA fishery operates in the Sea of Okhotsk (zone 61.05), in subzones 05.1 (Northern Sea of Okhotsk); 05.2 (Western Kamchatka) and 05.4 (Kamchatka-Kuril). Right: Areas of specialized pollock fishing for the entire Russian fleet (2) in the Sea of Okhotsk during January 1-April 9, 2019 (Season A). The black dots (1) are observer sampling points. Source: TINRO translated summary of 2016-2020 observer reports for the SOO mid-water trawl pollock fishery.

5.1.2 Unit(s) of Certification

To be drafted at Client and Peer Review Draft Report stage

To be completed at Public Certification Report stage

If there are changes to the proposed Unit(s) of Certification (UoC), the CAB shall include in the report a justification. Reference(s): FCP v2.2 Section 7.5

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

UoC X Description

Species

Stock

Fishing gear type(s) and, if relevant, vessel type(s)

Client group

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Geographical area

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

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

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

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6 Traceability and eligibility 6.1 Eligibility date

The eligibility date for this fishery will be confirmed in the PCDR (MSC FCPv2.2 7.20.3j). Although some information gaps remain to be filled at the site visit, the FSA fishery traceability and segregation systems had already been deemed satisfactory under its previous MSC certification with the PCA. It is therefore likely the eligibility date could be set at the PCDR stage (MSC FCPv2.2 7.8.1.1) but additional information will be provided following the site visit to confirm this.

Should the fishery be certified (confirmed in the Public Certification Report), the Client fishery is informed that if they sell or label non-eligible (nonconforming) product as MSC certified, they must: a. Notify any affected customers and the CAB of the issue within 4 days of detection. b. Immediately cease to sell any non-conforming products in stock as MSC certified until their certified status has been verified by the CAB. c. Cooperate with the CAB to determine the cause of the issue and to implement any corrective actions required.

6.2 Traceability within the fishery All vessels in the Unit of Assessment (UoA) complete electronic fishing logs indicating catch quantity by species and fishing zone. Note that each vessel has to have a catch permit on board indicating how much product can be caught in which of the four fishing zones in the Sea of Okhotsk (SOO); i.e. the Northern Sea of Okhotsk subzone (6105.01), Western Kamchatka subzone (6105.02), Kamchatka-Kuril subzone (6105.04) and Eastern Sakhalin subzone (6105.03) – the latter is not covered by the UoC (to be discussed further at the site visit).

The UoA vessels catch and process pollock and other retained species at sea. The pollock are stripped from roe, headed and gutted and block-frozen. Some product is frozen whole, round. The frozen pollock blocks are then packaged, labelled with a production code (indicating inter alia the species name, day of production, catch subzone, catch method and vessel name – see Figure 2) and stored in the hold. On-board processing to be discussed further at the site visit.

Figure 2. Example of label applied to frozen pollock packaging at sea. The label indicates inter alia the species name, day of production, catch subzone, catch method and vessel name. Note that the reference to MSC is linked to the fishery’s previous certification as part of the PCA fishery (see Payne et al. (2018)) and is not in use at present. Image provided by Client.

The fishery operates within a robust Monitoring Control and Surveillance (MCS) framework. All vessels are equipped with a Vessel Monitoring System (VMS), which sends data to the authorities every 10 minutes. Depending on fishing area, the vessels are tracked through offices of the Centre for Fisheries Monitoring and Communications (CFMC), which fall under the overall control of the Federal Fishery Agency (FFA) but share data with the Federal Security Service (FSB). Quota uptake by fishing area is strictly controlled and while at sea, the vessels report at least daily on catches and production volumes in the electronic logbook. If vessels do not report at the end of each day, the monitoring centers contact them to identify the reason for lack of communication. The current system of manual daily catch reporting is done with the electronic logbook system, also operated through the CFMC (Payne et al., 2018). An overview of the inspection regime is given in Section 7.5.4.

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The vessels stay at sea for long periods and transfer product to reefers or motherships, but only under the supervision of FSB Coastguard officials. Transshipment documentation to be discussed further at the site visit. Once transshipped, all product caught by Russian vessels within the Russian EEZ has to be landed at a designated Russian port for Customs inspection prior to shore-based onward production or export to another location. This is also where ownership changes (to be confirmed at the site visit). Much of the pollock caught in Russian waters is taken to China, where it is either forward-shipped to customers or subjected to further processing (Payne et al., 2018).

Although fishing may take place in the Eastern Sakhalin subzone, catches are traceable through the fishing logbook, VMS and transhipment records. Furthermore, all movements to and from fishing grounds in the SOO (e.g. to and from port) or to other areas such as the western Bering Sea have to be notified in advance to the Coastguard (Payne et al., 2018), and in any case, would remain identifiable through the packaging labels which identify the subzones.

Table 6. Traceability within the fishery

Factor Description

Will the fishery use gears that are not part of the Unit of Certification (UoC)? Other gear is generally not carried aboard, but if it is, it has

to be sealed and unused (Payne et al., 2018). Bottom trawl If Yes, please describe: fishing for pollock is completely banned in the Sea of - If this may occur on the same trip, on the same This risk is minimal. vessels, or during the same season; Okhotsk (see Section 7.2.2). - How any risks are mitigated. Although fishing may take place in the Eastern Sakhalin subzone, catches are traceable through the fishing logbook, Will vessels in the UoC also fish outside the UoC VMS and transhipment records. Furthermore, all geographic area? movements to and from fishing grounds in the SOO (e.g. to and from port) or to other areas such as the western Bering If Yes, please describe: Sea have to be notified in advance to the Coastguard (Payne - If this may occur on the same trip; et al., 2018), and in any case, would remain identifiable - How any risks are mitigated. through the packaging labels which identify the subzones. Likelihood to have catches from UoC and non-UoC areas onboard at the same time to be discussed at the site visit. The UoA vessels catch and process pollock and other retained species at sea. The pollock are stripped from roe, headed and gutted and block-frozen. Some product is frozen whole, round. The frozen pollock blocks are then packaged, Do the fishery client members ever handle certified and labelled with a production code (indicating inter alia the non-certified products during any of the activities species name, day of production, catch subzone, catch covered by the fishery certificate? This refers to both at- method and vessel name – see Figure 2) and stored in the sea activities and on-land activities. hold. On-board processing to be discussed further at the site visit. - Transport - Storage The vessels stay at sea for long periods and transfer product - Processing to reefers or motherships, but only under the supervision of - Landing FSB Coastguard officials. Transshipment documentation to - Auction be discussed further at the site visit. Once transshipped, all product caught by Russian vessels within the Russian EEZ If Yes, please describe how any risks are mitigated. has to be landed at a designated Russian port for Customs inspection prior to shore-based onward production or export to another location. This is also where ownership changes (to be confirmed at the site visit).

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Overall, because the management system requires all catch to be traceable to the fishing area (by subzone), the separation and identification systems in place ensure that the risk of substitution of UoC and non-UoC product is minimal. Does transhipment occur within the fishery?

If Yes, please describe: - If transhipment takes place at-sea, in port, or Yes – as explained above, the risk is minimal. both; - If the transhipment vessel may handle product from outside the UoC; - How any risks are mitigated. Are there any other risks of mixing or substitution between certified and non-certified fish? None

If Yes, please describe how any risks are mitigated.

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

6.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to enter further chains of custody There are no IPI stocks in this fishery.

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7 Scoring 7.1 Summary of Performance Indicator level scores

Table 7. Summary of Performance Indicator level scores. * Scoring not complete.

Principle Component Performance Indicator (PI) Score

1.1.1 Stock status ≥80 Outcome 1.1.2 Stock rebuilding N/A 1.2.1 Harvest strategy ≥80 1 1.2.2 Harvest control rules & tools ≥80 Management 1.2.3 Information & monitoring ≥80 1.2.4 Assessment of stock status ≥80 2.1.1 Outcome ≥80 <60* (more information Primary species 2.1.2 Management needed) 2.1.3 Information ≥80 2.2.1 Outcome <60* (RBF) Secondary species 2.2.2 Management ≥80 2.2.3 Information <60* (RBF) <60* (RBF) 2 2.3.1 Outcome ETP species 2.3.2 Management ≥80 2.3.3 Information <60* (RBF) 2.4.1 Outcome ≥80 Habitats 2.4.2 Management ≥80 2.4.3 Information ≥80 2.5.1 Outcome ≥80 Ecosystem 2.5.2 Management ≥80 2.5.3 Information ≥80 3.1.1 Legal & customary framework ≥80 Governance and policy 3.1.2 Consultation, roles & responsibilities ≥80 3.1.3 Long term objectives ≥80 3 3.2.1 Fishery specific objectives ≥80

3.2.2 Decision making processes ≥80 Fishery specific management system 3.2.3 Compliance & enforcement ≥80 Monitoring & management 3.2.4 ≥80 performance evaluation

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7.2 Fishery overview

7.2.1 The client fishery

The fishery under assessment is the mid-water trawl fishery for Alaska or walleye pollock (Gadus chalcogrammus) (henceforth referred to as walleye pollock), operating in the Sea of Okhotsk (SOO). The fishery follows the movement of pollock spawning aggregations north and into the different subzones of the SOO. There are four Russian fishery management subzones, including the northern SOO subzone (05.1), Western Kamchatka subzone (05.2), Eastern Sakhalin subzone (05.3) and Kamchatka–Kuril (05.4) subzone (Figure 1); the Eastern Sakhalin subzone is however not included in the Unit of Assessment.

The fishery is prosecuted by member vessels of the Fishery Shipowner Association (FSA). The FSA was established in 2016 as a professional association, acting as industry liaison with government and scientific institutes, promoting stable conditions for industry investment projects, reducing the impact of administrative barriers on deep-sea fishing and fish processing, and contributing to the promotion of FSA member products onto Russian and foreign markets, including pollock fillets and surimi. On behalf of its members FSА carries out research and work to certify fishing areas and products in compliance with international and Russian ecological standards for its members’ deep-sea fishing operations. The association has a membership of 15 commercial deep-sea fishing companies and more than 2,500 personnel are employed at the fishing and processing enterprises, which are part of the FSA. FSA members account for about 15% of the pollock catching quota in Russia and about 9% of its global catch.

The FSA fishery has already been MSC certified under the Russia Sea of Okhotsk pollock fishery (see link) through its membership of the Pollock Catchers Association (PCA). FSA left the PCA in late 2020 (although its vessels are still on the MSC vessel list) and is now pursuing its own MSC certification. There are 13 vessels in the UoA (see Table 8, Figure 3), all of which are industrial mid-water pelagic trawlers that process and freeze the catch on-board. The vessels stay at sea for long periods and transfer product to reefers or motherships. An overview of the on-board processing and traceability in this fishery is given in Section 6. Note that FSA is in the process of updating its fleet with a new fleet of supertrawlers. Over the course of 2021, it is expected that the first 3 vessels will arrive that are being built for the RFC at the Admiralty shipyards, as part of the investment quota program. In the coming years until 2026, the Client Group will receive a total of 11 new vessels that will “significantly increase the efficiency of fishing, enhance its safety and environmental friendliness, and improve working and living conditions for (…) fishermen." (www.russianfishery.ru). The vessels will have significantly higher catching and processing capacity than the current fleet, and completely reuse any of the processing by-products (thereby removing the need of discarding processing waste at sea). As and when the new vessels arrive, the older ones will be decommissioned.

Table 8. List of vessels in the UoA as of March 2021.

Vessel name Length (m) IMO number Owner company Kapitan Oleynichuk 114,53 8625961 JSC "TURNIF" Vladivostok 104,50 9060429 Pioner Nikolaeva 103,70 7942180 Porfiriy Chanchibadze 104,50 8228684 Mys Basargina 104,50 8423557 Borodino 104,50 8831649 JSC "INTRAROS"

Berezina 104,50 8878116 Novouralsk 103,70 7943184 LLC "Vostokrybprom"

Geroi Shironintsy 103,70 7832945 Ivan Kalinin 104,50 8721179 LLC "Sovgavanryba" Pavel Batov 104,50 8721090 JSC "DMP-RM" Pavel Panin 94,00 7703998 LLC "RMD-UVA 1" Vladimir Limanov 108,2 9860867 LLC Vostokrybprom

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Figure 3. Large autonomous freezing trawler “Geroi Shironintsy” (fleetphoto.ru/photo/61195).

Walleye pollock is only permitted to be harvested with mid-water trawls, with gear specifications varying between vessels, according to vessel size. An example is given in Figure 4. The trawls are 100-110 mm mesh and typically have a vertical opening of 60-85m and a horizontal opening of 130-165m. Towing speed varies as well, averaging at 4.5 knots. The gear is deployed at depths of 200-300 meters in the pelagic domain and usually does not interact with the seabed (the extent to which this may occur on rare occasions should be discussed further at the site visit). It is not anticipated that these operational characteristics will change with the arrival of the so-called super trawlers.

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Figure 4. Schematic and gear specifications for one of the larger mid-water trawl types used in the fishery. From 2020 Fishering Service LTD gear catalogue. www.fishering.com.

7.2.2 Management framework

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). 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. The FFA has five regional offices in the Russian Far East, with the Kamchatka Kray office (Northeast Territorial administration of FFA) most relevant to the fishery under assessment. The basic legal document underpinning fisheries management in the Russian Federation is the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources (O rybolovstve, 2004). The Act has been revised several times, last in 2014. Other important legislation at the federal level includes the 2002 Federal Act on the Protection of the Environment (Ob okhrane, 2020).

Fisheries research and stock assessment is coordinated by the FFA, through the federal fisheries research institute, VNIRO (the Russian Federal Research Institute for Fisheries and Oceanography) with its 28 regional branches, the so- called NIROs (Russian abbreviation for the words “Scientific Research Fisheries Oceanography”). In the Far Eastern Fishery Basin VNIRO has five regional offices: 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).

Another group of institutions subordinate to the FFA are the federal and regional offices of the Centre for Fisheries Monitoring and Communications (CFMC) which are the technical hubs for all kinds of vessel reporting, including electronic logbooks and vessel monitoring systems (VMS) and coordinate monitoring of fishing activities. The enforcement of fishing rules falls under the responsibility of the Federal Security Service (FSB), but these two organizations (FFA and FSB) coordinate their activities with a common overall aim of ensuring sustainable fisheries. A more comprehensive description of the fisheries management framework and the institutions involved is provided in Section 0.

All vessels involved in the SOO pollock fishery are issued with a pollock-directed permit as well as retained species catch permits under the Fishing Rules. For all retained species, there is either a Total Allowable Catch (TAC) in place, determined based on stock assessments and reference points, such as for walleye pollock and Pacific herring, or a Possible Yield (or “catch”, PY or PC) permit is issued for the potential catch of these species in the fishery and for which precautionary catch limits are applicable. For pollock, the overall TAC is divided by season and subzone, which in the case of SOO pollock are the Northern Sea of Okhotsk (6105.1), West Kamchatka (6105.2) and Kamchatka–Kuril (6105.4). Although the specific dates of the seasons vary by subzone and are stated in the fishery regulations, they are generally January–April (season A) and October–December (season B). October-December is also the season when the fleet shifts from a pollock-directed fishery to a herring-directed fishery (with pollock as bycatch). A fishing company can catch all or part of its quota during season A, with the opportunity to catch the remainder of its quota during season B. Other fishery-specific management measures, as laid out in the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources or Fishing Rules, include the following:

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6) Pollock-directed effort is mainly mid-water trawling with nets of a minimum of 100 mm mesh, and no bottom trawling is allowed; 7) Spatial management – there is a full or partial ban in some fishing zones, with trawling not permitted <30 miles offshore and 5–12 miles from islands; 8) When bycatch exceeds 2%, there is a “move-on” rule of at least 5 miles from the areas of such high bycatch; 9) Daily vessel records (DVRs) – vessel captains must keep records of bycatch and submit the records daily; and 10) Mandatory use of selectivity devices in modern trawls – “mirror” inserts.

7.2.3 Catch profiles and data availability

There are two sources of data that inform on fishery catch profiles. These are the vessel logbook data which show retained catch as reported by the UoA, and observer data on retained and discarded catch as well as ETP species encounters, collected by independent observers aboard UoA vessels. Both sources of information are discussed further below.

Logbook data

In December 2019, the Russian Ministry of Agriculture (MoA) approved a new procedure for daily vessel reporting (DVR) to the FFA’s Fishery Monitoring System (FMS), to be in force from May 2020. This system had been in testing mode throughout the UoA and PCA fleet since 2017 and replaces the previous manual (fax, email, radio) DVR transmission procedure that had been in operation since 1996. Although use of the new electronic DVR system has previously been optional, it became obligatory for all vessels from the start of 2021 and is intended to cover all the required information on catch, processing and product, transshipment, transport and storage of catches (Japp and Payne, 2020).

Whether manual or electronic, all vessels complete logbooks or DVRs which are transmitted to the Territory Department of the FFA, as well as the Centre for Fisheries Monitoring and Communications (CFMC), where they are entered into a national database. The logbooks contain information on vessel position, daily catch, daily production, fishing gear, quantity of fishing gears, depth of catch, and timing and coordinates of the fishing operations (this is to be discussed further at the site visit). The fishery is subject to a rigorous inspection regime (Section 7.5.4) which enables cross- validation of the logbook data through inter alia offloading records and VMS data. According to Payne et al. (2018), a Fishery Monitoring System (FMS) has been implemented that integrates the available information at a centralized collection, storage and processing unit, and these electronic data are maintained on a Fishery Register to which the main management agencies have access (i.e. FFA, FSB and Customs). Overall, monitoring of the pollock fishery is tightly controlled, generating confidence in the catch estimates. This will be discussed further at the site visit.

A summary of the logbook data for the FSA fleet between 2016 and 2020 is shown in Table 9, showing retained catch only. Besides walleye pollock, Pacific herring makes up a significant proportion of the retained catch, exceeding the 5% threshold for a ‘main’ species (this is explained further in Section 7.4.1). Pacific cod is the only other retained species, albeit to a much lesser extent. At less than 1% of the total retained catch for all years, Pacific cod is therefore considered a ‘minor’ species.

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Table 9. Summary of UoA logbook data for 2016 – 2020 in tonnes and as a % of total retained catch. The Principle 2 designations as per the definitions given in Section 7.4.1 are also given. Source: Primorsky Territory Department, Federal Agency for Fishery

Tonnes % total retained catch P2 designation Species 2016 2017 2018 2019 2020 2016 2017 2018 2019 2020 N/A – P1 Walleye pollock Gadus chalcogrammus 119,157 73,075 119,246 167,111 78,204 87.06 83.03 84.66 83.05 90.10 species Pacific herring Clupea pallasii 17,706 14,644 21,612 34,118 8,590 12.94 16.64 15.34 16.95 9.90 Primary, main

Pacific Cod Gadus macrocephalus 0 293 0 0 0 0.00 0.33 0.00 0.00 0.00 Primary, minor

Total 136,863 88,011 140,858 201,229 86,794 100.00 100.00 100.00 100.00 100.00

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Observer data

An observer programme is in place for the SOO pollock fishery, as implemented by TINRO, with the aim of collecting scientific data to underpin the stock information used in formal assessments and to contribute data on ecosystem impacts, including on seabird and marine mammal interactions. Monitoring effort is directed systematically at mid-water trawl operations in season A, which runs from January to April in the Kamchatka-Kuril (61.05.4), Western Kamchatka (61.05.2) and northern Sea of Okhotsk (61.05.1) subzones, when the bulk of the TAC is taken. Observer deployments are undertaken collaboratively between the various research organisations, primarily and overseen by TINRO (Payne et al., 2018). The observer research goals are as follows:

• Study the distribution patterns of pollock in the pre-spawning and spawning periods; • Collect material to study the size-age structure and other biological indicators of pollock and herring in the fished areas; • Estimate bycatch of undersized pollock (≤ 37 cm); • Study the composition of other species of bycatch in the pollock and herring fishery; • Collection and analysis of operational information about the fleet participating in the pollock and herring fishing in the winter-spring period; • Collect materials on the spatial distribution and movement of commercial herring stocks; and • Collect information on the bycatch and mortality of marine mammals and birds during the pollock fishery.

Comprehensive and detailed observer reports are prepared by each observer after each trip and were provided to the team for four trips completed in 2020. Observer coverage in the Russian SOO pollock fleet has been increasing over the last five years, as is evident from Payne et al. (2018) and Table 10 below which shows the observer coverage for the PCA fleet. Note that the FSA fleet was part of this fleet up until the second half of 2020 and observer deployments aboard its vessels were funded and managed through the larger PCA programme. An overview of the number of observers deployed aboard UoA vessels is also given in Table 11.

Table 10. 2016 – 2020 observer coverage for the entire Russian SOO pollock PCA fleet. From Japp and Payne (2020). Note that the FSA fleet was part of the PCA fleet up until the second half of 2020.

Table 11. Number of trips observed aboard FSA vessels in the SOO pollock fishery between 2016-2020. Source: TINRO.

Year 2016 2017 2018 2019 2020 Number of trips observed 1 2 2 4 6 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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For the assessment of the FSA fishery, the team considered the observer data obtained through the PCA-funded programme up until 2020 and supplemented this with the UoA-specific observer data provided for 2020. Detailed summaries of the PCA data are given in the PCA Public Certification Report (Payne et al., 2018) and subsequent surveillance reports (Payne and Japp, 2019; Japp and Payne, 2020). Although these details have not been repeated here, Payne et al. (2018) conclude that the proportions of retained bycatch in pollock trawls is consistent with that reported in the first assessment (O’Boyle et al., 2013) and that the proportion of retained species in the pollock fishery when compared between declared catches and observer estimates indicates that, with the exception of Pacific herring, all retained catch is <2% of the directed (pollock) catch. The proportions of discard species were very small or negligible, none of which met the criteria of a ‘main’ species. The bycatch profile of the PCA fishery has not changed since certification, with pollock making up at least 97% of the total catch recorded by TINRO and KamchatNIRO observers for the 2019 and 2020 seasons; the only other species appearing in the catches overall other than in infinitesimal amounts was herring Clupea pallasii (Payne and Japp, 2019; Japp and Payne, 2020). A similar bycatch profile is apparent in the FSA observer data for 2020, summarised in Table 12, which shows that none of the species listed make up more than 2% of the total observed catch (based on average catch per hour, which is the standard metric for recording catch in the observer reports).

Observations on seabird and marine mammal encounters are discussed further in Section 7.4.3.

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Table 12. Summary of bycatch species encountered in 2020 observer survey trawls aboard client group vessels during pollock fishing operations in the UoA area. Data compiled by assessment team from TINRO UoA observer reports. None of the species listed make up more than 2% of the total observed catch (based on average catch per hour). At this ACDR stage, only walleye pollock, Pacific herring and Pacific cod are considered Primary species. This is to be confirmed prior to or at the site visit.

Trip 04.12.2019 – 14.05.2020 09.02.2020 – 30.04.2020 06.02.2020 – 09.04.2020 K.Oleynichuk Vessels Bazhenovsk Mys Basargina P.Chanchibadze Number of survey trawls (6105.1, 2, 4 only) 98 81 95 Average pollock catch (tonnes) per hour (range across subzones) 9 – 105 19.17 - 47.9 19 – 27.3 Marine mammal or seabird encounters 1 unidentified dead seabird 1 unidentified dead seal None Species Fishing area Average catch (kg) per hour (range across subzones) Albatrossia pectoralis Giant grenadier 6105.4 1.4 - Aptocyclus ventricosus Smooth lumpsucker All 2.03 - 8.6 1.8 - 2.4 1.1 – 2.31 Atheresthes evermanni Kamchatka flounder 6105.2, 4 0.76 - 0.24 Bathyraja sp. Unidentified skate 6105.1 2.72 Berryteuthis magister Schoolmaster gonate squid 6105.1, 2 - 6.5 - 43.0 3.84 – 0.44 Bothrocara brunneum Twoline eelpout 6105.4 1 - Bothrocara hollandi Eelpout 6105.4 0.02 - Bothrocara zestum Western eelpout All 1.1 - 0.06 – 0.5 Bothrocarina microcephala Eelpout All 0.3 - 2 0.35 – 0.4 0.03 Bothrocarina nigrocaudata Eelpout All 0.14 - 2 0.6 - 14.4 0.37 Careproctus colletti Alaska snailfish 6105.1 0.22 - Careproctus cyclocephalus Snailfish 6105.2, 4 0.01 - 0.26 Careproctus cypselurus Falcate snailfish 6105.4 0.13 - Careproctus furcellus Snailfish 6105.4, 2 0.15 - 2.1 - 0.58 Careproctus macrodiscus Snailfish 6105.1, 2 - 24.7 0.22

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Trip 04.12.2019 – 14.05.2020 09.02.2020 – 30.04.2020 06.02.2020 – 09.04.2020 Careproctus rastrinus complex Snailfish 6105.1, 2 3.2 -- 0.08 - 0.94 Careproctus roseofuscus Snailfish 6105.2 3.2 0.47 Clupea pallasii Pacific herring 6105.1, 2 195 - 1077 7.7 – 73.7 4.59 – 122.03 Coryphaenoides acrolepis Pacific grenadier 6105.4 0.44 - Coryphaenoides cinereus Popeye grenadier 6105.4 3.1 - Coryphaenoides longifilis Longfin grenadier 6105.4 1.5 - Eleginus gracilis Saffron cod 6105.2 0.1 Eumicrotremus asperrimus Leather-fin lumpsucker 6105.1 - 3.3 Eumicrotremus soldatovi Lumpsucker 6105.1, 2 0.32 – 5.5 - 0.26 – 0.79 Gadus macrocephalus Pacific cod All 0.81 - 13.6 2.07 2.88 - 10.96 Glyptocephalus stelleri Blackfin flounder 6105.1, 2 0.19 – 0.2 - 0.02 Gonatopsis borealis Boreopacific gonate squid 6105.1 - 2.03 Gonatus kamtschaticus Shortarm gonate squid All - 3.0 – 6.1 Gymnocanthus detrisus Sculpin 6105.1, 2 0.07 - 0.11 Hemilepidotus gilberti Gilbert's Irish Lord (sculpin) 6105.1, 2 0.19 – 1.5 - 0.17 Hemitripterus villosus Sea raven 6105.2 1.14 - 0.47 Hippoglossoides elassodon Flathead sole All 0.35 - 7.1 0.24 - 0.34 0.13 – 0.42 Icosteus aenigmaticus Ragfish 6105.4 6 - Limanda aspera Yellowfin sole 6105.1, 2 0.9 - 18 - 0.40 - 0.69 Limanda sakhalinensis Sakhalin sole 6105.1, 2 4.13 - 0.03 Liparis ochotensis Snailfish 6105.2 0.6 – 0.86 -- 0.25 Lumpenella longirostris Longsnout prickleback 6105.4 0.03 - Lycodes soldatovi Eelpout 6105.4 0.12 - Lycogrammoides schmidti Eelpout All 0.15 – 0.38 - Malacocottus zonurus Darkfin Sculpin 6105.2, 4 0.39 - 0.05

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Trip 04.12.2019 – 14.05.2020 09.02.2020 – 30.04.2020 06.02.2020 – 09.04.2020 Oncorhynchus keta Chum(=Keta=Dog) salmon 6105.2, 4 0.6 - 0.94 Oncorhynchus tshawytscha Chinook(=Spring=King) salmon 6105.2 1.56 Percis japonica Dragon poacher 6105.2 0.03 -- Pleuronectes quadrituberculatus Alaska plaice 6105.1 19.75 - Podothecus veternus Veteran poacher 6105.1 0.03 - Reinhardtius hippoglossoides Greenland halibut All 0.24 – 1.1 - 0.06 – 0.07 Scopelosaurus harryi Scaly paperbone 6105.4 0.1 - Sebastes glaucus Gray rockfish 6105.1, 2 0.7 - 0.28 – 0.89 Sebastolobus macrochir Broadbanded thornyhead 6105.4 0.16 - Zaprora silenus Prowfish 6105.2 0.12 --

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7.3 Principle 1

7.3.1 Sea of Okhotsk walleye pollock stock

The walleye (or Alaska or Russian) pollock (Gadus chalcogrammus) is a gadoid that is found in the Northwest Pacific primarily in the Bering and Chukchi seas down the coast of the Kamchatka Peninsula into the Seas of Okhotsk in the West, and the Gulf of Alaska and Aleutian Islands in the East Pacific (Figure 5).

The adults are usually found near to the sea floor but exhibit diurnal vertical migrations. They feed on krill, fishes and crustaceans and have a trophic level of around 3.6 (https://www.fishbase.se/summary/318). TINRO scientists stated that, based on historical studies, sea lions are well known to feed on pollock and represent an important source of natural mortality (Payne et al., 2018).

The Sea of Okhotsk pollock is not a low trophic level (LTL) species; it is a dominant pelagic top predator in the Sea of Okhotsk ecosystem (e.g. Lapko 1994, Sorokin and Sorokin 1999, Aydin et al. 2002, Heileman and Belkin 2010). Pollock is a gadoid and so is not listed in the MSC Fisheries Standard v2.01 Box SA1 and does not meet the criteria of SA2.2.9b. Its mean age at maturity is 5 years, a maximum age above 10 years, with fish as old as age 20 years having been observed in the catch, and a maximum mean length above 50cm. Peak catches are around 40cm, which is above the 30cm guidance.

The fishery subject to this assessment takes place only in the Northern Sea of Okhotsk (SOO). The migrations and distributions for feeding and spawning are well described (Figure 6). Spawning takes place annually in a counter- clockwise direction, starting on the West Kamchatka shelf between January and May, peaking during late March/April and finishing by July. Spawning fish and hence the fishery concentrate on the shelf and in shallow waters between 50 and 250m deep. The most important areas are on the west Kamchatka shelf in the northern SOO and Shelikhov Bay, although other smaller spawning areas are also known (Figure 6). The main trawler fleet follows the migration and aggregation pattern and primarily occurs on the pre-spawning aggregations.

There are four Russian fishery management subzones: the Northern Sea of Okhotsk (subzone 61.05.1), western Kamchatka (61.05.2) and Kamchatka–Kuril (61.05.4) (Figure 1), which together constitute the areas defined as the eastern part of the Sea. The eastern Sakhalin (61.05.3) subzone is managed as a separate fishery and is not part of this assessment.

Figure 5. Distribution of walleye pollock in the Sea of Japan, Sea of Okhotsk, Bering Sea and Gulf of Alaska. Source: http://www.fao.org/figis/geoserver/factsheets/species.html for “Alaska pollock”.

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Figure 6. General scheme of the functional area and location of the main areas of reproduction of the Sea of Okhotsk pollock. Legend: 1- spawning grounds; 2 - wintering aggregations; 3 - feeding area; 4 - spawning migrations; 5 - feeding migrations. Source: FFA (2008).

7.3.2 Stock status

Stock status is determined by spawning stock biomass (SSB) estimated in an age-structured stock assessment model. SSB is estimated as mature female fish biomass based on numbers of fish at each age and maturity at age and is compared to reference points based on the same model and information.

Limit and trigger reference points for pollock spawning stock biomass and fishing mortality have been defined as follows: -1 • FTR = FMSY = 0.235 yr • BTR = BMSY = 5089 kt s • BLIM = BLOSS e =2583 kt (where s is the upper 90% confidence limit for the estimated log biomass)

BLOSS is the lowest observed biomass above which low recruitment was not detected and from which level the stock has previously recovered. BMSY is estimated from a sustainable yield curve linked to FMSY, and from which SSB can be calculated (Varkentin and Ilyin, 2014, 2015). FMSY is based on an equilibrium stock model employing an assumed Ricker stock–recruitment relationship but is consistent with targets based on spawner potential ratio, and FLIM is based upon standard yield and spawner per recruit calculations with additional precaution (Caddy, 1998). The limit biomass (BLIM = 2632 kt) is approximately half (52%) the biomass trigger point, suggesting that the biomass reference points are internally consistent with the precautionary guidance on setting of BLIM (MSC Fisheries Standard v2.01 GSA2.2.3.1).

While a stock-recruit relationship is in the model, the MSY reference points are not directly estimated from it. There has been no observed reduction in recruitment due to past depletions, so reference points were defined separately using precautionary yield-per-recruit and spawner potential ratio measures. Both Ricker and Beverton-Holt type stock– Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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recruitment relationships have been incorporated and used in the stock assessment previously (Varkentin and Ilyin, 2015), but the fit of the relationship was considered through peer review too uncertain to be used as an estimate of BMSY (O’Boyle et al., 2013).

Spawning stock biomass (SSB) was well below the MSY level during the 1960s and steadily rose to a level consistent with MSY by the mid-1980s. Then, due to an increase in fishing pressure (Figure 7) corresponding to a decrease in recruitment (Figure 8), it declined again to a low value well below the MSY level. After 2001, in response to a lowering of fishing mortality, SSB and total biomass steadily increased back to the MSY level by 2009 (Figure 9). Since 2014, SSB has increased owing to the maturation of the strong 2011 year class, but is likely to decline somewhat once again. SSB has been above BTR with 95% probability since 2009, which is around one generation time (10 years).

Figure 7. Estimated instantaneous fishing mortality coefficients for North Sea of Okhotsk pollock. Source: Varkentin and Ilyin (2015).

Figure 8. Estimated numbers of North Sea of Okhotsk pollock recruitment. Source: Varkentin and Ilyin (2015).

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Figure 9. North Sea of Okhotsk pollock estimated exploitable biomass (top) and spawning stock biomass (bottom) 1963-2021 with reference points, 90% bootstrapped confidence intervals and two year projection. Source: KamchatNIRO (2020).

7.3.3 Harvest strategy

The harvest strategy has stated objectives, and a process by which those objectives should be achieved. The process consists of a harvest control rule (HCR) for adjusting the TAC and various other regulations controlling fishing mortality, which are informed by monitoring and an annual stock assessment.

The primary tool is the annual TAC, which is based on short-term projections of assessed current stock conditions. These are first allocated, in a tiered process, to the subzone seasons and fleets, one fleet being the industrial fishery sector. Specific season dates vary by subzone and are stated in the fishery regulations. In general, the seasons are January–April (season A) and October–December (season B). Uncaught quota can be transferred from Season A to B. The subzone allocations ensure catches are distributed across the range of the pollock stock, but are not tightly enforced. Since 2009, to limit the catch of juvenile pollock, vessels can move freely between the subzones, searching for pollock concentrations, to optimize the size distribution for particular product types, which has resulted in high variation around subzone allocations. The final TAC has remained a hard limit which cannot be exceeded. TINRO uses catches and survey data to determine whether a change in allocations is needed between subzones.

All pollock of commercial size (>35 cm) must be retained and there are regulations to minimize the capture of pollock below this size. Regulations permit only mid-water trawling with a cod-end mesh of 100mm and in 2001, a regulation was introduced requiring large square-mesh panels between the body of the trawl and the cod-end. The numbers of <35 cm pollock caught is limited to a maximum of 20% of the total catch by haul. Associated with this regulation is a move-on rule that stipulates that when the maximum percentage of juvenile pollock in a haul is exceeded, the captain must change the vessel’s location by at least 5 nautical miles from any previous trawling location, describe his actions

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in the vessel’s fishing logbook and report such information to the FFA. Since 2006, the overall percentage by numbers of <35 cm pollock in the total annual catch has averaged 17.2% - the team will aim to update this figure at the site visit.

Closed seasons are imposed during the spawning season as soon as spawning is detected but no later than 1 April to 1 November for West Kamchatka/Kuril and no later than 10 April to 15 October for the Northern Sea of Okhotsk. The overall effect of these management tools and enforcement efforts has been the limitation of illegal fishing with its consequent overfishing of TACs, primarily since 2007/2008, such that the unreported catch of pollock in recent years is reported to be negligible or at least greatly reduced (O’Boyle et al., 2013).

The TAC planning and approval procedure and related plans of action are defined in FFA Order No. 104 (FFA, 2018) which includes the procedure for TAC planning and approval, determines the requirements for TAC setting, establishes the level of forecast information support, and specifies the revision procedures for TACs (this is also discussed under Principle 3, Section 7.5.3). The order also defines the areas of responsibility and aquatic living resources zones among Russian institutions, and it sets out the mechanism for submission of materials and interaction with national agencies.

The elements of the harvest strategy are subjected to an annual multistage internal and external peer review which is summarized in Figure 23 (Section 7.5.3). By December each year, the stock assessment is undertaken by scientists at KamchatNIRO who also estimate the TAC based on the agreed Harvest Control Rule (HCR). Over a period of around 3 months, the assessment and draft advice is then reviewed by the Far Eastern Pollock Council under TINRO’s NTO (“Scientific and Technical Association”) and then by Scientific Councils of KamchatNIRO, TINRO and MagadanNIRO, whose experts participated in the development of the forecast and finally by VNIRO (the Federal research institute). Through this process, amendments may be made to the forecast, the models may be re-run, and so on, as necessary. This ensures the technical quality of the assessment, projections and management advice. In mid-April, the draft TAC is considered by the Fishing Industry Council under the FFA. Then, the TAC proposal is subjected to a mandatory procedure of public hearings, which consider testimony from scientific agencies, management agencies, fishing companies, individuals, NGOs and the media. Finally, before the FFA issues an order on TAC approval for the upcoming year, all materials justifying the TAC are subjected to approval by the independent State Environmental Expert Review. TINRO has emphasized that once the TAC advice as per the HCR has been reviewed for its scientific veracity, the draft TAC can only be reduced, but not increased (Payne et al. 2018). Since 2014, TACs have been set according to the scientific advice and catch has been at or below the TAC, except perhaps for 2015 (Table 13).

Table 13. Harvest strategy performance, comparing TAC to reported catch, and fishing mortality and spawning stock biomass to 0.24 (FTR) and 5089 kt (BTR). Table to be completed prior to site visit Year TAC Reported Catch Fishing Mortality SSB (kt) (yr-1) TR 0.24 5089 2014 2015 2016 2017 2018 2019 2020

The 2014 Federal Fisheries Act on Fisheries and Conservation of Aquatic Biological Resources remains the overarching legislation governing the fishery, and under it, the focus of fisheries is the protection and rational use of aquatic biological resources. The current fishing rules (Fishery regulations, 2019) contain the following restrictions on the fishing of North Okhotsk pollock:

1) Clause 22.10. prohibits exceeding the following percentage of pollock roe in relation to the total fish weight in all fishing subzones: In the West Kamchatka, Kamchatka-Kuril and North Okhotsk subzones, the percentage of pollock roe to the total mass of raw fish received for processing for the full calendar month should not exceed: in November - 1.0%, in December - 2.0%, in January - 2.7%, in February - 4.0%, in March - 5.0%, in April - 7.0%.

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2) Clause 23.5 prohibits the harvest of all types of aquatic bioresources, including pollock, with all fishing gears (with the exception of longline) in the area between the parallels 56.20 'N and 57.00 'N – to the east of the line passing through the points with coordinates: 56.20'N – 154.09 'E; 56.46 'N – 154.12 'E; 57.00 'N – 154.23 'E;

3) Clause 24. It is forbidden to harvest aquatic biological resources, which in the following areas, irrespective of the percentage of other types of aquatic biological resources, provides consistently highest catches of this species by a specific fishing gear or with a certain fishing method, i.e. specialized fishing: 24.1. pollock: by trawls and Danish seines in West Kamchatka subzone in the area between the latitudes 57.00 'N and 58.00 'N

4) Clause 28. Specialized fishing is prohibited: 28.1. pollock: a) in West Kamchatka and Kamchatka-Kuril subzones - from the beginning of peak spawning, but not later than from April 1 to November 1, and for vessels with a length between perpendiculars of less than 34 m engaged in catching - from April 1 to May 15; b) in the North Okhotsk Sea Subzone - from the beginning of spawning peak, but not later than April 10 to October 15 (with the exception of fishing boats less than 65 m between perpendiculars using mid-water trawls and Danish seines in the period from June 15 to October 15);

5) The minimum allowed size (standard length) is 35 cm.

6) Clause 38. By-catch of juveniles of size less than allowed size is permitted: 38.1. in a specialized fishing for pollock in all areas, by-catch of juveniles is set up not more than 20 percent for one trawl, or for one setting and removal, or for one inspection of the fishing gear (hereinafter - for one harvesting operation), except for the West Sakhalin subzone, where juvenile by-catch is set at no more than 8 percent, and the West Bering Sea zone, east of 174.00 'E), where juvenile by-catch is set at no more than 40 percent. 38.4. in specialized fishing using vessels (with the exception of fishing, taking into account the catches of aquatic biological resources at the places of delivery and unloading) for harvesting aquatic biological resources, if the by-catch of juveniles is exceeded all juveniles caught in one harvesting operation (with the exception of juvenile crab of all species and shrimp, which is to be released into the natural habitat regardless of the condition), all caught juvenile fish should be processed but recorded in the fishing and (or) technology logbooks.

When fishing in the places of delivery and unloading, in case of exceeding the by-catch of juveniles permitted by the Fishing Rules during one cruise, all juveniles caught (except juveniles of all kinds of crab and shrimp harvested from the specialized fishery for these aquatic biological resources, which is subject to release into the natural habitat, regardless of the condition) must be recorded at the places of delivery and unloading and with appropriate entries in the fishing logbook. In this case, the license holder is obliged to change the place of catch (the next trawl track, the catching gear must be set at least 5 nautical miles from any point of the previous trawl, catch, or (including catches at the places of delivery and unloading) not less than 5 nautical miles from any point of fishing operations performed on the last voyage), the relevant information should be recorded in the vessel’s documents, fishing logbook (with the exception when catches are recorded in places of delivery and unloading as referred to in paragraph 10 of the Fisheries Regulation) and to send information about this to the appropriate territorial body of Federal Fishery Agency. The evolution of pollock fishing control measures in the Far Eastern fisheries, and in the northern part of the Sea of Okhotsk in particular, is described by Varkentin and Sergeeva (2017).

The performance of the harvest strategy is evaluated through the data collection and stock assessment process. There is evidence that the harvest strategy is being evaluated and that this has resulted in adjustments. Apart from adjustments in the overall catch, a significant effort has been made in reducing the capture of juvenile pollock. This was considered a significant waste in the fishery, not only for yield-per-recruit, but also because of the value of pollock roe to the fishery. Shevchenko et al. (2014) describes the gear configuration that has been used to improve selectivity. A major adjustment was introduced in 2002 of “mirror inserts” into the cod-end to allow smaller pollock to escape capture. The estimated catch at age from the length and age compositions illustrated the impact this had on catches, with a significant change in the presence of younger fish in the catches (Figure 10).

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Figure 10. Multi-year average age distribution of pollock in the North Sea of Okhotsk before and after introduction of ‘mirror’ inserts in trawl cod-ends. Source: Varkentin and Ilyin (2015).

7.3.4 Harvest Control Rule

The HCR defines the TAC based on the required fishing mortality and estimated spawning biomass in relation to limit and target reference points. The HCR is parameterised based on four reference points, BLIM, BTR, FLIM and FTR, as well as F0, which have been estimated based on the stock assessment model and related standard techniques. When stock biomass is above biomass trigger reference point, the fishing mortality used to set the TAC is FTR. The fishing mortality used to set the TAC is reduced as stock biomass decreases between BLIM and BTR, and below BLIM, it is set at F0. The HCR used to set the TAC in year y+1 is defined as (Figure 11): • Fy+1 = 0, if By < BLIM • Fy+1 = (FTR-F0)( By – BLIM)/( BTR - BLIM)+F0, if BLIM < By < BTR • Fy+1 = FTR=FMSY, if By > BTR

Limit and trigger reference points for pollock spawning stock biomass and fishing mortality have been defined as follows: -1 • FTR = FMSY = 0.235 yr • F0 = 0 • BTR = BMSY = 5089 kt s • BLIM = BLOSS e =2583 kt (where s is the upper 90% confidence limit for the estimated log biomass) -1 • FLIM = F35%SPR =0.31 y

BLOSS is the lowest observed biomass above which low recruitment was not detected and from which level the stock has previously recovered. BMSY is estimated from a sustainable yield curve linked to FMSY, and from which SSB can be calculated (Varkentin and Ilyin, 2014, 2015). FMSY is based on an equilibrium stock model employing an assumed Ricker stock–recruitment relationship, but is consistent with targets based on spawner potential ratio, and FLIM is based upon standard yield and spawner per recruit calculations with additional precaution (Caddy, 1998). The limit biomass (BLIM = 2632 kt) is approximately half (52%) the biomass trigger point, suggesting that the biomass reference points are internally consistent with the precautionary guidance on setting of BLIM (MSC Fisheries Standard v2.01 GSA2.2.3.1). Although the minimum fishing mortality (F0) is set at zero, it is likely that some scientific fishing would take place to monitor recovery of the stock should it fall below BLIM.

The HCR is applied for two years in advance, so a two-year projection is applied to the stock assessment applying the HCR. The first year can use the estimated biomass, but the second year must use the projected biomass which is much more uncertain (for example, it depends on an assumed recruitment which is unknown). To account for the uncertainty in the projections, parametric bootstrap simulations of numbers at age, age 2 recruitment based on the 10 years prior to the projection period, and fishery selectivity at age parameters are used in repeated projection runs (>100) to estimate Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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uncertainty. For the projection, random values are also generated for weight, percentage of mature individuals. Then the TAC is selected such that there is a less than or equal to 5% probability that the end SSB is less than BLIM and 5% probability that the applied fishing mortality is less than or equal to FLIM.

The current HCR has been used to provide TAC advice for the years 2012–2020. Since 2008, the stock has been above the biomass trigger point (Figure 11), so FTR has been used to set the TAC and the rebuilding procedure has not had to be applied.

Figure 11. Implementation of HCR for North Sea of Okhotsk pollock in 2007–2019 (including projections). Source: Varkentin and Ilyin (2015).

7.3.5 HCR testing

Although experience in applying the HCR has been limited, the HCR has undergone Monte Carlo simulation testing. Simulations consist of 2 and 10-year projections carried out annually (Varkentin and Ilyin, 2015) to test robust performance under the assessed stock conditions and uncertainties. The simulations evaluate the probability of F and SSB being within management targets and limits. These projections rely on the same stock conditions and uncertainties based on the stock assessment and bootstrap. They suggest that as long as the HCR is observed, there is 95% probability that SSB will be maintained above both BLIM and BTR in the long term (Figure 12).

Sharov (2016) has reviewed the stock assessment and how it is used in the HCR. It describes in detail how the HCR takes account of the uncertainties. The conclusion of the review indicated that the assessment and HCR were accounting for the main uncertainties and therefore the HCR was robust. Payne et al. (2018) reported that the HCR had not been tested assuming a depleted stock, but found that if the 10-year projections were to indicate that the HCR was not sufficiently precautionary, it would be updated. The response to findings on the West Kamchatka Shelf Greenland halibut HCR, which was adjusted because unexpected stock decline was detected, to a more precautionary HCR (TINRO, 2017a), was used as evidence that appropriate action would be taken if necessary. PCA (2017a) and Varkentin and Ilyin (2017) state that the HCR is planned to be reviewed at least every five years and improved as necessary.

The reference points have been subject to review and have been changed. A Russian peer review agreed to adopt the model-based estimates of BMSY and FMSY as target reference points (PCA, 2018) and these have been used since 2014. The limit reference point for spawning biomass in 2012 was equal to 20% of unexploited biomass with an adjustment for uncertainty (upper 90 percentile of the lognormal: BLIM = 20% B0 exp(ts90% SE) = 3416kt. However, it was found that this led to greater sensitivity of the TAC to small fluctuations in SSB around the target reference point and, as a result, to TAC underestimation. Therefore, BLOSS was chosen on the basis that it gave a precautionary estimate of the PRI. Reference points may be subject to review every 5 years (Varkentin and Ilyin, 2017).

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Using the 10-year projections, the probability that the stock will become overfished for fixed exploitation rates was used to evaluate the target fishing mortality. For this purpose, the risk of the stock falling below the PRI was determined to be around 10%-20% (Babayan, 2000), and it was found that this was the case for the current FTR (Figure 13).

Figure 12. Predicted dynamic of North Sea of Okhotsk pollock spawning biomass at capture intensity recommended according to HCR and yearly yield of 800 (1), 900 (2) and 1000 (3) thousand tonnes (kt). Source: Varkentin and Ilyin (2015)

Figure 13. Probability of spawning biomass decreasing lower than the limit reference point. Source: Varkentin and Ilyin (2015).

7.3.6 Information

In terms of stock structure, the Northern Sea of Okhotsk stock is considered to consist of a single large population which can be treated as a single stock. The stock, however, consists of a complex of spawning and feeding areas which pollock move between during the year (Figure 6) rather than a collection of small isolated ones. There are several centres of spawning and hence concentrations of spawning fish in the Sea of Okhotsk, the most important being located on the West Kamchatka Shelf, in the northern part of the Sea and in Shelikhov Bay.

Spawning takes place over the shelf and in shallow areas at depths ranging from 50 to 200–250 m. There are also smaller concentrations of spawners in waters northwest and southwest of Iona Island and near the eastern coast of Sakhalin. Overwintering areas are associated with these spawning areas, but the groups seemingly mix during the feeding period of the species. Spawning generally takes place in a counter-clockwise direction around the Sea of Okhotsk, and this trend largely governs the seasonal progression of the fishery.

Spawning is on the West Kamchatka shelf from January to June, with a peak during March/April. It starts later in Shelikhov Bay, then extends out to the north-western part of the Sea of Okhotsk. Peak spawning time in each of the neighbouring spawning areas generally differs by about 2–3 weeks. Latest spawning each year is on the Eastern Sakhalin shelf with a peak during May, rarely extending into early June.

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The fishing fleet follows the appearance of the major pollock aggregations. Aggregations appear in the Kamchatka– Kuril subzone during January and early February and, starting in the latter half of February and in March, the fleets move to northern areas (West Kamchatka and the area near the mouth of Shelikhov Bay).

The targeted pollock fishery in the Kamchatka subzone is permitted until 31 March and thereafter the fleet moves to the Northern Sea of Okhotsk subzone during the first 10 days of April where one of the largest pollock spawning grounds is found.

Genetic studies on the Sea of Okhotsk pollock stock have been carried out since 2010 (PCA, 2018). Recent research suggests that the current stock structure is reasonable and no adjustments were proposed (Savenkov et al., 2017). This will be discussed further at the site visit.

All vessels are registered and the composition of the fishing fleets that catch pollock is well documented through the FFA vessel licensing system and allocation of the TAC. The fishery is highly targeted with the majority (~95%) of the catch being pollock (Smirnov et al., 2014), so the fleets are well-defined. Vessel operations are monitored in detail through logbooks and FSB reporting requirements of at-sea activities, VMS, scientific observers and fishery inspectors. Vessels owned and operated by the scientific institutes fish as do commercial vessels against a specific share of the annual TAC and collect data similar to that of the observers. Since 2008, the institutes have maintained the operation of this fleet through quota share provided by the industry.

The stock assessment estimates stock productivity in terms of recruitment, growth and mortality. The input data required for the stock assessment model (Varkentin and Ilyin, 2015) are: 1. Catches by age and fishing year. 2. Mean weight by age and fishing year. 3. Mean proportion of mature individuals by age and fishing year. 4. Instantaneous natural mortality rates by age. 5. Fishing effort by year. 6. Abundance indices (CPUE, surveys related to age selectivity and fishing year).

A scientific observer programme is the major source of information on catch composition, which is critical for the stock assessment (and is also discussed in Section 7.2.3). Observers are deployed to the catcher and catcher– processor vessels to collect information on length composition of catch by species, weight data, gut contents, sex and maturity stages of pollock, discards and other relevant observations. About 80% of catch composition information comes from scientific observers and 20% from scientific fishing. According to Russian Law, a vessel is only obliged, not required, to carry a scientific observer and there has been creditable willingness to take observers on board all vessels in the UoA fleet. Observer coverage has been increasing over the last five years as shown in Table 10 and Table 11. Funding for observers from the Federal Fishery Agency is given to each research institute that implements their own observer plan. There is an Observer Working Group that coordinates the training of new observers and facilitates allocation of observers throughout the fishing seasons. Deployments are made by each institute according to an annual plan. The annual cycle of the fishery is relatively consistent and follows the pollock aggregations in each particular fishing subzone. This catch monitoring is conducted through the entire fishing season in the areas of the densest pre- spawning pollock aggregations and greatest fishing activity. Because the fishery is focused on aggregations, good coverage of fishing activities can be achieved using a limited number of observers. Since 2007, the number of observers engaged in the fishery by TINRO, KamchatNIRO, MagadanNIRO and VNIRO has ranged from 10 to 23, and this is considered sufficient to cover fishing activity in core areas and characterize the catch composition (Support for this claim will be sought at the site visit). When FSB inspectors are included, overall coverage ranges from 13.9% to 23.1%, in line with that in other jurisdictions (Payne et al., 2018).

During the years 1996–2003, a transition from scales to otoliths was made to estimate age. Comparisons between the two readings showed estimates were similar at least up to age 6. Since 2004 only otoliths have been used for ageing. Age data are used to generate age-length keys to convert total catch to catch-at-age for each year. Separate age– length keys have been used for each year since 1996, but for the years before 1996, an average key based on the period 1998–2016 was used (Varkentin and Ilyin, 2016).

Age reading has been a significant source of error in the data (Babayan et al., 2006). Before 1996, age determination of fish was undertaken through the reading of scales, but between 1996 and 2003, a transition was made to age determination through otoliths by reading both scales and otoliths. Since 2004, only otolith reading has been undertaken. Comparative studies conducted during the transition period indicated that there were no significant differences in age determined from scales and otoliths up to age 6. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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Age-specific natural mortality (M) has been estimated (Varkentin and Ilyin, 2017). Annual estimates of the gonad index (WGSI) for female maturity state IV during the years 1996 to present have been used to estimate a long-term natural mortality for the most abundant ages in the catch (6–8 years) by the method of Gunderson and Dygert (1988). The method of Blinov (1977) is used to obtain age specific natural mortality. Natural mortality on age 5+ individuals ranges from 0.18 to 0.29, averaging 0.21 yr-1.

No significant changes have been found in weights at age and maturity at age between years. However, length-weight data are not collected in sufficient amounts to monitor weight-at-age annually due to the lack of reliable at-sea weighing equipment (O’Boyle et al., 2013). Therefore, a long-term average weight at age is estimated for input into the model. Variation in fish condition may not be well monitored in all years.

FSB’s Coastguard monitors all landings from catcher and catcher-processor vessels, with 100% coverage by FSB inspectors since 2010. Inspectors are responsible for verifying the weight of landings and are mandated by Russian Law to be aboard the transshipment vessels. When a vessel enters and leaves a subzone, there is also a mandatory inspection (TACs are allocated by subzone).

Unobserved catch, particularly the discarding of juveniles, had been an issue during the 1990s and early 2000s, when there were multiple violations of the fishery regulations such as young fish discards, concealment of harvests, and fishing activities in prohibited areas and periods. It was suspected that catches may have exceeded TAC by 15–20% per year. However, such discarding has been reduced because of changes in markets, monitoring, regulations, and enforcement. Scientific observers report discard rates, so these are now estimated.

There is an area of international waters within the Sea of Okhotsk (“peanut hole”) which can make enforcement and monitoring more difficult. Pollock roe was an important export, which would have encouraged discarding of juveniles and made enforcement difficult where only roe was retained because accurate back-calculation of total fish weight from landed roe weight would be required. IUU catches may have been significant before 2009 (WWF, 2008). This will be discussed further at the site visit.

Effective abundance indices from fishery independent and dependent sources (Varkentin and Ilyin, 2015) consist of the following (these will require further discussion at the site visit): • TINRO-Center’s ichthyoplankton surveys of the biomass of pollock spawning stock in the northern part of the Sea of Okhotsk in 1998–present (I1); • KamchatNIRO’s ichthyoplankton surveys of roe yield on the West Kamchatka shelf in 1972–2011 (I2); • TINRO-Center’s ichthyoplankton surveys of the biomass of spawning pollock stock in the northern part of the Sea of Okhotsk in 1998– present (I3); • TINRO-Center’s ichthyoplankton surveys of the biomass of total pollock stock in the northern part of the Sea of Okhotsk in 1998– present (I4); • TINRO-Center’s trawling surveys of the biomass of total pollock stock in the northern part of the Sea of Okhotsk in 1998– present (I5); • TINRO-Center’s acoustic surveys of the biomass of total pollock stock in the northern part of the Sea of Okhotsk in 2001– present (I6); • TINRO-Center’s autumnal trawl surveys of the biomass of total pollock stock in 1995–2007 (I7); • KamchatNIRO observers providing standardised catch-per-unit-effort for freezer trawler type large-tonnage vessels in 2009– present (CPUE); • Freezer trawler standardised fishing effort of large-tonnage vessels according to the “Monitoring” System in 2001–present (E).

Smirnov et al. (2006) and Zverkova (2006) provide technical information on fishery-independent surveys in the Okhotsk Sea. In most years from 1984 to the present TINRO-Centre has carried out ichthyoplankton surveys in the pre-spawning period covering the entire northern part of the sea, estimating the abundance and biomass of each of the pollock stock units in the Okhotsk sea. This has been improved with additional trawl and acoustic surveys. Considerable research effort has been spent on standardizing the design and protocol of the surveys. The surveys apply a standard grid pattern across the sea and coordinate information from the ichthyoplankton, trawl and acoustic surveys. These abundance index time series are fitted independently in the stock assessment. As well as stock abundance, the surveys provide information on density and distribution of fish for the periods they are conducted and have been used to estimate absolute stock size (Balykin and Varkentin, 2006; Karpenko, 2006). The commercial effort data are standardised using generalized linear models (GLM/GAM: Kulik et al. (2020)). Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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In terms of other data, a comprehensive array of information exists on the physical and biological oceanography and the ecosystem of the Sea of Okhotsk. Such data are collected routinely on the surveys noted above and are an important supplement to the pollock stock assessment information.

Meteorological and ice conditions in the Sea of Okhotsk play key roles in determining spatial and vertical distribution of pollock, the formation of fishable concentrations, spawning behaviour and early development (Varkentin and Ilyin, 2017). Therefore, as part of the annual stock assessment process, descriptions of the Sea of Okhotsk’s ocean climate conditions are provided along with information on the spatial progression of the fishery during each season and the associated changes in the age/size composition of the catch and spawning stage (KamchatNIRO, 2019, 2020).

Water temperature has a significant impact on the generation success in the first year of the pollock life history. As a general rule, stronger recruitment tends to occur in warmer years (Kotenev and Bulatov, 2009). Until 2014, a stock– recruitment relationship was attempted which included age 2 pollock numbers as a function of SSB, mean annual Wolf’s number (index of sunspot activity), ice coverage and gross zooplankton weight. This relationship explained 74% of the variability in recruitment, relative to about 7% using Beverton & Holt and Ricker models. However, the relationship has not been pursued since 2014 because it resulted in underestimates of projected stock biomass.

Since about 2000, there has been a declining trend in ice coverage of the Sea of Okhotsk during the months January– March. Long-term trends in sea surface temperature (SST) are less evident. TINRO scientists have reported that there have been spatial, though not necessarily vertical, changes in pollock distribution linked to these ocean climate events (Payne et al., 2018). Commercial trawl effort standardization includes ice cover and other environmental factors (Kulik et al., 2020).

7.3.7 Stock Assessment

The stock assessment is carried out using a catch-at-age statistical model called “Synthesis”. It is an integrated model that uses the available data to provide estimates of stock size and fishing mortality. Although the model has been written specifically for Russian fisheries with this type of data, it is of a standard type that has been widely used in fisheries stock assessments (Sharov, 2016).

Input data for the model (Varkentin and Ilyin, 2015) are: 7. Catches by age and fishing year. 8. Mean weight by age and fishing year. 9. Mean proportion of mature individuals by age and fishing year. 10. Instantaneous natural mortality rates by age. 11. Fishing effort by year. 12. Abundance indices (CPUE, surveys related to age selectivity and fishing year).

The model estimates the following: • total and fishing mortality rates by age and year; • numbers by age and year; • total and spawning stock in each fishing year; • catchability for fleets and abundance indices; • parameters of a “stock – recruitment” relationship; • parameters of the von Bertalanffy growth model and maturity ogive; • target and limit reference points for spawning biomass and fishing mortality of fully selected fish; • instantaneous natural mortality rates.

The model has the following features: • Catch data is provided as catch-at-age using age-length keys rather than fitting to total catch and age compositions separately. • Fishing effort is used to estimate fishing mortality in a “separable” model. • Selectivity time blocks have been applied to account for regulatory changes. • Log-normal likelihood is used to fit to components of the expected catch, fishing effort, indices of abundance (through catchability/selectivity parameters dependent on the data), and stock-recruit relationship • Weight coefficients of the objective function components are adjusted inversely proportional to the variance. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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The fitting has been shown to be robust by using a wide range of optimisation methods. Uncertainty can be estimated from the estimated parameter covariance matrix, but a bootstrap method is used as the primary tool because it is considered more robust (i.e. does not depend so much upon the assumed likelihood function). Non-parametric bootstrap sampling of the assessment-model-derived residuals associated with the catch at-age and stock abundance indices (e.g. CPUE and survey indices) is used in repeated assessment model runs (>100) to characterize uncertainty in the projection inputs. The estimated parametric probability distributions for numbers-at-age, selectivity and recruitment are then used in the projections.

To estimate uncertainty in the stock numbers at age inputs of the TAC projections, non-parametric bootstrap sampling of the assessment-model-derived residuals associated with the catch at age and stock abundance indices (e.g. CPUE and survey indices) is used in repeated assessment model runs (>100) to estimate abundance uncertainty in each year of the assessment time-series, including the most recent.

The model has exhibited a low retrospective pattern (Figure 14), and therefore does not indicate significant uncertainty from past unrecorded changes in productivity or catchability in the time series. However, this will be discussed further at the site visit.

Figure 14. Retrospective analysis results for North Sea of Okhotsk spawning stock. Source: Varkentin and Ilyin (2015).

Sources of recruitment variation have been the subject of research over the years, with both Beverton and Holt and Ricker stock–recruitment relationships employed in assessment models. In Varkentin and Ilyin (2014), a stock– recruitment relationship was attempted that included age 2 pollock numbers as a function of SSB, mean annual Wolf’s number (index of sunspot activity), ice coverage and gross zooplankton weight. That relationship explained 74% of the variability in recruitment, compared with about 7% using the Beverton and Holt and Ricker models. However, the relationship has not been pursued since 2014 because it resulted in underestimates of projected stock biomass. TINRO scientists stated a general understanding that environment and specifically large zooplankton influence pollock recruitment, but there has not been a recent formal analysis of this (Payne et al. 2018).

The stock assessment model has been externally reviewed by Sharov (2016) who found that “Synthesis” is a version of the statistical catch at age model that accounts for measurement errors in catch, fishing effort and indices of abundance, as well as uncertainty in the stock recruitment relationship, and that the model employs well-founded statistical methods for fitting stock assessment models to data. The review includes the bootstrap method used to generate a probability distribution for population parameters in order to quantify the uncertainty and evaluate the risk of exceeding the target or threshold reference points in the harvest control rule. Overall, the review found that the Northern Sea of Okhotsk Pollock stock assessment does characterize major sources of uncertainty, such as uncertainty caused by measurement errors in input data, uncertainty in the model approximation of population dynamics, and uncertainty in the natural variability of the Northern Sea of Okhotsk ecosystem. The main weakness identified was that information on age composition was not explicitly addressed in the assessment and therefore uncertainty may be underestimated. The

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review made a number of recommendations including adjusting the simulations to account for age sampling error, ageing error, alternative statistical weighting schemes, model sensitivity analysis and considering error in reference point estimates.

The stock assessment model does not account for environmental patterns that may be present in the Sea of Okhotsk pollock. For example, lower mortality and/or higher growth of juvenile pollock associated with years having warmer water (Kotenev and Bulatov, 2009). Stock biomass is heavily influenced by environmental effects such as water temperature and chlorophyll concentration, and this has previously been used, with measures of solar activity, in an attempt to improve predictions of recruitment (Bulatov, 2015), but is not currently used because predictive estimates based on this information were poor.

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7.3.8 Principle 1 Performance Indicator scores and rationales

The stock is at a level which maintains high productivity and has a low probability of PI 1.1.1 recruitment overfishing Scoring Issue SG 60 SG 80 SG 100 Stock status relative to recruitment impairment It is likely that the stock is It is highly likely that the There is a high degree of a Guide above the point where stock is above the PRI. certainty that the stock is post recruitment would be impaired above the PRI. (PRI). Met? Yes Yes Yes

Rationale

The following evidence indicates SG 60, SG 80 and SG 100 are met: BLIM is suitable as a PRI estimate because it has been set in relation to the lowest observed spawning stock size estimate (BLOSS) over which period there has been no sustained reduction in recruitment. BLIM was established with an additional uncertainty buffer based on an upper 90th percentile of the SSB estimate, accounting for observation error. The stock has recovered twice from this level (Figure 15). The stock recovered from below the limit reference point in the 1960s and remained high through 1980s to the late 1990s. Excessive fishing mortality caused the depletion at the end of the 1990s and subsequently significant reductions in fishing mortality brought about a recovery to current levels. Since 2009 the stock has been well above the MSY BTR and the PRI, although it is expected to decline slightly over the next two years due to weaker recruitment. The lower th 90% confidence interval SSB estimate is well above the PRI (BLIM). Because the PRI is below the 5 percentile of the spawning stock size estimate, there is a high degree of certainty that the stock is above the PRI, so SG 60, SG 80 and SG 100 are met.

Figure 15. North Sea of Okhotsk pollock estimated spawning stock biomass 1963-2021 with reference points, 90% bootstrapped confidence intervals and two-year projection. Source: KamchatNIRO (2020) b Stock status in relation to achievement of Maximum Sustainable Yield (MSY)

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The stock is at or fluctuating There is a high degree of around a level consistent with certainty that the stock has Guide MSY. been fluctuating around a post level consistent with MSY or has been above this level over recent years. Met? Yes Yes

Rationale

The following evidence indicates SG 80 and SG 100 are met: BTR is suitable as an MSY reference point because it is estimated from FMSY based upon the stock assessment model (and therefore consistent). FMSY is estimated from standard yield and spawning biomass per recruit precautionary calculations (Caddy, 1998). Since 2009 the stock has been well above the MSY BTR and the PRI, although it is expected to decline slightly over the next two years due to weaker recruitment. The lower 90% confidence interval SSB estimate is well above the MSY BTR since 2009 (Figure 15), which is around one generation time. Because the lower 5thile of the spawning stock size estimate has been above the MSY BTR for around one generation time, there is a high degree of certainty that the stock has been fluctuating around or above a level consistent with MSY in recent years, so SG 80 and SG 100 are met.

References

Caddy (1998) and KamchatNIRO (2020)

Stock status relative to reference points Type of reference point Value of reference point Current stock status relative to reference point Reference point BLIM = BLOSS 2583 kt B2019/BLIM = 6XXX/2583 = 2.XX -1 used in scoring FLIM = F35% 0.31 yr F2019/FLIM = 0.XX/0.31 = 0.71 stock relative to Values to be updated PRI (SIa)

Reference point BTR = BMSY 5089 kt B2019/BTR = 6XXX/5089 = 1.18 -1 used in scoring FTR = FMSY 0.24 yr F2019/FTR = 0.XX/0.24 = 0.92 stock relative to Values to be updated MSY (SIb) Draft scoring range ≥80 More information sought The 2020 stock assessment documentation is required Information gap indicator including tables of annual fishing mortality and biomass estimates

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

Overall Performance Indicator score

Condition number (if relevant)

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

Scoring Issue SG 60 SG 80 SG 100

Harvest strategy design The harvest strategy is The harvest strategy is The harvest strategy is expected to achieve stock responsive to the state of the responsive to the state of the management objectives stock and the elements of the stock and is designed to Guide a reflected in PI 1.1.1 SG 80. harvest strategy work achieve stock management post together towards achieving objectives reflected in PI 1.1.1 stock management objectives SG 80. reflected in PI 1.1.1 SG 80. Met? Yes Yes Yes

Rationale

The following evidence indicates SG 60 is met: The harvest strategy consists of a process of monitoring, scientific advice and controls that manage the state of the pollock stock and its components, and the fishing fleets and their operations, and the interactions between these. The primary dynamic control on harvest levels is the annual total allowable catch (TAC), which is distributed among the different areas and fleets. The dynamic TAC is backed up by more static measures, including the limited licensing, gear controls and seasonal closures. The management process is adaptive and has shown an ability to adjust as information becomes available or methods are shown to be unreliable (Varkentin and Ilyin, 2015).

The TAC is determined by applying a HCR that is based upon reference points, which reflect the stock management objectives in terms of MSY and PRI. Application of the harvest control rule ensures there is a high degree of certainty (within the limits of the errors being accounted for) that the TAC will not cause the stock to fall below the PRI or that the fishing mortality will exceed sustainable levels (F35%SPR) within the 2 years for which the TAC is set. This is precautionary and consistent with PI 1.1.1.a SG 80. Furthermore, the target fishing mortality (FTR) which determines the TAC is set at a level consistent with MSY (FMSY), is consistent with PI 1.1.1.b SG 80. Therefore, SG 60 is met because the strategy is expected to meet these objectives and they are consistent with PI 1.1.1 SG 80.

The following evidence indicates SG 80 is met: The harvest strategy has responded to stock status, with periods of recoveries and adjustments in selectivity, as well as through the ongoing application of the harvest control rule. The various elements can be shown to work together by noting, for example, that the TAC is adjusted based on stock size, selectivity is monitored and included in the HCR, and the TAC is distributed among areas to avoid depletion of stock components. There is a process reviewing these controls annually ensuring that these elements are working together to achieve the MSY objective, so SG 80 is met.

The following evidence indicates SG 100 is met: The current harvest strategy is the culmination of a long period of development including various reviews, monitoring, and responses to outcomes in the fisheries (Varkentin and Ilyin, 2015; Ilyin et al., 2016; KamchatNIRO, 2020). It includes periods of rebuilding and responses to problems identified in the fishery such as juvenile mortality, unreported catch and so on. In this sense, the current harvest strategy is designed because it is constructed to address the problems specific to the fishery and has been demonstrably successful in doing so, so SG 100 is met.

b Harvest strategy evaluation

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: The current harvest strategy has been used to determine the TAC and provide other advice since 2012. Evidence that this harvest strategy has been achieving its objectives is provided by monitoring which produces various fishery-dependent and independent indicators based on age and length compositions, fishing effort, catches and surveys. In addition, evidence has been provided from the integrated stock assessments which have combined these sources of information into fishing mortality and SSB estimates relative to reference points. This evidence provides the basis for the evaluation of different parts of the harvest strategy, including the harvest control rule, relative gear selectivity, and the relative depletion of stock components. Scientific observers and inspectors also provide data of the effectiveness of controls and measures in achieving their immediate objective, for example the avoidance of juveniles in catches. Alongside the monitoring activities, limited computer simulations have been used to test the HCR. These indicate that the HCR is robust to uncertainties and is expected to achieve management objectives reflected in the reference points in the longer term. Furthermore, the management system has shown that it will adapt to new information to ensure the strategy continues to improve (Varkentin and Ilyin, 2014; TINRO, 2017a). Overall, the available evidence, including prior experience, plausible arguments and results from its implementation, indicates that the harvest strategy will continue to achieve management objectives, so SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The SOO pollock harvest strategy has not been fully tested through MSE or a similar robust exercise. The uncertainties that have been considered in simulation testing have been limited to recruitment variability and sampling error. The harvest strategy has not been in place for such a long time that it can be considered fully evaluated empirically. Because the harvest strategy has not been fully evaluated, SG 100 is not met.

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

Met? Yes

Rationale

The following evidence indicates SG 60 is met: Monitoring is in place through annual stock assessments, application and review of the HCR and its implementation, effects on fishing operations and fishery performance (KamchatNIRO, 2019, 2020). This covers a wide range of issues including stock status, TAC implementation and environmental effects. The monitoring is sufficient to determine whether or not the strategy is working, so SG 60 is met.

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

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Rationale

The following evidence indicates SG 100 is met: The components of the harvest strategy are reviewed and improved as necessary through an annual multi-stage internal and external review process. It is planned to review the HCR at least every five years and so that it can be improved as necessary. Based on previous technical reviews on the likely performance of the HCR, adjustments have been made to reference points (Varkentin and Ilyin, 2015). The evaluation of the strategy includes 10-year projections of the stock assessment model (including fitted selectivity and fishing mortality which evaluates past strategy performance). The precautionary approach has been applied to all fisheries and led to changes where necessary (e.g. TINRO (2017a)) and indicates that if the strategy were deemed to be insufficiently precautionary, it would be modified to ensure that it is. This meets SG 100.

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

Rationale

Walleye pollock is not a shark, so this scoring issue is not applicable.

Review of alternative measures There has been a review of There is a regular review of There is a biennial review of the potential effectiveness the potential effectiveness the potential effectiveness and practicality of alternative and practicality of alternative and practicality of alternative f Guide measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- post related mortality of unwanted related mortality of unwanted related mortality of unwanted catch of the target stock. catch of the target stock and catch of the target stock, and they are implemented as they are implemented, as appropriate. appropriate. Met? Yes No No

Rationale

The following evidence indicates SG 60 is met: Discards are monitored by observers and reported for inclusion in the stock assessment, so they are accounted for in fishing mortality estimates. The vast majority of the catch is retained. A number of successful measures have been implemented that have significantly reduced the capture of juvenile and small pollock (Varkentin and Ilyin, 2014; TINRO, 2017a). These have been predominantly gear and mesh size changes with move-on rules that discourage operations where juveniles are caught. Small fish in the catches are monitored through the length sampling. Pollock discards in the fishery are rare and the entire catch is processed. This is monitored, so should circumstances change, action could be taken. Because reviews have clearly taken place on ways to reduce unwanted catch, SG 60. The following evidence indicates SG 80 is not met: Reviews have identified ways to reduce unwanted catches and these have been implemented as appropriate (Varkentin and Ilyin, 2014; TINRO, 2017a). However, evidence has not been provided that reviews of alternative measures have been regular so SG 80 is not met.

References

KamchatNIRO (2019, 2020), Payne et al. (2018), PCA (2017b), TINRO (2017a), Varkentin and Ilyin (2014, 2015, 2016, 2017) http://www.vniro.ru/ru/interinstitutional-working-group

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Draft scoring range 60-79 Updates for the following information are sought: - Annual estimates or indicators of discard rate and Information gap indicator reviews of alternative measures to reduce this. - More detail on review procedures (e.g. working group minutes, recommendations etc.) undertaken since 2017

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

Overall Performance Indicator score

Condition number (if relevant)

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

Scoring Issue SG 60 SG 80 SG 100 HCRs design and application Generally understood HCRs Well defined HCRs are in The HCRs are expected to are in place or available that place that ensure that the keep the stock fluctuating are expected to reduce the exploitation rate is reduced as at or above a target level exploitation rate as the point the PRI is approached, are consistent with MSY, or a Guide of recruitment impairment expected to keep the stock another more appropriate post (PRI) is approached. fluctuating around a target level taking into account the level consistent with (or ecological role of the stock, above) MSY, or for key LTL most of the time. species a level consistent with ecosystem needs. Met? Yes Yes Yes

Rationale

The following evidence indicates SG 60 is met: The HCR is based upon the most recent estimate of stock size and applies a fixed exploitation rate for a two-year projection which determines the TAC. The procedure for setting the TAC is in place and well defined. The fishing mortality for the projection is set as follows based on the most recent estimate of the spawning stock biomass in year y (By): • Fy+1 = 0, if By < BLIM • Fy+1 = (FTR-F0)( By – BLIM)/( BTR - BLIM)+F0, if BLIM < By < BTR • Fy+1 = FTR=FMSY, if By > BTR

This fishing mortality is then used in the stock assessment projection to define the TAC for the following two years. The reference points used above have been set as follows: -1 FTR = FMSY = 0.235 yr F0 = 0 BTR = BMSY = 5089 kt s BLIM = BLOSS e =2583 kt (where s is the upper 90% confidence limit for the estimated log biomass.) -1 FLIM = F35%SPR = 0.31 y

For the second year, the HCR applies additional precautionary adjustment if necessary. The projection is done in a probabilistic manner using a resampling procedure (bootstrap) for the final year’s numbers-at-age and the age-2 recruitment from the previous 10 years. If the joint probability of fishing mortality and biomass being above and below FLIM and BLIM respectively, is greater than 5%, then the HCR fishing mortality in the second year of the projection is adjusted down such that this probability is less than 5% for both indicators.

The HCR reduces the exploitation rate (F) used to determine the TAC if the stock size is determined as below the MSY BTR point linearly as it approaches BLIM, the PRI, so SG 60 is met.

The following evidence indicates SG 80 is met: Because the HCR is well-defined and in place, and the FMSY is expected to keep the stock at or above the MSY BTR point, SG 80 is met.

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The following evidence indicates SG 100 is met: No account is taken of the ecological role of the stock, but the current reference points do not appear inappropriate and are precautionary. The estimated target fishing mortality rate (FTR) has been applied since 2009 and the stock has been above the biomass trigger reference, so within the target region, and variation in stock size has so far been relatively low during this period. Therefore, the stock appears to be staying, as expected, within its target range most of the time, which meets SG 100.

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

Met? Yes No

Rationale

The following evidence indicates SG 80 is met: The HCR has been simulation tested and is applied in a probabilistic manner (Ilyin et al., 2014; Varkentin and Ilyin, 2015; Sharov, 2016). Main error sources have been accounted for in the stock assessment method, in setting precautionary reference points and through simulation testing in 10-projections. In addition, the second year TAC in the projections is adjusted if necessary so that there is a high degree of certainty that the stock will remain above the limit reference point and the fishing mortality reference point will not be exceeded, taking into account observation error and recent recruitment. Because the projections used to set the TAC are short, the main sources of error are accounted for and the HCR has been shown to be robust to these, so SG 80 is met.

The following evidence indicates SG 100 is not met: The simulations used to test the HCR were limited in nature. They do not consider all sources of uncertainty and are based on bootstrapping (sampling theory), which while robust, does not explicitly deal with process or structural error. The only processor component was random recruitment, others such as mortality or ecosystem effects have not been considered. More significantly, the same model is used to test the procedure as is used for the stock assessment and HCR, which may underestimate model structural error. Furthermore, the 2016 review of the stock assessment (Sharov, 2016) made recommendations which have yet to be addressed and may identify additional sources of uncertainty. Therefore, SG 100 is not met.

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

Rationale

The following evidence indicates SG 60, SG 80 and SG 100 are met: A wide range of controls are applied to the fishery, limiting numbers of types of trawl, gear controls, time-area closures as well as requirements for monitoring fishing operations. These tools help enforce the target fishing mortality. The target fishing mortality is applied through the selectivity to set the TAC. The selectivity is estimated in the model, but maintained through mesh size (Varkentin and Ilyin, 2015), a move-on rule and other regulations that minimise the capture of juvenile pollock.

The TAC forms the most important tool in setting fishing mortality rate. The TAC is allocated as catch quotas to fleet sectors and main areas (61.05.1, 61.05.2, 61.05.4). Catch allocation is possible through logbooks, supported by VMS

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and observer coverage. Fishery removals are monitored by the FSB Coastguard fishery inspectors aboard catch and catcher-processor vessels with 100% coverage since 2010. Inspections on transshipments is required by law. The comparison between the TAC set at the beginning of the season and the reported catch are very similar.

The subsequent fishing mortalities from applying the HCR are estimated in each stock assessment (Varkentin and Ilyin, 2015). This provides direct evidence whether the target fishing mortality is being achieved. The available evidence consists of records indicating proper controls and, importantly, estimates of outcome in terms of achieved fishing mortality and stock status. This evidence clearly shows that the tools in use have been effective in achieving the target fishing mortality. Because the evidence clearly shows that the HCR tools are appropriate and effective in achieving the target fishing mortality, SG 60, SG 80 and SG 100 are met.

References

Babayan (2000), Caddy (1998), Ilyin et al. (2014), Payne et al. (2018), Sharov (2016), Varkentin and Ilyin (2014, 2015, 2016, 2017) Draft scoring range ≥80 More information sought Up-to-date information from 2018-2020 is required to confirm the recent performance of the HCR. Information gap indicator Specifically, annual tables of TAC, catch, fishing mortality and SSB. More detail is required on how BTR and FTR have been estimated explaining why biomass has been above apparent MSY in recent years.

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

Overall Performance Indicator score

Condition number (if relevant)

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PI 1.2.3 Relevant information is collected to support the harvest strategy

Scoring Issue SG 60 SG 80 SG 100

Range of information Some relevant information Sufficient relevant A comprehensive range of related to stock structure, information related to stock information (on stock stock productivity and fleet structure, stock productivity, structure, stock productivity, composition is available to fleet composition and other fleet composition, stock a Guide support the harvest strategy. data are available to support abundance, UoA removals the harvest strategy. and other information such as post environmental information), including some that may not be directly related to the current harvest strategy, is available. Met? Yes Yes Yes

Rationale

The following evidence indicates SG 60 and SG 80 are met: The northern SOO pollock stock (excluding the East Sakhalin stock) is a metapopulation consisting of several spawning components, supported by genetic work. The fishery primarily takes place on spawning aggregations, so the distribution and migration of these components is well understood. Spatial trawl, ichthyoplankton and acoustic surveys are conducted almost annually which provides distribution information on the stock. TACs are allocated between areas accounting for stock structure. This stock- structure information is sufficient to support the harvest strategy.

Data are routinely collected on stock productivity from survey and catch sampling, consisting of age, length, weight, maturity and fecundity. Summaries of the data are produced each year and they provide information on growth, mortality and recruitment in the stock assessment. In terms of information, length-at-age (growth), weight-at-age (condition) and maturity-at-age are well monitored. Age-specific natural mortality is estimated from life history information (Blinov, 1977; Gunderson and Dygert, 1988). Despite historical levels of heavy depletion, no stock-recruit relationship has been found (leading the choice of BLOSS as the limit reference point). These data are used for the stock assessment’s estimate of stock productivity, which is sufficient to support the harvest strategy.

Information on the SOO fishing fleets and their operations is derived from the FFA vessel licensing system, logbooks and FSB reporting requirements of at-sea activities, scientific observers and fishery inspectors. Vessels also carry VMS which provides accurate information on fishing location, and supplements that found in the logbooks. Fishing effort is considered to be measured sufficiently accurately that it is used as an indicator for fishing mortality in the stock assessment. The information on the vessel operations is therefore more than sufficient to support the current harvest strategy.

Because the range of information on the stock and fleet operations is sufficient to support the harvest strategy, SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: In terms of other data necessary for the harvest strategy, considerable information exists on the life history, biology and diet of walleye pollock as well as potential effects of temperature and other environmental factors on productivity and environmental information is monitored for its impact on the fishery operations as well as the stock (KamchatNIRO, 2020). The catches of the trawl fleet (UoA removals) are closely monitored with at-sea observations and inspections (100% since 2010 by FSB inspectors aboard catch and catcher-processor vessels). Data relevant to the ecosystem and climate change are available (Radchenko et al., 2010). Recruitment success and juvenile mortality have been linked to water temperature, chlorophyll concentration,

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zooplankton densities and ice coverage (Kotenev and Bulatov, 2009; Bulatov, 2015), which are not currently used in the stock assessment or for the harvest strategy.

Therefore, the range of information relevant to the harvest strategy is comprehensive and includes information not directly related to the current harvest strategy, but useful for harvest strategy development. The information is sufficient for a strategic research plan, including consideration of issues such as climate change and this will be further verified during the site visit. This meets SG 100.

Monitoring Stock abundance and UoA Stock abundance and UoA All information required by removals are monitored and removals are regularly the harvest control rule is at least one indicator is monitored at a level of monitored with high available and monitored with accuracy and coverage frequency and a high degree b Guide 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 post rule. more indicators are inherent uncertainties in the available and monitored with information [data] and the sufficient frequency to robustness of assessment support the harvest control and management to this rule. uncertainty. Met? Yes Yes No

Rationale

The following evidence indicates SG 60 is met: The harvest control rule depends upon output from the statistical catch-at-age stock assessment. Input data for the “Synthesis” stock assessment model are (Varkentin and Ilyin, 2015): • Catches by age and fishing year. Total removals of the trawl fleet are reported and monitored at landing and at- sea. There has been 100% cover from 2010 by FSB Coastguard inspecting landings, who are also mandated by Russian Law to be aboard the transshipment vessels. • Mean weight by age and fishing year. Scientific observers sample catches for weight, length, sex, maturity and otoliths are submitted for ageing. • Mean proportion of mature individuals by age and fishing year. Scientific observers sample catches to obtain maturity by gonad stage. Fishing takes place on the spawning stock, so these data provide good information on sex and maturity-at-age. • Instantaneous natural mortality rates by age. This is estimated separately primarily from maturity data (Blinov, 1977; Gunderson and Dygert, 1988). • Fishing effort by year. Information is provided by logbooks and supported by observer data and VMS. • Abundance indices (surveys related to age selectivity or reproductive output, and fishing year). Abundance indices that are used consist of ichthyoplankton (1972 – present), trawl (1998 – present) and acoustic (1998 – present) fishery independent abundance surveys. There is also fishery dependent CPUE (GLM/GAM standardised: 2001 – present; observer: 2009 – present).

The stock assessment is conducted annually and used to produce two-year projections. However, the harvest control rule (HCR) is applied biennially, so the annual provision of data is more frequent than that required by the HCR. Problems with unreported catch, particularly the discarding of juveniles, which had been an issue during the 1990s and early 2000s, have been resolved. Multiple violations of the fishery regulations were reported such as young fish discards, concealment of harvests, and fishing activities in prohibited areas and periods, which resulted in TAC overages of the order of 15–20% per year. These problems were resolved by improving gear selectivity, changes in markets, and by improved monitoring, regulations and enforcement.

Because the stock abundance and UoA removals data are sufficient to support the stock assessment and hence the HCR, and frequency of monitoring is higher than that strictly required by the HCR, SG 60 is met.

The following evidence indicates SG 80 is met: The UoA removals are monitored accurately through the inspection system which covers the trawl fleet. Information is available to corroborate catch reports and check they are correct. The information provided to the stock assessment is sufficiently accurate and consistent, as evidenced by the re-

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sampling estimation (bootstrapping), to support the HCR. Because the abundance and removal input information to the stock assessment is reported annually (at a higher frequency than required by the HCR) and is shown to provide adequate coverage and accuracy sufficient for the HCR calculations, and because there is more than one fishery- dependent and independent abundance indicator to support the HCR, SG 80 is met.

The following evidence indicates SG 100 is not met: Given the above, all information required by the harvest control rule is monitored with high frequency and there is an understanding of inherent uncertainties in the information. Some research has been conducted ensuring that the assessment and HCR are robust to data uncertainty by estimating the probability in projections of the stock falling below reference points (Varkentin and Ilyin, 2015). While total removals are monitored with a high degree of certainty, other information may not be. Scientific observers (primarily managed by TINRO) provide important information for the application of the HCR. The stock assessment depends heavily upon the age composition data in calculating catch-at-age from age-length keys. Coverage of the fleet is therefore important.

The observers record information on discards and length composition of catch by species (not just pollock), weight/length data, gut contents, sex and maturity stages of pollock and other relevant observations. Observers are deployed to catcher and catcher-processor vessels covering the full seasonal cycle of pollock and the fleet movement around the Sea of Okhotsk, so data are collected throughout the fishing season when pollock makes up around 95% of the catch. The number of scientific observers is limited, however. Since 2007, the number of observers engaged in the fishery has ranged from 10 to 23. An analysis of the spatial coverage of the fishery indicated that the core areas were well sampled by observers, >90% of fishing activity taking place with at least one observer on one vessel in the core area (Smirnov et al., 2017). Overall coverage ranged from 13.9% to 23.1% of hauls.

An analysis of optimal observer coverage rates indicated that 20–22 observers would be needed to address both target and non-target species requirements. In the 2020 season A, 25 scientific observers worked at sea (3 more persons than 2019). 15 observers were from TINRO, 7 from KamchatNIRO, 2 from MagadanNIRO while one observer carried out an at-sea survey on sea birds interaction. In this season, coverage effectively significantly increased in 2020 with around 38% of hauls being observed Pollock Catchers Association (2020). Although TINRO and KamchatNIRO have concluded that further increase from previous sampling levels is not required, biological sampling has not increased much but sampling coverage has improved. As well as the commercial fishery, vessels owned and operated by the scientific institutes which have a annual TAC share and also used for catch monitoring (and potentially used for monitoring if the stock falls below BLIM). About 80% of catch composition information comes from scientific observers and 20% from scientific fishing.

It can be concluded that all information required by the harvest control rule is monitored with high frequency, and there is a good understanding of uncertainties in the data and the robustness of assessment and management to this uncertainty. There is also evidence that accuracy of the biological sampling has improved, but it is not clear, given the way the data are used, that scientific observer biological sampling is sufficient to meet the “high degree of certainty” requirement, 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? Yes

Rationale

The following evidence indicates SG 80 is met: Unreported removals may have been significant in the past, but are thought to be insignificant since inspections reached 100%. Discards are estimated from the trawl fishery, and measures are in place to minimise these. The other main pollock catch is by the coastal Danish seine fishery on the West Kamchatka shelf, which operates mainly during the annual pre-spawning and spawning periods. Since 2006, Danish Seine Northern SOO pollock landings have varied mostly between 5 and 10% with a maximum of 9.0% in 2012, whereas in 2019 and 2020 these landings made up only 2.8% and 2.7% of the landings respectively (KamchatNIRO, 2020). The scientific observer coverage of the Danish seine fleet is lower than for the pollock trawl fishery owing to difficulties in placing observers on these smaller vessels. The catch size composition is similar to the trawl pollock fishery, but fish appear to be on average larger and sizes may vary more (KamchatNIRO, 2019, 2020). There are no pollock discards

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in the fishery and the entire catch is processed. Data are thought sufficient to estimate the annual catch at age from this fishery for incorporation into the stock assessment. Given the relatively small scale of the fishery (<5% of the total pollock fishery catch in recent years), fishery removals are adequately monitored and sampling is sufficient to estimate the annual catch at age from this fishery for incorporation into the stock assessment, so SG 80 is met.

References

Blinov (1977), Bulatov (2015), Gunderson and Dygert (1988), Kachina and Sergeeva (1978), KamchatNIRO (2019, 2020), Kotenev and Bulatov (2009), Kulik et al. (2020), PCA (2020), Radchenko et al. (2010), Savenkov et al. (2017), Smirnov et al. (2017), Smirnov et al. (2014), TINRO (2017b), Varkentin and Ilyin (2014, 2015, 2016, 2017) 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)

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PI 1.2.4 There is an adequate assessment of the stock status Scoring Issue SG 60 SG 80 SG 100 Appropriateness of assessment to stock under consideration The assessment is The assessment takes into appropriate for the stock and account the major features Guide a for the harvest control rule. relevant to the biology of the post species and the nature of the UoA. Met? Yes No

Rationale

The following evidence indicates SG 80 is met: A statistical catch-at-age model (“Synthesis”: Varkentin and Ilyin (2015)) is used to estimate the biomass and fishing mortality used in the harvest control rule. It makes use of the available data, including catch-at-age (age/length compositions and total catch), ichthyoplankton, trawl and acoustic survey data. Maturity-at-age and natural mortality at age is estimated outside the assessment and supplied as vectors. No sex differentiation is modelled although there are no reported sex differences in growth or morphology. Age-specific natural and fishing mortality is modelled, fishing mortality as selectivity multiplied by a fishing mortality scaling factor (“separable model”). The length-at age is estimated from the data rather than using a growth model. The model assumes a single stock, so no sub-structure is represented (there are no tagging data or explicit movement between areas). The stock assessments generates numbers at age estimates and can project these forward using the natural mortality-at- age, target fishing mortality and estimated selectivity. This allows the HCR to be applied. Because the stock assessment is able to account for important standard features of the stock (age specific length, weight maturity etc.) and it provides estimates of indicators used directly in the HCR, SG 80 is met.

The following evidence indicates SG 100 is not met: Although the stock assessment takes account of important features, it is not clear that all important features are accounted for that could have an important impact on stock size in the short-term projections used for the TAC. Notably, there is no account taken of environmental effects, although these have been reported as important factors on mortality and recruitment (Kotenev and Bulatov, 2009; Bulatov, 2015). Structural uncertainties do not appear to have been fully explored (Sharov, 2016). Therefore, some major features of the stock biology and the fishery may not have been taken into account by the stock assessment, so SG 100 is not met.

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

Rationale

The following evidence indicates SG 60 is met: The stock assessment evaluates stock status relative to reference points. The reference points have been derived based on the stock dynamics. The MSY BTR used in the harvest control rule is based on the long-term biomass obtained by applying FMSY (Varkentin and Ilyin, 2015). Because the stock assessment estimates fishing mortality and spawning stock biomass relative to MSY and reasonable PRI reference points, SG 60 is met.

The following evidence indicates SG 80 is met: The reference points are estimated from the stock assessment model, taking into account levels of past recruitment, estimates of maturity, growth and mortality specific to walleye pollock in Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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the Sea of Okhotsk (Varkentin and Ilyin, 2015). Therefore, because the reference points are also appropriate to the stock and have been estimated, SG 80 is met.

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: The stock assessment uses a standard non-parametric bootstrap re-sampling of the catch-at-age, fishing effort and stock abundance indices residuals to simulate alternative datasets. The method based on sampling theory simulates observation error and assesses the effect this has on the non-linear model estimation. It does not capture other sources of error, such as process or structural error. An international, independent review of the assessment methodology and in particular of how the main (and some minor) sources of uncertainty are being taken into account has been conducted (Sharov, 2016). The review concluded that the assessment characterizes the major sources of uncertainty, such as uncertainty caused by measurement errors in input data and uncertainty in the model approximation of population dynamics. Because the stock assessment identifies the major sources of uncertainty and explicitly takes uncertainty into account, SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: Strictly speaking, stock status is being evaluated relative to reference points in a probabilistic way and this is used in the HCR and management to apply precaution. The stock assessment model estimates uncertainty in current stock indicators and allows determination of the probability of spawning stock biomass and fishing mortality values relative to reference points. The probabilistic method accounts for main sources of uncertainty. The harvest control rule then determines the probability of TAC options exceeding reference points over 2- and 10-year projection periods (Ilyin et al., 2014; Varkentin and Ilyin, 2015). Because the assessment and advice evaluates stock status in a probabilistic way, SG 100 is met.

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

Rationale

The following evidence indicates SG 100 is not met: Payne et al. (2018) report that alternative models (e.g. TISVPA, State Space) have been run and they broadly corroborated the results of the Synthesis model. However, exactly what has been explored is not clear. The Synthesis model has undergone simulation testing demonstrating that it can regenerate parameters used for the simulation, indicating no method implementation errors. Alongside Synthesis, the other VPA-type models that have been used appear to have been tested require processed estimates such as catch- at-age, rather than raw data (e.g. total catch, length compositions and age compositions). There has been no explicit inclusion of environmental data which may influence recruitment (Kotenev and Bulatov, 2009; Bulatov, 2015). Some, but not all, recommendations of the 2015 independent review of the model and software (Sharov, 2016) have been implemented. Although the assessment has undergone some testing and has been shown to be robust to this, testing has not been exhaustive. Alternative hypothesis and alternative assessment approaches have clearly not been rigorously explored. There are a number of models that could be suitable but have not been applied and alternative

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published hypotheses have not been tested through inclusion in alternative stock assessments. 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? Yes No

Rationale

The following evidence indicates SG 80 is met: The annual assessment process involves preparation of the assessment by KamchatNIRO scientists for submission to the Far East Pollock Council for review. The Council is made up of experts from regional scientific institutes (TINRO, KamchatNIRO, MagadanNIRO and SakhNIRO). The draft assessments are discussed and scientific advice is formulated, primarily by applying the HCR and advising on the TAC. As this is a peer review making use of national experts, SG 80 is met.

The following evidence indicates SG 100 is not met: The VNIRO and environmental expert stages of the review are external because they involve independent scientists not from the Russian Far East and who are, in some cases, independent of the FFA. More general reviews are also conducted by VNIRO’s central Scientific Council and ecological experts such as non-FFA contracted scientists, academics and nature conservation organizations under the Ministry of Natural Resources, which is independent of the FFA. Review meetings are completed before the meeting that considers the TAC being set. An Inter-Institutional Working Group (IWG) has been established under VNIRO with experts from the scientific organizations that fall within the FFA to, among other things, test and verify the methods and models used in stock assessment. In addition, a 2015 international external review was carried out of the stock assessment model and approach (Sharov, 2016). While some external peer review has been conducted, it is limited. Specifically, it is not clear that any recent stock assessment within the last 5 years has been externally reviewed for this stock, so SG 100 is not met.

References

Bulatov (2015), Ilyin et al. (2014), Ilyin et al. (2016), Kotenev and Bulatov (2009), O’Boyle et al. (2013), PCA (2018), Sharov (2016), Varkentin and Ilyin (2015, 2016, 2017), Vasilyev (2005) http://www.vniro.ru/ru/interinstitutional-working-group 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)

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7.4 Principle 2 7.4.1 Introduction Principle 2 assesses the environmental impact of the UoA’s fishing activities. The MSC Fisheries standard v2.01 requires fishing operations to allow for the maintenance of the structure, productivity, function and diversity of the ecosystem (including habitat and associated dependent and ecologically related species) on which the fishery depends. In this context, assessment teams are required to assess the fishery against five Principle 2 components. An overview of those five components, and a brief explanation of what is assessed within each component, is given below.

Primary species (MSC Component 2.1):

- Species in the catch that are not covered under P1; - Species that are within scope of the MSC programme, i.e. no amphibians, reptiles, birds or mammals; - Species where management tools and measures are in place, intended to achieve stock management objectives reflected in either limit (LRP) or target reference points (TRP). Primary species can therefore also be referred to as ‘managed species’.

Secondary species (MSC Component 2.2):

- Species in the catch that are not covered under P1; - Species that are not managed in accordance with limit or target reference points, i.e. do not meet the primary species criteria; - Species that are out of scope of the programme, but where the definition of ETP species is not applicable (see below)

Note: both primary and secondary species are defined as ‘main’ if they meet any of the following criteria: 1) The catch comprises 5% or more by weight of the total catch of all species by the UoA; 2) The species is classified as ‘Less resilient’ and comprises 2% or more by weight of the total catch of all species by the UoA (less resilient is defined here as having low to medium productivity, or species for which resilience has been lowered due to anthropogenic or natural changes to its life-history); 3) The species is out of scope but is not considered an ETP species (secondary species only); 4) Exceptions to the rule may apply in the case of exceptionally large catches of bycatch species.

ETP (Endangered, Threatened or Protected) species (MSC Component 2.3):

- Species that are recognised by national ETP legislation - Species listed in binding international agreements (e.g. CITES, Convention on Migratory Species (CMS), ACAP, etc.) - Species classified as ‘out-of scope’ (amphibians, reptiles, birds and mammals) that are listed in the IUCN Redlist as vulnerable (VU), endangered (EN) or critically endangered (CE).

Habitats (MSC Component 2.4):

- Habitats impacted by the fishery, 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, including any commonly encountered habitats, Vulnerable Marine Ecosystems (VMEs) or minor habitats.

Ecosystem (MSC Component 2.5):

- Those key ecosystem elements considered most crucial to giving the ecosystem its characteristic nature and dynamics, to maintaining the integrity of its structure and functions, and the key determinants of the ecosystem resilience and productivity. The key ecosystem elements are considered relative to the scale and intensity of the UoA.

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7.4.2 Primary and secondary species Primary and secondary species are typically identified through UoA logbook and observer data which provide information on which species are retained and discarded in the fishery. At this ACDR stage, logbook data were made available for the UoA, relating to retained catch only. As explained in Section 7.2.3, other than walleye pollock (the Principle 1 species), only Pacific herring (Clupea pallasii) was identified as a ‘main’ species. Catches of herring are made in pollock trawls incidentally in subzones 5.2 (Western Kamchatka) and 5.4 (Kamchatka-Kuril) and it is only in the northern SOO (5.1) that notable herring catches are made in pollock trawls, subject to a permit and TAC. From October to December (season B), the main target of the fishery shifts from pollock to herring, with pollock considered a bycatch. Despite herring being less than 5% of the overall SOO pollock fishery, the catches are still significant and therefore the herring stocks are considered “main” species. This is consistent with previous assessments of this fishery (Payne et al., 2018) and MSC guidance (see MSC Fishery Standard GSA 3.4.4). There are two herring stocks in the Sea of Okhotsk (Smirnov et al., 2016): North Sea of Okhotsk and Gizhiga–Kamchatka, with the pollock fishery overlapping the Northern stock (Figure 16). Pacific herring is assessed using biological reference points, and stock assessments that incorporate age structure, cohort analysis and spatial surveys to estimate biomass (Smirnov et al., 2016; Panfilov et al., 2017). As well as a TAC, management includes closure of the fishery for certain periods to protect spawning and recruitment. This stock was therefore was considered as a ‘main’ primary species by the team. Other primary species such as Pacific cod (and others to be confirmed) are also caught, but in much lesser quantities and none of these species meet the criteria for a ‘main’ species. Further details on outcome, management and information are presented in the Primary species scoring tables (Section 7.4.7).

Figure 16. Herring spatial distribution and catches (per 1 hour of trawling) in the pollock fishery in Season “A” of 2017, showing overlap between the pollock fishery and the Northern SOO Pacific herring stock. Source: Smirnov et al. (2017). Figure to be updated

According to the UoA observer data for 2020 trips, there is a long list of secondary species (and primary species to verified at the site visit), all of which are discarded and none of which meet the criteria for a ‘main’ species (see Table 12). This is in accordance with the findings by Japp and Payne (2020), Payne et al. (2018) and Payne and Japp (2019) who, based on observer records for the PCA fleet, concluded that although there is a great variety of species registered in the bycatch, most of these species are caught in small numbers and make up a negligible proportion of the total catch.

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Species that are out of scope of the programme, such as mammals and seabirds, but where the definition of ETP species is not applicable, should be considered as secondary ‘main’ species. An overview of seabird interactions in the SOO mid-water trawl pollock fishery is given in the ETP species section (Section 7.4.3). Based on the data presented, the horned puffin, tufted puffin, northern fulmar and ringed seal should be considered as main secondary species. As not all bird encounters were identified to species level in the observer data, the RBF may be triggered for Secondary species outcome.

Further details on outcome, management and information are presented in the Secondary species scoring tables (Section 7.4.7).

7.4.3 ETP species The Russian Far East seas are important foraging and breeding areas for 19 rare species of marine mammals and there are over 60 species of seabirds from 9 families including albatrosses (Diomedeidae), shearwaters (Procellariidae), storm petrels (Hydrobatidae), auks (Alcidae), skuas (Stercorariidae), terns (Sternidae), gulls (Laridae) and cormorants (Phalacrocoracidae). In Russia, rare and endangered animal species are protected in accordance with Federal Law No. 52 “On Fauna” and are listed in the Red Book of the Russian Federation (http://redbookrf.ru/) at federal level, as well as in regional Red Books, such as that for Kamchatka Krai, Sakhalin Oblast and Magadan Oblast. Six categories of rarity of species are accepted in these Red Books: 0 – probably extinct; 1 – endangered; 2 – declining in number; 3 – rare; 4 – uncertain in status, 5 – restored and recovering. In addition to national legislation, Russia is a signatory to internationally binding agreements such as the Convention on International Trade of Endangered Species (CITES) and the Agreement on the Conservation of Albatrosses and Petrels (ACAP) which were therefore also considered in the identification of ETP species.

The annual pollock expedition in the Sea of Okhotsk is considered a powerful factor for emergence of large wintering aggregations of various seabird species as they become attracted to fish processing waste discharged by the vessels, and mortalities may occur when birds collide with taut warps, wires and cables behind the stern (more so than being caught in the trawl itself) (Artyukhin, 2015). Interactions with marine mammals, particularly seals and sea lions, may occur as well. According to Burkanov et al. (2015) (cited in Payne et al. (2018)), the vast majority of marine mammal species met in the SOO pollock trawl fishery did not show any reaction to or noticeable interest in operating fishing vessels neither during fish catching nor fish processing. Marine mammals can be brought into two groups in terms of interaction with vessels engaged in pollock trawl fishing – species which are neutral or indifferent to pollock fishing and species which are dependent on it or somehow interacting with it. Overall, however, interactions with seals and sea lions were found to be rare, possibly because pollock mid-water trawl gear is typically deployed far from rookeries and haul out areas.

During the first certification of the PCA fishery (O’Boyle et al., 2013), the following two ETP species were considered to be possibly of concern in the SOO pollock mid-water trawl fishery: the Steller sea lion (Eumetopias jubatus; Red Book of Russia Category 2 species) and short-tailed albatross (Phoebastria albatrus; CITES Appendix 1, ACAP Annex 1). During this initial PCA assessment, the observer reporting protocol was not considered to allow for listing bird mortality or observations on seabirds and other species such as seals. Because birds rarely get caught into the net and lifted to deck and mortalities may therefore go unobserved, observer protocols had to be adapted to obtain an accurate estimate of interaction rates. Certification conditions were raised accordingly. The PCA commissioned significant amounts of work to support the work undertaken to meet these conditions and new observer sampling protocols were introduced during the 2014/15 season as a result (Payne et al., 2018). All observers now report on the encounter and mortality rates of ETP species in the SOO pollock trawl fishery.

Artyukhin (2015) reported on the presence, interaction with fishing gear and accidental bycatch of seabirds and marine mammals in the pollock trawl fishery in the Sea of Okhotsk during 2014/2015 fishing season. According to the data, the winter seabird fauna includes 19 species: The greatest diversity is characteristic of larids (9 species) and auks (6 species) while 3 families of tube-nosed birds are represented by 4 species only. Auks (48%), procellariids (33%) and larids (19%) dominate in quantitative terms, while albatrosses and storm petrels account for less than one-tenth per cent of the winter population abundance. A total of 12 mortalities of northern fulmar (Fulmarus glacialis) were registered during the entire observation period. No other lethal encounters with the fishing gear were registered. In general, Artyukhin (2015) considered direct lethal contacts of birds with fishing gear to be rather rare events in the winter pollock trawl fishery, being sporadic in temporal and spatial terms and heavily dependent on vessel types and fishing areas. The PCA commissioned Artyukhin to repeat in 2020 an identical survey on seabird interactions and abundance in the fishing area, and to compare newly obtained outcomes with the outcomes of his 2015 survey and report. Although seabird contact observations were registered at the trawl towing stage and involved wires (warps and echosounder Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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cable), none resulted in mortality. There were no bird contacts with trawl ropes/net panels or capture in the net or beneath the cod-end on deck (Artyukhin (2020) cited in Japp and Payne (2020) – the team requests to see this reference prior to or during the site visit).

During the 2016-2020 period, the following observations were made, according to TINRO observer data for the entire SOO pollock mid-water trawl fishery (based on translated copy provided to the team):

Table 14. Observed seabird and marine mammal encounters in the entire SOO mid-water trawl pollock fishery, based on TINRO observer data (translated summary provided to the team).

Year Injury or mortality as a direct result of contact with Observer coverage by fishing gear fishing operations (PCA fleet) – from Table 10 Seabirds Marine mammals 2016 4 dead puffins (species not None 4.2% given) 2 dead Pacific gulls (exact species not known) 2017 6 dead fulmars (Fulmarus 4 Steller sea lions 5.6% glacialis) (Eumetopios jabatus), one of which was released alive. 2018 None None 10.02% 2019 None None 10.04% 2020 None according to TINRO 1 dead ringed seal (Phoca 15.12% summary report on PCA fleet; hispida) 1 unidentified dead seabird according to UoA data

Puffins: At least two species of puffin occur in the Russian Far East1, the horned puffin (Fratercula corniculata) and tufted puffin (Lunda cirrhata), although this should be confirmed with stakeholders. Neither species has national protection or internationally binding agreements in place, which means that as ‘out-of-scope’ species, they should be assessed as ‘main’ secondary species. Without more detail on the exact species concerned (noting that the possibility of an error in translation cannot be excluded – these interactions could also concern species of the genus Puffinus, i.e. shearwaters), it is likely the Risk-Based Framework would be triggered for Secondary Species outcome (PI 2.2.1).

Pacific gull: It is noted that the Pacific gull (Larus pacificus) is a species which is endemic to Australia, so records of this species are likely to be caused by errors in identification or translation (most likely the latter). Because some gull species are protected in Russia (see http://www.russianpollock.com/ecosystem/protected- species/Russian_Far_East_ETP_seabirds_list.pdf), the RBF may be triggered for both Secondary Species outcome (PI 2.2.1) and ETP species outcome (PI 2.3.1).

Northern fulmar: This species is found breeding throughout the north Atlantic and north Pacific, ranging from Japan and the United Kingdom in the south, to the high Arctic in the north. Northern populations are migratory, travelling south as the sea freezes over. The global population is estimated at ca. 7,000,000 pairs or 20,000,000 individuals. In Russia the population is estimated at ca. 100,000-1 million breeding pairs and >ca. 10,000 individuals on migration. The species is listed as Least Concern on the IUCN Red List with an increasing population trend (BirdLife_International (2018) and references therein). Without national protection or internationally binding agreements in place, this ‘out-of-scope’ species should be assessed as ‘main’ secondary species. As no biologically based limits have been identified, this species will likely be assessed with the RBF.

No encounters with short-tailed albatross (Phoebastria albatrus) were recorded by observers over the last 5 years; this species was therefore not retained as a scoring element in this assessment. Currently, no ETP bird species have been identified based on the observer data; however, as mentioned above, the RBF is likely to be triggered for the ETP species outcome PI as some bird encounters were not identified to species level.

1 Based on the Checklist of the Birds of Russian Far East: https://fareastru.birds.watch/v2checklist.php?l=en Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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In parallel with ornithological surveys, observers also monitor interactions with marine mammals during SOO pollock mid-water trawl operations. Artyukhin (2015) registered no cases of marine mammal bycatch during the 2014/15 fishing season. Blokhin (2019) considered the species composition of marine mammals within the SOO pollock fishing area in 2017. Eleven species of marine mammals, totalling a number of 1306 individuals were recorded in the area. The Steller sea lion (Eumetopias jubatus; 46.8%) was the most frequently observed, followed by the northern fur seal (Callorhinus ursinus; 13.3%), spotted seal (Phoca largha; 8.9%), minke whale (Balaenoptera acutorostrata; 8.4%) and ribbon seal (Histriophoca fasciata; 7.9%). Steller sea lions and minke whales demonstrated obvious interest to the fishing activities, staying in proximity of the vessels and feeding on the fish falling out of the trawls or on processing waste. No cases of accidental bycatch were recorded (Blokhin, 2019). An overview of marine mammal encounters in the TINRO observer data for the SOO mid-water trawl pollock fishery is given in Table 14, indicating that encounter rates are low: zero interactions with fishing gear were observed in 2016, 18 and 19. In 2017, 4 Steller sea lions were captured (one of which was released alive), and a single dead, ringed seal was recorded in 2020.

Steller sea lion (Eumetopias jubatus): This is a Red Book of Russia Category 2 species and is listed as Near Threatened on the IUCN Red List (Gelatt and Sweeney, 2016). Two subspecies are recognized, the eastern subspecies (Loughlin’s northern sea lion; Eumetopias jubatus monteriensis) includes animals occurring from California to Cape Suckling, near Prince William Sound, Alaska. The western subspecies occurs west of Cape Suckling and is referred to as the Steller sea lion (Loughlin and Gelatt, 2018). Despite continued declines in the western Aleutian Islands, overall abundance of the Steller sea lion has increased in both the USA (1.8% per year) and in Russia since the early 1990s (86% total increase between early 1990s to 2013/2015). Total abundance of the Western population is estimated to be approximately 79,929 in 2015 with 55,791 in the USA and 24,138 in Russia (Gelatt and Sweeney, 2016). Further details on outcome, management and information are presented in the ETP species scoring tables (Section 7.4.7).

Ringed seal (Pusa hispida): There are currently five recognized subspecies of ringed seal: the Arctic ringed seal (P. h. hispida), the Okhotsk ringed seal (P. h. ochotensis), the Baltic ringed seal (P. h. botnica), the Ladoga seal (P. h. ladogensis), and the Saimaa seal (P. h. saimensis) and each subspecies has been individually assessed by the IUCN Pinniped Specialist Group (Lowry, 2016). The subspecies of relevance here is the Okhotsk ringed seal, considered as Least Concern on the IUCN Red List. Based on a 2016 assessment, abundance for this subspecies was estimated at 44,000 albeit with an unknown population trend. Although the Ladoga and Baltic ringed seals are listed in the Red Book of Russia, this particular subspecies is not. At this ACDR stage, the Okhotsk ringed seal is not considered to meet the criteria of an ETP species and was assessed as Secondary instead. Because the population trend is unknown and no biologically-based limits have been defined, this species will likely be assessed with the RBF. Further details on outcome, management and information are presented in the Secondary species scoring tables (Section 7.4.7).

7.4.4 Habitats The MSC Fisheries Standard v2.01 requires habitats interacting with the fishery to be defined as ‘commonly- encountered’, ‘Vulnerable Marine Ecosystem (VME)’ or ‘minor’. A commonly encountered habitat is defined as a habitat that regularly comes into contact with a gear used by the UoA, considering the spatial (geographical) overlap of fishing effort with the habitat’s range within the management area(s) covered by the governance body(s) relevant to the UoA. Commonly encountered habitats would likely include those that the target species favours, that the UoA’s gear is designed to exploit, and/or that make up a reasonable portion of the UoA’s fishing area (GSA3.13.3.1). In contrast, a VME is defined as per paragraph 42 subparagraphs (i)-(v) of the FAO Guidelines, i.e. as having one or more of the following characteristics: uniqueness or rarity, functional significance, fragility, life-history traits of component species that make recovery difficult, and/or structural complexity (GSA3.13.3.2). With respect to VMEs, it is important to note that it is not the responsibility of an assessment team to identify habitats as VME within the fished area. Instead, VMEs (or potential VMEs) need to be identified by a local, regional, national, or international management authority/governance body2. In Russian Far East waters, although spatial restrictions and a prohibition on bottom trawling are in place (laid out in Article 17.3 of the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources or Fishing Rules), no VMEs or potential VMEs are designated in line with the aforementioned FAO Guidelines and MSC requirements. Note that this approach was agreed on during a Principle 2 harmonisation meeting held between CABs involved in Russian Far East MSC assessments (see Appendix 9.10).

The trawl fishery operates beyond 30 miles offshore and generally deeper than 200 m water depth. The fishing gear used by the UoA is a mid-water trawl (see technical description in Section 7.2.1) which, according to TINRO observer

2 https://mscportal.force.com/interpret/s/article/identification-of-VMEs-SA3-13-3-1527262008557 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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reports, generally operates at 3 to 10m above the seabed. On that basis, the commonly encountered habitat is identified as the water column3. Although the gear is strictly speaking pelagic, some contact with the seabed may occur. The team assumes this to be a rare event, although this should be discussed further at the site visit, particularly as the bycatch species profile shown in Table 12 includes numerous benthic and epibenthic species such as lumpsuckers, eelpouts and sculpins. At this ACDR stage, any of the benthic habitats that the gear may accidentally contact were assessed as ‘minor’ habitats.

Further details on outcome, management and information are presented in the Habitats scoring tables (Section 7.4.7).

7.4.5 Ecosystem The Sea of Okhotsk is a semi-enclosed marginal sea bounded by Russia to the north and west and Japan to the south, and separated from the Pacific Ocean by the Kuril Island archipelago. Its area (1,528,100 km²) is similar in magnitude to the Bering Sea (2,315,000 km²). Seasonal changes are distinctive, with ice formation from November to June. In March, the Sea of Okhotsk is mostly covered by ice, except near Kamchatka and the Kuril Islands. A meridional region of open water occurs along the western Kamchatka coast in winter, reflecting the influence of warmer Pacific waters. Because of severe cooling on the northern shelf in winter, the water structure of the Sea of Okhotsk is characterized by a residual frigid layer with a core of -2°C. This cold intermediate layer is a unique feature of the Sea of Okhotsk and it can remain throughout the warm season (Radchenko et al., 2010). Climatic conditions in the SOO, especially in its northern part, are similar to those of arctic seas (Zhang et al., 2004) and are therefore particularly susceptible to the effects of climate change (Ohshima et al., 2009), with sea ice extent having decreased by approximately 150,000 km2 over the last three decades, corresponding to about 10% of the entire area of the Sea of Okhotsk (Ohshima et al., 2009; Radchenko et al., 2010; Kim, 2012).

Fisheries in the SOO are important to the economies of northern Japan and especially Russia. The major fisheries in the eastern Okhotsk Sea are for walleye pollock, flatfish, halibut, and Pacific cod. Walleye pollock accounts for the largest portion of the total catch (Zhang et al., 2004). Extremely high abundances of fish were recorded in the 1980s in the Sea of Okhotsk, with walleye pollock dominating pelagic fish communities. However, a regime shift occurred during the 1990–2000s which returned conditions to those of the 1950s-1960s with a decline of the walleye pollock stock, and an increase in the proportion of herring in the total fish biomass in the northern Okhotsk Sea. Changes in oceanographic conditions caused pollock and sardine biomass to decline, which decreased the grazing pressure on zooplankton and the resultant growth of zooplankton forage species biomass caused a growth in predatory zooplankton and alternative fish species (herring, anchovy and squid) biomass (Zhang et al., 2004). Other species that dominate the epipelagic nekton are salmon and squids. About 61 species of mesopelagic fish belonging to 53 genera and 33 families have been recorded in the Sea of Okhotsk mid-water layer, dominated by northern smoothtongue (Leuroglossus Schmidti), eared blacksmelt (Lipolagus ochotensis) and several myctophids (Stenobrachius nannochir, St. leucopsarus, Diaphus theta). As for demersal fish fauna, the Sea of Okhotsk shelf in general and the western Kamchatka in particular are known to be the most productive areas of demersal fish in the far-eastern seas. About 309 species of demersal fish species have been recorded, mostly belonging to the families Zoarcidae, Cottidae, Stichaeidae and Pleuronectidae, although flatfishes, sculpins and cod are the most abundant. Finally, squid play a crucial role in the food web of the Sea of Okhotsk ecosystem since they have a wide distribution throughout the deep-water layer of sea (more than 100 m) and high productivity. Sixteen species of squid, belonging to nine genera and six families, are known. The family Gonatidae contains ten species, two of which (Berryteuthis magister and Gonatopsis borealis) are the most abundant cephalopods in the area (see Zhang et al. (2004) and references therein).

Applying the Ecopath with Ecosim (EwE) software to the SOO ecosystem, Radchenko (2015) found that fishing in the Sea of Okhotsk does not cause destructive effects on aquatic bioresources: “The SOO ecosystem has significant potential for fisheries, which makes it feasible to continue ecosystem studies towards developing recommendations for fishery management. At this stage, the more effective way of utilization of the resources should be considered as the main goal of fisheries and resources management in the Sea of Okhotsk. A good example of successful application of such strategy was the removal of the Gizhigin-Kamchatka herring stock from the list of species for which TAC is applied. This allowed to several-fold increase the annual catch of a previously practically unexploited resource.” (Translation by team). In 2019, a scientific publication on SOO trophodynamic modelling was published after several years of research on the subject (Gorbatenko and Melnikov, 2019). The model considers energy transfer between the major components of the SOO ecosystem, taking into consideration their rates of production and food consumption, as determined from

3 https://mscportal.force.com/interpret/s/article/pelagic-habitats-and-gear-Box-GSA7-1527262009346 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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observations on zooplankton and nekton abundance, organic carbon content, food habits of marine organisms, and their isotope composition in 2000–2014.

Further details on outcome, management and information are presented in the Ecosystem scoring tables (Section 7.4.7).

7.4.6 Principle 2 scoring elements

Table 15. Scoring elements

Component Scoring elements Designation Data-deficient

Northern SOO Pacific Main No herring (TBC) Primary species Pacific cod, others TBC Minor No

TBC (Horned, tufted puffin, gull, northern fulmar, Main Yes, RBF triggered Secondary species Okhotsk ringed seal) Minor species are listed in Minor Yes, RBF not applied Table 12

Steller sea lion N/a No ETP species Potentially, yes. RBF TBC (ETP seabirds) N/a triggered

Water column Commonly encountered No

Bivalve, echinoderm, polychaete, and sponge Habitats communities along the shelves off eastern Minor No Sakhalin, western Kamchatka and Shelikhov Bay

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7.4.7 Principle 2 Performance Indicator scores and rationales

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

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

Rationale

Based on the available UoA logbook and observer data (Table 9 and Table 12) and as explained in Section 7.4.2, other than walleye pollock (the Principle 1 species), only Pacific herring (Clupea pallasii) was identified as a ‘main’ primary species.

The following evidence indicates SG 60 and SG 80 are met: There are two Pacific herring stocks, but only one (Northern SOO Pacific herring) that significantly overlaps with the pollock fishery in subzone 5.1 (Figure 16). The herring fishery is divided into 3 periods according to whether the wintering (pre-spawning), spawning or feeding aggregations are targeted. The main fishery gear is a purse seine and the fishery is seasonal. A high proportion of catches is allocated to the inshore spawning aggregations, but these and therefore the TAC have been underutilised (Panfilov, 2017). According to the 2016 stock assessment, spawner biomass has since the early 1990s been within or above the target region (Figure 17). It is understood that a more recent stock assessment has been conducted; however, this was not available at this ACDR stage – this reference should therefore be provided prior to or at the site visit. The pollock fishery as a whole is responsible for less than 5% of the catch from these stocks which is much less than 30% of the catch, the threshold when a fishery might be considered influential in hindering recovery of a stock (MSC Fisheries Standard v2.01 GSA3.4.6). Therefore, because the pollock fishery has measures and limits in place that control the Pacific herring bycatch (see PI 2.1.2) and there is evidence that the catches of this fishery would not hinder recovery or rebuilding of Pacific herring at this time, SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: The stock assessments suggest that the northern NOO stock is at MSY level or above and therefore well above any other candidate precautionary PRI (such as 50%BCP). Therefore, there is a high degree of certainty that this stock is above the PRI, so SG 100 is met. This conclusion remains provisional until the up to date stock assessment is provided.

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Figure 17. Status of herring in the northern SOO to 2016. Spawner biomass has since the early 1990s been within or above the target region (shaded area between BTR1 and BTR2, with BCP being the mean). Source: Payne et al. (2018). To be updated with latest stock assessment.

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

Guide OR b post If below the PRI, there is evidence that the UoA does not hinder the recovery and rebuilding of minor primary species. No (more information Met? needed) Rationale

In addition to Pacific cod, other minor primary species may be identified prior to or during the site visit. This scoring issue cannot yet be scored.

References

UoA logbook and observer data (Table 9 and Table 12)

Payne et al. (2018), Japp and Payne (2020), Smirnov et al. (2017), Panfilov (2017), Panfilov et al. (2017) and Smirnov et al. (2016)

Draft scoring range ≥80 More information sought: - Degree of overlap between UoA and each herring stock to be determined based on up-to-date data - Updated stock assessment information is required on Information gap indicator the two Pacific herring stocks that overlap with the SOO pollock fishery. - List of minor primary species to be finalised.

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

Overall Performance Indicator score

Condition number (if relevant)

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

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

No (more information Met? Yes Yes needed) Rationale

The following evidence indicates SG 60 and SG 80 are met: Each vessel is issued with a pollock-directed as well as retained species catch permits (either TAC or “PC”) under the Fishing Rules. Catches of all species are monitored and catch limits applied to primary species, the most important control for primary species being TACs. The herring fishery is important and is managed as a separate fishery. Herring catches are permitted by pollock mid-water trawlers and the vessels are allocated permits to accommodate them. All companies harvesting pollock have quotas and permits to retain herring, and such catches may be retained as long as the catch taken does not exceed 2% (as per the Fishing Rules; Ministry of Agriculture 2017). In addition to the species-specific measures in place for herring, the following measures apply to the fishery in general4:

• When bycatch species exceeds 2% for TAC species and 49% for PC (possible catch) species there is a “move- on” rule of at least five miles from areas of high by-catch; • If bycatch exceeds 2% or 49% depending on bycatch species in a trawl, the excess catch must be returned to the sea, and reported; • Vessels can have quotas for multiple species which eliminates the need to apply mitigation as long as the allocation to the vessel for the bycatch species is not exceeded; • If bycatch is in excess of the TAC or PC, the management authority can enforce time-area closures to mitigate further excess by-catches; • Bottom trawling is prohibited; • Full or partial ban in some fishing zones. Trawling is not permitted less than 30 miles off-shore and 5-12 miles from islands; • Vessel captains must keep records of bycatch and submit daily vessel report (DVR) to the Fisheries Monitoring System electronic database; • Vessels, trawling operations, and catches are observed by scientific observers from fishery research institutes, Coast Guard inspectors, and FFA inspectors. The cross-referencing system between data systems and inspections suggests that there is little scope for misreporting of retained catches or discarding. • Mandatory use of selectivity devices in modern trawls – “mirror” inserts (Fishing Rules, clause 18.3)

Because there are measures in place to limit the removals of Northern SOO Pacific herring, the primary main species, in the form of regulations limiting bycatch and a TAC with quotas, SG 60 is met. These measures make up a full strategy, because they form part of a system that manages the Northern SOO Pacific herring to maintain the stock above its PRI

4 http://www.russianpollock.com/ecosystem/by-catch-management/ Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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and at levels consistent with an MSY target, with controls applied to target and bycatch fisheries to limit exploitation levels accordingly, which meets SG 80 for the main primary species.

At this ACDR stage, it is not clear whether all minor primary species have been identified. SG 100 is not yet scored.

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

The following evidence indicates SG 60 and SG 80 are met: All primary species are governed by harvest strategies, that limit exploitation across all fisheries, including the SOO pollock fishery. There is a comprehensive set of Fishing Rules that include all the measures applicable to primary and some secondary species, including catch limits that are applied by zone and species. There is strong evidence that these measures applied to the SOO pollock fishery work in maintaining bycatch at low levels relative to overall catches of these stocks. Where vessels catch more substantial quantities, although these are still relatively low compared to the overall catch, quotas are applied so that they are included in the overall strategy. Measures limiting the bycatch to relatively low levels are likely to work because the relevant bycatch is low compared to overall catch, meeting SG 60. Testing exists in the form of stock assessments which include bycatch as well as other data for primary species. This gives both an objective basis for confidence that the harvest strategy as it applies to the pollock fishery is working, meeting SG 80, and ensures confidence is high because bycatches are well estimated and the stocks are independently monitored.

The following evidence indicates SG 100 is not met: Without access to the latest stock assessments, and without certainty that all minor primary species have been identified, the team cannot determine whether there is a high degree of confidence. SG 100 is provisionally scored as not met.

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

The following evidence indicates SG 80 is met: Information from the scientific observers, fishery inspectors, VMS and other sources provide evidence that the immediate controls that are applied (catch limits, gear controls, move-on rules) are being implemented successfully. Data are sufficient to evaluate this, with good coverage of inspectors and independent checks available on fishing locations and fishing effort. Compliance levels are high in the fishery, as discussed under PI 3.2.3. Because there is clear evidence that the pollock fishery’s role in the harvest strategies for primary species is being implemented successfully, SG 80 is met.

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The following evidence indicates SG 100 is not met: The measures applied by the pollock fishery form part of the wider harvest strategy for each primary species. The harvest strategy for each species is being fully evaluated using stock assessments that estimate stock status in each case. The objective in each case is to maintain stocks ate MSY, or rebuild. Where stocks are being rebuilt, catches are low enough and controls sufficient to ensure that the pollock fishery will not hinder the rebuilding plan. This is monitored through stock assessments, and the ability to rebuild has been demonstrated in Northern SOO Pacific herring. However, without access to the latest stock assessments, and without certainty that all minor primary species have been identified, clear evidence is lacking. SG 100 is provisionally scored as not met.

Shark finning

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

Rationale

None of the primary species are sharks. This scoring issue is not relevant.

Review of alternative measures There is a review of the There is a regular review of There is a biennial review of potential effectiveness and the potential effectiveness the potential effectiveness practicality of alternative and practicality of alternative and practicality of alternative e Guide measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- post related mortality of unwanted related mortality of unwanted related mortality of unwanted catch of main primary catch of main primary species catch of all primary species, species. and they are implemented as and they are implemented, as appropriate. appropriate. No (more information No (more information No (more information Met? needed) needed) needed) Rationale

There is insufficient information to score this performance indicator. Catch reporting suggests that discarding is insignificant, but also regulations require discarding and application of a move-on rule. More information is therefore required and this issue may need to be scored.

References

Smirnov et al. (2016, 2017); www.russianpollock.com; Fishing Rules (Ministry of Agriculture 2017) Draft scoring range <60 (more information needed) More information sought: - Degree of overlap between UoA and each herring stock to be determined based on up-to-date data - Updated stock assessment information is required on Information gap indicator the two Pacific herring stocks that overlap with the SOO pollock fishery. - List of minor primary species to be finalised. - UoA discard rates for herring to be provided.

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

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Overall Performance Indicator score

Condition number (if relevant)

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

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

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: There is only one main retained stock, Northern SOO Pacific herring. The SOO pollock fishery is not the main source of mortality for any primary stocks. Scientific observers are an important resource for monitoring pollock fishery catches and provide data on catch composition. These scientific observers are trained by TINRO and deployed by the research institutes. Training and deployments have been coordinated through a formal Observer Working Group. Daily catch logs are electronically transmitted to the Centre for Fisheries Monitoring and Communications (CFMC). FSB Coastguard inspectors do not cover all vessels, but they are deployed based on risks particularly for managing quotas, which is considered sufficient to verify vessel catch reports. Data are sufficient to support the stock assessments that are used to set TACs for all primary species. In addition, information on catch dates and locations as well as size composition data, are sufficient to support specific controls that limit the catches by vessels targeting pollock. This information, for example, supports adaptive measures such as the move-on rule, which requires haul-by-haul monitoring of bycatch and pollock size composition. Because there is comprehensive and reliable catch reporting that quantifies the impact of the pollock fishery on all primary species, including the main primary stock Northern SOO Pacific herring, through stock assessments that estimate status, SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: The data available for Pacific herring is considered to be very reliable. The tolerance for data error from this source sin the stock assessment will be relatively high because there is a directed fishery for Pacific herring which catches the vast majority of the TAC. The herring is monitored independently of the pollock fishery, and pollock fishery catches are not considered a significant source of uncertainty in the stock assessment. Therefore, quantitative information from the SOO pollock fishery on the Pacific herring catch is adequate to assess its impact on the stock with a high degree of certainty, meeting SG 100. This scoring remains provisional until the up-to-date stock assessment can be provided to the team.

b Information adequacy for assessment of impact on minor primary species

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

Rationale

The following evidence indicates SG 100 is met: As above, full catches are recorded of all managed species, and these catches are counted against the overall TAC. Therefore, because quantitative information on the catches of minor species, including when and where they are caught, is recorded, data are sufficient to estimate the impact on all minor primary status, so SG 100 is met. This scoring remains provisional until all minor primary species have been identified.

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: There is only one main retained stock, Northern SOO Pacific herring. The information collected on the bycatch, including Pacific herring, is adequate to monitor the impact of the pollock fishery on the overlapping stocks. Information stems from UoA logbook and observer data and consists of catches (including discards), catch composition, catch locations and time over a five-year period. These data are adequate to include in stock assessments that account for this source of mortality and are used to set the TACs, which are the most important control on fishing mortality, and set time-area closures if necessary. This information is therefore sufficient to support the pollock fishery’s role in the harvest strategy for Pacific herring. This meets SG 60 and SG 80.

The following evidence indicates SG 100 is met: Although the impact of the SOO pollock fishery on minor species is not significant, data are collected and the fishery is monitored to verify this is the case. Furthermore, catches taken in the pollock fishery are included in the stock assessments which support harvest strategy for all the primary species. Because all primary species, including minor species, have a harvest strategy that pollock catches are monitored and included in, information from this source is clearly sufficient to support that strategy. Furthermore, annual stock assessments together with monitoring of all fisheries, particularly the target fishery for each stock, clearly demonstrates with a high degree of certainty the impact the pollock fishery has on those stocks, as well as each stock status. This allows the management to evaluate the harvest strategy, including the role of the pollock fishery, with a high degree of certainty. Therefore SG 100 is met. This scoring remains provisional, however, until it can be determined that all minor primary species have been identified.

References

UoA TINRO observer reports for 2020 (Table 12, Table 14); UoA logbook data 2016-2020 (Table 9) Draft scoring range ≥80

Information gap indicator More information sought

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- Degree of overlap between UoA and each herring stock to be determined based on up-to-date data - Updated stock assessment information is required on the two Pacific herring stocks that overlap with the SOO pollock fishery. - List of minor primary species to be finalised.

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

Overall Performance Indicator score

Condition number (if relevant)

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

If below biologically based If below biologically based limits, there are measures in limits, there is either place expected to ensure that evidence of recovery or a the UoA does not hinder demonstrably effective recovery and rebuilding. partial strategy in place such that the UoA does not hinder a Guide recovery and rebuilding. post AND Where catches of a main secondary species outside of biological limits are considerable, there is either evidence of recovery or a, demonstrably effective strategy in place between those MSC UoAs that have considerable catches of the species, to ensure that they collectively do not hinder recovery and rebuilding. Met? RBF RBF RBF

Rationale

The only ‘main’ secondary species identified for this assessment are birds and one seal species. At this ACDR stage, these are identified as the northern fulmar, potentially the horned puffin (Fratercula corniculate), tufted puffin (Lunda cirrhata) and an unidentified gull species, and the Okhotsk ringed seal (Section 7.4.3).

Horned, tufted puffin and gull: Without more detail on the exact species concerned (noting that the possibility of an error in translation cannot be excluded – the puffin interactions could also concern species of the genus Puffinus, i.e. shearwaters), it is likely the Risk-Based Framework would be triggered for this PI. Scoring could therefore not be completed.

Northern fulmar: This species is found breeding throughout the north Atlantic and north Pacific, ranging from Japan and the United Kingdom in the south, to the high Arctic in the north. Northern populations are migratory, travelling south as the sea freezes over. The global population is estimated at ca. 7,000,000 pairs or 20,000,000 individuals. In Russia the population is estimated at ca. 100,000-1 million breeding pairs and >ca. 10,000 individuals on migration. The species is listed as Least Concern on the IUCN Red List with an increasing population trend (BirdLife_International (2018) and references therein); however, no biologically based limits have been identified and this species will likely be assessed with the RBF. Scoring could therefore not be completed.

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Okhotsk ringed seal: Because the population trend is unknown (Lowry, 2016) and no biologically-based limits have been defined, this species will likely be assessed with the RBF. Scoring could therefore not be completed.

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

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

Rationale

The following evidence indicates SG 100 is not met: There is a long list of minor secondary species (Table 12), not all of which have been assessed against biologically based limits. The risk-based framework was not applied to minor species. This caps the score of this PI at 80.

References

UoA TINRO observer reports for 2020 (Table 12, Table 14); UoA logbook data 2016-2020 (Table 9); Japp and Payne (2020), O’Boyle et al. (2013), Payne et al. (2018); Payne and Japp (2019); BirdLife_International (2018); Lowry (2016) Draft scoring range Scoring not completed – RBF needed More information needed - on bird species identified in the TINRO observer reports for the SOO mid-water trawl pollock fishery and the UoA specifically.

Report - Artyukhin, Yu. B. 2020. Report of research Information gap indicator works on mid-water trawl pollock fishery impacts on seabirds in the Sea of Okhotsk in the winter-spring period of 2020. Kamchatka Branch of the Pacific Geography Institute, Far Eastern Branch of the Russian Academy of Sciences, Petropavlovsk-Kamchatsky.

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

Overall Performance Indicator score

Condition number (if relevant)

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

Rationale

Main species - seabirds and marine mammals:

The following evidence indicates SG 60 and SG 80 are met: To meet conditions raised in the first MSC assessment (O’Boyle et al., 2013), research was commissioned by the PCA to identify potential interactions between the pollock mid-water trawl fishery and all cetaceans and seabirds. The studies complemented what was already known about the interactions between the fishery and marine mammals and seabirds, quantified the interactions and reported any mortalities (Payne et al., 2018). Observer protocols were amended and all interactions with seabirds and marine mammals are now routinely reported on by TINRO observers, and the overall impact of the SOO mid-water trawl pollock fishery on the status of the populations concerned is assessed. While the fishery impact level on seabird and marine mammal populations is considered minimal, the ongoing monitoring is a key element of the strategy to manage fishery impacts on these species. Other measures include explicit fishery closure areas designed to protect sea mammals and their primary forage habitats, as set out in the Fishing Rules for Russia’s Far Eastern Basin. There are also area-specific measures in place for the protection of rookeries and seabird breeding sites. The fishery is, however, largely removed from these areas, including seabird and/or pinniped colonies on the Kuril Islands, Kamchatka Peninsula, the Tuleniy Islands and northern Sea of Okhotsk rookeries at Iony Islands. Populations of seabirds and pinnipeds are subjected to regular census, such as at Yamskiye, which has shown stability in populations. This is to be discussed at the site visit. These measures together make up a partial strategy so that SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because none of these measures have been designed to manage the impact on those species specifically (which is the requirement for a strategy5).

Minor species:

5 See Table SA8, MSC Fisheries Standard v2.01 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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The following evidence indicates SG 100 is not met: Minor species are scored at SG 100 only; SG 60 and S80 are therefore met by default. There is a long list of minor species, not all of which are managed. Using the all or nothing approach6, SG 100 is not met.

Management strategy evaluation The measures are considered There is some objective Testing supports high likely to work, based on basis for confidence that the confidence that the partial Guide plausible argument (e.g. measures/partial strategy will strategy/strategy will work, b post 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. Seabirds and marine Seabirds and marine Seabirds and marine mammals – Yes mammals – Yes Met? mammals – No Minor species – Yes Minor species – Yes Minor species – No (default) (default) Rationale

Main species - seabirds and marine mammals:

The following evidence indicates SG 60 and SG 80 are met: For all species considered here (see 2.2.1a), the interaction levels recorded for the entire PCA fleet over the last 5 years (which includes UoA data), as well as for the UoA fleet specifically (2020 only), were low. On all occasions, the TINRO observer reports concluded that the SOO pollock mid-water trawl fishery as a whole does not significantly impact upon or hinder rebuilding of the seabird and marine mammal species concerned. Observer coverage for the PCA and UoA fleets have been increasing steadily since 2016, as is evident from Table 10 and Table 11. Observer coverage in 2020 for the PCA fleet was 15.12% (by fishing operations), with 6 trips observed for the FSA fleet alone. This provides some objective basis for confidence that the partial strategy will work, and SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because there has been no formal testing for any of the species assessed.

Minor species:

The following evidence indicates SG 100 is not met: Minor species are scored at SG 100 only; SG 60 and S80 are therefore met by default. There is a long list of minor species, not all of which are managed or where the impact of the UoA on those species has been tested. Using the all or nothing approach, SG 100 is not met.

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

6 https://mscportal.force.com/interpret/s/article/Minor-species-and-scoring-element-approach-at-SG 100-7-10-7-1527586956233 Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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Rationale

Main species - seabirds and marine mammals:

The following evidence indicates SG 80 is met: The increasing observer coverage (see scoring issue b) provides some evidence that the partial strategy, which consists of monitoring as well as spatial closures (scoring issue a), is being implemented successfully. SG 80 is met.

The following evidence indicates SG 100 is not met: While observer coverage for the PCA fleet was 15.12% (by fishing operations), it is not yet clear how that translates for the FSA fleet specifically. Clear evidence is therefore lacking. SG 100 is not met.

Minor species:

Shark finning

Rationale

None of the secondary species are sharks – see Table 12. This scoring issue is not applicable.

Review of alternative measures to minimise mortality of unwanted catch There is a review of the There is a regular review of There is a biennial review of potential effectiveness and the potential effectiveness the potential effectiveness practicality of alternative and practicality of alternative and practicality of alternative Guide measures to minimise UoA- measures to minimise UoA- measures to minimise UoA- e post 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. Seabirds and marine Seabirds and marine Seabirds and marine mammals – Yes mammals – Yes Met? mammals – Yes Minor species – Yes Minor species – Yes Minor species – No (default) (default) Rationale

Main species - seabirds and marine mammals:

The following evidence indicates SG 60 and 80 are met: During the first certification of the PCA fishery (O’Boyle et al., 2013), the observer reporting protocol was not considered to allow for listing bird mortality or observations on seabirds and other species such as seals. Because birds rarely get caught into the net and lifted to deck and mortalities may therefore go unobserved, observer protocols had to be adapted to obtain an accurate estimate of interaction rates. Certification conditions were raised accordingly. The PCA commissioned significant amounts of work to support the Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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work undertaken to meet these conditions and new observer sampling protocols were introduced during the 2014/15 season as a result (Payne et al., 2018). All observers now report on the encounter and mortality rates of bird and marine mammal species in the SOO pollock trawl fishery and provide detailed information on this in the observer reports (including on the nature of the interaction and what aspect of the gear was involved). To date, all observer reports (completed by independent TINRO scientists) conclude that the fishery does not have a detrimental impact on the populations of the marine mammal and seabird species considered. No mitigation measures were therefore recommended. Note that the UoA fishery is also gradually modernising its fleet with vessels that completely reuse any processing waste (Section 7.2.1). The absence of waste being discarded from the vessels will further reduce the risk of interactions taking place (to be discussed further at the site visit). The team concludes therefore that there is a regular review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of unwanted catch of the identified bird and marine mammal species and they are implemented as appropriate. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: Given that a review of fishery impacts on seabird and marine mammal species is included in each observer report issued after each observed trip, it can be concluded that this review is biennial and that SG 100 is also met.

Minor species:

The following evidence indicates SG 100 is not met: Minor species are scored at SG 100 only; SG 60 and S80 are therefore met by default. There is a long list of minor species, the majority of which are discarded (see Table 12). In the absence of a review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of unwanted catch for all these species, SG 100 is not met.

References

UoA TINRO observer reports for 2020 (Table 12 and Table 14); TINRO translated summary of SOO pollock mid-water trawl fishery observer data 2016-2020; UoA logbook data 2016-2020 (Table 9); Japp and Payne (2020), O’Boyle et al. (2013), Payne et al. (2018) and Payne and Japp (2019)

Draft scoring range ≥80 Information sufficient to score PI; however Information gap indicator information in rationale to be verified at site visit.

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

Overall Performance Indicator score

Condition number (if relevant)

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

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

Rationale

Information adequacy for assessment of impacts on minor secondary species Some quantitative information b Guide is adequate to estimate the impact of the UoA on minor post secondary species with respect to status. Met? No

Rationale

The following evidence indicates SG 100 is not met: There is a long list of minor species, not all of which have been assessed against biologically based limits. Using the all or nothing approach, SG 100 is not met.

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

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strategy is achieving its objective. Seabirds and marine Seabirds and marine Seabirds and marine mammals – Yes mammals – Yes Met? mammals – No Minor species – Yes Minor species – Yes Minor species – No (default) (default) Rationale

Main species - seabirds and marine mammals:

The following evidence indicates SG 60 and 80 are met: While the fishery impact on seabird and marine mammal populations is considered minimal based on TINRO observer data, the ongoing monitoring by independent scientific observers aboard SOO mid-water trawl pollock vessels (including those in the UoA) makes up a key element of the partial strategy to manage fishery impacts on these species. Populations of seabirds and pinnipeds are also subjected to regular census, such as at Yamskiye, which has shown stability in populations. This is to be discussed at the site visit. On that basis, information is adequate to support a partial strategy to manage the main secondary species and SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: In the absence of a full strategy (see 2.2.2a), SG 100 is not met.

Minor species:

The following evidence indicates SG 100 is not met: Minor species are scored at SG 100 only; SG 60 and S80 are therefore met by default. There is a long list of minor species, not all of which have known stock status or are managed. Using the all or nothing approach, SG 100 is not met.

References

Draft scoring range Scoring not completed – RBF needed More information needed on bird species identified in the TINRO observer reports for the SOO mid- water trawl pollock fishery and the UoA specifically.

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

Overall Performance Indicator score

Condition number (if relevant)

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

Rationale

None of the ETP species identified at this ACDR stage (Section 7.4.3) have limits. This scoring issue is therefore not relevant.

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

At this ACDR stage, only one ETP scoring element has been identified: the Steller sea lion (see discussion in Section 7.4.3). It should be noted, however, that not all seabirds were identified to species level in the TINRO observer data and that some errors in translation may have occurred – this is also discussed in Section 7.4.3. For this reason, the RBF is triggered on a precautionary basis in the event ETP bird species are identified prior to or during the site visit. Full scoring for this PI could therefore not be completed. The RBF is, however, not required for the Steller sea lion, the rationale for which is shown below.

Steller sea lion:

The following evidence indicates SG 60 and 80 are met: Despite continued declines in the western Aleutian Islands, overall abundance of the Steller sea lion has increased in both the USA (1.8% per year) and in Russia since the early 1990s (86% total increase between early 1990s to 2013/2015). Total abundance of the Western population is estimated to be approximately 79,929 in 2015 with 55,791 in the USA and 24,138 in Russia (Gelatt and Sweeney, 2016). In Russia, Steller sea lions are found in the western Bering Sea, on the Commander Islands, along the east coast of Kamchatka, along the Kuril Islands, on Sakhalin Island, and around the Sea of Okhotsk. Recent genetic evidence together with branded animal resighting patterns indicate that the Kamchatka, Kuril, Sakhalin, and Sea of Okhotsk populations constitute a separate Asian stock, and the Commander Islands population aligns with the western stock. Of the roughly 16,000 Steller sea lions in Russia, about 30% belong to the northern Sea of Okhotsk population, which has increased steadily from about 2,000 animals in the 1960s to almost 5,000 in 2005 (Figure 18). This population reproduces primarily

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on 2 major rookeries, Iony Island in the northwestern Sea of Okhotsk (pup production 1,000) and Yamsky Islands in the northeast (about 480 pups) (see Burkanov et al. (2011) and references therein). In the SOO mid-water trawl pollock fishery, only 4 Steller sea lions were observed captured (one of which was released alive) over a five-year period (2016- 2020), with zero encounters recorded for three out of those 5 years. Observer coverage for the PCA and UoA fleets has been increasing steadily since 2016, as is evident from Table 10 and Table 11. Observer coverage in 2020 for the PCA fleet was 15.12% (by fishing operations), with 6 trips observed for the FSA fleet alone. Given the stable and increasing trends in Russian Steller sea lion populations (Burkanov et al., 2011; Gelatt and Sweeney, 2016), it can be concluded that the direct effects of the UoA are highly likely to not hinder recovery of the Steller sea lion. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because the population estimates are not up to date and observer coverage (by fishing operations) is not sufficiently comprehensive to provide a high degree of confidence.

Figure 18. Population estimates and trends of Steller sea lions in Russian waters (all ages and sexes) in 3 regions: the Kuril Islands; Commander Islands and the Sea of Okhotsk. Data prior to 2000 are based on reconstructed decadal abundance estimates. Data since 2000 are based on survey results. From Burkanov et al. (2011) and references therein.

Indirect effects Indirect effects have been There is a high degree of Guide considered for the UoA and confidence that there are no c are thought to be highly significant detrimental post likely to not create indirect effects of the UoA unacceptable impacts. on ETP species. ETP Seabirds – RBF ETP Seabirds – RBF Met? Steller sea lion – Yes Steller sea lion – No Rationale

The RBF is triggered on a precautionary basis in the event ETP bird species are identified prior to or during the site visit. Full scoring for this PI could therefore not be completed.

Steller sea lion:

The following evidence indicates SG 80 is met: Indirect effects would include disturbance of sea lions at haul-out areas and rookeries from fishing operations, as well as reduced prey availability (in this case, pollock). With regards to

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disturbance, the Fishing Rules for Russia’s Far Eastern Basin define explicit fishery closure areas designed to protect sea mammals and their primary forage habitats. In the SOO, Steller sea lions are protected in the Kuril and Magadan reserves, where there are both rookeries and haul-out areas. Trawling is prohibited within 30 nautical miles of these sites (to be verified during the site visit). As for reduced food availability, Kuzin (2016) (cited in Payne et al. (2018)) concluded that trophic effects on marine mammals (such as Steller sea lions), including changes in population structure, cannot be explained by the introduction of the pollock fishery as the main changes to the population took place prior to the fishery starting. A recent modelling exercise by Kulik et al. (2017) (cited in Payne et al. (2018)) also concluded that there is no link between overfishing at high trophic levels and expected (normal) community structure. Although the team requests to see these source references prior to or during the site visit, this, combined with the fact that Russian Steller sea lion populations are stable or increasing (scoring issue b), suggests that indirect effects by the UoA are highly likely to not hinder recovery of the populations concerned. SG 80 is met.

The following evidence indicates SG 100 is not met: As stated by Payne et al. (2018), the modelling studies undertaken are ongoing and subject to further investigation and review. Although they suggest that indirect effects are highly unlikely, it cannot be said there is a high degree of confidence in the modelling conclusion of no significant indirect detrimental effects. SG 100 is therefore not met.

References

Burkanov et al. (2011), Gelatt and Sweeney (2016), Loughlin and Gelatt (2018), Payne et al. (2018), UoA TINRO observer reports for 2020 (Table 12 and Table 14), TINRO translated summary of SOO pollock mid-water trawl fishery observer data 2016-2020 Draft scoring range RBF More information needed - on bird species identified in the TINRO observer reports for the SOO mid-water trawl pollock fishery and the UoA specifically.

Requested literature: Kuzin, A. E. 2016. Marine mammals of the Sea of Okhotsk and Kuril Islands (abundance and trophic connections). TINRO, Information gap indicator Vladivostok.

Kulik, V. V. and Gerasimov, N. N. 2017. A selection and analysis of materials on year-to-year biomass variability and spatial distribution of non-target fish and cephalopod mollusc species in the Sea of Okhotsk. TINRO, Vladivostok. 37 pp.

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

Overall Performance Indicator score

Condition number (if relevant)

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

Scoring Issue SG 60 SG 80 SG 100 Management strategy in place (national and international requirements) There are measures in place There is a strategy in place There is a comprehensive that minimise the UoA-related for managing the UoA’s strategy in place for mortality of ETP species, and impact on ETP species, managing the UoA’s impact a Guide are expected to be highly including measures to on ETP species, including likely to achieve national and minimise mortality, which is measures to minimise post international requirements for designed to be highly likely mortality, which is designed to the protection of ETP species. to achieve national and achieve above national and international requirements for international requirements for the protection of ETP species. the protection of ETP species. Met? Steller sea lion – Yes Steller sea lion – Yes Steller sea lion – No

Rationale

In Russia, rare and endangered animal species are protected in accordance with Federal Law No. 52 “On Fauna” and are listed in the Red Book of the Russian Federation (http://redbookrf.ru/) at federal level, as well as in regional Red Books, such as that for Kamchatka Krai, Sakhalin Oblast and Magadan Oblast. Six categories of rarity of species are accepted in these Red Books: 0 – probably extinct; 1 – endangered; 2 – declining in number; 3 – rare; 4 – uncertain in status, 5 – restored and recovering. In addition to national legislation, Russia is a signatory to internationally binding agreements such as the Convention on International Trade of Endangered Species (CITES) and the Agreement on the Conservation of Albatrosses and Petrels (ACAP).

Steller sea lion:

The following evidence indicates SG 60 and SG 80 are met:

As a Red Book of Russia Category 2 species, Steller sea lions are protected (no take allowed) in all regions of Russia where they live. The Fishing Rules for Russia’s Far Eastern Basin further define explicit fishery closure areas designed to protect sea mammals and their primary forage habitats. In the SOO, Steller sea lions are protected in the Kuril and Magadan reserves, where there are both rookeries and haul-out areas, and trawling is prohibited within 30 nautical miles of these sites (to be verified during the site visit). To meet conditions raised in the first MSC assessment (O’Boyle et al., 2013), research was commissioned by the PCA to identify potential interactions between the pollock mid-water trawl fishery and all cetaceans and seabirds, including Steller sea lions. The studies complemented what was already known about the interactions between the fishery and marine mammals and seabirds, quantified the interactions and reported any mortalities (Payne et al., 2018). Observer protocols were amended and all interactions with seabirds and marine mammals are now routinely reported on by TINRO observers, and the overall impact of the SOO mid-water trawl pollock fishery on the status of the populations concerned is assessed. While the fishery impact level on seabird and marine mammal populations is considered minimal, the ongoing monitoring is a key element of the strategy to manage fishery impacts on these species. Together with monitoring of Steller sea lion populations (e.g. see Burkanov et al. (2011) and references therein) (to be discussed at the site visit), these elements together make up a strategy for managing the UoA’s impact on Steller sea lions which is designed to be highly likely to achieve the national requirements for the protection of this species. SG 60 and SG 80 are met.

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The following evidence indicates SG 100 is not met: SG 100 is not met because this is not a comprehensive strategy (I.e. a complete and tested strategy made up of linked monitoring, analyses, and management measures and responses).

This rationale may be amended if additional ETP species are identified prior to or during the site visit.

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

Rationale

Scoring issue need not be scored if requirements for protection or rebuilding are provided through national ETP legislation or international agreements. Not relevant.

Management strategy evaluation The measures are There is an objective basis The strategy/comprehensive considered likely to work, for confidence that the strategy is mainly based on based on plausible measures/strategy will work, information directly about the c Guide argument (e.g.,general based on information directly fishery and/or species post experience, theory or about the fishery and/or the involved, and a quantitative comparison with similar species involved. analysis supports high fisheries/species). confidence that the strategy will work. Met? Steller sea lion – Yes Steller sea lion – Yes Steller sea lion – No

Rationale

Steller sea lion:

The following evidence indicates SG 60 and SG 80 are met: The Steller sea lion interaction levels recorded for the entire PCA fleet over the last 5 years (which includes UoA data), as well as for the UoA fleet specifically (2020 only), were low, as discussed under 2.3.1b. On all occasions, the TINRO observer reports concluded that the SOO pollock mid-water trawl fishery as a whole does not significantly impact upon or hinder rebuilding of the seabird and marine mammal species concerned. Observer coverage for the PCA and UoA fleets has been increasing steadily since 2016, as is evident from Table 10 and Table 11. Observer coverage in 2020 for the PCA fleet was 15.12% (by fishing operations), with 6 trips observed for the FSA fleet alone. This provides some objective basis for confidence that the strategy for Steller sea lions will work and SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because there has been no quantitative analysis, and observer coverage is not sufficiently comprehensive to support a high degree of confidence.

This rationale may be amended if additional ETP species are identified prior to or during the site visit.

Management strategy implementation d Guide There is some evidence that There is clear evidence that the measures/strategy is the strategy/comprehensive post strategy is being implemented

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being implemented successfully and is achieving successfully. its objective as set out in scoring issue (a) or (b). Met? Steller sea lion – Yes Steller sea lion – No

Rationale

Steller sea lion:

The following evidence indicates SG 80 is met: The increasing observer coverage (see Table 10) provides some evidence that the strategy, which consists of a prohibition to target Steller sea lions, monitoring of fishery impacts and Steller sea lion populations, as well as spatial closures (scoring issue a), is being implemented successfully. SG 80 is met.

This rationale may be amended if additional ETP species are identified prior to or during the site visit.

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

Rationale

Steller sea lion:

The following evidence indicates SG 60 and SG 80 are met: During the first certification of the PCA fishery (O’Boyle et al., 2013), the observer reporting protocol was not considered to allow for accurate monitoring of encounters with species such as Steller sea lions, and observer protocols had to be adapted accordingly. Following research commissioned by the PCA (which up until 2020 also included the UoA fleet), new observer sampling protocols were introduced during the 2014/15 season. All observers now report on the encounter and mortality rates of Steller sea lions in the SOO pollock trawl fishery and provide detailed information on this in the observer reports (including on the nature of the interaction and what aspect of the gear was involved). To date, all observer reports (completed by independent TINRO scientists) conclude that the fishery does not have a detrimental impact on the populations of the marine mammal and seabird species considered, including Steller sea lions. No mitigation measures have therefore been recommended to date. The Observer Working Group (attended by TINRO, KamchatNIRO, SakhNIRO, WWF Russia as well as PCA (which at the time included the FSA) most recently convened in November 2019 and seeks to make further improvements to deployment strategy in order to render observer coverage even more effective in terms of observed operations, sampling, ETP monitoring, etc. (Japp and Payne, 2020) (to be discussed at the site visit). The team concludes therefore that there is a regular review of the potential effectiveness and practicality of alternative measures to minimise UoA-related mortality of ETP species and they are implemented as appropriate. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: Given that a review of fishery impacts on ETP species is included in each observer report issued after each observed trip, it can be concluded that this review is biennial and that SG 100 is also met. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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This rationale may be amended if additional ETP species are identified prior to or during the site visit.

References

Red Book of the Russian Federation (http://redbookrf.ru/), Burkanov et al. (2011), Japp and Payne (2020), O’Boyle et al. (2013) and Payne et al. (2018) Draft scoring range ≥80 Information sufficient to score PI, subject to verification at site visit. Rationale may be amended Information gap indicator if additional ETP species are identified prior to or during the site visit.

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

Overall Performance Indicator score

Condition number (if relevant)

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Relevant information is collected to support the management of UoA impacts on ETP species, including: PI 2.3.3 - Information for the development of the management strategy; - Information to assess the effectiveness of the management strategy; and - Information to determine the outcome status of ETP species Scoring Issue SG 60 SG 80 SG 100 Information adequacy for assessment of impacts Qualitative information is Some quantitative information Quantitative information is adequate to estimate the is adequate to assess the available to assess with a UoA related mortality on ETP UoA related mortality and high degree of certainty the species. impact and to determine magnitude of UoA-related whether the UoA may be a impacts, mortalities and OR threat to protection and injuries and the recovery of the ETP species. consequences for the a Guide If RBF is used to score PI status of ETP species. 2.3.1 for the UoA: OR post Qualitative information is adequate to estimate If RBF is used to score PI productivity and 2.3.1 for the UoA: susceptibility attributes for Some quantitative information ETP species. is adequate to assess productivity and susceptibility attributes for ETP species. Steller sea lion – Yes Steller sea lion – Yes Steller sea lion – No Met? ETP Seabirds – RBF ETP Seabirds – RBF ETP Seabirds – RBF Rationale

The RBF is triggered on a precautionary basis in the event ETP bird species are identified prior to or during the site visit. Full scoring for this PI could therefore not be completed.

Steller sea lion:

The following evidence indicates SG 60 and SG 80 are met: ETP species interactions in the fishery are identified through observer data collected by independent TINRO scientist deployed aboard SOO pollock mid-water trawl vessels. The observer programme aims to collect scientific data to underpin the stock information used in formal assessments and to contribute data on ecosystem impacts, including on seabird and marine mammal interactions. Monitoring effort is directed systematically at mid-water trawl operations in season A, which runs from January to April in the Kamchatka- Kuril (61.05.4), Western Kamchatka (61.05.2) and northern Sea of Okhotsk (61.05.1) subzones, when the bulk of the TAC is taken. Observer deployments are undertaken collaboratively between the various research organisations, primarily and overseen by TINRO (Payne et al., 2018). Comprehensive and detailed observer reports are prepared by each observer after each trip and were provided to the team for four trips completed in 2020. Observer coverage in the Russian SOO pollock fleet has been increasing steadily since 2016, as is evident from Table 10 and Table 11. Observer coverage in 2020 for the PCA fleet was 15.12% (by fishing operations). Note that the FSA fleet was part of this fleet up until the second half of 2020 and observer deployments aboard its vessels were funded and managed through the larger PCA programme. In 2020, 6 trips were observed for the FSA fleet alone. For the assessment of the FSA fishery, the team considered the observer data obtained through the PCA-funded programme up until 2020 and supplemented this with the UoA-specific observer data provided for 2020. Quantitative data on seabird and marine mammal interactions were extracted and are presented in Table 14.

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For the Steller sea lion, these quantitative data on UoA mortality combined with population level data (e.g. Burkanov et al. (2011)) mean that some quantitative information is adequate to assess the UoA related mortality and impact and to determine whether the UoA may be a threat to protection and recovery of this ETP species. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because observer coverage is not sufficiently comprehensive to support a high degree of certainty.

Information adequacy for management strategy Information is adequate to Information is adequate to Information is adequate to support measures to measure trends and support support a comprehensive manage the impacts on ETP a strategy to manage strategy to manage impacts, b Guide species. impacts on ETP species. minimise mortality and injury post of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives. Met? Steller sea lion – Yes Steller sea lion – Yes Steller sea lion – No

Rationale

Steller sea lion:

The following evidence indicates SG 60 and SG 80 are met: While the fishery impact on this species is considered minimal based on TINRO observer data, the ongoing monitoring by independent scientific observers aboard SOO mid- water trawl pollock vessels (including those in the UoA) makes up a key element of the strategy to manage fishery impacts. Steller sea lion survey data indicate populations of species are stable or increasing in the UoA area (see 2.3.1b). On that basis, Information is adequate to measure trends and support a strategy to manage impacts on the Steller sea lion. SG 60 and S80 are met.

The following evidence indicates SG 100 is not met: SG 100 is not met because observer coverage is not sufficiently comprehensive to evaluate fishery impacts with a high degree of certainty.

This rationale may be amended if additional ETP species are identified prior to or during the site visit.

References

Artyukhin (2015), Blokhin (2019), Burkanov et al. (2011) and Payne et al. (2018) Draft scoring range RBF More information needed on bird species identified in the TINRO observer reports for the SOO mid-water Information gap indicator trawl pollock fishery and the UoA specifically.

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

Overall Performance Indicator score

Condition number (if relevant)

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

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

Rationale

The following evidence indicates SG 60, SG 80 and SG 100 are met: As explained in Section 7.4.4, the fishing gear used by the UoA is a mid-water trawl (see technical description in Section 7.2.1) which, according to TINRO observer reports, operates at 3 to 10m above the seabed. On that basis, the commonly encountered habitat is identified as the water column, the gear impact on which is considered negligible. SG 60 and SG 80 are met.

Although the gear is strictly speaking pelagic, some contact with the seabed may occur. The team assumes this to be a rare event, although this should be discussed further at the site visit, particularly as the bycatch species profile shown in Table 12 includes numerous benthic and epibenthic species such as lumpsuckers, eelpouts and sculpins. At this ACDR stage, any of benthic habitats that the gear may accidentally contact during fishing operations or due to gear loss were assessed as ‘minor’ habitats.

VME habitat status The UoA is unlikely to The UoA is highly unlikely There is evidence that the reduce structure and function to reduce structure and UoA is highly unlikely to b Guide of the VME habitats to a point function of the VME habitats reduce structure and function post where there would be serious to a point where there would of the VME habitats to a point or irreversible harm. be serious or irreversible where there would be serious harm. or irreversible harm. Met? N/a N/a N/a

Rationale

According to MSC Standard v2.01 (SA3.13.3.2), the term “VME” also includes “potential VME” to cover situations when a governance body uses a precautionary approach (e.g. where there is doubt over whether or not a habitat is a VME) and when a habitat is being treated as a potential VME. However, the MSC interpretation “Identification of VMEs” responded to the question “Who identifies a VME within an assessment?” by stating “The CAB shall consider those VMEs and potential VMEs (as defined by the FAO Guidelines; see GSA3.13.3.2) that have been accepted, defined or identified as such by a local, regional, national, or international management authority/governance body.” It is noted in this assessment background information that there is literature available that suggests Russian scientists acknowledge the potential for VMEs in Russian waters, including the NPFC outside and adjacent to the Bering Sea. In

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a paper by Spiridonov et al. (2018), for example, attention is drawn to the need to have formal recognition of VMEs in Russia. The concept of VMEs and potential VMEs (as defined by the FAO Guidelines; see GSA3.13.3.2) has not been accepted, defined or identified in the region under assessment by the Russian fishery management authority (Spiridonov et al. 2018). Although there is a database of VMEs (FAO) that applies to VME restrictions in RFMOs, they do not apply to Russian waters. In Russian Far East waters, there are extensive areas with restrictions or prohibition of bottom trawling, for general habitat and species conservation purposes (these do not all apply to midwater trawling). The UoC uses a midwater pelagic trawl that is highly unlikely to interact with the bottom and therefore VMEs are not scored (MSC interpretation ‘Identification of VMEs’ 2).

As per the discussion in Section 7.4.4, no VMEs have been designated in Russian Far East waters which meet the FAO Guidelines and MSC requirements. This scoring issue is not applicable but will be verified during the site visit.

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

Met? No

Rationale

The following evidence indicates SG 100 is not met: Minor habitats include bivalve, echinoderm, polychaete, and sponge communities the distributions of which are known for key areas in the SOO, including the shelves off eastern Sakhalin, western Kamchatka and Shelikhov Bay (see PI 2.4.3). Contact with these habitats would be accidental as the gear is not designed to interact with the seabed. However, the bycatch species profile shown in Table 12 includes numerous benthic and epibenthic species such as lumpsuckers, eelpouts and sculpins (albeit in small quantities) which suggests some contact may occur. Other contact may occur through gear loss, although this is also likely an infrequent occurrence, given the size and cost of the trawls; however, this needs to be discussed further at the site visit. At this ACDR stage, this scoring issue is scored as provisionally not met.

References

UoA TINRO observer reports for 2020 (Table 12); Nadtochy et al. (2007) and Radchenko et al. (2010) Draft scoring range ≥80 More information sought on gear deployment and Information gap indicator likelihood of bottom contact during fishing or following gear loss.

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

Overall Performance Indicator score

Condition number (if relevant)

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There is a strategy in place that is designed to ensure the UoA and associated PI 2.4.2 enhancement activities do not pose a risk of serious or irreversible harm to the habitats

Scoring Issue SG 60 SG 80 SG 100

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: Given that the gear has a negligible impact on the commonly encountered habitat (the water column, see 2.4.1a), no partial strategy is considered required and SG 60 and SG 80 are met by default. No VMEs have further been identified for this assessment. To limit impacts on minor habitats, bottom trawling in the SOO has been banned (add ref to regulation) and spatial restrictions are in place for the mid-water trawl fishery which prohibit trawling within 30 miles offshore and 5–12 miles from islands. The team concludes that this constitutes a partial strategy, expected to achieve the Habitat Outcome 80 level of performance or above. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The degree to which the pelagic trawl may interact with the seabed is not clearly known and at this ACDR stage, a gear loss management strategy for the UoA has not been seen by the team. A full strategy is therefore not considered in place at the UoA level. SG 100 is not met.

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: The make-up of the gear, the negligible impact on the commonly encountered habitat (the water column) and the fact that any benthic invertebrates that come up in the trawl would likely be recorded by independent observers, all provide an objective basis for confidence that the partial strategy will work. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The partial strategy has not been tested, in particular as it relates to occasional contact of the trawl with the seabed, either during fishing or following gear loss. SG 100 is not met. c Management strategy implementation

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

Rationale

The following evidence indicates SG 80 is met: The increasing observer coverage (see Table 10) for the PCA fleet, which until 2020 included the UoA fleet, the ongoing observer coverage for the UoA fleet (discussed in Section 7.2.3), and the lack of systematic non-compliance with gear use or spatial restrictions (PI 3.2.3) provide some quantitative evidence that the partial strategy is being implemented successfully. SG 80 is met.

Compliance with management requirements and other MSC UoAs’/non-MSC fisheries’ measures to protect VMEs There is qualitative There is some quantitative There is clear quantitative evidence that evidence that the UoA and evidence that d the UoA complies with its associated enhancement the UoA and associated management requirements to activities comply with both its enhancement activities comply Guide protect VMEs. management requirements and with both its management post with protection measures requirements and with protection afforded to VMEs by other measures afforded to VMEs by MSC UoAs/non-MSC fisheries, other MSC UoAs/non- where relevant. MSC fisheries, where relevant. Met? N/a N/a N/a

Rationale

No VMEs have been identified (Section 7.4.4). This scoring issue is not relevant.

References

UoA TINRO observer reports for 2020 (Table 12); Nadtochy et al. (2007) and Radchenko et al. (2010)

Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Overall Performance Indicator score

Condition number (if relevant)

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

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: The Sea of Okhotsk shelf zone is extraordinarily productive, especially off the western Kamchatka Peninsula coast. Areas with the highest biomass, are observed on the northern shelf, off the eastern and southern Sakhalin coast, and in the Shelikhov Bay. The minimum biomass has been recorded in the central parts of the northern shelf and in the south of the Sakhalinsky Bay (Zhang et al., 2004). The history of zoobenthos research of the Sea of Okhotsk started in the 1960s and continued through the 1980s when benthic biomass was estimated using a demersal trawl. After a hiatus, macrobenthos surveys recommenced in the SOO in 2001-2002 (Dulepova and Radchenko, n.d.) when largescale surveys were conducted by TINRO over the eastern Sakhalin, western Kamchatka and Shelikhov Bay shelves (e.g. Nadtochy and Budnikova (2004) and Figure 19).

Figure 19. Distribution of macrobenthos along the eastern Sakhalin shelf. From Nadtochy and Budnikova (2004)

Results of benthos surveys on the shelves of eastern Sakhalin, western Kamchatka and Shelikhov Bay in 2002 and 2004 were compared with previous ones conducted in the 1970-80s. In the 25 years between survey periods, the average biomass of benthos increased by ca. 24% on the shelf of eastern Sakhalin. The basic taxonomic groups

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remained similar, consisting of flat sea urchins, bivalves, polychaetes, and amphipods. On the shelf of western Kamchatka the average benthic biomass increased by about 10% and was comprised of flat sea urchins, bivalves, polychaetes and holothurians. In Shelikhov Bay, the average benthic biomass also increased by about 10%, with bivalves, ophiuroids, sea urchins, cirripedias, polychaetes and sponges making up the species assemblage (Figure 20). The distribution of each of these taxonomic groups by area is shown in Nadtochy et al. (2007), with detailed discussion of community composition by sediment type provided in other works such as Belan et al. (2004).

On the whole, the macrozoobenthos community in the Sea of Okhotsk has remained at previous high levels, despite an intensive, now banned, bottom trawl fishery in western Kamchatka and eastern Sakhalin during the 1980s (Radchenko et al., 2010).

Given that the commonly encountered habitat is the water column, with the pelagic gear only in occasional contact with the seabed (either accidentally or following gear loss), the nature, distribution and vulnerability of the main habitats are known at a level of detail relevant to the scale and intensity of the UoA. SG 60 and SG 80 are met.

Figure 20. Distribution of total macrobenthos biomass (gm-2) along the shelves of Eastern Sakhalin (top left), western Kamchatka (top right) and Shelikhov Bay (bottom) in 2002 and 2004 and comparison with 1970-80s survey data. Distribution by taxonomic group for each area is shown in Nadtochy et al. (2007). From Radchenko et al. (2010). The following evidence indicates SG 100 is not met: the possibility of bottom contact with the gear cannot be excluded. Although there is an understanding of the main benthic taxonomic groups present in the UoA area, species- specific data on these minor habitats were not clearly available for all sites. At this ACDR stage, SG 100 is considered not met.

Information adequacy for assessment of impacts b Information is adequate to Information is adequate to allow The physical impacts of the gear Guide broadly understand the nature for identification of the main and enhancement activities on post of the main impacts of gear use impacts of the UoA and all habitats have been quantified and enhancement activities on enhancement activities on the fully. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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the main habitats, including main habitats, and there is spatial overlap of habitat with reliable information on the fishing gear. spatial extent of interaction and on the timing and location of OR use of the fishing gear.

If CSA is used to score PI OR 2.4.1 for the UoA: Qualitative information is If CSA is used to score PI adequate to estimate the 2.4.1 for the UoA: consequence and spatial Some quantitative information attributes of the main habitats. is available and is adequate to estimate the consequence and spatial attributes of the main habitats. Met? Yes Yes No

Rationale

The following evidence indicates SG 60 and SG 80 are met: Information on gear deployment by skippers (to be confirmed during the site visit), descriptions by observers and VMS data for all vessels, provide reliable information on the spatial extent of interaction and on the timing and location of use of the fishing gear, including on the likelihood of bottom contact with the gear which is considered to be occasional. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: Although bottom contact with the gear is considered to be occasional, this has not been fully quantified. The same is true for gear loss, which although unlikely, is not monitored (based on the information received at this ACDR stage). It can therefore not be said that the physical impacts of the gear on all habitats have been quantified fully. SG 100 is not met.

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

Rationale

The following evidence indicates SG 80 is met: The main habitat is the water column, the impact on which is considered negligible. SG 80 is met.

The following evidence indicates SG 100 is not met: Although benthic surveys are being carried out in the SOO, as explained in scoring issue, none of the information seen by the team at this ACDR stage suggests that changes in all habitat distributions over time are measured. SG 100 is not met.

References

Dulepova and Radchenko (n.d.), Nadtochy and Budnikova (2004), Zhang et al. (2004), Belan et al. (2004), Nadtochy et al. (2007) and Radchenko et al. (2010) Draft scoring range ≥80

Information gap indicator Information sufficient to score PI

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

Overall Performance Indicator score

Condition number (if relevant)

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

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

Rationale

The following evidence indicates SG 60, 80 and 100 are met: The main impact of the UoA fishery on the SOO ecosystem is through the removal of the two main species that are caught, pollock and herring. The stocks for both are considered in good condition (as discussed under PIs 1.1.1 and 2.1.1) despite an ongoing pollock fishery. Impacts on other ecosystem components such as ETP species and habitats are thought to be minimal (see discussion under components 2.3 and 2.4). The key ecosystem element under consideration here is therefore the trophic structure of the SOO and how this may be affected through the removal of pollock and herring by the UoA. Although a regime shift took place in the 1990–2000s, which saw a decline of the walleye pollock stock, and an increase in the proportion of herring in the total fish biomass, this is thought to have been a result of changes in oceanographic conditions (Zhang et al., 2004). Trophodynamics in the Sea of Okhotsk were modelled by Radchenko (2015) using Ecopath with Ecosim (EwE) software, who found that fishing in the Sea of Okhotsk does not cause destructive effects on aquatic bioresources. This in line with the conclusions of the PCA MSC assessment (Payne et al., 2018) that the pollock fishery has had little impact on the ecosystem and that SOO ecosystem processes vary primarily with large-scale climatic and oceanographic conditions (see Kim (2012), Ohshima et al. (2009) and Zhang et al. (2004)). There is therefore 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. SG 60, SG 80 and SG 100 are met.

References

Kim (2012), Ohshima et al. (2009), Payne et al. (2018), Zhang et al. (2004), KamchatNIRO (2020), Panfilov (2017) and Panfilov et al. (2017) 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)

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

Scoring Issue SG 60 SG 80 SG 100 Management strategy in place There are measures in place, There is a partial strategy in There is a strategy that if necessary which take into place, if necessary, which consists of a plan, in place account the potential takes into account available which contains measures to a Guide impacts of the UoA on key information and is expected address all main impacts of elements of the ecosystem. to restrain impacts of the the UoA on the ecosystem, post UoA on the ecosystem so as and at least some of these to achieve the Ecosystem measures are in place. Outcome 80 level of performance. Met? Yes Yes No

Rationale

The following evidence indicates SG 60 and SG 80 are met: Fishery-specific management measures for the UoA are laid out in the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources or Fishing Rules, and include the following:

1) If an incidental bycatch by a pollock-fishing vessel is large, the vessel is permitted to transfer/allocate the catch to another rights-holder with allocation for that species; 2) If bycatch is in excess of the TAC or the PC, the management authority can enforce time–area closures to mitigate further excess bycatch; 3) If bycatch exceeds 2% of the pollock catch in any one haul, the excess catch must be returned to the sea; 4) Multiple species quotas – vessels can have quotas for multiple species, eliminating the need to apply mitigation as long as the allocation to the vessel for the bycatch species is not exceeded; 5) Closed seasons applied to fishing outside of 1 January to 31 March (Kamchatka–Kuril and West Kamchatka) and 1 January to 9 April (northern SOO); 6) Pollock-directed effort is mainly mid-water trawling with nets of a minimum of 100 mm mesh, and no bottom trawling is allowed; 7) Spatial management – there is a full or partial ban in some fishing zones, with trawling not permitted <30 miles offshore and 5–12 miles from islands; 8) When bycatch exceeds 2%, there is a “move-on” rule of at least 5 miles from the areas of such high bycatch; 9) Daily vessel records (DVRs) – vessel captains must keep records of bycatch and submit the records daily.

Fishery impacts are further monitored through the TINRO-implemented observer programme which concerns all vessels involved in the SOO mid-water trawl pollock fisheries, including those in the UoA. The Observer Working Group (attended by government representatives, scientists, industry and NGOs) seeks to make further improvements to deployment strategy in order to render observer coverage even more effective in terms of observed operations, sampling, ETP monitoring, etc. (Japp and Payne, 2020). Together, these measures act to ensure that the overall impact of the pollock fishery on the SOO ecosystem is retrained and meet the MSC definition of a partial strategy (“a cohesive arrangement which may comprise one or more measures, an understanding of how it/they work to achieve an outcome and an awareness of the need to change the measures should they cease to be effective. It may not have been designed to manage the impact on that component specifically”). SG 60 and S80 are met.

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The following evidence indicates SG 100 is not met: SG 100 is not met because there is no specific SOO ecosystem- based management strategy which consists of a plan.

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

Rationale

The following evidence indicates SG 60 and SG 80 are met: The TINRO observer programme aims to collect scientific data to underpin the stock information used in formal assessments and to contribute data on ecosystem impacts, including on seabird and marine mammal interactions. Monitoring effort is directed systematically at mid-water trawl operations in season A, which runs from January to April in the Kamchatka-Kuril (61.05.4), Western Kamchatka (61.05.2) and northern Sea of Okhotsk (61.05.1) subzones, when the bulk of the TAC is taken. Observer deployments are undertaken collaboratively between the various research organisations, primarily and overseen by TINRO (Payne et al., 2018) and observer coverage in the Russian SOO pollock fleet has been increasing steadily since 2016, as is evident from Table 10 and Table 11. In addition, ongoing modelling of ecosystem elements including trophic interactions (Radchenko, 2015; Gorbatenko and Melnikov, 2019) permits the main consequences for the SOO ecosystem to be inferred. All this provides some objective basis for confidence that the partial strategy will work. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The partial strategy described in scoring issue a has not specifically been tested in relation to its effects on the SOO ecosystem, SG 100 is not met.

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

Rationale

The following evidence indicates SG 80 is met: The increasing observer coverage provides some evidence that the partial strategy, described in scoring issue a, is being implemented successfully. SG 80 is met.

References

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2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources; UoA TINRO observer reports for 2020 (Table 12); TINRO translated summary of SOO pollock mid-water trawl fishery observer data 2016-2020; 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)

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

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

Met? Yes Yes

Rationale

The following evidence indicates SG 60 and SG 80 are met:

Trawl surveys on SOO macrofauna have been conducted by TINRO over the last four decades, providing records of nekton, benthos and macroplankton (the latter includes large jellyfishes, comb jellies, pelagic tunicates, etc.) (Figure 21; Volvenko et al. (2018)). SOO ecosystem structure and trophic connections have been studied historically (e.g. see Zhang et al. (2004) and references therein, summarised in Section 7.4.5) including the 1990–2000s regime shift which saw a decline of the walleye pollock stock, and an increase in the proportion of herring in the total fish biomass as a result of changes in oceanographic conditions (Zhang et al., 2004). More recently, the trophodynamics in the Sea of Okhotsk were modelled by Radchenko (2015) and Gorbatenko and Melnikov (2019). Key drivers affecting ecosystem functioning such as climatic processes and global warming have also been investigated (e.g. see Kim (2012) and Ohshima et al. (2009)). The key elements of the ecosystem have therefore been identified and are broadly understood. SG 60 and SG 80 are met.

Figure 21. Percentage of species of different taxonomic groups in benthic (left) and pelagic (right) trawl catches from the Sea of Okhotsk (Volvenko et al., 2018)

Investigation of UoA impacts b Main impacts of the UoA on Main impacts of the UoA on Main interactions between the Guide 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 existing information, but have existing information, and existing information, and

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not been investigated in some have been have been investigated in detail. investigated in detail. detail. Met? Yes Yes No

Rationale

The following evidence indicates SG 60 and 80 are met: Applying the Ecopath with Ecosim (EwE) software to the SOO ecosystem, Radchenko (2015) found that fishing in the Sea of Okhotsk does not cause destructive effects on aquatic bioresources: “The SOO ecosystem has significant potential for fisheries, which makes it feasible to continue ecosystem studies towards developing recommendations for fishery management. At this stage, the more effective way of utilization of the resources should be considered as the main goal of fisheries and resources management in the Sea of Okhotsk. A good example of successful application of such strategy was the removal of the Gizhigin-Kamchatka herring stock from the list of species for which TAC is applied. This allowed to several-fold increase the annual catch of a previously practically unexploited resource.” (Translation by team). In 2019, a scientific publication on SOO trophodynamic modelling was published after several years of research on the subject (Gorbatenko and Melnikov, 2019). The model considers energy transfer between the major components of the SOO ecosystem, taking into consideration their rates of production and food consumption, as determined from observations on zooplankton and nekton abundance, organic carbon content, food habits of marine organisms, and their isotope composition in 2000– 2014, and will improve understanding of fishery impacts on the SOO ecosystem. Main impacts of the SOO pollock fishery on the key ecosystem elements can be inferred from past research and current studies on ecosystem structure, and some have been investigated in detail (e.g. Radchenko (2015)). SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: Ecosystem modelling efforts are ongoing and based on the information seen by the team, it is not clear that all main interactions between the fishery and ecosystem elements have been investigated in detail. SG 100 is not met.

Understanding of component functions The main functions of the The impacts of the UoA on P1 components (i.e., P1 target target species, primary, c Guide species, primary, secondary secondary and ETP species and ETP species and and Habitats are identified post Habitats) in the ecosystem and the main functions of are known. these components in the ecosystem are understood. Met? Yes No

Rationale

The following evidence indicates SG 80 is met: Ongoing research by TINRO focuses on all components of the ecosystem, including P1 target species, primary, secondary and ETP species and Habitats, as has been described in the respective Information PIs for those components. Recent modelling work by Gorbatenko and Melnikov (2019) and Radchenko (2015) has improved knowledge of the main functions of the components, particularly in relation to trophodynamics within the SOO ecosystem. The main functions of the components are therefore known. SG 80 is met.

The following evidence indicates SG 100 is not met: Ecosystem modelling efforts are ongoing and based on the information seen by the team, it is not clear that all main functions of these components in the ecosystem are understood. SG 100 is not met.

Information relevance d 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

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components to allow some of and elements to allow the the main consequences for main consequences for the the ecosystem to be inferred. ecosystem to be inferred. Met? Yes Yes

Rationale

The following evidence indicates SG 80 and SG 100 are met: The TINRO observer programme aims to collect scientific data to underpin the stock information used in formal assessments and to contribute data on ecosystem impacts, including on seabird and marine mammal interactions. Monitoring effort is directed systematically at mid-water trawl operations in season A, which runs from January to April in the Kamchatka-Kuril (61.05.4), Western Kamchatka (61.05.2) and northern Sea of Okhotsk (61.05.1) subzones, when the bulk of the TAC is taken. Observer deployments are undertaken collaboratively between the various research organisations, primarily and overseen by TINRO (Payne et al., 2018). Comprehensive and detailed observer reports are prepared by each observer after each trip and were provided to the team for four trips completed in 2020. Observer coverage in the Russian SOO pollock fleet has been increasing steadily since 2016, as is evident from Table 10 and Table 11. Observer coverage in 2020 for the PCA fleet was 15.12% (by fishing operations). Note that the FSA fleet was part of this fleet up until the second half of 2020 and observer deployments aboard its vessels were funded and managed through the larger PCA programme. In 2020, 6 trips were observed for the FSA fleet alone. The continuous collection of observer data aboard UoA vessels ensures that adequate information is available on the impacts of the UoA on these components to allow some of the main consequences for the ecosystem to be inferred. SG 80 is met. Ongoing modelling of ecosystem elements including trophic interactions (Radchenko, 2015; Gorbatenko and Melnikov, 2019) permits the main consequences for the SOO ecosystem to be inferred. SG 100 is met.

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

Rationale

The following evidence indicates SG 80 and SG 100 are met: Regular and detailed ecosystem studies are undertaken and have been ongoing for many years. They are done in conjunction with routine biomass surveys in the benthic and pelagic domains (e.g. Nadtochy and Koblikov (2005), Volvenko et al. (2018) and Zhang et al. (2004)). Key drivers affecting ecosystem functioning such as climatic processes and global warming have also been investigated (e.g. see Kim (2012) and Ohshima et al. (2009)). This, together with the TINRO observer programme for which coverage has been increasing over the last five years, means that adequate data continue to be collected to detect any increase in risk level to the SOO ecosystem and this information is adequate to develop strategies to manage fishery ecosystem impacts, as required. SG 80 and SG 100 are met.

References

Artyukhin (2015), Blokhin (2019), Gorbatenko and Melnikov (2019), Kim (2012), Nadtochy and Koblikov (2005), Nadtochy and Budnikova (2004), Ohshima et al. (2009), Radchenko (2015), Radchenko et al. (2010), Volvenko et al. (2018) and Zhang et al. (2004), UoA TINRO observer reports for 2020 (Table 12), TINRO translated summary of SOO pollock mid-water trawl fishery observer data 2016-2020 Draft scoring range ≥80

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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)

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7.5 Principle 3 7.5.1 Jurisdiction The fishery under the assessment operates entirely within the Russian Exclusive Economic Zone (EEZ). The target stock inhabits the Sea of Okhotsk and the coastal area of West Kamchatka and thus formal management is conducted at the national level. The fishery occurs in the FAO fishing area 61, in three fishery subzones – Northern (05.1), Western Kamchatka (05.02) and Kamchatka-Kuril (05.04). The central part of the Sea of Okhotsk is situated more than 200 nautical miles from any coast and thus it is not under default jurisdiction of Russia. In 1991-1992 a number of international fishing vessels were catching pollock here resulting in decline of the pollock stock and after that the fishing has been stopped (Goltz 1995). In 2013 UN Commission accepted the Russian argument on the Peanut Hole to be a part of Russia’s continental shelf (UN 2014). The fishery is not classified as a part of a straddling or a shared stock, and there is limited evidence, genetic or otherwise, of any interaction/inter-migration with the small stocks of target species outside the area of certification. There is a number of other fisheries in the Sea of Okhotsk (SOO) targeting walleye pollock with mid-water trawl and Danish seine involved in the MSC programme.

7.5.2 Legal and customary framework

International

Russia actively collaborates with other countries in the sphere of fisheries in the framework of bilateral or international agreements. The full list of international agreements is available at site of the Federal Fishery Agency (FFA) (http://www.fish.gov.ru/opendata/7702679523-perechenmd). The basic requirements of international treaties are integrated into national fishery legislation. Russia participates at many international conventions and treaties: (i) United Nations Convention on the Law of the Sea (UNCLOS 1982, establishing the concept of MSY as the basis for fisheries management); (ii) UN Convention on Biological Diversity (UNCBD 1992, covering the maintenance of biological diversity on the basis of an ecosystem approach); (iii) Code of Conduct for Responsible Fisheries of the FAO (FAO 1995, which recommends a precautionary approach to the management of commercial stocks); (iv) United Nations Fish Stocks Agreement (UNFSA 1995, applying a precautionary management approach to straddling and wide-ranging stocks); (v) Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing (FAO, 2010) (Valle-Esquivel et al., 2021).

Russia has bilateral agreements with 21 countries. In the Far Eastern region these include USA, Canada, Japan, the Republic of Korea, the Democratic People's Republic of Korea, and China. Moreover, Russia has intergovernmental agreements aimed at combating and countering IUU fishing with the Republic of Korea, the Democratic People’s Republic of Korea, Japan, China and the USA, and has product and catch verification schemes in place with the EU and China. Also, Russia has concluded a Memorandum of Understanding on fisheries cooperation with the Government of Canada with the main objective to enhance mutual actions aimed at preventing and eliminating IUU fishing. Finally, Russia participates actively in 12 international organizations involved in the study of aquatic bioresources and ecosystems; e.g. ICES (for the North Atlantic and adjacent water bodies), PICES, NPFC and NPAFC (all covering the Pacific Ocean or parts of it) (Payne et al., 2018).

National

Documents related to fisheries management in Russia are available on the FFA website (http://www.fish.gov.ru/dokumenty). The 2004 Federal Fisheries Act and Conservation of Aquatic Biological Resources Fisheries Act and its updates outline the overarching goals of the fishery. Under this Act, the focus of fisheries is the protection and rational use of aquatic biological resources. Order 104 (FFA, 2018) also states upfront that “Justification of the TACs shall be carried out in accordance with the principles of the precautionary and ecosystem approaches, the concept of maximum sustainable yield (MSY) and aimed at ensuring the sustainable development of fisheries”. Other legal acts on marine fisheries in Russia in general, and the Far East in particular, include:

• No. 52-FZ "On Fauna" dated 24 April 1995 (general considerations on fauna); • No. 191-FZ "On the Exclusive Economic Zone of the Russian Federation" dated 17 December 1998, covering the principles of sustainable use and conservation of shared resources and straddling fish species, including anadromous, catadromous, wide-ranging fish species and marine mammals;

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• No. 155-FZ "On the Internal Sea Waters, Territorial Sea and Contiguous Zone of the Russian Federation" dated 31 July 1998, Chapter 5 of which is devoted to protection and conservation of the marine environment and natural resources of internal seawaters and the territorial sea; • No. 187-FZ "On the Continental Shelf of the Russian Federation" dated 30 November 1995, Chapter 3 of which addresses the study and utilisation of marine living resources; • No. 174-FZ "On Ecological Expertise" dated 23 November 1995, which regulates the procedure for State- ensured ecological appraisal of all activities that can affect the status of the marine environment and the natural resources of the sea and internal waters, including the collection of information to support determination of allowable catches of ABRs (aquatic biological resources). • N 267, May 23, 2019, the Order of "On approval of fishing rules for the Far-Eastern fisheries basin”. • N 610, dated 29.10.2019 “The Order of the Ministry of agriculture of Russia from "On approval of General admissible catch of water biological resources in internal sea waters of the Russian Federation, in the territorial sea of the Russian Federation, on the continental shelf of the Russian Federation, in the exclusive economic zone of the Russian Federation and the Caspian sea in2020". • N 656, dated 05.12.2019 the Order of Rosrybolovstvo "On the distribution of total allowable catches of aquatic biological resources of the far Eastern fisheries basin in relation to the types of quotas for their production (catch) for 2020". • The Order of the Federal Agency of Fishery dated 13.12.2019 "On the distribution of the volume of part of the total allowable catch of aquatic biological resources approved in relation to the quota of production (catch) of aquatic biological resources in the internal sea waters of the Russian Federation, in the territorial sea of the Russian Federation, on the continental shelf of the Russian Federation, in the exclusive economic zone of the Russian Federation, for industrial fishing and(or) coastal fishing for users of the Far Eastern fisheries basin for 2020" In the Russian Far East, the management system is basically the same as in other parts of Russia. Fisheries management is performed according to a clearly articulated long-term plan for the resource overseen by a single coordinating agency, the FFA, which operates with executive power under the Ministry of Agriculture (Figure 22). Under the system, the FFA oversees the agreement on allocation of quota shares for catches, and grants the right to capture (catch) the resource to legal entities and individual entrepreneurs. Currently, the Agreement provides for allocation of quota shares for fifteen years based on official catch statistics, and the procedure for preparing and concluding of the Agreement is established by the federal government decree. The agreement specifies the parties, the subject of the contract, the type of fishing and other terms and conditions. The last quota allocation took place in 2019. The FFA tracks also all vessel activity (see below).

Fisheries research institutions providing recommendations for management, which come under the remit of the FFA: KamchatNIRO, TINRO, VNIRO, MagadanNIRO, SakhNIRO conduct scientific surveys and carry out appropriate research and monitoring to underpin the basic advice for management. The scientific function is coordinated by VNIRO (the All-Russian Institute for Fishery and Oceanography, Moscow) and the FFA, but surveys and research on the Sea of Okhotsk pollock fisheries are carried out on an autonomous, scientific and objective basis through the regional expert centres (primarily TINRO, Vladivostok, and KamchatNIRO, Petropavlovsk-Kamchatsky, and to a lesser extent MagadanNIRO, Magadan and SakhNIRO, Yuzhno-Sakhalinsk). These centres coordinate their activities between themselves, and VNIRO oversees the process federally.

All aspects of the fishery’s management, namely, the science of establishing the TAC, process of allocation of quota, involvement of stakeholders, enforcement and monitoring are reviewed during meetings of various councils within the FFA system and State Ecological Expertise which is an independent organisation, thus providing regular internal and external reviews on different levels.

Coastguard, belonging to the Federal Security Service (FSB), ensures compliance with international fishery agreements and regulations, where applicable. It, together with the Federal Customs Service and the Veterinary Control Service, or RosSelkhozNadzor, inspects and verifies fish products (for export and the domestic market) and all vessels (transport and fishing) as a form of port, state, customs, quarantine and veterinary control.

Nature conservation organisations, represented in the area by WWF Russia, with interest in the protection of the marine ecosystem of the SOO are important stakeholders.

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There are no subsidies available to the Russian fisheries. The fishery is therefore based on maintaining a commercially viable industry, managed through licenses to fish on quota granted for the long term, and with punitive sanctions (including exclusion from the fishery, with active quotas and licenses then being offered publicly to others) being applied to those who breach fishing rules or persistently offend on any aspect of fishery management (Payne et al., 2018).

Figure 22. Overview of fisheries management in Russia (adjusted in relation to marine fisheries in the Northwest Pacific). From Valle-Esquivel et al. (2021) with modifications.

7.5.3 Fisheries-specific management The key decision in the fishery-specific management is setting up the Total Available Catch (TAC), or Recommended Catch. The procedure is schematized at http://www.fish.gov.ru/files/documents/otraslevaya_deyatelnost/sistema_VBR/Etapy_ustanovleniya_ODU.pdf. Order 104 requires that the stock assessment process in the Russian Federation should proceed as follows (FFA, 2018):

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Figure 23. The SOO pollock TAC decision-making process flow chart. From Payne et al. (2018).

1. Annually, local research institutes prepare materials that substantiate TACs before February 1st of the year preceding to fishing year. 2. VNIRO (head fishery research institute) considers materials prepared by local institutes before February 20th, sends comments back to these institutes so that they return revised version of the materials before February 25th.

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3. VNIRO establishes inter-institutional working groups for development of a coordinated position before February 25th. 4. VNIRO considers coordinated TAC estimations at the VNIRO Scientific Council before February 27th. 5. VNIRO considers TAC estimations at an enlarged meeting of the Scientific Council before March 5th. 6. VNIRO prepares aggregate materials that substantiate TACs and sends them to the Industry Council on Commercial Forecasting at the FFA within 10 days. Note: The Industry Council on Fishery Forecasting is formed according to the Policy Directive on the Industry Council on Fishery Forecasting issued by the Ministry of Agriculture, FFA 20th December 2004 N164 (with changes 29th December 2006). It was created specifically for analysis of TACs, and includes experts of FFA, Ministry of Agriculture, Federal Services on veterinary, sanitary and natural resources use control, heads of the fisheries research institutions, and other stakeholders, in particularly, local research fishery institutions. It is headed by the head of the FFA. Meetings are carried out at least twice a year, and between the meetings, the functioning is performed by the Bureau of Industry Council for Fishery Forecasting of the FFA. 7. The Industry Council considers these materials before March 20th. 8. VNIRO forwards materials substantiating TACs to local institutes within 3 days after the Industry Council meeting for maintenance of public hearings. Based on the results of the public hearings, local institutes provide copies of protocols to VNIRO and the FFA before May 1st. 9. VNIRO prepares aggregate materials and provides them to the FFA before 11th May for presentation to State Ecological Expertise. Also, territorial administrations of FFA before 15th May submit to the State Ecological Expertise materials of public hearings and discussions at the Research Council of the local fishery research institutes. 10. In the case where new data becomes available which requires correction of the TAC, they are discussed at the Research Councils of local fisheries research institutes and forwarded (along with the primary data) to VNIRO before 10th June. 11. VNIRO considers these materials and, if necessary, reviews them and, if needed, returns them to the local fisheries research institute for updating during 7 working days, and, after updating, forwards them to the inter-institutional working groups. 12. Inter-institutional working groups accept decisions on the justification of correction of TAC before 18 July, which are considered by VNIRO before 21st July at the extended meetings of the Research Council. 13. Based on conclusions of the Research Council, VNIRO aggregates all materials justifying correction of TAC, and forwards them to the Bureau of Industry Council for Fishery Forecasting of the FFA. The Bureau then considers the materials before 25th July. 14. VNIRO, during 3 working days forwards materials on correction of the TAC to the local research institutes for carrying out public hearings. 15. Protocols of public hearings are submitted to VNIRO no later than 1st September. VNIRO forwards them to State Ecological Expertise before 3 September. Meantime, local fisheries research institutes prepare materials on correction of TAC, consider them on their research councils and forward to territorial administrations of FFA for carrying out public hearings and then for forwarding the materials to the State Ecological Expertise by 1st September. 16. Based on all these research, discussions and approvals, FFA issues an order on TACs. Recommended Catch does not require State Ecological Expertise.

Quota allocation

The current quota allocation system has operated since 2008, when the fixed quota (constant percentage of TAC) was allocated to a company for 10 years based on historical catch/performance. In 2016 the Federal Law “On Fisheries …” was amended (Order No. 349-FZ dated 3 July 2016) to introduce a new type of quota – an investment quota of aquatic bioresources for investment purposes. This quota is allowed to be up to 20% of the approved TAC. A production quota was introduced to encourage renewal of fisheries infrastructure, in particular, vessels. The FSA is using this quota type to participate in the fishery and plans to fund construction of 11 new fishing vessels or so-called supertrawlers. One of these vessels has so far entered the FSA fleet (at the start of 2021). Given that the fishing capacity of these vessels is

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more than twice that of the older ones, and that the total TAC should not increase, a redistribution of quota between the companies may be likely. This will be discussed further at the site visit.

Starting in 2018 quotas can be issued to companies for periods of 15 years. There are the following types of quota for fishing in Russia: industrial in seas (open sea and coastal area), coastal or scientific (for research and monitoring), for educational and culturally purposes, for aquaculture, for amateur and sport recreational purposes, for small indigenous peoples of Siberia and Far East (KMNS), to support international treaties, foreign quotas in the Russian EEZ, industrial in reservoirs, and investment quotas. The quotas are allocated by the FFA following the recommendations Far Eastern Industrial Fisheries Council, Far Eastern Scientific and Technical Council, and based on this order, territorial administrations of TAC issue permits to the fisheries allowing them to fish with indication of area, quota, period, fishing gear, target species and a name of the captain.

7.5.4 Monitoring, control and surveillance Reporting systems

The Center for Fisheries Monitoring and Communications (CFMC) in the Western Kamchatka shelf with its regional operational office in Petropavlovsk-Kamchatsky (P-K) integrates all fishery information in a modern and transparent system, allowing for centralized collection, storage and processing of data on the quantity of aquatic biological resources (ABRs) harvested, processed, transshipped, transported and landed by individual fishing vessels. Reporting of data and information to the Center is at least daily, using the Vessel Monitoring System (VMS) (Payne et al., 2018; Lajus et al., 2019). Daily Vessel Reporting is a part of this reporting. In Russia, all vessels with an engine power >55 kW and maximum tonnage >80 mt engaged in fishing operations must be equipped with a functioning VMS (Figure 24).

Figure 24. Overview of the Fishery Monitoring System operated by the Kamchatka CFMC. From Payne et al. (2018).

Russia now is developing its own comprehensive “Gonets” satellite tracking system, which will soon replace the other systems on all Russian vessels. The system will also be able to interface with an electronic logbook system that is in advanced form of development and has been adopted on a voluntary basis by some of the vessels in the UoA (see Section 7.2.3 for details). One of the system’s advantages is a good coverage in places with latitudes higher than 75°N. Gonets automatically updates the position of the vessel every 10 minutes. In the rare cases of VMS non-compliance (where VMS fixes are not being streamed regularly), the vessel is immediately requested to rectify the problem by Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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providing regular positional fixes by telephone or fax, but if it cannot bring the system back into operation within 48 h, the vessel has to return to port. Similarly, an out-of-order VMS is allowed once during a fishing trip, but if it fails a second time the vessel has to return to port for it to be repaired or replaced before continuing its cruise.

Daily, each vessel reports to the CFMC detailed information on its activity, catch by species, number and total time of fishing operations, depth, gear. Also, the vessel reports the amount of each type of production, used bait, and various products onboard (see Section 7.2.3). Apart from the daily information it collates, the CFMC also provides operational reports (half monthly) by vessel and company from the start of each season and quarterly statistical reports by company.

Fishing is also monitored by research observers, which provide data for TAC allocation and ecosystem effects of fishing. During the last five years one observes a notable growth of various parameters of the research observance in the SOO walleye pollock fisheries as discussed in Section 7.2.3.

Enforcement and compliance

Russia has a comprehensive national plan to combat all Illegal, Unreported and Unregulated (IUU) fishing (Order No. 2534-r of 25 December 2013). This fishery is enforced by the Federal Security Service (FSB), whose Coastguard conducts inspections and issues violation notices in the case of non-compliance. At sea, the Coastguard checks documentation and VMS devices, inspects fish cargoes and generally observes fishery operations. The service also conducts port control inspections, tracks vessel locations and fishing effort and provides up-to-date fishery operational information to the other management agencies.

IUU fishing was extremely high in the Kamchatka region following the crash of the Soviet Union in the early 1990s, particularly in the salmon, crab and pollock fisheries. Since the 2000s IUU fishing has gradually decreased, but is still quite common in the case of Pacific salmon because of high availability of fish entering rivers for spawning and where it is difficult to control illegal fishing activities. In the case of pollock, violations of fishing rules are related to harvesting in prohibited areas or in prohibited seasons, discarding of undersized fish or of fish carcasses after the roe has been stripped (because the roe has a higher market value). The latest available statistics of compliance on the entire pollock fishery in the SOO is provided in the 2nd Surveillance report of Russian SOO pollock fishery (Japp and Payne, 2020) (Table 16). According to PCA certification report (Payne et al., 2018), 111 vessels were involved in the fishery in 2017. Data for the fishing years between 2008 and 2016 are provided in Payne and Japp (2019).

Table 16. At-sea inspection activities by the Coastguard, 2017–2019 (data from FSB East Arctic Coastguard Department). From Japp and Payne (2020).

During 2019, there were in all 29 violations of the Fishing Rules and Regulations by 26 vessels (Payne and Japp, 2019):

• 6 non-compliances with regulations related to national border control; • 2 violations of DVR submission rules; • 3 non-compliances with fishing gear regulations; • 3 violations of inspection checkpoint clearance; • 6 violations of documentation maintenance on board ship; • 2 cases of unreported or misreported fishery products; • 1 case of transshipment requirement non-compliance; • 2 cases of entering a marine mammal protection area;

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• 4 violations of the Fishing Rules in terms of juvenile bycatch limit being exceeded.

In total, the imposed sanctions for those violations amounted to 30.9 million rubles.

Specific data on violations of fishing rules by the FSA companies (12 vessels in 2020), which were investigated in courts are provided in Table 17. At this ACDR stage, the Client did not provide the number of inspections which makes it difficult to carry out a direct comparison of the company-specific data. However, taking into account the overall number of PCA and FSA vessels, the number of violations per vessel does not differ notably. The frequency of violations in the FSA therefore does not differ notably from that of the PCA, and, based on that the Assessment Team concludes that the control of the fishery under assessment is unlikely to be a systemic issue in the UoA.

Table 17. Compliance statistics of FSA companies (12 vessels in 2019), 2016-2019 (based on data provided by the Client). Type of violation 2016 2017 2018 2019 Incorrect vessel position and passing checkpoints 5 2 0 0 Unaccounted and illegal catch and production 1 2 5 5 Discarding 0 0 2 0 Total 6 4 7 5 Total fine paid, thousand rubles 716,4 285,8 1165,8 439,7

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7.5.5 Principle 3 Performance Indicator scores and rationales

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

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

Met? Yes Yes Yes

Rationale

The following evidence indicates SG 60 is met: 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. 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. These include scientific institutes and educational institutions, such as universities and colleges. The FFA has within its structure a federal fisheries research institute, VNIRO (the Russian Federal Research Institute for Fisheries and Oceanography) with 28 regional branches, the so-called NIROs (Russian abbreviation for the words “Scientific Research Fisheries Oceanography”). In the Far Eastern Fishery Basin VNIRO has five regional offices: 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). There are six “technical universities” and nine subordinate colleges. 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). There are seven regional Monitoring Centers. The basic legal document underpinning fisheries management in the Russian Federation is the 2004 Federal Act on Fisheries and Conservation of Aquatic Biological Resources (O rybolovstve, 2004). The Act has been revised several

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times, last in 2014. Other important legislation at the federal level includes the 2002 Federal Act on the Protection of the Environment (Ob okhrane, 2020), and the 2013 Act on Aquaculture. 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”, which in turn consists of a number of departments (where there is a regional administration) or ministries (where there is a government). Therefore, there is an effective national legal system in place to deliver management outcomes consistent with MSC Principles 1 and 2. SG 60 is met.

The following evidence indicates SG 80 is met: The Russian Federation fishery management system is uniformly organised throughout the entire country. Its effectiveness has been confirmed by a large number of MSC certifications performed during the last decade (Lajus et al., 2018). In terms of quality, credibility, reliability and effectiveness against international standards, Russian fisheries management system was ranked fourth behind the management systems of the USA, Iceland and Norway in a robust scientific analysis (Melnychuk et al., 2017). Section 7.5.2 of this report provides details of the Russian management system, including federal and state scientific management agencies and the laws under which they operate. The management system has therefore demonstrated organised and effective cooperation with other parties, to deliver management outcomes consistent with MSC Principles 1 and 2. SG 80 is met.

The following evidence indicates SG 100 is met: The management system is deemed to be effective and contains legally binding procedures that ensure good standards of cooperation with national and international parties in delivering management outcomes for sustainable fisheries consistent with MSC Principles 1 and 2. Management of walleye pollock fisheries is administered by Federal and Regional governmental agencies. Kamchatka Kray is the subject of the Russian Federation and is a part of Far Eastern Federal Region (Okrug). It is under the direction and control of the Government of the Russian Federation. Fisheries of Russia are managed and controlled by the FFA of the Russian Federation, which is located in Moscow and also represented by a local office in Kamchatka. The Federal Law “On fisheries…” sets that all citizens, public organizations, and associations have the right to participate in decision making process. For these purposes the FFA maintains a multi-level system of public (community) and scientific fishery councils providing opportunities to participate and influence on decision process and regulations. Russia has signed its adherence to many international (UN) codes, including that of eradicating IUU fishing, a subject about which it has also signed binding agreements with many of its Pacific maritime neighbours. SG 100 is met.

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

Rationale

The following evidence indicates SG 60 is met: The management system incorporates or is subject by law to a mechanism for the resolution of legal disputes arising within the system, 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 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, confirmed in federal and regional legislation and transparent for actors within the fishing industry. SG 60 is met. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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The following evidence indicates SG 80 is met: The management system incorporates or is subject by law to a transparent mechanism for the resolution of legal disputes which is considered to be effective in dealing with most issues and that is appropriate to the context of the fishery. The legal system is based on civil law system with judicial review of legislative acts. The management system or fishery is attempting to comply in a timely fashion with binding judicial decisions arising from any legal challenges. The established mechanism to resolve disputes is through the court, and the laws (Fishery regulations 2019) and enforcement procedures are fully harmonized. Transparent governance mechanisms to preclude and resolve disputes include provisions to allow fishers and owners to propose changes to rules, and there are formal processes for anyone to be involved in reviewing annual TACs (see Section 7.5.3). SG 80 is met.

The following evidence indicates SG 100 is met: The certification of the Vityaz-Avto and Delta Ozernaya sockeye salmon fishery in the Russian Far East provides an example of the effectiveness of the system of resolution of legal disputes (see MRAG_Americas (2012)) and has a direct relation to this assessment as the management fishery system is uniform in Russia. The case considered accusations of the company Kolkhoz Krasnyi Truzhennik to the company Vitiaz-Avto, Client of the assessment, on incorrect determination of processing capacity of processing factories of these two companies which are taken into account at distribution of fishing parcels in Ozernaya River. Later, Kolkhoz Krasnyi Truzhennik accused Vityaz-Avto in violation of fishing rules. The Arbitration court and police of the Kamchatka Kray considered these accusations and after a detailed investigation of the circumstances decided to reject the claims by Kolkhoz Krasnyi Truzhennik in relation to distribution of fishing parcels in the Ozernaya River as well as in the coastal area of the Sea of Okhotsk. The latter case was investigated by police, which also did not support any evidences to support the accusations. A dispute also occurred recently between the Russian Fishery Company (RFC), a major member of the FSA, which resulted in the PCA excluding RFC from the Association on the 15th September 2020. The dispute arose after the RFC submitted to the government its suggestions regarding the reforms of the fisheries management in Russia (www.kommersant.ru/doc/4512378). After the RFC’s appeal, the Arbitrary court of Primorye satisfied the claim in its entirety on 21st December 2020, and now the RFC has been reinstated as a full member of the PCA (https://fishnews.ru/news/40731). This example demonstrates that the management system’s mechanism for the resolution of legal disputes has been tested and is proven to be effective. Although this will be discussed further at the site visit, SG 100 is provisionally considered as met.

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

Rationale

The following evidence indicates SG 60 is met: See SG 80. The following evidence indicates SG 80 is met: 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

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(e.g., “industrial fisheries”, “coastal fisheries” and “fisheries for scientific and enforcement purposes”. SG 60 and SG 80 are met. The following evidence indicates SG 100 is met: The rights of indigenous peoples are enshrined in the federal laws “On Fisheries …”, “On Guarantees of the Rights of Small Indigenous Peoples of the Russian Federation”, and “The Communities of Small Indigenous Peoples of the North, Siberia and the Russian Far East”. Indigenous people have allocated quota sufficient for maintaining their traditional lifestyle. Representatives of the Association of Indigenous Peoples of Kamchatka are involved in the distribution of the quota. In the case the interests of the indigenous peoples are violated, the legal system intervenes. Information on species for which quota are allocated and KMNS users in Kamchatka and Chukotka is available publicly (for example, see this link). SG 100 is met.

References

Fishing Rules 2019

“O rybolovstve …” 2004, "Ob okhrane….” 2002, "Ob akvakul'ture …. 2013.

Lajus et al. (2019), Lajus et al. (2018), Melnychuk et al. (2017), MRAG_Americas (2012), Payne et al. (2018), Hønneland et al. (2020) and Valle-Esquivel et al. (2021)

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)

MSC FCP v2.2 Reporting Template v1.2 LR 05112020, page 124 of 169 www.lr.org LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

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

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

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: Figure 22 shows the organisations which are involved in the management of fisheries in Russia. Their functions are generally understood and explicitly defined for key areas in the rationale for PI 3.1.1a, and in section 7.5.2. All organizations and individuals involved in the management of the fishery are defined not only in national laws and regulations, but also in a longstanding practice; see SI 3.1.1 a) for an overview of the main bodies of governance at federal and regional levels engaged in the management of the fishery, and SI 3.1.2 b) for an overview of non-governmental organizations involved. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is met: Russian fisheries management is organized through a common coordinating agency, FFA, which is a part of the Russian Ministry of Agriculture. FFA has five regional offices in the Russian Far East, and Kamchatka Kray office (Northeast Territorial administration of FFA) one of them. Fisheries research and stock assessment is also coordinated by the FFA, as well as monitoring of fishing activities, performed by CFMC. The Enforcement of fishing rules falls under the responsibility of the Federal Security Service (FSB), but these two organizations (FFA and FSB) coordinate their activities with a common overall aim of ensuring sustainable fisheries. Thus, it should be concluded that the functions and responsibilities are defined and understood in all areas of fishery management. SG 100 is met.

Consultation processes The management system The management system The management system includes consultation includes consultation includes consultation processes that obtain processes that regularly processes that regularly b relevant information from seek and accept relevant seek and accept relevant Guide the main affected parties, information, including local information, including local post including local knowledge, to knowledge. The management knowledge. The management inform the management system demonstrates system demonstrates system. consideration of the consideration of the information obtained. information and explains how it is used or not used.

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Met? Yes Yes No

Rationale

The following evidence indicates SG 60 is met: The Russian 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.

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 advise 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 (DVNPS) 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, fishing companies and associations and representatives of the indigenous peoples of the Russian Far East and Far North. It is established according to the Federal Fisheries Act. The Council 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 DVNPS 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, who are invited to present their case at Council meetings, and acts as a coordinating body for further input into the management process. Meetings are held in different locations of the Far East at least twice a year. Public and media are usually invited for meetings.

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. Stakeholders interviewed at the site visit state that they have tight contact with the authorities also at an informal level, and that they can contact them any time if they have a concern.

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.

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The following evidence indicates SG 80 is met: The management system includes consultation processes that regularly seek and accept relevant information. Local knowledge is considered, in particularly, in the framework of public hearings or Public Councils as a way to promote transparency, dialogue and cooperation with scientific and public organizations (including NGOs) and individuals, including representatives of indigenous peoples. In the Far East, the important role in communication, discussion and confirmation of options and decisions is played by the Far Eastern Scientific Fisheries Industrial Council (DVNPS). The management system demonstrates consideration of the information obtained through minutes and protocols of meetings. SG 80 is met.

The following evidence indicates SG 100 is not met: At the same time, publicly available information on activities of abovementioned organisations usually provides only information about decisions made but does not explain how exactly information is used or not used. SG 100 is not met.

Participation The consultation process The consultation process provides opportunity for all provides opportunity and Guide interested and affected encouragement for all c parties to be involved. interested and affected post parties to be involved, and facilitates their effective engagement. Met? Yes Yes

Rationale

The following evidence indicates SG 80 is met: As follows from SI 3.1.2 b) above, the consultation process provides opportunity for all interested and affected parties to be involved and facilitates their effective engagement, which is confirmed by normative documents on fishery management. The key document in this respect is the Federal Law “On the procedure for consideration of appeals of citizens of the Russian Federation” from April 21 2016. The Law states, in particular, that the citizen has a right to get a written response from the relevant governmental agency and complain regarding the action (or absence of action) to the court. SG 80 is met.

The following evidence indicates SG 100 is met: The Russian fishery management system intensively developed during the past 25 years and transformed from the closed Soviet system to a much more open system, which encourages all interested parties to participate. However, these opportunities are not consistently fully used by the participants due, in part, to observance of Soviet traditions, which requires much time to overcome. With time, the existing opportunities are increasingly taken. One example is that minutes of public hearings are regularly published on the SVTU (Northeast Territorial Administration) website (http://xn--b1a3aee.xn--p1ai/). SG 100 is met.

References

Federal Law “On the procedure for consideration of appeals of citizens of the Russian Federation” from April 21 2016. http://www.fish.gov.ru/files/documents/obrashenija_grazhdan/59_FZ_ob_obrashenii.pdf “O rybolovstve … 2004”, article 33. Hønneland et al. (2020) 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

MSC FCP v2.2 Reporting Template v1.2 LR 05112020, page 127 of 169 www.lr.org LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

Overall Performance Indicator score

Condition number (if relevant)

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

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

Rationale

The following evidence indicates SG 60 is met: Protection and rational use is an established concept in Russian legislation on the protection of the environment and exploitation of natural resources. “Rational use” is synonymous 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 socioeconomic 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. SG 60 is met.

The following evidence indicates SG 80 is met: Although the precautionary approach as such is not incorporated in Russian fisheries legislation anywhere, practical stock assessment, harvest control rules set for the UoA and other Russian fisheries do incorporate a clear precautionary element, in particular, following the highly-cited book by Babayan (2000). The Russian management system also takes into consideration the FAO Code of Conduct for Responsible Fisheries (FAO, 1995), and analyses show that it is widely used in practical management (Zgurovsky et al., 2013). Long- term objectives within management policy are addressed in several federal laws. They are described in more details in the National framework section (Section 7.5.2). These documents define policy objectives for the Russian fisheries and for the Far East fishing industry in particular and provide a broad context for managing the fishery under the assessment. These documents include objectives to maintain sustainable stocks and protect the environment while meeting social and economic goals. SG 80 is met.

The following evidence indicates SG 100 is met: Changes in the fisheries management which took place in 2008 are of principal importance from the point of view of long-term objectives. These changes, in particular the setting up of long- term quotas, which are allocated to companies for 15 years, have promoted a long-term stewardship by the fishing industry and have provided tacit support for achieving long-term conservation goals related to the resources and their associated ecosystems. SG 100 is met.

References

“O rybolovstve ….” 2004

Babayan (2000) and Zgurovsky et al. (2013)

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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)

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

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

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: Short and long-term objectives of the fishery are directed towards sustainable use of the resource which includes P1 as well as P2 species for this fishery, many of which are managed via TAC, with gear restrictions, and spatial and seasonal closures in place for the conservation of ETP species and benthic habitats. The TACs are established based on MSY which prevents overexploitation of the populations. Currently, quota allocations by percentage of the TAC are for a period of 15 years and are based on historical performance in the fishery. This is an explicit evidence of consistency of short and long-term objectives to the outcomes of Principles 1 and 2. At the same time, the fishing law "On fishing..." provides for early termination of a fishing agreement at the request of one of the parties in accord with civil legislation (Article 33.5), and the public authority has the right to terminate an agreement unilaterally through the court if (i) there is need for a bioresource for public use; (ii) the pollock catch is for two consecutive years <70% of the quota issued; (iii) during the calendar year the quota-holder twice or more violates the fishing rules; (iii) the quota-holder fails to deliver its catches to the Customs territory of the Russian Federation; (iv) the VMS ceases operation for 48 h or more without due reason.

The following evidence indicates SG 100 is partially met: Fishery-independent observer coverage (scientific) and formal compliance inspections (the FSB Coastguard) provide instruments to effectively meet these objectives measurably. For instance, discard monitoring at sea, although only a sample of vessels can be observed, shows that discarding for any reason is uncommon. It should be emphasised too that the fleet operates with vessels mainly in close proximity to each other and that statistical evaluation has revealed that, although only a few observers are present on relatively few fishing vessels, the catches made by those vessels are representative of a very large proportion of fleet activities at any point in time. Rigorous and expensive scientific monitoring of the habitat and ecosystem (components) is good and extends to very long time-series of data. Finally, there is no evidence of any IUU fishing associated with the pollock fishery, and the Russian Federation has shown by its actions in signing agreements with its maritime neighbours that its responsibilities in eliminating that practice are being taken seriously. At the same time, the main focus of this monitoring is on major commercial species such as pollock and Pacific herring. Some attention is paid also to seabird and marine mammals, but other P2 species are paid less attention. Therefore, short and long-term objectives, consistent with achieving the outcomes expressed by MSC’s Principles 1 and 2, are explicit within the fishery-specific management system. They allow to consider that the objectives are well defined, but do not provide evidence of their measurability (although some are measurable, e.g. juvenile pollock discard avoidance, ETP species status). Thus, the assessment team considers that the partial score (90) is the most relevant for this PI. Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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References

MRAG_Americas (2012)

“O rybolovstve… “ 2004, “Ob okhrane….” 2002.

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)

MSC FCP v2.2 Reporting Template v1.2 LR 05112020, page 132 of 169 www.lr.org LR Announcement Comment Draft Report Fishery Shipowners Association (FSA) Russia Sea of Okhotsk pollock fishery

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

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

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: There is a formal decision-making process resulting in measures and strategies to achieve the fishery-specific objectives. The Federal Fishery Agency is a central organisation of the decision-making process. It works based on recommendations of VNIRO and KamchatNIRO and is responsible for the distribution of quota based on TACs and recommended catch users. The system is based on fully documented (databases, scientific literature and websites) science, all available information being used in the process and evaluated by experts initially regionally then federally through VNIRO in Moscow. Independent scientific and economics experts then probe the outcomes of the assessments and ask questions necessary to achieve the overarching objective of making the fishery sustainable and preserving ecosystem health and function. The evaluation is obviously weighted towards pollock, the target species, but appropriate and relevant environmental/ecosystem questions and issues are also addressed; the questions posed show good understanding of the system in which the pollock fishery is conducted. Thus 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 60 and S80 are met.

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

The following evidence indicates SG 60 is met: The well-established decision-making procedures at federal and regional level in Russia respond to 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. See for example Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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the decision-making process for TAC setting (Section 7.5.3). Consultations happen in the fishery councils at basin and regional level and through ad hoc consultation with the industry and other stakeholders. 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 is met.

The following evidence indicates SG 80 is met: Decision-making processes respond to various important issues identified in relevant research, monitoring, evaluation and consultation in a transparent, timely and adaptive manner and take account of the wider implications of decisions. The generalised scheme of setting up TACs, which is a key element of the management of the walleye pollock is provided at the FFA website (see link) and described in more detail in Section 7.5.3 and FFA (2018). In terms of the formal assessment of fish stocks involved in the fishery, its output in terms of providing sound management advice, the decision-making process is fully reactive and adaptive, based on up-to- date catch statistics, the results of several surveys, numerical modelling to an internationally acceptable standard and other relevant research information. Projects “Open Agency” and “Open Government” launched by the FFA include information on public hearings, Public Councils, websites, media releases. SG 80 is met.

The following evidence indicates SG 100 is not met: At the same time, it cannot be concluded that decision-making processes respond to all issues due to the lack of transparency regarding many internal decisions by Russian governmental agencies. For instance, detailed information on harvest by time and area is not typically reported outside the management system except in summary form, TAC forecasts for the target species of this fishery are also available only in a very generic form, thus SG 100 is not met.

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

Met? Yes

Rationale

The following evidence indicates SG 80 is met: The precautionary approach in fact is used in most cases of decision making, which is based on the best available information obtained from the fisheries research institutions at all management levels (Babayan, 2000). Overall, adherence to the precautionary principle as defined by FAO (1995) is strong. SG 80 is met.

Accountability and transparency of management system and decision-making process Some information on the Information on the fishery’s Formal reporting to all fishery’s performance and performance and interested stakeholders 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 d Guide any actions or lack of action management actions and associated with findings and describes how the post 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

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Rationale

The following evidence indicates SG 60 is met: Some information on the fishery is generally available not only by request, but openly via various mass media and scientific publications: Information from VNIRO on results of winter fishing in the SOO - www.vniro.ru/ru/novosti/zavershilas-okhotomorskaya-mintaevaya-putina-2020-goda. VNIRO forecast for the winter fishing 2020 - kamniro.vniro.ru/presscenter/statin1/predstoyawaya_mintaevaya_putina_obewaet_byt_blagopriyatnoj. VNIRO on pollock stock status in 2020 - fishnews.ru/rubric/krupnyim-planom/11387. SG 60 is met.

The following evidence indicates SG 80 is met: Abundant information on the fishery under assessment is available on request, which is evident from the present report. Explanations about various actions associated with findings and relevant recommendations emerging from research are provided in uploaded and official documentation for any actions or lack of action, monitoring, evaluation, review and decision-making. Generic information at the scale of Russia is available at http://www.fish.gov.ru/otkrytoe-agentstvo, and at the regional scale of the North East Territorial administration of FFA. For instance, protocols of the Expert Council at the Territorial administration are available at http://xn--b1a3aee.xn--p1ai/obshchestvennyj-sovet/protokol-zasedanij.html. The Local administration of FFA also publishes news of FFA and reviews of mass-media on its website (http://xn--b1a3aee.xn--p1ai/press- tsentr/novosti.html). SG 80 is met.

The following evidence indicates SG 100 is not met: However, the team does not see evidence of the existence of a system of formal reporting of comprehensive information on the fishery’s performance and management actions. For instance, in March 2019, the latest information on the catches of TAC-regulated species on the FFA’s North East territorial administration website was available only up to 15 January 2017, protocols of the Expert Council only for 2016. In addition, detailed information about justification of annual TAC is prohibited to be circulated publicly, and only available to researchers and governmental authorities. Thus SG 100 is not met.

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

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: Evidence of appropriate updating of laws, orders and decrees associated with the management system, and proven actions of the fishing industry show that both the official management system and the fishery are complying in a timely fashion with judicial decisions arising from legal challenges. One example is a result of the legal dispute between the RFC and PCA (see rationale for 3.1.1b), the latter, based on the court decision, returned the RFC to the PCA along with the right to use the current MSC certificate. SG 80 are met.

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The following evidence indicates SG 100 is met: A very recent example of the legal dispute directly related to this fishery is that which occurred between the RFC and PCA and which resulted in exclusion of the RFC from the PCA (see 3.1.1b). Following the RFC’s appeal, the Arbitrary court of Primorye satisfied the claim in its entirety on 21 December 2020, with PCA reinstating the RFC’s membership status. Another example is from ten years ago on the Ozernaya sockeye fishery (MRAG_Americas, 2012), which is under principally the same management system thus can also be considered under this assessment. The examples provide evidence that proactive actions are taken to avoid legal challenges. SG 100 is met.

References

Babayan (2000), FAO (1995), FFA (2018), Melnychuk et al. (2017), MRAG_Americas (2012), Hønneland et al. (2020), Japp et al. (2020)

“O rybolovstve… “ 2004

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)

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

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

Rationale

The following evidence indicates that SG 60, 80 and 100 are met: The system of monitoring or the fishery monitoring includes a number of components. FFA’s CFMC runs the VMS system in the fishery. The entire fishing fleet in the UoA is required to carry a functioning Inmarsat unit, and all activities of all fishing vessels in the EEZ of the Russian Federation are monitored continually by that system. A national VMS system “Gonets” is actively being developed and is planned to replace the Inmarsat in the near future. Daily reports (SSD) are provided by operating fishing vessels to CFMC; among other information, these reports contain data on daily catches and daily production. Scientific observers do not directly fulfil functions of compliance and enforcement, but the presence of independent observers onboard may reduce risks for non-compliance. The FSB Coastguard performs uninformed checks at the sea to monitor discarding, species caught, gear used etc. FSB also controls all the at-sea transhipments. Dock-side inspections accurately check correspondence between the logbook records and products on-board and other information. Therefore, the MCS system can be considered comprehensive and includes many interrelated components.

The effectiveness of the MCS system can be demonstrated by multi-year dynamics of illegal fishing activities. According to multiple sources, illegal fishing was extremely high in the Kamchatka region after the crash of the Soviet Union in the early 1990s and affected many types of fisheries targeting salmon, crab, pollock and others. In the case of the pollock fishery, violations of fishing rules were related to harvesting in prohibited areas or in prohibited seasons, discards of undersized fish and discards of fish carcasses after the roe has been stripped from fish because roe has higher market value. It is commonly accepted that very high levels of poaching occurred in the Russian Far East mostly in the 1990s- early 2000s. Since the mid-2000s, poaching gradually decreased, but it is still quite common in the case of Pacific salmon because of high availability of fish entering rivers for spawning, where it is very difficult to control poaching. Sea fishing vessels are much easier to control using the abovementioned instruments and it is now shown that levels of non- compliance (violations/inspections) varied between 1.56 and 2.15% in the period 2017-2019, being within the international standards.

Thus, taking into consideration information on open sea fisheries operating in the region (Payne et al., 2018; Lajus et al., 2019), we conclude that the Monitoring, Control and Surveillance system is comprehensive and has demonstrated a consistent ability to enforce relevant management measures, strategies and/or rules. SG 100 is met.

b Sanctions

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Sanctions to deal with non- Sanctions to deal with non- Sanctions to deal with non- Guide compliance exist and there is compliance exist, are compliance exist, are some evidence that they are consistently applied and consistently applied and post applied. thought to provide effective demonstrably provide deterrence. effective deterrence. No (more information Met? Yes Yes needed) Rationale

The following evidence indicates SG 60 is met: Sanctions to deal with non-compliance in Russian waters exist 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 the level of fines that can be issued administratively by enforcement bodies, e.g. up to RUR 5,000 for “citizens”, 50,000 for “executive officers” and 200,000 for companies. The Criminal Code requires that illegal fishing such as causing “large damage”, conducted in spawning areas or migration ways leading to such areas, or in marine protected areas be penalized by either fines up to RUR 1,000,000 and prohibition from fishing activities for up to two years or an amount corresponding to 1-3 years’ income for the violator, compulsory work of no less than 480 hours, corrective work for at least two years or arrest for at least 6 months. In this fishery, sanctions for non-compliance are applied by the Coastguard (Table 17). As the most recent examples, there was a fine of 81,850 roubles applied on 13 June 2019 for discovering unreported fish products onboard of the vessel “Pavel Batov”, and 146,3946 roubles according to the Protocol from 27 March 2019 for illegal pollock fishing by the vessel “Prostor” (based on information provided by the Client). Both instances will be discussed further at the site visit. The Coastguard also ensures compliance with international fishery agreements and regulations. Finally, the Coastguard (together with the Federal Customs Service and the Veterinary Control Service, or RosSelkhozNadzor) inspects and verifies fish products ready for export and the domestic market, and all vessels (transport and fishing) as a form of port, state, customs, quarantine and veterinary control. SG 60 is met.

The following evidence indicates SG 80 is met: MSC assessment reports of other open sea fisheries in the Kamchatka region on walleye pollock (Payne et al., 2018) and Pacific cod and Pacific halibut (Lajus et al., 2019), as well as this assessment (Table 17) provide evidence of the consistent application of sanctions. They are evidently effective at a fishery-wide scale. In the 1990s – early 2000s, frequent violations of fishing rules in the pollock fishery were related to harvesting in prohibited areas or in prohibited seasons, discards of undersized fish and discards of fish carcasses after the roe has been stripped from fish because roe has higher market price. Levels of poaching gradually decreased in the late 2000s mostly due to regular control of vessel positions at sea and dock-side surveys. SG 80 is met.

The following evidence indicates SG 100 is not met: The official source of information on sanctions on companies operating in the open sea is the Federal Security Service. At this ACDR stage, the team have not yet had the opportunity to verify the data on compliance and sanctions with this organisation. Furthermore, statistics on inspections have yet to be provided. SG 100 is therefore provisionally not met.

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

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No (more information Met? Yes Yes required) Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: FSA is a part of the PCA, which has a long history of involvement in the MSC process, and thus compliance of the fishery with the management system was regularly tested during assessment and annual audits (Payne et al., 2018; Payne and Japp, 2019; Japp and Payne, 2020). The annual level of non-compliance, based on official statistics, is currently some 2% of inspections result in violations. This shows the fishers are well aware of their responsibilities and fishing rules and provides some evidence that the fishers comply with the management system. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The rate of inspection, though adequate by international standards, is however not deemed to provide convincing evidence of performance equating to the requirements of SG 100 (Payne et al., 2018). Moreover, data provided by the FSA of this stage, do not include the number of inspections for the FSA vessels, and thus direct calculations of the rate of non-compliance could not yet be carried out. At this ACDR stage, the team does not consider that the available information provides a high degree of confidence on fishers compliance, and SG 100 is provisionally scored as not met.

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

Met? Yes

Rationale

The following evidence indicates SG 80 is met: Although Far Eastern Russian fisheries were known for high IUU levels in 1990s-2000s, the situation has improved in all fisheries in the region over the last two decades and previous MSC assessments of similar Russian fisheries (Payne et al., 2018; Lajus et al., 2019) have found no evidence of systematic non-compliance in these fisheries. Information on sanctions provided by the Client, which are not numerous and have not resulted in large fines, also confirms this conclusion (see Table 17); however, this remains to be verified with stakeholders at the site visit. SG 80 is met.

References

Japp and Payne (2020), Lajus et al. (2019), Payne et al. (2018) and Payne and Japp (2019) Draft scoring range ≥80 More information sought: More complete data on Information gap indicator UoA inspection rates sought; non-compliance statistics to be verified with authorities.

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

Overall Performance Indicator score

Condition number (if relevant)

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

Scoring Issue SG 60 SG 80 SG 100 Evaluation coverage There are mechanisms in There are mechanisms in There are mechanisms in a Guide place to evaluate some parts place to evaluate key parts of place to evaluate all parts of post of the fishery-specific the fishery-specific the fishery-specific management system. management system. management system. Met? Yes Yes No

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: The fishery has in place mechanisms to evaluate key parts of the management system at different levels. At the fishery council meetings, existing at federal, basin and regional levels, managing authorities receive feedback on management practices from the industry and other stakeholders. It is effective in its operation, and given the regularity with which aspects of the legislative system are updated, it is obviously open to development where potential improvements are identified. The parts of the management system are interrelated, include multiple feedbacks, and the system’s general administrative and bureaucratic transparency is obvious. Key elements that determine the level of annual removals such as TAC monitoring and the stock assessment minimize probability of TAC overshoot. There are mechanisms in place to adjust allowed catch or the allocation of allowed catch between users and these are evaluated annually. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: It is too challenging to claim that “all” parts of a fisheries management system are subject to review. For instance, it is not quite clear what are the mechanisms of evaluation of ‘Responding to feedback and response’, or ‘Collaborating in and initiating a fishery-specific or national research plan’. Rather, the system is evaluated as a whole, changing the different elements if they appear to work ineffectively. This does not allow to meet the SG 100.

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

Rationale

The following evidence indicates SG 60 is met: See SG 80.

The following evidence indicates SG 80 is met: The fishery management system is subject to regular internal review organised within the system of FFA through public hearings, public and expert councils, multi-level reviews of fisheries research institutions etc. Although most of these reviews are done within the system of the FFA, some of them should be considered as external as done in different institutions and departments of FFA. These reviews are regular, as Lloyd’s Register, LR and any variants are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Acoura Marine: trading as Lloyd's Register (Reg. no. SC313289). Registered office: 50 Lothian Road, Festival Square, Edinburgh, EH3 9WJ. Registered in Scotland. A member of the Lloyd’s Register group.

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described in Section 7.5.3. The TAC allocation takes place according to Order 104 (FFA, 2018), which requires that the stock assessment process in the Russian Federation includes multiple reviews. One of them is the State Ecological Expertise which is a part of the Ministry of Natural Resources and Environment (FFA is a part of another ministry, the Ministry of Agriculture). These reviews address a very broad scope of information not only related to the target species, but also to ecosystem considerations. Furthermore, an external review of the SOO pollock fishery management performance was carried out by Radchenko (2017) and directly applies to this fishery. SG 60 and SG 80 are met.

The following evidence indicates SG 100 is not met: The State Ecological Expertise of TAC review is regular (annual), but it addresses only some parts of the management system and does not cover the whole management system. The review by Radchenko (2017) covers the whole system, but it is not regular, thus SG 100 is not met.

References

FFA (2018) and Radchenko (2017)

“O rybolovstve… “ 2004

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)

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8 References

Artyukhin, Y.B., 2015. Report on research works for the study of pollock trawl fishery impact on the condition of seabird populations in the Sea of Okhotsk, collection of statistical and analytical data on presence, interaction with fishing gear and accidental by-catch of seabirds and marine mammals in the pollock trawl fishery in the Sea of Okhotsk during 2014/2015 fishing season - Public version. Kamchatka Branch of the Pacific Geography Institute, FEB RAS. Aydin, K. Y., V. V. Lapko, V. V., Radchenko, V. I., and Livingston, P. A. 2002. A comparison of the eastern and western Bering Sea shelf/slope ecosystems through the use of mass–balance food web models. NOAA Technical Memorandum NMFS-AFSC-130. Babayan, V.K., 2000. Precautionary approach to assessment of total allowed catch (TAC): analysis and practical recommendations. M.: Print VNIRO. 190 p. (in Russian). Babayan, V.K., Vasilyev, D.A., Varkentin, A.I., Sergeeva, N.P., 2006. Methodic peculiarities of pollock TAC assessment in uncertainty Fish species of the Far Eastern Seas: techniques of research. VNIRO Proceedings. V. 146. M.: VNIRO Publishing. P. 13–37. Balykin, P.A., Varkentin, A.I., 2006. Interpretation of ichthyoplankton survey data for the assessment of the spawning stock of Pollock. Fish species of the Far Eastern Seas: techniques of research. VNIRO Proceedings. V. 146. M.: VNIRO Publishing. P. 159–165. Belan, T.A., Oleynik, E., Belan, L., 2004. Characteristics of benthic communities at the northeast Sakhalin Island shelf. THE OKHOTSK SEA AND ADJACENT AREAS 19, 234. BirdLife_International, 2018. Fulmarus glacialis. The IUCN Red List of Threatened Species2018: e.T22697866A132609419. http://dx.doi.org/10.2305/IUCN.UK.2018-2.RLTS.T22697866A132609419.en. Blinov, V.V., 1977. Modeling of natural mortality of younger age fish groups. Ichthyology Issues, 17: 572–578. Blokhin, I.A., 2019. ON INTERACTIONS BETWEEN MARINE MAMMALS AND FISHING FLEET DURING WINTER- AUTUMN WALLEYE POLLOCK AND HERRING FISHERY CAMPAIGN 2017 IN THE SEA OF OKHOTSK. The researches of the aquatic biological resources of Kamchatka and the North-West Part of the Pacific Ocean. 2019;1(54):7-22. (In Russ.) https://doi.org/10.15853/2072-8212.2019.54.7-22. Bulatov, O.A., 2015. On the question of the stock forecasting methodology and pollock fishing strategy. VNIRO Proceedings Aquatic biological resources 157: 45-70. Burkanov, V., Gurarie, E., Altukhov, A., Mamaev, E., Permyakov, P., Trukhin, A., Waite, J., Gelatt, T., 2011. Environmental and biological factors influencing maternal attendance patterns of Steller sea lions (Eumetopias jubatus) in Russia. Journal of Mammalogy 92, 352–366. Caddy, J.F., 1998. A short review of precautionary reference points and some proposals for their use in data-poor situations. FAO Fisheries Technical Paper 379. Dulepova, E., Radchenko, V., n.d. PICES report - Sea of Okhotsk. FAO, 1995. Code of Conduct for Responsible Fisheries. www.fao.org/3/v9878e/v9878e00.htm#: :text=The%20Code%2C%20which%20was%20unanimously,the%20environment%20(Annex%202). FAO, 2010. Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing (FAO 2010). www.fao.org/fileadmin/user_upload/legal/docs/037t-e.pdf. FFA, 2008. Methods of Walleye Pollock stock assessment in the Okhotsk and Bering Seas, annual stock research activities and justification of total allowable catches. FFA website. http://fish.gov.ru/files/documents/otraslevaya_deyatelnost/sistema_VBR/Obosnovanie_ODU_na_primere_min taya.pdf. Federal Fisheries Agency. FFA, 2018. Federal Fisheries Agency Order 104 from www.fish.gov.ru/files/documents/otraslevaya_deyatelnost/sistema_VBR/Etapy_ustanovleniya_ODU.pdf. Order 104 requires that the stock assessment process in the Russian Federation should proceed under following way (FFA 2018): Fishery regulations for the Far Eastern Fishery Basin (as amended on May 23, 2019). Registered with the Ministry of Justice of the Russian Federation (as of June 5, 2019). 23 January 2014, N 31100. Правила

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Lapko, V. V. 1994. Trophic relations in epipelagic ichthyocen of Okhotsk Sea. Abstract of the 3rd Annual Meeting of PICES, Nemuro, Hokkaido, Japan, 15–24 October 1994. p. 28. Loughlin, T.R., Gelatt, T.S., 2018. Steller Sea Lion. In Encyclopedia of Marine Mammals (Third Edition). Academic Press. Lowry, L., 2016. Pusa hispida. The IUCN Red List of Threatened Species 2016: e.T41672A45231341. https://dx.doi.org/10.2305/IUCN.UK.2016-1.RLTS.T41672A45231341.en. Downloaded on 08 February 2021. Melnychuk, M.C., Peterson, E., Elliott, M., Hilborn, R., 2017. Fisheries management impacts on target species status. PNAS January 3, 2017 114 (1) 178-183. https://doi.org/10.1073/pnas.1609915114. MRAG_Americas, 2012. MSC Public Certification Report for the Ozernaya Sockeye Salmon Fishery. Nadtochy, V., Budnikova, L., 2004. Preliminary data on the recent state of macrobenthos on the Okhotsk Sea Shelf of Sakhalin Island. THE OKHOTSK SEA AND ADJACENT AREAS 168. Nadtochy, V., Budnikova, L., Bezrukov, R., 2007. Some results of benthos valuation in Russian waters of the Far Eastern Seas: composition and quantitative distribution (Okhotsk Sea). Izvestiya TINRO 149, 310–337. Nadtochy, V.A., Koblikov, V.N., 2005. Studies of benthos of the Far Eastern Seas ofRussia in TINROCenter // Izv. TINRO. — 2005. — Vol. 141. — P. 229–236. O’Boyle, R., Japp, D., Payne, A., Devitt, S., 2013. MSC Public Certification Report for the Russian Sea of Okhotsk Mid- water Trawl Walleye Pollock (Theragra chalcogramma) Fishery. Ref: (82505). Intertek Moody Marine. Ohshima, K.I., Nakanowatari, T., Nakatsuka, T., Nishioka, J., Wakatsuchi, M., 2009. Changes in the Sea of Okhotsk due to global warming - Weakening pump function to the North Pacific. PICES Scientific Report No. 36. “O rybolovstve i sokhranenii vodnykh biologicheskikh resursov" Federal Law from 20.12.2004 N 166-FZ "Ob okhrane okruzhayushchey sredy" Federal Law from 10.01.2002 N 7-FZ "Ob akvakul'ture (rybovodstve) i o vnesenii izmeneniy v otdel'nyye zakonodatel'nyye akty Rossiyskoy Federatsii" Federal Law from 02.07.2013 N 148-FZ Panfilov, A.M., 2017. On the development of the total allowable catch of Okhotsk herring Clupea pallasii Cuvier et Valenciennes, 1847 in 2001–2016. Research of the Water Biological Resources of Kamchatka and The North- West Part of the Pacific 45: 54-61 (In Russian). Panfilov, A.M., Ponomarev, S.D., Mitenkova, L.V., 2017. Proceedings of the total allowable catch in areas harvest (catch) of aquatic biological resources in the inland waters of the Russian Federation, in the territorial sea of the Russian Federation, on the continental shelf of the Russian Federation, in the exclusive economic zone of the Russian Federation, Azov and Caspian seas for 2018 (with an environmental impact assessment). Part 2. Fishes of the Far Eastern seas, Volume 2: 61,05 – the Sea of Okhotsk Zone (61.05.1 – the North Okhotsk subarea (herring assessment). Ministry of Agriculture Federal Agency for Fisheries, Federal State Budget for Scientific Institutions (All-Russian Scientific Research Institute of Fisheries and Oceanography), Moscow. Payne, A.I.., O’Boyle, R., Japp, D.W., 2018. MSC Public Certification Report for the Russia Sea of Okhotsk Pollock fishery. Acoura Marine Ltd report. Payne, A.I.L., Japp, D., 2019. MSC Year 1 surveillance report for the Russia Sea of Okhotsk Pollock fishery. Lloyds Register. PCA, 2017a. TAC Planning and Approval Procedure. PCA, Vladivostok. Pollock Catchers Association. PCA, 2017b. Meeting of the Working Group on monitoring and observation of the Sea of Okhotsk pollock fishery. Vladivostok, 7 December 2017. Pollock Catchers Association. PCA, 2018. Response and supplementary responses to Principle 1 questions for clarification on Sea of Okhotsk pollock. PCA, Vladivostok. Pollock Catchers Association. PCA, 2020. http://www.russianpollock.com/information/news/pca-summarizes-results-of-at-sea-observer-program-for- the-sea-of-okhotsk-pollock-fishery-in-2020/. Pollock Catchers Association. Radchenko, V.I., 2015. Characteristics of the Sea of Okhotsk ecosystem based on modeling results. Характеристика экосистемы Охотского моря по результатам моделирования. Proceedings of VNIRO. Труды ВНИРО 155.

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Radchenko, V.I., 2017. Russian Fisheries Management System performance (the Sea of Okhotsk walleye pollock fishery case study). PCA, Vladivostok. 37 pp. available at www.russianpollock.com. 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. Savenkov, V.V., Pilganchuk, O.A., Shpigalskaya, N.Y., Denisenko, A.D., 2017. Sea of Okhotsk pollock differentiation by microsatellite loci: the genetics of populations: progress and prospects. Abstract of materials presented at the International Scientific Conference dedicated to the 80th anniversary of Academician Yu. P. Altukhov (1936– 2006) and 45th anniversary of the Yu. P. Altukhov Population Genetics Laboratory, General Genetics Institute of the Russian Academy of Sciences, April 2017. Zvenigorod Biological Station, Biological Department of Moscow State University. Sharov, A., 2016. Analysis of the Sea of Okhotsk pollock stock assessment model and its effectiveness in addressing all major sources of uncertainty. Report to Pollock Catchers Association, Vladivostok. 36 pp. Shevchenko, A.I., Mayss, A.A., Akimova, O.V., 2014. Analysis of Existing Means for the Selective Trawl Pollock Fishery Systems. Scientific Works of Dalrybvtuz. 32:42:50 (In Russian). Smirnov, A.V., Avdeev, G.V., Nikolaev, A.V., Shevtsov, V.I., 2006. Stock assessment of the Okhotsk Sea pollock by instrumental methods. Fish species of the Far Eastern Seas: techniques of research. VNIRO Proceedings. V. 146. M.: VNIRO Publishing. P. 132–152. Smirnov, A.V., Kulik, V.V., Ovsyannikov, E.E., Sheybak, A.Y., 2014. Development of an observer program for monitoring of pollock trawl fishery in North Sea of Okhotsk. Assessment of pollock trawl fishery impact on Sea of Okhotsk ecosystem (scientific and technical deliverables). TINRO, Vladivostok. 30 pp. Smirnov, A.V., Leonov, V.Y., Kravchenko, N.E., 2016. Results of the State monitoring of pollock by group of observers in the Sea of Okhotsk, January 1 — March 31, 2016. TINRO, Vladivostok. 114 pp. Smirnov, A.V., Leonov, V.Y., Kravchenko, N.E., Raklistova, M.M., 2017. Results of the pollock fishery monitoring activities performed by observers in the Sea of Okhotsk during January 1–April 9, 2017. TINRO, Vladivostok. 121 pp. Sorokin, Yu. I. and Sorokin, P. Yu. 1999. Production in the Sea of Okhotsk. Journal of Plankton Research 21: 201–230. Spiridonov VA, Vinnikov AV, Golenkevich AV, Mayss AA. 2018. “Vulnerable marine ecosystems” and related notions in the practice of marine environmental management: conceptions, terminology and possibilities of application for the conservation of the marine environment and biological resources of the Russian seas. Trudy VNIRO 174: 143-173. TINRO, 2017a. West Kamchatka Shelf Greenland halibut harvest control rule analysis. TINRO Report, Vladivostok. 19 pp. TINRO, 2017b. Commercial bottom trawl GLM catch rate analysis. TINRO Centre, Vladivostok. United Nations Commission on the Limits of the Continental Shelf (March 11, 2014). Summary of the recommendations of the limits of the continental shelf in regard to the partial revised submission made by the Russian Federation in respect of the Sea of Okhotsk on 28 February 2013. https://www.un.org/Depts/los/clcs_new/submissions_files/rus01_rev13/2014_03_13_COM_REC_RUS_Summ ary.pdf. Retrieved March 2021. Valle-Esquivel, M., Lajus, D., Stern-Pirlot, A., 2021. MSC Public Comment Draft Report for the Vityaz-Avto Danish Seine Walleye Pollock Fishery. MRAG Americas. Varkentin, A.I., Ilyin, O.I., 2014. Analysis of efficiency of the pollock fishery strategy in the north Sea of Okhotsk and uncertainty considerations for pollock stock assessment and TAC planning in the north Sea of Okhotsk. Research Report Kamchatka Research Institute of Fisheries and Oceanography. KamchatNIRO, Petropavlovsk-Kamchatsky. 71 pp. Varkentin, A.I., Ilyin, O.I., 2015. Analysis of efficiency of the pollock fishery strategy in the north Sea of Okhotsk and uncertainty considerations for pollock stock assessment and TAC planning in the north Sea of Okhotsk. Research Report Kamchatka Research Institute of Fisheries and Oceanography. KamchatNIRO, Petropavlovsk-Kamchatsky. 92 pp.

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Varkentin, A.I., Ilyin, O.I., 2016. Analysis of efficiency of the pollock fishery strategy in the north Sea of Okhotsk and uncertainty considerations for pollock stock assessment and TAC planning in the north Sea of Okhotsk. Research Report Kamchatka Research Institute of Fisheries and Oceanography. KamchatNIRO, Petropavlovsk-Kamchatsky. 77 pp. Varkentin, A.I., Ilyin, O.I., 2017. Analysis of efficiency of the pollock fishery strategy in the north Sea of Okhotsk and uncertainty considerations for pollock stock assessment and TAC planning in the north Sea of Okhotsk. Research Report Kamchatka Research Institute of Fisheries and Oceanography. KamchatNIRO, Petropavlovsk-Kamchatsky. 78 pp. Varkentin, A.I., Sergeeva, N.P., 2017. Fishing for pollock (Theragra chalcogramma) in the Kamchatka waters in 2003- 2015. // Studies of aquatic biological resources of Kamchatka and the northwestern Pacific: Sat. scientific works. Vol. 47. Petropavlovsk-Kamchatsky. KamchatNIRO. p. 5–45. (Russian). Варкентин А.И., Сергеева Н.П. 2017. Промысел минтая (Theragra chalcogramma) в прикамчатских водах в 2003-2015 гг. // Исследования водных биологических ресурсов Камчатки и северо-западной части Тихого океана: Сб. научных трудов. Вып. 47. Петропавловск-Камчатский. КамчатНИРО. С. 5–45. Vasilyev, D., 2005. Key aspects of robust fish stock assessment: M. VNIRO Publishing, Moscow. 105 pp. Volvenko, I.V., Orlov, A.M., Gebruk, A.V., Katugin, O.N., Vinogradov, G.M., Maznikova, O.A., 2018. Species richness and taxonomic composition of trawl macrofauna of the North Pacific and its adjacent seas. Scientific reports 8, 1–20. WWF, 2008. Illegal Fishing in Arctic Waters. Publisher: WWF International Arctic. Zgurovsky, K.A., Lajus, D.L., Moiseev, A.P., Sendek, D.S., Spiridonov, V.A., Kats, E.C., Gvozdeva, D.A., Sennikov, S.A., 2013. Kommentarii ekspertov k kodeksu vedenia otvetstvennogo rybolovstva [Comments of Experts to the Code of Conduct of Responsible Fisheries], WWF Russia, Moscow, Комментарии экспертов к кодексу ведения ответственного рыболовства. WWF России, Москва. 〈www.wwf.ru/data/publ/550/kodex- fish_web.pdf〉. Zhang, C.I., Radchenko, V., Sugimoto, T., Hyun, S., 2004. Interdisciplinary physical and biological processes of the Sea of Okhotsk and the Japan/East Sea (11, S). In: The Sea, Volume 14, edited by Allan R. Robinson and Kenneth H. Brink. ISBN 0–674– ©2004 by the President and Fellows of Harvard College. Zverkova L.M. 2006. The methods of marine research works on pollock Fish species of the Far Eastern Seas: techniques of research. VNIRO Proceedings. V. 146. M.: VNIRO Publishing. P. 153–159.

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9 Appendices 9.1 Assessment information

9.1.1 Previous assessments

The FSA fishery has already been MSC certified under the Russia Sea of Okhotsk pollock fishery (see link) through its membership of the Pollock Catchers Association (PCA). The PCA is the certificate holder for the Russia Sea of Okhotsk pollock fishery. FSA left the PCA in late 2020 (although its vessels are still on the MSC vessel list) and is now pursuing its own MSC certification.

9.1.2 Small-scale fisheries

To help identify small-scale fisheries in the MSC program, the CAB should complete the table below for each Unit of Assessment (UoA). For situations where it is difficult to determine exact percentages, the CAB may use approximations, e.g. to the nearest 10%. Table 18. Small-scale fisheries

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

All 0% 0%

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9.2 Evaluation processes and techniques

9.2.1 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

The assessment was announced on the MSC website and stakeholders that were identified by the client, MSC Outreach staff and also by Lloyd’s Register, using stakeholder list from other MSC assessments within the region, were contacted directly by Lloyd’s Register.

The site visit for this fishery will take place commencing the 25th May 2021. Given the ongoing COVID-19 pandemic, LR is submitting a Variation Request for this initial assessment to be conducted remotely, in line with the MSC Feb 26th COVID-19 derogation. The result of the VR will be available on the MSC website before the site visit. If you would like to speak with the team please notify us as soon as possible, and before the end of the consultation period for submission of information (see below) – we can then arrange appropriate discussion opportunity. The assessment team will prepare an audit itinerary prior to the site visit, and meetings will be conducted with available stakeholders.

9.2.2 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

A total of 61 stakeholder organisations and individuals having relevant interest in the assessment were identified and notified, via e-mail, of the surveillance process. This highlighted the potential process for engagement in the surveillance, if desired. In addition, the interest of others not appearing on this list was solicited through the postings on the MSC website.

9.2.3 Evaluation techniques

1. Public Announcements The full assessment was publicly announced on the 26th March 2021 at the MSC website as well as sent by email in the MSC Fishery Announcements newsletter to all registered recipients. The announcement was also distributed to all LR stakeholders via the LR Mailchimp system (see Section 9.2.2). This will be the method used for consultation on subsequent steps (e.g. peer reviewers announcement, new UoA, etc.). See Section 9.4 for a detailed list of all consultations that took place at different stages along the process. At this time, LR also announced the assessment site visit dates and location, as well as the assessment team. This was done according to the process requirements in MSC’s Fisheries Certification Process v2.2, and in the MSC Fisheries Standard v2.0/2.01. Together, these media presented the announcement to a wide audience representing industry, agencies, and other stakeholders. Meetings and

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conference calls held during the site visit will constitute the main tool in guaranteeing the participation of relevant stakeholders.

2. Information gathering The assessment team reviewed documents sent by the client ahead of the onsite visit (including client retained catch data from logbooks (daily vessel records), client translated observer reports for 2020, TINRO translated observer reports for 2016-2020 for the entire SOO pollock mid-water trawl fishery, translated Russian fisheries regulations, data on compliance and sanctions and traceability documentation). The team supplemented the information provided with publicly available scientific and grey literature. See section 8 for a detailed list of references used. At the site visit discussions with the clients and management agencies will centre on the content within the provided documentation and information gaps identified in the ACDR. In cases where relevant documentation cannot be provided in advance of the meeting, it will be requested by the assessment team and subsequently supplied during, or shortly after the meeting. The MSC allow 30-days from the last day of the site visit for information to be provided. Any information not publicly available on or before this date cannot be used to justify scoring changes in the assessment. The assessment team and the clients will set up meetings with all the relevant stakeholders during the site visit, as per MSC FCP v2.2, Section 7.16.

3. Scoring Scoring at the CPRDR stage will be performed according to the procedure established in MSC FCP v2.2 7.17. In the Fisheries Standard v2.01 default assessment tree used for this assessment, the MSC has 28 PIs, six in Principle 1, 15 in Principle 2, and seven in Principle 3. The PIs are grouped in each principle by ‘component.’ Principle 1 has two components, Principle 2 has five, and Principle 3 has two. Each PI consists of one or more ‘scoring issues;’ a scoring issue is a specific topic for evaluation. ‘Scoring Guideposts’ define the requirements for meeting each scoring issue at the 60 (conditional pass), 80 (full pass), and 100 (state of the art) levels.

Note that some scoring issue may not have a scoring guidepost at each of the 60, 80, and 100 levels; in the case of the example above, scoring issue (b) does not have a scoring issue at the SG 60 level. The scoring issues and scoring guideposts are cumulative; this means that a PI is scored first at the SG 60 levels. If not all of the SG scoring issues meet the 60 requirements, the fishery fails, and no further scoring occurs. If all of the SG 60 scoring issues are met, the fishery meets the 60 level, and the scoring moves to SG 80 scoring issues. If no scoring issues meet the requirements at the SG 80 level, the fishery receives a score of 60. As the fishery meets increasing numbers of SG 80 scoring issues, the score increases above 60 in proportion to the number of scoring issues met; PI scoring occurs at 5-point intervals. If the fishery meets half the scoring issues at the 80 level, the PI would score 70; if it meets a quarter, then it would score 65; and it would score 75 by meeting three-quarters of the scoring issues. If the fishery meets all of the SG 80 scoring issues, the scoring moves to the SG 100 level. Scoring at the SG 100 level follows the same pattern as for SG 80. Principle scores result from averaging the scores within each component, and then from averaging the component scores within each Principle. If a Principle averages less than 80, the fishery fails. Scoring for this fishery will follow a consensus process in which the assessment team discussed the information available for evaluating PIs to develop a broad opinion of performance of the fishery against each PI.

The assessment team will hold preliminary scoring meetings along the site visit where the Performance Indicators of the fishery were evaluated jointly by the team in order to assess whether there was still information needs to be communicated to the client. After the site visit, each team member will be assigned their relevant section in the report to complete before proceeding to a joint evaluation of every PI and the pertaining scoring systems and rationales through scoring meetings which may take place via conference calls. Team members are responsible for completely their relevant scoring tables and providing a provisional score. The necessary harmonisation procedure is already described in section 9.10. PI scores will be entered into MSC’s Fishery Assessment Scoring Worksheet (Section 7.1) to arrive at Principle-level scores.

4. Scoring elements

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A complete list of the different scoring elements as used in the scoring tables is presented below in Table 15.

5. Use of the RBF At this ACDR stage, the Risk-Based Framework is triggered for Secondary species outcome (PI 2.2.1) and ETP species outcome (PI 2.3.1). The RBF is being triggered for two reasons:

1) A small number of seabirds (puffins and gulls) recorded in the observer data were not identified to species level (Section 7.4.3). The RBF is therefore triggered to firstly identify the likely species encountered by the fishery. At this stage it is not known whether those species are protected under binding national or international legislation (in which case they should be considered ETP species) or not (in which case they should be considered Secondary species). For this reason, the RBF is being triggered for both ETP and Secondary species outcome. Additional evidence may be presented prior to the site visit which may remove the need for the RBF on ETP species. In this case, the procedure as per MSC FCPv2.2 Annex PF2.1 will be applied.

2) The main secondary species identified thus far, northern fulmar and Okhotsk ringed seal, do not have biologically- based limits available, derived either from analytical stock assessment or using empirical approaches. As per Table 3 (FCP2.2), the RBF is therefore triggered for Secondary species outcome.

During the site visit, stakeholders will be invited to participate in identifying the likely seabird species encountered by the fishery, taking into account the information already provided in the observer reports. Unless additional evidence is provided in the meantime (as discussed above), any relevant information will be provided in an RBF information pack prior to the site visit. A second aim of the RBF process will be to gain stakeholder’s input to score the Susceptibility attributes which form part of the MSC’s RBF Productivity Susceptibility Analysis (PSA). This PSA analysis should be carried out for any of the main Secondary species identified and for which biologically-based limits are not available.

The use of the RBF was announced followed the MSC’s procedure outlined in the FCP v2.2, Annex PF, Section PF2.1.

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

6. IPI Requirements No IPI stocks have been identified.

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9.3 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

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9.4 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

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9.5 MSC Technical Oversight

To be drafted at Public Comment Draft Report

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9.6 Conditions

9.6.1 Summary of conditions closed under previous certificate

The FSA was previously a member of the PCA. The PCA is the certificate holder for the Russia Sea of Okhotsk pollock fishery. Please see Section 9.1.1 for a brief overview of the Russia Sea of Okhotsk pollock fishery previous assessment.

9.6.2 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 19. 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).

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9.7 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

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9.8 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 20. 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 21. 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 22. 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.

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9.9 Risk-Based Framework outputs

To be drafted at Client and Peer Review Draft Report stage

9.9.1 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 23. 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

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9.9.2 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 24. 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

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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 25. 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.

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9.9.3 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 26. 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

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9.9.4 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 27. 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

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9.10 Harmonised fishery assessments The MSC Fisheries Certification Process v2.2 (FCP) sets out procedures for ensuring consistency of outcomes in overlapping fisheries (see Annex PB of the FCP). The intention of this process is to maintain the integrity of MSC fishery assessments. The audit team have consulted the guidance issued on the MSC’s interpretation log to identify the harmonisation requirements for this fishery (see https://mscportal.force.com/interpret/s/article/What-are-the-MSC-requirements-on- harmonisation-multiple-questions-1527586957701). For each overlapping fishery, LR have considered harmonisation requirements for each PI using the table below.

9.10.1 MSC Directions for harmonisation between overlapping MSC fisheries

Table 28. MSC directions for harmonisation between overlapping MSC fisheries

MSC Fisheries with overlapping UoCs to the UoAs under assessment here are detailed below in Table 29 and the relevant PIs which require harmonisation are shown. Please note only MSC Fisheries using the same version of the assessment tree (v2.0 or v.201) have been harmonised (MSC FCP v2.2 Annex PB 1.2.1). The scores awarded and any differences in scoring are shown in Table 38.

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Table 29. Overlapping fisheries

Fishery name Certification status and date Performance Indicators to harmonise

P1: All PIs PI 2.2.1 (a) In Assessment (ACDR stage) – PI 2.3.1 (a) FSA Sea of Okhotsk pollock fishery v2.01 PI 2.4.1 (b) PI 2.4.2 (a&d) P3: All PIs In Assessment (CPRDR stage) – Western Bering Sea Pollock PI: 3.1.1-3.1.3 v2.01 P1: All PIs Russia Sea of Okhotsk pollock Certified – 28th August 2018 – v1.3 P2: N/A P3: All PIs PI 2.2.1 (a) Western Bering Sea Pacific Cod and PI 2.4.1 (b) October 2019 v2.0 Pacific halibut longline PI 2.4.2 (a&d) PI: 3.1.1-3.1.3 Kuril Islands Pelagic Trawl and In assessment (CPRDR Stage) – PI 2.3.1 (a) Danish Seine Pollock V2.01 P3: All PIs P1: All PIs Vityaz-Avto Danish Seine Walleye In assessment (PCDR Stage) – PI 2.3.1 (a) Pollock fishery V2.01 P3: All PIs East Kamchatka Alaska (Walleye) In assessment (Site visit stage) – PI 2.3.1 (a) pollock mid-water trawl v2.01 P3: All PIs

Table 30. Overlapping fisheries information

Supporting information

For Principle 1, ACDR scoring was harmonised with the pre-existing scoring for the fisheries shown in Table 29. No differences in scores are anticipated.

For Principle 2, a harmonisation meeting took place on the 28th January 2021 during which designation of VMEs within Russian Far East waters and consideration of seabirds as Secondary species was discussed. There was unanimous agreement between CABs that at present, none of the habitats in Russian Far East waters meet the MSC definition of a VME habitat. Although some ACDRs are currently published with VMEs considered in scoring, these rationales will be amended in the next reporting phase. Some of the fisheries under assessment (including this one) are likely to score certain seabird species as secondary species. This will depend on fishery encounter data; however, there was agreement that non-ETP birds should be scored as Secondary main species (out of scope species). There was furthermore agreement on the fact that no limits are in place for any of the ETP species identified to date (for this fishery at the ACDR stage this is the Steller sea lion).

For Principle 3, a harmonisation meeting is likely to be organised prior to the site visit taking place. Information will be added in the next version of this report.

Was either FCP v2.2 Annex PB1.3.3.4 or PB1.3.4.5 applied when harmonising? TBC

Date of harmonisation meeting TBC

If applicable, describe the meeting outcome

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TBC

Table 31. Comparison of P2 scoring element tables with overlapping fisheries

Western Kuril East Bering Islands Vitya-Avto Kamchatka BSAI and Sea FSA Sea of Russia Sea Western Pelagic Danish Seine Alaska GOA Pacific Component Okhotsk of Okhotsk Bering Sea Trawl and Walleye (Walleye) Alaska Cod and pollock fishery Pollock Pollock Danish Pollock pollock pollock Pacific Seine fishery mid-water halibut Pollock trawl longline

Theragra chalcogramma Zones PI1.1.1 (pollock) Zones 61.05.1, zones 270 Target WBS Stock EBS stock No overlap 61.05.4, No overlap Zones 61.05.2 & 271, species 61.05.2 61.05.1, 61.05.4 61.05.2 & 61.05.4

PI 2.1.1 Clupea pallasii Classified Primary (Pacific N/A No overlap as ETP no No overlap No overlap No overlap No overlap main herring) overlap

Horned tufted puffin No PI 2.2.1 gull No recorded TBC – Northern Northern Northern recorded Secondary N/A interaction after site northern fulmar fulmar fulmar interaction main with birds visit fulmar with birds Okhotsk ringed seal

Steller sea Steller sea Steller sea PI 2.3.1 Steller sea lion Steller sea N/A no overlap lion (no lion (no lion (no no overlap ETP (no limits) lion (no limits) limits) limits) limits)

None identified Short-tailed Short-tailed at ACDR stage albatross PI 2.3.1 ETP N/A albatross (no No overlap No overlap No overlap no overlap (to check limits) PCR)

VME indicators PI 2.4.1 scored – to VME none N/A VME none No overlap VME none VME none VME none Habitats update after site visit

a) not scored a) not scored a) not a) not a) not scored a) not PI 2.4.2 a & scored at scored at at SG100 scored at at SG100 N/A at SG100 No overlap d SG100 SG100 SG100 d) not scored d) not scored d) scored at d) not d) not SG80 or d) scored

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scored scored higher (What at SG80 or protection higher measures (What have they protection considered measures within and have they outside the considered UoA.) within and outside the UoA.)

The following tables will be updated in the next version of the report, as needed. Table 32. Principle 1 Scoring differences

Vitya-Avto FSA Sea of Kuril Islands Danish Russia Sea Performance Okhotsk Pelagic Trawl Seine of Okhotsk Indicator (PI) pollock and Danish Walleye Pollock fishery Seine Pollock Pollock fishery

PI 1.1.1 ≥80 100 ≥80 100

PI 1.1.2 N/A 90 N/A N/A

PI 1.1.3* N/A N/A N/A N/A

PI 1.2.1 ≥80 95 ≥80 95

PI 1.2.2 ≥80 90 ≥80 85

PI 1.2.3 ≥80 90 ≥80 90

PI 1.2.4 ≥80 90 ≥80 85 *Additional PI under V1.3 of the MSC standard

Table 33. Principle 2 PI 2.1.1 (a) Pacific herring, status relative to PRI

Performance FSA Sea of Okhotsk Western Bering Sea Indicator (PI) pollock fishery Pollock fishery PI 2.1.1. (a) ≥80 100 Pacific herring

Table 34. Principle 2 PI 2.2.1 (a) Northern Fulmar, status relative to BBL

Western Bering Sea Performance FSA Sea of Okhotsk Western Bering Sea Pacific Cod and Pacific Indicator (PI) pollock fishery Pollock fishery halibut longline

PI 2.2.1 (a) Northern ≥80 100 100 Fulmar

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Table 35. Principle 2 PI 2.3.1(a) Stellar sea lion and Short-tailed albatross, recognition of national limits

Kuril Islands Vitya-Avto Danish East Kamchatka FSA Sea of Performance Western Bering Pelagic Trawl and Seine Walleye Alaska (Walleye) Okhotsk pollock Indicator (PI) Sea Pollock fishery Danish Seine Pollock fishery pollock mid-water fishery Pollock trawl

PI 2.3.1(a) Stellar sea N/A – no limits N/A – no limits N/A – no limits N/A – no limits N/A – no limits lion

Table 36. Principle 2 PI 2.4.1 (b), identification of VMEs and PI 2.4.2 (a&d) scoring

Western Vitya-Avto East FSA Sea of Bering Sea Kuril Islands Danish Seine Kamchatka Western Performance Okhotsk Pacific Cod Pelagic Trawl Walleye Alaska Bering Sea Indicator (PI) pollock and Pacific and Danish Pollock fishery (Walleye) Pollock fishery fishery halibut Seine Pollock pollock mid- longline water trawl

PI 2.4.1(b) N/A – no N/A – no N/A – no N/A – no N/A – no SG 80 VMEs VMEs VMEs VMEs VMEs identified identified identified identified identified

PI 2.4.2 (a) Not scored Not scored at Not scored at Not scored at Not scored at Not scored at at SG 100 SG 100 SG 100 SG 100 SG 100 SG 100

PI 2.4.2 (d) N/A – no N/A – no N/A – no N/A – no SG 80 SG 80 VMEs VMEs VMEs VMEs identified identified identified identified

Table 37. Principle 3 Scoring differences

Kuril Vitya-Avto East Western Islands Danish Kamchatka FSA Sea of Bering Sea Western Russia Sea Pelagic Seine Alaska Performance Okhotsk Pacific Cod Bering Sea of Okhotsk Trawl and Walleye (Walleye) Indicator (PI) pollock and Pacific Pollock Pollock Danish Pollock pollock mid- fishery halibut fishery Seine fishery water trawl longline Pollock

PI 3.1.1 ≥80 95 100 95 ≥80 100 ≥80

PI 3.1.2 ≥80 95 95 95 ≥80 95 ≥80

PI 3.1.3 ≥80 100 100 100 ≥80 100 ≥80

PI 3.1.4* N/A 80 N/A N/A N/A N/A N/A

PI 3.2.1 ≥80 90 N/A N/A N/A 90 ≥80

PI 3.2.2 ≥80 80 N/A N/A N/A 85 ≥80

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PI 3.2.3 ≥80 90 N/A N/A N/A 75 60-79

PI 3.2.4 ≥80 90 N/A N/A N/A 80 ≥80

PI 3.2.5* N/A 80 N/A N/A N/A N/A N/A *Additional PI under V1.3 of the standard Table 38. 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).

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

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9.11 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

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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]

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