FAO REGIONAL WORKSHOP ON VULNERABLE MARINE ECOSYSTEMS (VMES) IN THE NORTH PACIFIC OCEAN

FIPI/FIRF/R1121(En) FAO Fisheries and Aquaculture Report ISSN 2070-6987 Report of the FAO REGIONAL WORKSHOP ON VULNERABLE MARINE ECOSYSTEMS (VMES) IN THE NORTH PACIFIC OCEAN Tokyo, Japan, 11 13 March 2014

FAO Fisheries and Aquaculture Report No. 1121 FIPI/FIRF/R1121 (En) Report of the FAO. REGIONAL WORKSHOP ON VULNERABLE MARINE ECOSYSTEMS (VMES) IN THE NORTH PACIFIC OCEAN Tokyo, Japan, 11 13 March 2014 FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS ROME, 2016

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iii PREPARATION OF THIS DOCUMENT This is the report of the FAO Regional Workshop on Vulnerable Marine Ecosystems (VMEs) in the North Pacific Ocean that took place in Tokyo, Japan, on 11 13 March 2014. The workshop was organised by FAO, with support from the Interim Secretariat for the North Pacific Fisheries Commission (NPFC). A total of 25 participants attended the workshop, with representatives from government fisheries departments, environmental agencies, research institutes, industry, nongovernmental organisations (NGOs), regional organisations, and projects. The workshop was organized as part of the FAO Deep-sea Fisheries Programme to promote the use of the International Guidelines for the Management of Deep-Sea Fisheries in the High Seas (FAO, 2009). The Deep-sea Guidelines provide guidance to states and Regional Fisheries Management Organizations or Arrangements (RFMO/As) to ensure the long-term conservation and sustainable use of marine living resources in the deep seas. This includes preventing significant adverse impacts (SAIs) on vulnerable marine ecosystems (VMEs). FAO. 2016. Report of the FAO Regional Workshop on Vulnerable Marine Ecosystems (VMEs) in the North Pacific Ocean, 11 13 March 2014. FAO Fisheries and Aquaculture Report. No.1121. Rome, Italy. ABSTRACT The Regional Workshop on Vulnerable Marine Ecosystems (VMEs) in the North Pacific Ocean took place in Tokyo, Japan, on 11 13 March 2014. The workshop aimed to raise awareness and build capacity on VMEs and associated management issues in the North Pacific Ocean region. The Workshop discussed the VME concept within the framework of the FAO International Guidelines for the Management of Deep-Sea Fisheries in the High Seas, and looked at examples of different methodologies and options for identifying and managing VMEs, and how these processes can be facilitated. The global VME database being developed and managed by FAO was presented, including how it can support the processes for identifying and managing VMEs in the North Pacific Ocean region. The workshop also identified relevant existing sources of information on deep-sea fisheries and benthic ecosystems. Finally, future requirements and support mechanisms for the VME process were discussed in relation to the upcoming FAO Areas Beyond National Jurisdiction (ABNJ) Deep-sea Project, which could assist with the VME process by working with states and other stakeholders and projects.

v Contents PREPARATION OF THIS DOCUMENT... iii ABSTRACT... iii ABBREVIATIONS AND ACRONYMS... vii INTRODUCTION... 1 General Background... 1 Regional Background... 1 Key Points and Conclusions... 2 WORKSHOP ARRANGEMENTS AND OPENING SESSION... 4 Appointment of Chair and Rapporteur... 4 Adoption of Agenda... 4 Overview of Workshop Objectives and Expected Outputs... 4 SESSION 1: Vulnerable Marine Ecosystems and FAO work... 5 General Introduction... 5 The FAO VME workshops... 6 Discussion... 6 SESSION 2: VMEs AND BENTHIC HABITATS - INSTRUMENTS, GUIDELINES, AND THE FAO ABNJ DEEP-SEA PROJECT... 7 General introduction... 7 The FAO Deep-sea Guidelines... 9 Discussion... 10 SESSION 3: GLOBAL SUMMARY OF VME PROCESSES... 11 General Introduction... 11 Global VME processes in different RFMO/As: comparison between NAFO, NEAFC and SEAFO... 11 Discussion... 13 SESSION 4: VME PROCESSES USED BY THE NPFC - CURRENT PRACTICES AND INTERIM MEASURES... 13 General introduction... 13 NPFC current practices and interim measures: the management and science base... 13 Discussion... 13 SESSION 5: GENERAL PRESENTATIONS ON VMEs FROM OTHER AREAS... 14 General introduction... 14 VME work in other regions... 15 Discussion... 16 SESSION 6: ECOSYSTEM VULNERABILITY, RESILIENCE, AND THE FUTURE SCIENCE PROGRAM (PICES)... 16 General Introduction... 16 Presentation on the work of PICES... 16 Discussion... 17 SESSION 7: THE ROLE OF INDUSTRY IN THE NORTH PACIFIC BOTTOM FISHERIES... 17 General Introduction... 17 Presentation on industry engagement... 18 Discussion... 18 SESSION 8: EXISTING (FISHED) AND NEW (UNFISHED) AREAS... 18 General Introduction... 18 Presentations on fishing areas... 19 Discussion... 20 SESSION 9: EXPLORATORY FISHING PROTOCOLS... 20 General Introduction... 20 The following paragraphs are relevant to this session:... 20 Presentation - North Pacific... 21 Discussion... 21 SESSION 10: BENTHIC HABITAT SURVEYS AND PREDICTIVE MODELLING... 22 General Introduction... 22 Presentation - Use of Species Distribution Models in the Northeast Pacific Ocean... 22 Discussion... 23 SESSION 11: INFORMATION AVAILABLE/REQUIRED IN THE NORTH PACIFIC... 24 General Introduction... 24

vi Presentation - Surveys in the North Pacific... 25 Discussion... 26 SESSION 12: DEFINING AND DELINEATING VME AREAS... 26 General Introduction... 26 Presentation - North Pacific... 27 Discussion... 27 SESSION 13: ENCOUNTER PROTOCOLS (VME INDICATORS AND THRESHOLDS)... 28 General Introduction... 28 Presentations on Ecosystem Impact Assessments... 29 Discussion... 29 SESSION 14: IDENTIFICATION GUIDES AND DATA REPORTING... 30 General Introduction... 30 Presentations on species identification and reporting... 30 Discussion... 31 SESSION 15: IMPACT ASSESSMENTS... 31 General Introduction... 31 SESSION 16: GLOBAL VME DATABASE... 32 General Introduction... 32 Presentation... 33 Discussion... 33 SESSION 17: INTRODUCTION TO THE DEVELOPMENT OF FAO VME CURRENT PRACTICES TECHNICAL REPORT AND WORKSHOP AND DEVELOPING PARTNERSHIPS, COLLABORATIVE WORK AND OPPORTUNITIES... 33 General summary... 33 Appendix A: Agenda... 35 Appendix B: Participants LIst... 38

vii ABBREVIATIONS AND ACRONYMS ABNJ CBD CCAMLR EBSA EIA EU FP7 FAO FIGIS FUTURE ICES WGDEC JOFA NAFO NEAFC NEREIDA NGO NPFC NRA PICES RFMO/A SAI SEAFO SWG TNIRO UNGA VME VMS WGEAFM Areas beyond national jurisdiction Convention on Biological Diversity Commission for the Conservation of Antarctic Marine Living Resources Ecologically or biologically significant area Environmental Impact Assessment EU Seventh Framework Programme Food and Agriculture Organisation of the United Nations Fisheries Global Information System Forecasting and Understanding Trends, Uncertainty and Responses of North Pacific Marine Ecosystems ICES Working Group on Deep-water Ecology Japan Overseas Fishing Association North Atlantic Fisheries Organisation Northeast Atlantic Fisheries Commission NAFO PotEntial VulneRable Marine Ecosystems-Impacts of Deep-sea Fisheries Non-governmental organisation North Pacific Fisheries Commission NAFO Regulatory Area North Pacific Marine Science Organization Regional fisheries management organisation/arrangement Significant adverse impact Southeast Atlantic Fisheries Organisation Scientific Working Group Pacific Scientific Research Fisheries Center of the Russian Federation United Nations General Assembly Vulnerable Marine Ecosystem Vessel monitoring system NAFO Working Group on Ecosystem Approach to Fisheries Management

1 INTRODUCTION General Background The International Guidelines for the Management of Deep-Sea Fisheries in the High Seas 1 (the Deep-sea Guidelines; FAO 2009) provide guidance to states and regional fisheries management organisations or arrangements (RFMO/As) on the long-term conservation and sustainable use of living marine resources in the high seas. This includes preventing significant adverse impacts (SAIs) on vulnerable marine ecosystems (VMEs) by bottom-contact fishing gears. This greatly assists with the implementation of Paragraph 83 (and more generally, paragraphs 80 86) of United Nations General Assembly (UNGA) Resolution 61/105 (2006) 2 as well as the more recent Resolutions 64/72 (2009) 3, 65/38 (2010) 4 and 66/68 (2011) 5. The Food and Agriculture Organization of the United Nations (FAO) has developed a full programme to support the implementation of the Deep-sea Guidelines consistent with the ecosystem approach to fisheries. This includes a VME database that will be used to raise awareness on VMEs among fishery policy makers, managers and scientists, conservationists, the fishing industry, and the public at large. FAO is co-implementing the Areas Beyond National Jurisdiction (ABNJ) Deep-sea Project that will further support sustainable deep-sea fisheries and biodiversity conservation throughout the world's oceans. In May 2010, a workshop to analyse the challenges and propose ways forward for the implementation of the FAO Deep-sea Guidelines was held in Busan, Republic of Korea. This workshop identified specific programmes of work and activities that will be needed to advance implementation of the FAO Deep-sea Guidelines, including further guidance on the use of VME criteria and associated measures. The proposed VME database 6 was introduced and its attributes discussed. In December 2011, a workshop was held at FAO Headquarters in Rome, Italy, to discuss stakeholder needs and to develop a strategy for information-sharing mechanisms for the VME database. The workshop noted the need for regional approaches, and a selection of case study areas were identified to assist in the development of the database. This is the third in a series of regional workshops organized by FAO to facilitate information-sharing and discussion on issues related to VMEs among stakeholders. The knowledge gained at these workshops has fed into the VME database. To date, workshops have been held in July 2012 in Mauritius and April 2013 in Namibia, to discuss the VME process in the Indian Ocean and southeast Atlantic Ocean, respectively. Regional Background The sea floor of the western North Pacific Ocean is dominated by a prominent submarine ridge known as the Emperor Seamounts chain, which runs south from the Aleutian Islands and then west toward the Hawaiian Islands. The southern half of this chain contains many relatively flat-topped and shallow seamounts, known as guyots, which since the late 1960s and 1970s have supported both pelagic and benthic trawl fisheries targeting Pacific saury, Pacific armourhead, and splendid alfonsino. Seamounts with sharper-peaked summits are not suitable for bottom-trawl fisheries and these remain largely unfished. 1 www.fao.org/docrep/011/i0816t/i0816t00.htm. 2 www.un.org/ga/search/view_doc.asp?symbol=a/res/61/105&lang=e. 3 http://daccess-dds-ny.un.org/doc/undoc/gen/n09/466/15/pdf/n0946615.pdf?openelement. 4 http://daccess-dds-ny.un.org/doc/undoc/gen/n10/514/82/pdf/n1051482.pdf?openelement. 5 http://daccess-dds-ny.un.org/doc/undoc/gen/n11/462/90/pdf/n1146290.pdf?openelement. 6 www.fao.org/in-action/vulnerable-marine-ecosystems/en/.

2 Following on from various UNGA Resolutions, and particularly Resolutions 59/25 (2004) and 60/31 (2005), Japan, the Republic of Korea, the Russian Federation, and the United States of America - joined subsequently by Canada, China, Faroe Islands, and Chinese Taipei started negotiations in 2006 that eventually led to the formation of the North Pacific Fisheries Commission (NPFC) 7. They concluded in March 2011 with the adoption of the English text of the "Convention on the Conservation and Management of High Seas Fisheries Resources in the North Pacific Ocean", which was opened for signature on 1 April 2012, and will enter into force when four parties have deposited their instruments of ratification with the Depositary. During this process, the interim NPFC, on the basis of the work of its Scientific Working Group (SWG), adopted measures for VMEs in the Northwest (2007) and Northeast (2011) Pacific Ocean. These include VME definitions, data collection protocols, identification of fished areas, exploratory fishing protocols, encounter protocols, impact assessments, observer programmes, SWG assessment review procedures, and lists of vessels authorised to conduct deep-sea fisheries. Figure 1 shows the main fishing areas in the North Pacific and the NPFC Convention Area. Figure 1: NPFC area of application (yellow), areas within 200 nm jurisdictional limits (blue), and other high seas areas (white). Circled triangles indicate the 12 fished seamounts in the NPFC area of application. 8 KEY POINTS AND CONCLUSIONS Overall The workshop provided an open forum for discussion of VME issues The workshop compared VME processes among regions 7 http://nwpbfo.nomaki.jp/index.html. 8 FAO Areas of competence of Regional Fishery Bodies. More information at www.fao.org/fishery/rfb/en VLIZ MarBound database: Claus S., N. De Hauwere, B. Vanhoorne, F. Souza Dias, F. Hernandez, and J. Mees (Flanders Marine Institute) (2014). MarineRegions.org. Accessed at www.marineregions.org on 2014-10-23.

3 FAO Deep-sea Fisheries Guidelines The workshop discussed the relationship of the Deep-sea Guidelines to UNGA Resolutions 61/105, 64/72, etc. the North Pacific and the application of the Deep-sea Guidelines in NPFC The assessment of Significant Adverse Impacts (Paragraphs 17 20) is difficult given the limited knowledge of the biology and distribution of benthic ecosystems It is important to identify regional differences in fisheries, bathymetry, and ecology, reflected in appropriate regionally-specific VME mitigation measures and use of criteria The workshop clarified that catches of VME indicator species above threshold value represent an encounter with a potential VME and not a quantity that can be removed annually. In most cases, encounters do not automatically result in a VME, but indicate that a VME may be present (although this is dependent upon the measure adopted by the RFMO/A). Networking among RFBs and other relevant organizations Participants noted the common interests of PICES and its FUTURE programme There is a need for understanding the role of the fishing industry in the North Pacific (including its socio-economic role, for example) There is a need for cross-disciplinary work with a broad group of scientists to increase the knowledge base Collaboration between RFMO/As and the fishing industry should improve (or continue) in supporting the implementation of the Deep-sea Guidelines Joint workshops for RFMO/A scientific bodies to develop common standards in the application of VME criteria and the Deep-sea Guidelines, and to share experiences in general should be developed and held NPFC should work with FAO on the further development of tools for the implementation of the Deep-sea Guidelines and VME database. Information Informal list of surveys undertaken in the North Pacific from late 1960s to 2012 were compiled. It will be reviewed by meeting participants and NPFC Secretariat The VME database and content management system was presented Predictive models can be useful to predict or prioritize areas where VMEs may be present or absent, and are often useful in many different stages of the VME process There is a need for development of standardized data collection protocols for research cruises in the region, and collaborate within and across regions on research and surveys Improved understanding of fine-scale fishing patterns may lead to more efficient measures for safeguarding VMEs while minimizing impacts on the fishery Development of protocols or confidentiality rules may likely be required to facilitate fine-scale spatial management Survey work on the Emperor Seamount chain should continue and the data and analyses should be used to provide new information for the VME discussions There is a need for a common understanding of what constitutes a VME and how to delineate a VME Science and management of VMEs should be harmonized at scales that are practical, operationally feasible, and ecologically appropriate Further scientific observer training should be facilitated Species identification guides/materials should be appropriate for region and species groups and practical for users. Future directions The benefits of coordinated joint sampling cruises, possibly in collaboration with industry were noted The usefulness of development of quantitative analyses on the likely occurrence of VMEs and/or SAIs was noted

4 Recommendations to FAO FAO should continue to collaborate with NPFC on the content and associated elements and tools for the database on information on VMEs FAO should provide more specific guidance and standards to assist RFMO/As and states when applying the Deep-sea Guidelines WORKSHOP ARRANGEMENTS AND OPENING SESSION The workshop took place at the Sankaidou Building in Tokyo, Japan, on 11 13 March 2014. The 25 participants (listed in Appendix B) included representatives of governments, environmental agencies, research institutes, non-governmental organizations (NGOs), regional organizations and projects, and the FAO organizers. Mr Kengo Tanaka, Senior Fisheries Negotiator in the International Affairs Division of the Fisheries Agency of Japan, welcomed the participants to Tokyo, and elaborated on the scientific and management contributions that Japan brings to the workshop. He wished all participants a successful workshop. Ms Jessica Sanders, on behalf of FAO, welcomed all participants to the workshop, and emphasised that its purpose was to stimulate informal discussion on VME processes in the North Pacific and elsewhere, as elaborated in the FAO Deep-sea Guidelines. Appointment of Chair and Rapporteur Mr Hitoshi Honda was unanimously appointed Chair of the workshop. It was also agreed that the FAO representatives would collectively fulfil the rapporteur duties, but participants were encouraged to contribute their own summaries of their presentations and records of discussions. Adoption of Agenda The provisional agenda circulated to participants prior to the meeting was adopted (Appendix A). Overview of Workshop Objectives and Expected Outputs Ms Sanders presented the workshop objectives and expected outputs. The objectives included the discussion of a number of issues related to VMEs in the North Pacific Ocean and other regions, including the VME process and concepts and the identification of existing and new fishing areas. Within the framework of the Deep-sea Guidelines and the various relevant UNGA Resolutions, the workshop would: Discuss the VME concept; Present and discuss the VME processes and potential related management measures in the North Pacific and other regions; Review relevant existing information and identify future requirements to establish VMEs; Review information from the NPFC area for input into the VME database; and Support regional collection and sharing of information. The outputs were to include: Key conclusions from the workshop; Regional input into the global FAO VME database and VME processes; and Workshop report The workshop would build on the achievements already made in developing the VME process within the North Pacific and discuss mechanisms for supporting sustainable deep-sea fisheries within an ecosystem approach to fisheries (EAF) framework. Although the workshop would focus on the North Pacific, it was designed to develop networking mechanisms that would allow an exchange of practices

5 more globally. It was hoped that the support provided to states by the workshop would contribute to the process within the North Pacific. SESSION 1: VULNERABLE MARINE ECOSYSTEMS AND FAO WORK General Introduction One of the objectives of the current FAO Deep-sea Fisheries programme, which is supported by Norway, Japan, and France, is the implementation of the sustainable fisheries management practices outlined in the FAO Deep-sea Guidelines. This workshop, the third in the series, was designed to provide support and guidance on the VME process to states with fishing interests in the North Pacific. The workshops also provide an informal forum for discussion among participants, and a mechanism by which FAO learns from participants about where it can best develop activities and provide future support. Link to the International Guidelines for the Management of Deep-Sea Fisheries in the High Seas The preamble to the FAO Deep-sea Guidelines explains that FAO, called upon to develop guidelines, achieved this through a series of Expert Consultations, Technical Consultations, and Workshops. When the FAO Deep-sea Guidelines were adopted in 2008, several RFMO/As had already commenced discussions on VMEs. The following paragraphs are relevant to this session: 5. These Guidelines have been developed for fisheries exploiting deep-sea fish stocks, in a targeted or incidental manner, in areas beyond national jurisdiction, including fisheries with the potential to have significant adverse impacts on vulnerable marine ecosystems (VMEs). 6. The role of the Guidelines is to provide tools, including guidance on their application, to facilitate and encourage the efforts of states and RFMO/As towards sustainable use of marine living resources exploited by deep-sea fisheries, the prevention of significant adverse impacts on deep-sea VMEs and the protection of marine biodiversity that these ecosystems contain. 21. In addition to the considerations in paragraph 12, states and RFMO/As should also recognise the need, in managing [deep-sea fisheries], to do so in a manner consistent with the Code and the general principles set forth in the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (1995 UN Fish Stocks Agreement) and to, inter alia: i. adopt measures necessary to ensure the conservation of target and non-target species, including relevant reference points as referred to in the Code under Article 7.5.3, as well as measures for the prevention of significant adverse impacts on VMEs and the protection of the marine biodiversity that these ecosystems contain; ii. identify areas or features where VMEs are known or likely to occur, and the location of fisheries in relation to these areas and features; 22. States and RFMO/As should ensure that measures for the sustainable conservation and management of DSFs, the prevention of significant adverse impacts on VMEs and protection of the marine biodiversity that these ecosystems contain are adopted and implemented consistent with the precautionary approach. 26. States should establish and implement national policy, legal and institutional frameworks for the effective management of DSFs, including the prevention of significant adverse impacts on VMEs and in order to be able to implement measures agreed by RFMO/As in which they participate. 29. RFMO/As should develop mechanisms for communication, cooperation and coordination among themselves, as well as with relevant international organizations and scientific bodies. 43. These [VME] criteria should be adapted and additional criteria should be developed as experience and knowledge accumulate, or to address particular local or regional needs.

6 The FAO VME workshops In response to an invitation from the United Nations General Assembly (UNGA; UNGA Res. 61/105: Paragraph 90), FAO developed the FAO Deep-sea Fisheries Guidelines. The Deep-sea Guidelines provide support to states and regional bodies in promoting responsible fisheries and protecting marine biodiversity. FAO has held workshops to promote aspects of the Deep-sea Guidelines dealing with various issues, including preventing significant adverse impacts on vulnerable marine ecosystems (VMEs) in the Indian Ocean and Southeast Atlantic. This workshop on the North Pacific is the third in the series, with future workshops being considered in the western central Atlantic, South Pacific, and Mediterranean. The workshops are tailored to the particular needs of the region, and are designed to stimulate open discussion among the participants, who are drawn from regional bodies, the fishing industry, and NGOs. Whenever possible, the workshops will be held in conjunction with workshops on Ecologically or Biologically Significant Areas (EBSA) under the Convention on Biological Diversity (CBD), to enable participants to attend both and discuss the differences between the two processes. Discussion Ms Sanders explained that the VME workshops are held in response to a specific request from a regional fisheries body (RFB), in locations appropriate to the region being discussed. The two previous workshops, in the Indian Ocean and Southeast Atlantic, were held back-to-back with CBD EBSA workshops. This is desirable, as typically these workshops request similar regional data but have different target audiences, though there is increasing overlap as interests broaden. Ms Sanders also explained that the CBD EBSA process is a scientific and technical exercise in describing, as the name suggests, ecologically or biologically significant areas against a set of established and adopted criteria. The application of conservation and management measures in these areas, when and if required, is a matter for states and competent intergovernmental organisations (COP X/26, Paragraph 26). The VME process is essentially one of fisheries management, and is administered by regional bodies with the competence to manage fisheries (e.g. RFMO/As). In the absence of an RFMO/A, the VME process should be adopted by states (particularly those with high-seas deep-sea fishing interests). The purpose of the VME workshops, in general, is to build awareness on the Deep-sea Guidelines and help participants to understand and appreciate what has been going on globally with this issue (see Paragraph 29 of the Deep-sea Guidelines). It is then a matter for the region to apply the Deep-sea Guidelines as appropriate (see e.g. Paragraph 43 of the Deep-sea Guidelines). A question was asked on the inclusion of certain fish species as indicators of VMEs. It was noted that initially the VME process considered mainly possible impacts on deep-water corals and sponges, but now has been extended in many regions to include sea pens, other invertebrates, and other indicator organisms. While the Deep-sea Guidelines do not exclude fish species, or indeed other taxa, from being VME indicators, they are often considered to be covered by other fisheries management measures, such as those for targeted fish stocks or bycatch, and do not fit well into the concept of delineated spatial areas where specific measures are applied. Participants also discussed UNGA Resolutions in general, and noted that the topic of VMEs is included every year in the UNGA Resolutions relating to sustainable fisheries. In addition, reviews of the impacts of bottom fishing on VMEs and the long-term sustainability of deep-sea fish stocks (particularly in relation to UNGA Resolutions 61/105 and 64/72) occur occasionally; there was one in 2011 and there will be another in 2016. A discussion arose on: a) the measurement of implementation, and b) coordination among the different regions. In particular, participants discussed the apparent lack of coordination in the application of the VME concept, but noted that there is neither a need nor a desire for harmonization of approaches among RFMO/As since the ecosystems are so diverse. The review of challenges in implementation of the

7 Deep-sea Guidelines done through an FAO workshop in 2010 9 provided an initial analysis of issues, and Ms Sanders mentioned that FAO was planning a second review in 2016 or so. Some participants also discussed the idea of the scientific bodies meeting to discuss views on the application of VMEs and associated measures. SESSION 2: VMEs AND BENTHIC HABITATS - INSTRUMENTS, GUIDELINES, AND THE FAO ABNJ DEEP-SEA PROJECT General introduction The 1982 United Nations Convention on the Law of the Sea (LOSC) establishes a comprehensive legal regime for the world s oceans. Among other provisions, the LOSC provides for the division of the oceans into areas that may include zones within and beyond national jurisdiction, and establishes specific rights and responsibilities for the usage of the marine space and environment and the resources present in these different zones. Within its 200 mile Exclusive Economic Zone (EEZ), a coastal state has sovereign rights for the purpose of exploring and exploiting, conserving and managing the natural resources, whether living or non-living. While other states have residual rights in the EEZ of coastal states, relating to navigation for instance, they need to have due regard to the rights and duties of the coastal state, and are required to comply with the laws and regulations of the coastal state (LOSC, Article 58). A coastal state has rights and obligations in relation to the conservation of living resources in its EEZ: among other duties, it must determine total allowable catch (LOSC, Article 61). In addition, coastal states have the obligation to promote the objective of optimum utilization of the living resources in their EEZ. If a coastal state does not have the capacity to harvest the total allowable catch, it is required to give other states access to the surplus in accordance with its terms, conditions and laws governing access (LOSC, Article 62). Nationals of other states fishing in the EEZ must comply with the conservation measures and with other terms and conditions established in the laws and regulations of the coastal state, consistent with the provisions of the LOSC (LOSC, Article 62). In relation to straddling stocks occurring in the EEZs of two or more states, these states must seek to agree, either directly, or through appropriate subregional or regional organizations, on measures for the conservation and development of these stocks. Where stocks occur both within and beyond an EEZ, the coastal state and states fishing for such stocks in the adjacent areas must seek to agree, either directly or through appropriate subregional or regional organizations, on measures for the conservation of these stocks in the adjacent area (LOSC, Article 63). Article 64 of LOSC relates to highly migratory species, as listed in Annex I of LOSC. Article 64 provides that a coastal state and other states whose nationals fish in the region for listed highly migratory species must cooperate directly or through appropriate international organizations with a view to ensuring conservation and promoting the objective of optimum utilization, both within and beyond the EEZ. In regions for which no appropriate international organization exists, the coastal state and other states whose nationals harvest these species in the region shall cooperate to establish such on organization and participate in its work. The Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (UNFSA 1995) provides further detail on the provisions of the LOSC that relate to straddling and highly migratory stocks. Section 2 of Part VII of the LOSC which addresses the conservation and management of the living resources of the high seas, applies to high seas stocks. Article 116 provides that states have the right for their nationals to engage in fishing, subject to a number of obligations. Article 117 specifies one of these obligations by specifying that all states have a duty to take, or to cooperate with other states in 99 FAO. Report of the FAO Workshop on the Implementation of the International Guidelines for the Management of Deep-sea Fisheries in the High Seas Challenges and Ways Forward, Busan, Republic of Korea, 10 12 May 2010. FAO Fisheries and Aquaculture Report. No. 948. Rome, FAO. 2011. 74p.

8 taking, measures in respect of their nationals necessary for the conservation of the living resources of the high seas. Article 118 provides that states whose nationals exploit identical living resources or different living resources in the same area must cooperate with each other in the conservation and management of living resources in areas of the high seas. To this end, such states must enter into negotiations with a view to taking the measures necessary for the conservation of the living resources concerned, and must cooperate to establish subregional or regional fisheries organizations to that end. UNGA resolutions related to the oceans and fisheries are negotiated and adopted each year within the context of the LOSC and the UNFSA. Protecting VMEs was first mentioned in 2002, in UNGA Resolution 57/141 (Paragraph 62a), as a recommendation to the Informal Consultative Process to organize its deliberations around the protection of VMEs and the safety of navigation when considering the Secretary General s report on oceans and the law of the sea (UNGA A/59/298) 10. Subsequently, in 2006, UNGA Resolution 61/105 (Paragraph 83) called upon competent RFMO/As to adopt, by 31 December 2008, among other initiatives, protective measures to prevent significant adverse impacts on VMEs. 11. In areas of the high seas where RFMO/As exist (Figure 2), such measures were adopted reasonably rapidly. UNGA resolutions frequently encourage states to activate or develop RFMO/As where they are absent or not yet in force. Figure 2: Regional bodies with competence to manage deep-sea fisheries in areas beyond national jurisdiction. 12 Link to the International Guidelines for the Management of Deep-Sea Fisheries in the High Seas The preamble to the Deep-sea Guidelines refers to LOSC in conformity with which the Guidelines are to be interpreted and applied, and to the process through which the Deep-sea Guidelines were developed. 10 Oceans and the law of the sea - Sustainable fisheries, including through the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, and related instruments - Report of the Secretary- General (26 August 2004). Available at: http://daccess-ddsny.un.org/doc/undoc/gen/n04/471/20/pdf/n0447120.pdf?openelement. 11 UNGA Resolution 61/105. Sustainable fisheries, including through the 1995 Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, and related instruments (6 March 2007). Available at: http://daccess-dds-ny.un.org/doc/undoc/gen/n06/500/73/pdf/n0650073.pdf?openelement. 12 NPFC Convention enters into force on 19 July 2015.

9 Within the context of the North Pacific Ocean, it was noted that the Convention to the NPFC had not entered into force, and therefore NPFC could only adopt interim Measures, which it has done for both the western and eastern North Pacific. In support of the management process in the North Pacific, states have adopted national measures to support the management of deep-sea fisheries and the protection of VMEs from SAI in the North Pacific. The following paragraphs are relevant to this session: 8. These Guidelines have been developed for fisheries that occur in areas beyond national jurisdiction and have the following characteristics: i. the total catch (everything brought up by the gear) includes species that can only sustain low exploitation rates; and ii. the fishing gear is likely to contact the seafloor during the normal course of fishing operations. States and RFMO/As should consider, as appropriate, the application of elements of these Guidelines to similar fisheries in areas beyond national jurisdiction, including those targeting medium productivity species. 11. The main objectives of the management of DSFs are to promote responsible fisheries that provide economic opportunities while ensuring the conservation of marine living resources and the protection of marine biodiversity, by: i. ensuring the long-term conservation and sustainable use of marine living resources in the deep seas; and ii. preventing significant adverse impacts on VMEs. 12. In order to achieve these objectives, states and RFMO/As should: i. adopt and implement measures: in accordance with the precautionary approach, as reflected in Article 6 of the 1995 UN Fish Stock Agreement and set out in Article 6.5 and 7.5 of the 1995 FAO Code of Conduct for Responsible Fisheries (the Code); in accordance with an ecosystem approach to fisheries (EAF); in conformity with the relevant rules of international law, in particular as reflected in the 1982 UN Convention; and in a manner consistent with other relevant international instruments; ii. identify areas where VMEs are known or likely to occur; and iii. take action using the best information available. 21. In addition to the considerations in Paragraph 12, states and RFMO/As should also recognise the need, in managing DSFs, to do so in a manner consistent with the Code and the general principles set forth in the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (1995 UN Fish Stocks Agreement) and to, inter alia: i. adopt measures necessary to ensure the conservation of target and non-target species, including relevant reference points as referred to in the Code under Article 7.5.3, as well as measures for the prevention of significant adverse impacts on VMEs and the protection of the marine biodiversity that these ecosystems contain; ii. identify areas or features where VMEs are known or likely to occur, and the location of fisheries in relation to these areas and features; 29. RFMO/As should develop mechanisms for communication, cooperation and coordination among themselves, as well as with relevant international organizations and scientific bodies. The FAO Deep-sea Guidelines Ms Sanders described the background to the Deep-sea Guidelines, and the development of the text through various workshops, expert consultations, and finally two technical consultations, which resulted

10 in the adoption of the Deep-sea Guidelines in 2008. She described the major sections of the Deep-sea Guidelines, as well as key concepts related to VMEs, such as the VME criteria, vulnerability, and significant adverse impacts. The Deep-sea Guidelines fit into the FAO set of instruments under the umbrella of the FAO Code of Conduct for Responsible Fisheries, and are part of a group of guidance documents entitled International Guidelines. Ms Sanders also described the similarities and differences between VMEs and Ecologically and Biologically Significant Areas (EBSAs). Although both concepts emerged from the same workshops in 2005, the concept of VMEs was specifically designed to fit within management of deep-sea fisheries and is now embedded within the management processes of many RFMO/As and other relevant multi-lateral bodies. VMEs also deal specifically with potential impacts through the concept of significant adverse impacts. EBSAs are a scientific and technical process and are not embedded within a management process; also, they are not restricted to the deep seas, but cover all realms of the oceans, and do not consider threats or potential impacts. Discussion During the discussion, it was clarified that in the absence of RFMO/As, individual states take, or cooperate with other states in taking, measures for their respective nationals as necessary for the conservation of the living resources of the high seas to act and develop voluntary or binding measures for their flagged fishing vessels. In the North Pacific, for example, Japan, the Republic of Korea, and the Russian Federation have adopted measures for their vessels fishing the high seas (although the Russian Federation is not currently fishing with bottom gears in this region). There are also examples of subregional or national implementation of resolutions and guidelines, such as by the European Union and the Republic of Korea, for vessels fishing on the high seas. Furthermore, all of the RFMO/As competent to manage deep-sea fisheries and CCAMLR have implemented sections of the Deep-sea Guidelines by identifying VMEs and taking measures to protect them from any significant adverse impacts. Several participants noted that the Deep-sea Guidelines are rather general, and that more specific guidance would provide greater assistance to states and RFMO/As in defining their VMEs. It was explained that the Deep-sea Guidelines are written to assist states and RFMO/As in implementing the UNGA resolutions, in particular, UNGA Resolution 61/105 (Paragraphs 76 95). The Deep-sea Guidelines are non-binding, and it is therefore the responsibility of individual states and RFMO/As to apply and adapt them, as appropriate, to the area or region. However, participants specifically highlighted the need for further guidance in addressing vulnerability (Paragraphs 14 16) and significant (Paragraphs 17 20); they stated that, scientifically and technically, these concepts are extremely challenging, and are really only understood within the context of some of the better-known inshore fish stocks. Even in the latter situations, there are many complications or surprises. It was felt by participants that FAO could provide further guidance on these aspects. A discussion also emerged on whether VMEs, in order to be considered vulnerable, must be located within existing fishing grounds. The answer varies by region, but it is becoming increasingly apparent that VMEs are now not often found in the main fishing areas, but are more typically situated at the edges where bottom fishing has not yet occurred. Many RFMO/As have applied measures to these VME areas in order to safeguard them from future expansions of bottom fisheries, usually into deeper waters. There are, however, examples of VMEs in fishing areas in the North Atlantic and in the Southern Ocean. The consistency of measures in different regions of the high seas was also discussed. Each RFMO/A is governed by its own Convention or Agreement, and has the independence to adopt measures that are appropriate to its own region. However, many regional bodies do strive for consistency, especially when developing measures in adjacent regions: for example, VME-related measures adopted in the Atlantic Ocean by NAFO, NEAFC, and SEAFO are largely similar, as to some extent are those of SEAFO and CCAMLR. Participants felt that it would be useful to have the scientific bodies of the RFMO/As meet to ensure a degree of consistency among regions in the scientific advice, implementation, and review process.

11 SESSION 3: GLOBAL SUMMARY OF VME PROCESSES General Introduction Fisheries deploying bottom-contact gears in deep seas were identified in many of the initial conversations on deep-sea fisheries in the high seas as being of particular concern, due to their potential impacts on deep-sea habitats, and especially on long-lived deep-sea corals. This was also of importance when considering the ecosystem approach to fisheries. Since 2006, RFMO/As have been active in developing measures to safeguard VMEs from any significant adverse impacts caused by bottom fisheries. In general, the ways in which they have undertaken the development and implementation of measures are similar, but there are differences in both the details and in the order in which measures have been adopted and implemented. Link to the International Guidelines for the Management of Deep-Sea Fisheries in the High Seas The main section linked to this session is primarily Section 5 of the Deep-sea Guidelines on Management and Conservation Steps (Paragraphs 30 83). Global VME processes in different RFMO/As: comparison between NAFO, NEAFC and SEAFO Regional bodies with the competence to manage high-seas fisheries have a number of processes in place to ensure that the management regime to protect VMEs from SAIs is enabled. This requires a Convention or Agreement that allows for a regional fisheries body to respond to such a process, through to the adoption of appropriate measures based on the best available scientific advice. Such measures, and actions under them, would include habitat surveys, VME indicator taxa, encounter thresholds, defining and delineating VME areas, impact assessments, exploratory fishing protocols, identification guides, and the review of such actions. Between 2005 and 2007, regional fisheries bodies in the Atlantic Ocean initiated processes to protect benthic habitats, and largely identified their existing fishing areas from 2010 to 2011. The closed areas have undergone reviews to ensure that the measures in place are meeting requirements and continue to be appropriate in the light of changes in fishing patterns. It was also apparent that regional fisheries bodies have adopted a similar range of options to identify and protect VMEs, but that the timing of the implementation of the various actions varies among regional bodies. The challenges facing many regional bodies were highlighted and discussed; they include obtaining historical fisheries distribution data, identification and delineation of VMEs, development of appropriate encounter thresholds and reporting mechanisms, and the use and sharing of vessel monitoring system (VMS) information. Figure 3 shows the development of areas closed to protect benthic ecosystems and the geographic distribution ( footprint ) of existing fisheries for the three RFMO/As in the Atlantic Ocean.

12 Figure 3: Development of VME closed areas and existing bottom fishing areas in the Northwest Atlantic (NAFO), Northeast Atlantic (NEAFC) and Southeast Atlantic (SEAFO) regions, 2006-2014. [Maps are generated from the FAO VME Database (www.fao.org/in-action/vulnerable-marine-ecosystems/vme-database/en/)].

13 Discussion During the discussion that followed the presentation, it was stressed that levels of catch for encounter thresholds are not levels that can be regularly caught or removed, nor do they in any way equate to an annual quota. They indicate the possible presence of a VME, and catches above these levels may trigger a management measure such as reporting the event, a move-on rule, or a temporary closure. The cumulative effect of the regular removal of subthreshold levels would be a cause for concern. SESSION 4: VME PROCESSES USED BY THE NPFC - CURRENT PRACTICES AND INTERIM MEASURES General introduction This session described work undertaken in the North Pacific, so that participants, who came from a range of backgrounds, could develop an understanding of the scientific and management progress made by NPFC and its member states and entities. This could also be set against a more global background of VME processes described in the morning sessions. Link to the International Guidelines for the Management of Deep-Sea Fisheries in the High Seas The entire Deep-sea Guidelines are relevant to this session, but the sections on VMEs (3.2), SAI (3.3) and Annex 1, are of special relevance. The following paragraph is relevant to this session: 62. States and RFMO/As should adopt specific conservation and management measures for all DSFs pursuant to these Guidelines. Where no competent RFMO/A exists, or where interim measures governing such fisheries have not been established, such measures should be developed and implemented by flag states. NPFC current practices and interim measures: the management and science base Mr Loh-Lee Low made a presentation on the science needed for the NPFC VME process. NPFC has established a structure for providing the science for decision-making by the Commission. The focal point for the scientific work is the Scientific Committee, which receives input from designated working groups, topic assessment workshops, symposia, and research by scientists of the participating countries. NPFC will be using the Deep-sea Guidelines and its scientific task in relation to VMEs will be to implement Article 3e of its Convention including Protecting biodiversity in the marine environment, including by preventing significant adverse impacts on vulnerable marine ecosystems, taking into account any relevant international standards or guidelines including the FAO International Guidelines. Mr Tanaka, on behalf of the NPFC participants, explained the current interim measures taken to protect VMEs and sustainably use deep-sea stocks in the western 13 and eastern 14 North Pacific, available on the NPFC website. Discussion Participants emphasized the need for sharing experiences between the RFMO/As, particularly regarding protocols and guidelines, in order to economise the gathering and synthesis of information. This was highlighted particularly in regard to understanding the scientific basis of providing advice on what constitutes a significant concentration under Paragraph 42(v) of the Deep-sea Guidelines on structural complexity of VMEs, and Paragraph 47(vi) on identifying whether impacts are likely to be significant in the context of impaired reproductive output and ecosystem function (Paragraph 18i vi). 13 http://nwpbfo.nomaki.jp/interim-measures.html. 14 http://nwpbfo.nomaki.jp/meetingreport-10th.pdf (Attachment 4).