GLOBALBENCHMARK TOOL

Confidence in certified seafood

VERSION 1, OCTOBER 2015

GSSI is a global platform
and partnership ofseafood companies, NGOs,
experts, governmental
and intergovernmentalorganizations working
towards more sustainableseafood for everyone.

2

GLOBAL
BENCHMARK TOOLINTRODUCTION
Why GSSI’s Global Benchmark Tool was developed

4

The backdrop to GSSI		

5

How the Global Benchmark Tool works

6

BENCHMARK PROCESS

8BENCHMARK FRAMEWORK

11

Section overview		

12

How to read the Benchmark Framework

13

Benchmark Framework At a Glance

15

SECTION A		

17

GSSI Essential Components and GSSI Supplementary Components
for Governance of Seafood Certification Schemes
SECTION B		

57

GSSI Essential Components and GSSI Supplementary Components
for Operational Management of Seafood Certification Schemes
SECTION C		

90

GSSI Essential Components and GSSI Supplementary Components
for Aquaculture Certification Standards
SECTION D		

160

GSSI Essential Components and GSSI Supplementary Components
for Fisheries Certification Standards

GLOSSARY		3285

INTRODUCTION
Why GSSI’s Global Benchmark Tool was developed
The problem
As seafood production increases to meet rising global demand, so have concerns of members of the seafood
supply chain, consumers and environmental NGOs over the impact that production is having on the environment.
One way of providing assurances of more sustainable practices in both aquaculture production and wild capture
fisheries is the use of seafood certification schemes. But the increase of schemes has led to confusion amongproducers, retailers and consumers over how to recognize a credible seafood certification scheme. This confusion
is making decision-making more difficult, and seafood more costly, for everyone.

The solution
The Global Sustainable Seafood Initiative (GSSI) is a unique solution to this problem. For the first time membersof the seafood supply chain, NGOs, governmental and intergovernmental organizations and a number of
independent experts have come up with a collective, non-competitive approach to provide clarity on seafoodcertification and ensure consumer confidence in certified seafood.
They’ve done this by following the reference documents at the heart of the process: the FAO Code of Conduct
for Responsible Fisheries (CCRF), the FAO Guidelines for Ecolabelling of Fish and Fishery Products from Marine/
Inland Capture Fisheries and the FAO Technical Guidelines for Aquaculture Certification (FAO Guidelines).
GSSI used this foundation to create a Global Benchmark Tool for seafood certification schemes.
GSSI’s Global Benchmark Tool includes GSSI Essential Components that are based on the CCRF and the FAO
Guidelines and which seafood certification schemes must meet to be recognized by GSSI. GSSI has also created
GSSI Supplementary Components, which allows schemes to show their diverse approach and helps stakeholders
understand where differences between schemes may exist. These GSSI Supplementary Components are groundedin the CCRF and related FAO documents, ISO normative standards and ISEAL codes.
This shared solution will make information available across the seafood supply chain to drive change and lower
costs. For producers, it means more options to choose the scheme that is right for them and reduce the need for
multiple audits. For seafood buyers, it means simpler, more consistent data to guide their purchasing decisions.
And for NGOs it means more open and checked information to help promote environmental sustainability.
Through its Global Benchmark Tool GSSI works towards its collective objective to minimize the overall
environmental impact of how we catch, grow and deliver seafood to meet a growing global demand.

4

INTRODUCTION
The backdrop to GSSIGSSI vision:

more sustainable seafood for everyone

GSSI mission: 	ensure confidence in the supply and promotion of certified
seafood as well as to promote improvement in the seafoodcertification schemes
GSSI objectives:n 	provide an international multi-stakeholder platform for collaboration and knowledge exchange in seafoodsustainabilityn 	develop an internationally agreed set of GSSI Components to measure and compare the performance of seafoodcertification schemes, in order to facilitate their implementation and usen 	build, operate and maintain a common, consistent and global benchmark tool for seafood certification schemesn 	reduce cost by eliminating redundancy and improving operational efficiency of seafood certification schemes

thereby increasing affordability and flexibility within the supply chain

GSSI aims high:n 	GSSI has grown from 17 Funding Partner companies in 2013 to 32 in 2015 and welcomes new partnersn 	GSSI is encouraging seafood certification schemes to go through its Global Benchmark Tooln 	GSSI aims that by 2020, 30% of seafood catch/production (tons of raw fish/shellfish per year) will be certified toa GSSI recognized scheme

GSSI does:

GSSI does not:n 	drive change towards sustainability throughnu
 ndertake any accreditation or certification

a multi–stakeholder processn 	deliver recognition of seafood certification schemesaligned with the FAO Guidelinesnd evelop or own any standards
n r ank certification schemesnd efine sustainable or responsible seafoodn 	increase comparability and transparencynp ermit any consumer facing labelling about

in seafood certification

its recognitionn 	enable informed choice for procurementnm ake policy for any business or schemeof certified seafood

GSSI is committed to promoting improvement in seafood certification schemes. As such, GSSI will review the
Global Benchmark Tool on a regular basis.

GSSI principles to guide long-term change:n 	improvement of seafood sustainability shall be at the heart of the work for all GSSI participantsn 	the benchmarking process shall be self-financing with agreed and fair contributions for benchmarking services

and membershipn 	financing of activities on the neutral platform may include contributions from fundersn 	the partnership shall aspire to engaging with small and less developed schemes to provide them with a pathway

towards recognition by GSSI

5

INTRODUCTION
How the Global Benchmark Tool works
GSSI’s Global Benchmark Tool is made up of 3 parts:
n Process: steps a scheme goes through to be recognized by GSSIn	Framework: information on GSSI Essential Components, grounded in the CCRF and FAO Guidelines, which ascheme needs to meet to be recognized by GSSI and information on GSSI Supplementary Components, whichshow a scheme’s diverse approachn Result: the statement of GSSI Recognition and Benchmark Report

Benchmark Process
Seafood certification schemes go through a 7-step Benchmark Process to be recognized by GSSI. The expert-led
process involves objective assessments made against the Benchmark Framework. The process has been designed to
be independent, impartial and transparent.
Benchmark
Process

1 Application
Schemes interested in applying for GSSI recognition contact the GSSI Secretariat.

Benchmark
Process

Desktop Review
2
1 Application
Independent
Expertsinreview
theforapplicationand provided
evidence.
Schemes
interested
applying
GSSI recognition
contact
the GSSI Secretariat.

3
2
3
4

Office Visit
Desktop Review
The Independent Experts visit the scheme’s office to review evidence and complete theIndependent Experts review the application and provided evidence.
interim Benchmark Report.
Office Visit
BenchmarkCommittee
Meeting
The
Independent
Experts visit
the scheme’s office to review evidence and complete the
The Benchmark
Committee
interimBenchmarkReport. evaluates the interim Benchmark Report.

Benchmark Committee Meetingand theBenchmarkCommittee’s
recommendation
for recognition
4
5 The
The Benchmark
Benchmark Report
Committee
evaluates
the interim
BenchmarkReport.
go to public consultation.
Public Consultation

5
6
6
7

PublicConsultation
Recognition
Decision by Steering Board
TheBenchmarkReportthe Benchmark
Committee’sofrecommendation
foronrecognition
The Steering Board
takesanda decision
for GSSI Recognition
the scheme based
the finalgotopublicconsultation.
recommendation of the Benchmark Committee.

Recognition Decision by Steering Board
Monitoring
Continued
Alignment
The
Steeringof
Boardtakes a decision
for GSSI Recognition of the scheme based on the final
Recognizedschemesannualyreportrelevantchanges to GSSI, in combination with regularrecommendation of the Benchmark Committee.
reassessments through GSSI.
Monitoring of Continued Alignment
BenchmarkRecognized
Framework
schemes annualy report relevant changes to GSSI, in combination with regular
GSSI
Essential
Components
and GSSI against
SupplementaryforAll seafood certification
schemes
will beassessed
SectionsComponents
A and B. Dependingon the scope of thereassessments
through
GSSI.
Governanceof
Seafood
Certification
Schemesseafood certification scheme, they will also be assessed against either Section C or D or both.

7
A

BenchmarkFramework
BenchmarkFramework

B
A
C
B
D
C
D

GSSI Essential Components and GSSI Supplementary Components for
GSSI Essential Components and GSSI Supplementary Components forOperational Management of Seafood Certification Schemes
Governance of Seafood Certification Schemes
GSSI Essential Components and GSSI Supplementary Components for
GSSI Essential Components and GSSI Supplementary Components for
Aquaculture Certification Standards
Operational Management of Seafood Certification Schemes
GSSI Essential Components and GSSI Supplementary Components for
GSSI Essential Components and GSSI Supplementary Components forFisheries Certification Standards
Aquaculture Certification Standards
GSSI Essential Components and GSSI Supplementary Components forFisheries Certification Standards

6

INTRODUCTIONGSSI Essential Components
The GSSI Essential Components are gounded in the CCRF and FAO Guidelines. These are the full range of criteria,
which a scheme needs to meet to be recognized by GSSI.
GSSI Supplementary Components
The GSSI Supplementary Components are defined by the GSSI Expert Working Groups and grounded in the CCRF
and related FAO documents, ISO normative standards and ISEAL codes. Their purpose is to outline the statusof existing practices in seafood certification and they can be built on going forward. A rationale for each GSSISupplementary Component explains its value to both schemes and stakeholders. The Benchmark Process will verify
if a seafood certification scheme meets GSSI Supplementary Components. Meeting GSSI Supplementary Components
is not required for GSSI Recognition.

Benchmark Result
Once a seafood certification scheme has gone through the Benchmark Process and is found in alignment with all
GSSI Essential Components it will be publically recognized by GSSI. GSSI will publish a statement and a Benchmark
Report on www.ourgssi.org.
Then it’s over to the seafood sector to make use of the information to help in decision-making. For producers,
it means more options to choose the scheme that is right for them and reduce the need for multiple audits.
For seafood buyers, it means simpler, more consistent data to guide their purchasing decisions. And for NGOs
it means more open and checked information to help promote environmental sustainability.

BENCHMARKREPORT
GLOBALBENCHMARK TOOL
Prepared for:XYZ INTERNATIONAL, SANTIAGO, CHILE
15 NOVEMBER 2015

A

Evidence of alignment with GSSI Essential Components and
GSSI Supplementary Components for Governance of Seafood
Certification Schemes
page 18

B

Evidence of alignment with GSSI Essential Components and
GSSI Supplementary Components for Operational Managementof Seafood Certification Schemes
page 54

D

Evidence of alignment with GSSI Essential Components
and GSSI Supplementary Components for Fisheries
Certification Standards
page 145

7

GLOBAL
BENCHMARK TOOL

1
2
3
4
5
6
7

Benchmark
Process8

GSSI

BENCHMARK PROCESS
Steps of the Benchmark Process
Seafood certification schemes go through a 7-step Benchmark Process to be recognized by GSSI. The expert-led process involves objective
assessments against the Benchmark Framework. The process has been designed to be independent, impartial and transparent, and is expected tobe concluded within 6 months, with a maximum extension to 12 months.

From Application to Recognition:
Key steps and responsibilities in the GSSI Benchmark Process

1
2
3
4
5

Who is involved?

MONITORING OF
CONTINUED ALIGNMENTDESCRIPTION

7

Application
The Benchmark Process begins once a Scheme Owner decides to apply for recognition and contacts the Secretariat, who provides
an overview of the process. This is followed by the signing of a Benchmark Agreement, which formalizes the relationship between the
Scheme Owner and GSSI. The Steering Board then appoints a Steering Board Liaison to support the Benchmark Process. A team of
two Independent Experts (IE) who conduct the Benchmark Process, and a Benchmark Committee to review the work of the IEs arealso appointed by the Steering Board and approved by the Scheme Owner. After the application is checked for completeness by the
Secretariat, the IE team begins the Desktop Review.

RECOGNITION DECISIONBY STEERING BOARD

6

Desktop Review
This step helps to assess the Scheme Owner’s capability to proceed and successfully complete the Benchmark Process within the
expected timeframe. The submitted application is reviewed by a team of two IEs; a Process IE reviews evidence for alignment submitted
for Section A and B and a Technical IE reviews evidence submitted for Section C or D. Following an exchange with the Scheme Owner
the IE team issues a Desktop Report. Based on the Desktop Report the IE team can recommend to proceed to the Office Visit, request
the Scheme Owner to improve their application, or recommend to discontinue the Benchmark Process. The decision how to proceed
is made with the agreement of the Scheme Owner, if no agreement can be reached the Steering Board Liaison refers the matter to theSteering Board for resolution.

PUBLIC CONSULTATION

Office Visit

BENCHMARK COMMITTEEMEETINGThe Office Visit may be conducted by the Process IE or both IEs, depending on the outstanding issues of the Desktop Review. If nonalignments are to be found, corrective actions with time-frames to address the non-alignments may be agreed between the IE and the
Scheme Owner. Findings of the Desktop Review and Office Visit, including corrective actions, are documented in the Interim Benchmark
Report. The Scheme Owner is given 2 weeks to review and comment on the Interim Benchmark Report. The Secretariat will thenforward the agreed report to the Benchmark Committee. In the event that agreement on the report cannot be reached, the Steering
Board Liaison refers the matter to the Steering Board for resolution.

OFFICE VISIT
Benchmark Committee Meeting
The Benchmark Committee acts as the ‘Quality Assurance’ for the work undertaken by the IE team in the Desktop Review and Office
Visit. The Benchmark Committee consists of the Steering Board Liaison (Chair of the Committee), IEs from the respective Sectionsand voluntary experts from across the sector. This meeting results in a Benchmark Report with a consensus-based recommendation
for recognition or non-recognition. If no consensus can be reached the matter is forwarded to the GSSI Steering Board by the Steering
Board Liaison. To proceed with the public consultation a recommendation for recognition is required.

DESKTOP REVIEW

Public Consultation
If recognition is recommended by the Benchmark Committee, the Scheme Owner’s approval is required to publish the Benchmark
Report for a four-week Public Consultation. All comments submitted during this period are given careful consideration by the Benchmark
Committee in their final recommendation for recognition. In the event that the Benchmark Committee changes their recommendation
after Public Consultation, the Steering Board, guided by the Benchmark Committee Members, decides upon any further action.

6

Recognition Decision by Steering Board

7

Monitoring of Continued Alignment

The Steering Board is briefed by the Steering Board Liaison on the Benchmark Report and the Benchmark Committee’s recommendation
for recognition. The Steering Board reviews the Benchmark Report and the process and decides to accept or reject the Benchmark
Committee’s recommendation. If the recommendation is rejected, the Steering Board provides the Scheme Owner with a rationale
for the decision and outlines further actions. Following a positive decision for recognition by the Steering Board, a GSSI Recognition
Statement, the Benchmark Report, including the public comments, will be published online at www.ourgssi.org.

APPLICATION

4

3

5

Finalization of
Benchmark Reportand recommendation
on recognition

Publication of Benchmark
Report on GSSI website

Interim Benchmark Report sent
to Benchmark Committee

An organisation, which is
responsible for the development,
management and maintenanceof a certification scheme.

Independent Experts

A team of professional,
competent and trained
individuals appointed by GSSI’s
Steering Board to conduct
the assessment of a seafoodcertification scheme applying
for GSSI recognition.

Steering Board Liaison

An appointed member of
GSSI’s Steering Board assigned
to support and monitor the
Benchmark Process on behalf of
the Steering Board.

Benchmark Committee

A multi-stakeholder committeeof technical experts appointed
by GSSI’s Steering Board toreview the Benchmark Reportand provide a recommendation
on recognition.

PublicDecision to proceed to Office Visit

2

Members of the global seafoodindustry, NGOs, academics ,international organizations, andgeneral public.

Steering Board

GSSI governing body who is
responsible, with the support of
the Secretariat, for the generalmanagement and performanceof GSSI.

Benchmark Agreement

GSSI Secretariat

1

Concerned with operations,facilitation and communication,
and all other work that may berequired for the operational
management of GSSI and theBenchmark Process.

GSSI ensures continued alignment of recognized schemes with GSSI Essential Components through an annual reporting process of relevantchanges. A full reassessment will be required every 3 years, or after significant change to the scheme.

9

Recognition
Statement

Scheme Owner

10

GLOBAL
BENCHMARK TOOLA
B Benchmark
Framework
C
D

11

GSSI

BENCHMARK FRAMEWORKGSSI Essential Components and
GSSI Supplementary Components
for Governance of Seafood
Certification Schemes
page 17B

A
GSSI Essential Components
and GSSI Supplementary
Components for Aquaculture
Certification Standards
page 90

GSSI Essential Components
and GSSI Supplementary
Components forOperational Managementof Seafood Certification
Schemes
page 57

C D
GSSI Essential Components
and GSSI Supplementary Components
for Fisheries Certification Standards
page 160

12

GSSI
How to read the Benchmark Framework
Structure of the Benchmark Framework
The Benchmark Framework has four Sections, with a number of Performance Areas, each ofwhich includes elements organised by topic.
Sections

Performance Area 1
for Section A

BENCHMARK FRAMEWORKGSSI Essential Components
Criteria grounded in the Code of Conduct for Responsible Fisheries (CCRF) and the FAO
Guidelines*, which a seafood certification scheme needs to meet to be recognised by GSSI.
Section and Performance
Area number

Performance Area

Topic
GSSI Essential
Component number

Topic

Element
Provides guidance forcertification schemes andIndependent Experts toassess alignment withGSSI Essential
Component

GSSI Essential Component

Explanation of how GSSI
Essential Component isgrounded in CCRF
and FAO* Guidelines

Element

Organisation of GSSI Essential Components and GSSI Supplementary Components within
the Sections of the Benchmark Framework
Each Section of the Benchmark Framework is summarized by an introduction which includes
GSSI Essential Components and GSSI Supplementary Components organized by Topics and Elementswith corresponding page numbers.

SectionGSSI Supplementary
Component: some GSSI
Essential Components haveone or more linked GSSISupplementary Components,
which are numberedaccording to their respective
Section, Performance Area
and Essential Component,e.g., A.1.03.01 is thefirst GSSI Supplementary
Component linked to the
3rd GSSI Essential
Component of Performance
Area 1 in section A.

Performance Area
Topic
Element
GSSI Essential Component:each Element includes one
or more GSSI Essential
Components which arenumbered according totheir respective Section
and Performance Area.
e.g., A.1.05 is the 5th GSSI
Essential Component of
Performance Area 1
in section A.

Page number
Each GSSI Supplementary
Component is grounded
in a reference document,
indicated by a color code.

13

Related GSSISupplementary
Components and page
numberGSSI Supplementary Components
Criteria grounded in the FAO Code of Conduct for Responsible Fisheries and related FAO
documents, ISO normative standards and ISEAL codes. They show a seafood certification
scheme’s diverse approach and help stakeholders understand where differences exist. A seafoodcertification scheme does not need to meet them for GSSI recognition.

Section and Performancearea number
Topic

Performance Area

GSSI Supplementary
Component number

Element

GSSI Supplementary
Component

Provides guidance forcertification schemes andIndependent Experts toassess alignment withGSSI Supplementary
Component

Explanation of how
GSSI Supplementary
Component is grounded
in reference document
GSSI Essential
Component to which
GSSI Supplementary
Component is linked

Rationale for inclusion of
the GSSI Supplementary
Component*FAO Guidelines for the Ecolabelling of Fish and Fishery Products from Marine/Inland Capture
Fisheries and FAO Technical Guidelines on Aquaculture Certification

14

GSSI

BENCHMARK FRAMEWORK
A.1

A.2

A.3

SCHEME GOVERNANCE
Governance
Legal status
Impartiality
Operating procedures
Transparency of
governance
Governancecomplaints
Governanceparticipation

STANDARD SETTING AND MAINTENANCE
Standard setting bodyStandard setting body
Central focal point

Scope andobjectives
Scheme scope
Scheme objectives

Standard setting
proceduresStandards development
and maintenanceprocedureWork program
Terms of reference
Decision making process
Complaints
Standards review
and revision
Proposals for revisions
Record keeping

Non-discrimination
Openness
Market access
Scheme integrity
monitoring program
Internal review

A.2
SCHEME MANAGEMENT
Logo use and claims
Claims policy
Relevant claims
Claims-making requirements
Logo management
Certificate content management
Minimum percentage-based claims

C.1
AQUATIC ANIMALHEALTH MANAGEMENT
Antimicrobial usage
Biosecurity
Off-farm disease transmission
Record keeping

B.1

A

Participationand consultation
Public summary
Balanced participation
Public consultation
Public announcement
Stakeholder consultation
Transparency comments
received
Taking comments into
account

GOVERNANCE
OF SEAFOOD
CERTIFICATIONSCHEMESCStandards content
Standards content
Relevance of standards
content
Local applicability

AQUACULTURE
CERTIFICATIONSTANDARDSCHEMICAL AND
VETERINARY DRUG USE
Chemical usage
Legal compliance

OPERATIONALMANAGEMENT
OF SEAFOOD
CERTIFICATIONSCHEMESD

ACCREDITATIONCERTIFICATIONCHAIN OF CUSTODY

Auditor competence
Certification process
Requirements forISO-17065 compliancetechnical knowledge
Fee structure
Technical knowledge
Certification cycle
General auditing skills
Surveillance
Scheme specific
Assessment methodology
knowledge assessment
Termination, suspension,
Scheme specificwithdrawal
knowledge maintenance
Multi-site certification
Knowledge maintenance
Audit reports
Stakeholder input
Non-compliances
Site audit
Transparency on certified entities
Transparency on audit reports
Notification of changes
Timeline for corrective action

Segregation
Enterprises to be audited
Records for traceability
Sub-contractors
Auditing methods andfrequency
Non-conformity/corrective
actions
Audit report
Record keeping
Multi-site Chain of Custody
audit
Multi-site Chain of Custodyinternal verification

FISHERIESCERTIFICATIONSTANDARDS

D.1

Transition period
Informing enterprisesof transition
Transition period
for compliance

C.2 C.3

C.4

C.5

FEED USE

C.6

C.7

SEED

Environmental considerations offeed ingredients
Feed biosecurity
Feeding efficiency
Legal compliance
Record keeping

Legal compliance
Record keeping
Wild seed
Hatchery seed

C.8
IMPACTS ON WATERRESOURCES

Legal framework
Compliance of thefishery

Legal complianceSalinization
Water use
Water quality

SPECIES SELECTION
AND ESCAPES
Escapes
Genetically modified
organisms
Exotic species

ENVIRONMENTALLY RESPONSIBLE
INFRASTRUCTURE CONSTRUCTION, WASTEDISPOSAL AND GENERAL STORAGE
Maintaining good culture and hygienic conditions

C.5
IMPACTS ON HABITAT AND
BIODIVERSITY
Benthic habitats
Predator control
Preventing habitat impacts
Sensitive habitat and biodiversity

15

Management
systemParticipatory
management
Small scale and/or
data limited fisheries
Compliance of the
management system

D.3

Management system
Documented
management
approach
Best scientificevidence available
Stock underconsideration
Fishing mortality
Decision rules
Enhanced fisheries

Management
systemBest scientificevidence available

Ecosystem effectsof fishingNon-target catches
Endangered species
HabitatDependent predators
Ecosystem structure,processes andfunction

Ecosystem effectsof fishingNon-target catches
Endangered species
HabitatDependent
predators
Ecosystem
structure, processes
and function

D.6

STOCK AND ECOSYSTEM STATUS
AND OUTCOMES
Stock underconsideration
Target stock status
Enhanced fisheries

Management under
uncertainty
Precautionary
approach

MANAGEMENT OBJECTIVES
Stock underconsideration
Management
objectives
Reference points
Enhanced fisheries

D.4 D.5

MANAGEMENT APPROACHES,STRATEGIES AND PLANS

D.2

C.3

General environmental management

D.2

GOVERNANCE ANDFISHERY MANAGEMENT
Fishery management
organization
Management
organization
Adaptive management
Transboundary stocks

B.3

ISO-17011 complianceNon-discrimination
Specified requirements
Transition period
Accreditation body– competencies
External review
Organizationaltransparency
Office audit
Field audit

Standards accessibility
Standards availability
Translations

C.7
C.2

B

B.2

Fishery
management
documentation
Continuous review

D.4
DATA AND INFORMATION
Stock under consideration
Target stock status
Ecosystem effects offishing
Ecosystem structure,processes and function
Non-target catches
Endangered species
HabitatDependent predators

Traditional, fisher orcommunity knowledge
Traditional, fisher orcommunity knowledge

16

Ecosystem effectsof fishingNon-target catches
Endangered species
HabitatDependent
predators
Ecosystem
structure, processes
and function

D.5
ASSESSMENTMETHODOLOGIESStock underconsideration
Stock assessment
Enhanced fisheries

Ecosystem effectsof fishingNon-target catches
Ecosystem structure,processes and function
HabitatDependent predators
Endangered species

A
17

A

GSSI

BENCHMARK FRAMEWORK

Scheme Governance
A.1

A.2

SCHEME GOVERNANCESCHEME MANAGEMENTELEMENT /GSSI ESSENTIAL COMPONENTS

PAGE

GSSI
SUPPLEMENTARYCOMPONENTSPAGE

ELEMENT /GSSI ESSENTIAL COMPONENTS

Governance
Legal status

PAGE

GSSI

GSSI
SUPPLEMENTARYCOMPONENTS
PAGE

Logo use and claims
A.1.01A.1.01.01 l l

44Claims policy

A.2.0127

21

A.1.01.02 l

44

Relevant claims

A.2.0227

A.1.0221

Operating procedures

A.1.0322

Transparency of
governance

A.1.0422

Governance complaints

A.1.0523

Governance participation

A.1.0623

STANDARDSETTING AND MAINTENANCE
Standard Setting and
Maintenance

BENCHMARK FRAMEWORKELEMENT /GSSI ESSENTIAL COMPONENTS

PAGE

Claims-making
requirements

A.2.0328

Logo management

A.2.0428

Certificate content
management

A.2.0529

Minimum percentagebased claims

A.2.0629

A.2.02.01 l l49

Standard setting body

A.3.0130

Central focal point

A.3.0230

Standard setting procedures
A.3.0330Work program

A.3.0431

Terms of reference

A.3.0531

A.3.05.01 l

50

Decision making process

A.3.0632

A.3.06.01 l l

51

A.3.06.02 l l

51

24

A.3.06.03 l l

52

24

A.3.06.04 l l

52

45

Scheme objectives

A.1.07A.1.08A.1.08.01 l

46

A.1.08.02 l l

46

Non-discrimination
Non-discrimination –openness
Non-discrimination –market access

A.1.09
A.1.1025

A.1.09.01 l

47

25Internal review

A.1.11

26

A.1.11.01 l

48

Complaints

A.3.0733

Standards review and revision

A.3.0833

Proposals for revisions

A.3.0934

Record keeping

A.3.1034

Public summary

A.3.11

35

Balanced participation

A.3.1235

Public consultation

A.3.1336

Public announcement

A.3.1436

Stakeholder consultation

A.3.1537

A.3.06.05 l

53

A.3.07.01 l l

53

A.3.10.01 l l

54

A.3.13.01 l

55

A.3.15.01 l

55

A.3.15.02 l lTransparency oncomments received

56

A.3.1637

Taking comments into account

A.3.1738

A.3.17.01 l

56

For Section A the GSSI Supplementary Components outline the status of existing practices in seafood certification and how they build fromthe principles of the FAO Guidelines for Certification and Ecolabelling ,ISO normative standards, ISEAL codes. They can be built on going
forward as technical guidelines evolve. Each GSSI Supplementary Component has a rationale to explain the value that alignment with it offers
to both schemes and stakeholders.

SOURCE DOCUMENTSl ISEAL Code of Good Practice for Setting Social and Environmental Standards V6. 2014l ISEAL Code of Good Practice for Assessing the Impacts of Social and Environmental Standards, V2. 2014l ISO/IEC 17067:2013, Conformity assessment — Fundamentals of product certification and guidelines for productcertification schemesl F urther elaboration on FAO Guidelines for the Ecolabelling of Fish and Fishery Products from Marine/Inland Capture Fisheries and FAO
Technical Guidelines on Aquaculture Certification

18

A.3.1838

Relevance of standards content

A.3.1939

A.3.2039

A.3.2140Standards availability

A.3.2240

Translations

A.3.2341

Standards accessability

Participation and consultation

Scheme integrity
monitoring program

PAGE

Standards content

Local applicability

Standards development andmaintenance procedure

A.1.03.01 l

ELEMENT /GSSI ESSENTIAL COMPONENTS

Standards content

Scope and objectives
Scheme scope

GSSI
SUPPLEMENTARYCOMPONENTS
PAGEStandard setting body

21

Impartiality

A.3

19

Transition period
Informing enterprises of transition

A.3.2441

Transition period for complianceA.3.2542

A.3.2642

A.1

ESSENTIALCOMPONENTS

Scheme GovernanceA

GSSI ESSENTIAL COMPONENTS
FOR GOVERNANCE
OF SEAFOOD CERTIFICATION SCHEMES

20

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemesu GOVERNANCE
A.1

01

LEGAL STATUS

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner is a legal entity, or an
organization that is a partnership of legal entities,
or a government or inter-governmental agency.

Scheme Owner is an entity which could be held legally responsiblefor its operations.
Examples of evidence for scheme alignment:- an official document showing registration with legal authorities
and current legal status of organization. Examples include
incorporation papers, statutes, business licenses and registration
with tax authorities.
For government Scheme Owners, clear lines of responsibility andauthority on decision making should be identified.
Pre-application to require scheme to identify legal registered entity
or lead government agency/department.

FAO REFERENCE
Principles 2.7 [17.i] of FAO Guidelines require clear accountability for all involved parties, including the owners ofschemes. GSSI can only recognize an organization that is a legal entity, thereby establishing clear accountability; thisis in line with ISO 17067 6.3.3. Exceptions are made for the case that a Scheme Owner is a government or intergovernmental body; these arrangements are specifically indicated in Para. 37.

RELATED SUPPLEMENTARY COMPONENTS
A.1

01

01 See page 44

A.1

02

IMPARTIALITY

A.1

01

02 See page 44

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner is not directly engaged in
the operational affairs (auditing or certification)of the certification or accreditation program.

Scheme Owner is not directly engaged in auditing, certification or
accreditation activities in order to ensure freedom of commercial
or financial pressure of assurance processes and decision making.
This does not include complaint resolution or performance reviews.

Note: This does not include complaint resolution
or performance review.

Examples of evidence for scheme alignment:- impartiality policy, impartiality clauses in certification body andaccreditation body contracts, management control procedures

FAO REFERENCE
38 [63]. Updated paragraph [63] from the Aquaculture Guidelines states it is essential that a Scheme Owner is notdirectly engaged in its operational affairs, i.e. undertaking accreditation or certification.
Avoids conflict of interest by the Scheme Owner while accounting for possible role in arbitrating complaints that are
unresolved

21

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.1

03

OPERATING PROCEDURESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner operates to a documented
set of governance policies and procedures
specifying at least the following:

The Scheme Owner has policies/procedures available covering all
aspects in this Essential Component except Member categories if
not applicable.

- Board or governance body election or
appointment process,

Examples of evidence for scheme alignment:- Board or governance body representation andTerms of Reference,- s tatutes and by-laws, organizational chart, internal procedures,
job descriptions, conflict of interest statements, quality assurance
manuals- Member categories (where applicable),- Income generation or funding processes,- An organizational structure,- The decision making processes of eachgovernance body,- Key personnel roles (responsibility andauthority),- Managing conflict of interest, and- A conformity assessment program.

FAO REFERENCE
38 [61, 63, 64] [FAO draft evaluation Framework Aquaculture].
FAO Guideline references above do require Scheme Owners to be transparent, credible and robust with good
governance, and to have clear written rules, procedures, and decision making process.
This Essential Component specifies the attributes for this based on ISO 17067. Section 6.7 states a scheme should
specify operating procedures, particularly responsibility for governance of schemes.

RELATED SUPPLEMENTARY COMPONENTS
A.1

03

01 See page 45

A.1

04

TRANSPARENCY OF GOVERNANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner makes information freely
and publicly available about the scheme’s
governance structure, Scheme Ownership,
standards and standard-setting procedures,and the composition, operating procedures andresponsibilities of its governance bodies.

All applicable listed governance documents are easily accessible
online, free or at cost of any printing and handling costs.
Examples of evidence for scheme alignment:- applicable documents posted on website, easy to find and free todownload. If printed copies are offered - charges are reasonable tocover printing and handling.

FAO REFERENCE
Principle 2.4 combined with para. 3, and Principle [17.d], require the principle of transparency to be applied on all aspectsof a certification scheme. This requirement supports transparency of operating practices of a certification scheme.

22

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.1

05

GOVERNANCE COMPLAINTSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has a transparent process
to assess complaints based on a publicly
available procedure for resolving complaints
related to governance, scheme management
and executive functions.

Complaints procedure is documented and clearly outlines steps,
timelines and responsibilities to address and resolve complaints.
The process for submitting a complaint - how and to whom - ispublic and easily understood. A process is in place to identify whenand if the complaint is addressed and resolved.
Examples of evidence for scheme alignment:- easily found complaint process and submission form online.
- documentation of existing complaints and their resolution.
-p ossibly request accreditation and certification bodies for previous
submissions of complaints and resolution.

FAO REFERENCE[61] requires institutions involved in establishing and implementing a certification scheme should be transparent,
credible and robust with good governance. [64] Requires the owner of a certification scheme to have clear written rules
and procedures and decision making process.
FAO states in 147 [167] that the Scheme Owner is required to have available a complaints policy for dealing withcertification, it is therefore considered a Scheme Owner should also have a complaints policy for governance to ensure
good and robust governance as required by 38 [61, 64]. In line with Principle 2.4 combined with para. 3, and Principle[17.d], this policy should be made public.

A.1

06

GOVERNANCE PARTICIPATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that stakeholders
have the opportunity to participate in or provide
direct input to the top governance body.

The Scheme Owner provides freely accessible public information
outlining how stakeholders can participate in or provide direct input
to the top governance body.
Examples of evidence for scheme alignment:-o nline process document for submission of input, governancebody selection process and stakeholder composition, review ofprevious stakeholder inputs and verify if/how this reached top
governance.

FAO REFERENCE
Implementation of Principle 2.4, and 2.7 and [17.e and 17.i] requiring balanced and fair participation by all interested
parties and be open to scrutiny. Where paragraph 3 indicates Principle 2.4 to also apply to its organizational structure.
In line with Principle 2.7 [17.i] this Essential Component ensures a level of accountability of the Scheme Owner to its
stakeholders

23

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemes
u SCOPE AND OBJECTIVES
A.1

07

SCHEME SCOPE

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has a defined scope forcertification under its scheme.

The Scheme Owner clearly defines scope that standard covers,
for example which species, production systems/gear type,geographical locations, company structures (single units,groupings of sites/boats, smallholder groups/small-scale fisheries,
subcontractors, product categories, certifiable units in the chain ofcustody etc.).
Examples of evidence for scheme alignment: xplicit scope definition in certification methodology/requirements,-estandards, objectives.
 ontracts with accreditation bodies, certification bodies and/or-ccertified operations

FAO REFERENCE
101-103 [125-127] require a scheme to specify the scope of certification. [FAO draft evaluation Framework
Aquaculture] requires a certification scheme to publically declare its scope.
A clear scope is required to understand which type of enterprises fall within the competence area of the scheme; this is
in line with ISO 17067 Section 6.5.1 & 6.3.7.

A.1

08

SCHEME OBJECTIVESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has defined objectives for
its scheme that aim for responsible use of theresource and has publicly available performanceindicators related to scheme objectives.

Objectives for the scheme are defined and documented.
The defined objectives cover all environmental resources covered in
the standards; this would normally be for example fish populations,habitats and ecosystems, water, possibly energy, endangered
species and biodiversity within the impact zone. Indirect use ofresources for e.g. feed production may also be addressed. For
each objective and associated resources, performance indicators
are defined, documented and publically available.
Examples of evidence for scheme alignment:- standard document with objectives and thresholds.

FAO REFERENCE
40 [66] require a standard to reflect the objectives, results and outcomes that are being pursued through thecertification scheme, including quantitative and qualitative criteria and indicators. In line with Principle 2.4 and [17.d]these should be made transparent.

RELATED SUPPLEMENTARY COMPONENTS
A.1

08

01 See page 46

A.1

08

24

02 See page 46

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemesu NON-DISCRIMINATION
A.1

09

NON-DISCRIMINATION – OPENNESSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that all typesof fishery/aquaculture operations within thescope of its scheme can apply for certification,
regardless of their scale, size or management
arrangements, and has not set an upper limit on
the number of operations that can be certified.

The Scheme Owner application process ensures equal accesswithin the defined standard scope whether directly, sub-contractors
or outsourcing (i.e. to certification body).
Examples of evidence for scheme alignment:-a pplication process selection criteria do not discriminate on
factors such as size, scale, management, minimum number ofoperators.
- review declined applications are due to other non-discriminatory
issues (i.e. incomplete, out of scope)

FAO REFERENCE
Principle 2.5 and paragraph 4-6 [Principle 17.j] and 112 [133-134] require a scheme to be open to all applicants within
its scope. Regardless scale, size, management arrangement or number of entities already certified.

RELATED SUPPLEMENTARY COMPONENTS
A.1

09

01 See page 47

A.1

10

NON-DISCRIMINATION – MARKET ACCESSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner does not have mandatory
requirements that require a fishery / aquaculture
operation to be certified in order to access any
markets.

Application selection process and certification methodology/
requirements do not include mandatory requirements for access tomarkets.
Absence of such requirements indicates alignment.

FAO REFERENCE
Principle 2.3 & 2.6 and paragraph 41 [Principle 17.k].

25

A.1

ESSENTIALCOMPONENTS

Scheme Governance
GSSI Essential Components for Governance of Seafood Certification Schemes
u SCHEME INTEGRITY MONITORING PROGRAM
A.1

11

INTERNAL REVIEWGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner undertakes a fully
documented annual management review ofscheme performance, including its assurance
program, and the performance of certification
and accreditation bodies. The results of
the review are used to revise its operatingprocedures and practices, where necessary.

System exists for an annual documented management review thatcovers scheme performance, assurance program, accreditation
bodies and certification bodies as applicable. A documented
system to use the results of the review to revise operatingprocedures and systems is available.

FAO REFERENCE[61] requires institutions involved in establishing and implementing a certification scheme should be transparent,
credible and robust with good governance.
In 77 [99] and 120 [141] FAO requires internal reviews for both certification bodies and accreditation bodies in order tobe considered credible and robust. Therefore this is considered a specification of [61] to ensure credibility, robustness
and good governance of a Scheme Owner. This Essential Component is in line with ISO 17067 6.4.5.

RELATED SUPPLEMENTARY COMPONENTS
A.1

1101 See page 48

26

A.2

ESSENTIALCOMPONENTS

Scheme Management
GSSI Essential Components for Governance of Seafood Certification Schemesu LOGO USE AND CLAIMS
A.2 01

CLAIMS POLICYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has a publicly available
policy governing use of symbols, logos andclaims.

Scheme Owner has a policy that covers use of symbols, logos
and claims if applicable to its system. The policy is public, easily
accessible and available in languages appropriate to geographic
scope.

FAO REFERENCE
141 [161] require the Scheme Owners have documented procedures governing use of logos and symbols relative
to relevance of claims. In line with Principle 2.4 and [17.d] and ISO 17021 8.3.1, these should be made publicallyavailable.

A.2 02RELEVANT CLAIMSGSSI ESSENTIAL COMPONENTGUIDANCE

Through the claims policy, the Scheme Owner
ensures copyright is protected and thatsymbols, logos and claims are only applied
to activities that are within the scope of
certification, do not overstate or mislead users
relative to the defined scope, and are relevant tothat scope.

Claims policy (see A.2.01), contracts and MoUs ensure that logo
use and claims are copyright protected and are restricted toactivities within the scope of certification. This includes symbols,
logos and claims on and off product, such as marketing materials,
consumer brochures and the internet.
Examples of evidence for scheme alignment:- legal registration of logos and seals with applicable agents.
-c laims policy covers clear scope for on and off product use,
claims and statements including policy for misuse.
-c ontractual relationships specify explicitly adherence to claims
policy.
- records of applications for use of claims, records of complaints orviolations.

FAO REFERENCE
141, 142, 143 [161-163, 165] require the Scheme Owners have documented procedures, written authorizations andmechanisms to ensure use of logos and symbols relative to relevance of claims. In line with Principle 2.5, 4-6 and[Principle 17.j] these should not lead to barriers to trade.

RELATED SUPPLEMENTARY COMPONENTS
A.2 0201 See page 49

27

A.2

ESSENTIALCOMPONENTS

Scheme Management
GSSI Essential Components for Governance of Seafood Certification Schemes
A.2 03

CLAIMS-MAKING REQUIREMENTS

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that the certified
organization does not make or permit any
misleading statement or use regarding thestatus or scope of its certification.

The Scheme Owner has a contract, MoU or other formal
arrangement with certified entity.
Examples of evidence for scheme alignment:-p ublically available Logo Use and Claim document which is
explicitly referenced in formal arrangement with certified entity.
-o ther examples include direct logo agreements, licensing
or membership agreements with the Scheme Owner or its
commercial partner or indirect contracts/agreements through thecertification body.
- in the latter case the requirements to include this in contracts/
agreements should be outlined in certification requirements/
methodologies or similar contract/agreement between the
Scheme Owner and the certification body.

FAO REFERENCE
141-143, 145 [161-163, 165] require the Scheme Owners to have documented procedures, written authorizations,mechanisms and take suitable action to ensure use of logos and symbols relative to claims are relevant.
These requirements were taken directly from requirements in ISO 17021 8.3.4 to control a scheme’s logo and claims.
Although ISO directed at the certification body these requirements outline common practice for the scheme.

A.2 04

LOGO MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner or its delegated authority
issues written and enforceable authorizations
and/or licenses to use the scheme’s mark/claim/logo only when the facility and/or producthas been certified as being in conformity withthe relevant standard.

Contracts or formal agreements with the certified entity specify
legal responsibility for the use of the scheme’s mark/claim/logo only
when the facility and/or product are certified.
Examples of evidence for scheme alignment:-d irect logo agreements, licensing or membership agreements with
the Scheme Owner or a delegated authority.
- indirect contracts/agreements through the certification body.
- in the latter case the requirements should be outlined incertification requirements/methodologies or similar contract/
agreement between the Scheme Owner and the certification bodyto include this in contracts/agreements.

FAO REFERENCE
This Essential Component is taken directly from FAO 142 [162]. Creates an enforceable link between the use of claims
and labels to the act of being certified

28

A.2

ESSENTIALCOMPONENTS

Scheme Management
GSSI Essential Components for Governance of Seafood Certification Schemes
A.2 05

CERTIFICATE CONTENT MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires certificates toinclude, at a minimum:

The issuer of the certificate ensures that minimum information
enables identification and contact information of assurance process
parties (accreditation body, Scheme Owner and certification body),
unique name and address of certified entity, date and validity, scopeand signature of issuing officer.

− the name and address of the accreditationbody or Scheme Owner;− the name and address of the certificationbody;− the name and address of the certification
holder;− the effective date of issue of the certificate;− the substance (scope of certification) of thecertificate;

Examples of evidence for scheme alignment:-m andatory normative documents such as certification
requirements/methodologies with certification bodies that cover all
points listed.
-m andatory certificate template includes all points listed.
- review examples of certificates.

− the term for which the certification is valid;− s ignature of the issuing officer.

FAO REFERENCE
This Essential Component is taken directly from FAO 146 [166]. Ensures sufficient information on the certificate tovalidate its legitimacy.

A.2 06MINIMUM PERCENTAGE-BASED CLAIMSGSSI ESSENTIAL COMPONENTGUIDANCE

Where a seafood ingredient can be certified, theScheme Owner requires that at least 95% of
the total seafood ingredient within a product isof certified origin in order for the scheme’s logo
or certification mark to be used. Where thereis less than 95%, the scheme requires that thepercentage must be stated and the logo orcertification mark cannot be used.

The Scheme Owner specifies minimum percentages for use of logo
and claims in mixed products. This states that at least 95% of thetotal seafood ingredient that can be certified, for unqualified claims
and for lower percentages, a qualifying statement of the percentage
must be used in conjunction with the logo or claim.
Examples of evidence for scheme alignment:-n ormative documents such as scope definition, certification
requirements/ methodologies or other agreements between
the Scheme Owner and certification body that define thesepercentage claims.
- logo use and claims policy which is explicitly referenced in formal
contracts and agreements with certification bodies and/or certified
entities.
- review examples of issued certificates where these are public
or product information in online databases of certified products
where these are available.
- if the Scheme Owner does not allow mixed product, then thisEssential Component is aligned.

FAO REFERENCE
Specification 141 [161] in order to support integrity of the claim such that products with minimal certified content
cannot be claimed as certified. It is common practice to have a declared percentage requirement of minimal certified
seafood product in order to allow a certified claim.

29

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemesu STANDARD SETTING BODY
A.3 01

STANDARD SETTING BODYGSSI ESSENTIAL COMPONENTGUIDANCE

A Scheme Owner or other suitable arrangement(e.g. technical committee of independent
experts, delegated standard-setting body) is
assigned with the tasks of setting, reviewing,
revising, assessing, verifying and approving
standards.

The organizational chart clearly identifies the responsible person
for assigning the management of the standard setting process.
In addition, the organizational chart or related TORs/contracts
with external bodies identifies where each of the tasks (setting,reviewing, revising, assessing, verifying and approving standards)
are assigned to.
This documentation clearly indicates where the overall responsibility
for the standard setting process lies.

FAO REFERENCE
This Essential Component is taken almost directly from FAO clauses 44 and 45 [68-69]. Requiring the establishment ofa clear body responsible for the management of the standard-setting process

A.3 02CENTRAL FOCAL POINT

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner identifies a central point ofcontact for standards-related enquiries and forsubmission of comments. The Scheme Owner
makes contact information for this contact point
readily available including on the internet.

Contact details for standard related enquiries and comments areeasily available for the public, including online. This can be thesame as a general contact point, but should explicitly identify
standard related scope.
Examples of evidence for scheme alignment:- review website and verify that point of contact responds toenquiries.
- review past enquiries and submitted comments

FAO REFERENCE
59 [81] require that a central focal point for standards related enquiries is identified and contact information is madeeasily available.
This Essential Component provides stakeholders with a point of contact for any questions or submissions.

u STANDARD SETTING PROCEDURES
A.3 03

STANDARDS DEVELOPMENT AND MAINTENANCE PROCEDUREGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has publicly available
procedures for the process under which eachstandard is developed and revised.

Procedures defining the process of standard development andrevision are easily available for the public, such as online, inappropriate languages.

FAO REFERENCE
Reflective of FAO 47, 51, 52, 56 [71-73], the requirement ensures a consistent and transparent approach to standardsetting. In line with Principles 2.4 and [17.d] procedures should be made transparent.

30

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 04

WORK PROGRAMGSSI ESSENTIAL COMPONENTGUIDANCE

A work program is prepared and made publicly
available at least every six months, including:

A work program for standard setting and revision is easily available
for the public, such as online. The program is updated at a minimum
every 6 months. The work program contains all listed items.

−S cheme Owner’s name and address− the list of standards currently underpreparation;− the list of standards currently under reviewing
or revision;− the list of standards which were adopted in
the preceding period.

FAO REFERENCE
Taken directly from 50 [73]. It provides stakeholders with an overview of the status of different standards underresponsibility of the Scheme Owner

A.3 05TERMS OF REFERENCEGSSI ESSENTIAL COMPONENTGUIDANCE

At the outset of a new standard development orrevision process, the Scheme Owner develops
or updates terms of reference (ToRs), which
includes at least the following elements:

The Scheme Owner has mechanism in place to develop or update
ToR at the outset of standard development or revision process that
includes: proposed scope, geographical application and objectives.

−P roposed scope of the standard andintended geographic application;

 utlined in an internal procedure and part of the quality handbook-ofor standard setting.

−C lear objectives that the standard seeks
to achieve and how those are linked to theorganization’s intended change.

For Scheme Owners that have standard development or a revision
process going on, check online availability of this information.

Examples of evidence for scheme alignment:

FAO REFERENCE
40, 44, 47, 56 [66, 71-75]. According to 40 [66] the standard should reflect the objectives of a certification scheme.
44, 47, 56 [71-75] require a standard setting body to be in place with clear rules of procedure and a decision
making process. The Essential Component, with the terms of reference, provides stakeholders with consistency ofunderstanding of what the standard intends to achieve.

RELATED SUPPLEMENTARY COMPONENTS
A.3 0501 See page 50

31

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 06DECISION MAKING PROCESSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner strives for consensus
decisions on the content of the standard.
Where consensus cannot be achieved, theScheme Owner defines criteria in advance todetermine when alternative decision-making
procedures should come into effect and what
the decision-making thresholds will be.

A mechanism is in place to assure a consensus decision is foundwhere possible. In addition, the mechanism describes how
decisions shall be made when a consensus is not possible. The
mechanism assures that stakeholders are informed about thismechanism.
Examples of evidence for scheme alignment:- internal procedures and/or quality handbook for standard setting
and maintenance outlines decision making.
-m eeting minutes/email correspondence.
Standard setting archives and draft standards and meeting minutes
could verify that this mechanism was implemented during previous
decision-making.

FAO REFERENCE
56 [64] require written procedures to guide the decision making process.
[ISEAL Standard-Setting Code 5.6.3] [ISO 59 4.1 & 4.2] provide more detail to requirement for defined decisionmaking procedures, both reference documents refer to the use of the “consensus” principle in governing standards
development.
Consensus decisions support finding a workable compromise between stakeholder views. Having alternative
procedures as a back-up ensures stakeholder clarity

RELATED SUPPLEMENTARY COMPONENTS
A.3 0601 See page 51

A.3 06

02 See page 51

A.3 0604 See page 52

A.3 0605 See page 53

32

A.3 06

03 See page 52

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 07COMPLAINTSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner, or delegated authority
makes impartial and documented efforts
to resolve procedural complaints related
to standard-setting, based on a publicly
documented complaints resolution mechanism.
Decisions taken on complaints are disclosed atleast to the affected parties.

The Scheme Owner or delegated authority has a publicly available
complaint resolution mechanism related to standard setting. A generalcontact may be used, but must explicitly note standard setting
complaints. Resolutions are documented and free of bias. Decisions
on complaints are disclosed, at a minimum, to affected parties.
Examples of evidence for scheme alignment:- internal quality assurance manual.
- previous complaints have been resolved according to this policy.
- decisions taken on previous complaints have been disclosed tothe affected party.
Possibly request and cross-check with any previous procedural
complaints from stakeholders.

FAO REFERENCE
47 [72] Requires activities of the standard-setting body are carried out in a transparent manner following written rules
and procedures. The procedures should contain a mechanism for impartial resolution of any substantive or procedural
disputes about the handling of standard-setting matters.
FAO and ISO-59 do not require the decisions taken in this matter to be made publically available.

RELATED SUPPLEMENTARY COMPONENTS
A.3 0701 See page 53

A.3 08

STANDARDS REVIEW AND REVISIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner reviews standards at least
every five years for continued relevance and for
effectiveness in meeting their stated objectives
and, if necessary, revises them in a timely
manner.

The Scheme Owner has a process in place for reviewing all
standards to ensure continued relevance and meeting statedobjectives. Relevance can include market uptake, stakeholder scopeand support. Outcome and assessment reports can identify progress
towards objectives. Review should be at least every five years.
Example of evidence of alignment:- internal procedure, quality handbook, public work program.
- monitoring and evaluation system.
- public comments and consideration of reports for standard
revisions.

FAO REFERENCE
FAO 60 [82] and ISO 59 4.6 require that standards are reviewed on regular published intervals. Requirement further
specified based on ISEAL 5.8.1 which require a review every 5 years.
This Essential Component recognizes that good practices are dynamic and that standards need to be revised toensure continued relevance

33

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 09PROPOSALS FOR REVISIONSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner allows for comments on
the standard to be submitted by any interested
party at any time and considers them during thesubsequent standards revision process.

The Scheme Owner has a permanent publicly available pointof contact defined online for the submission of comments on
the standard. This is not just during the development or revision
process. A general point of contact online is acceptable for small
schemes, as long as it explicitly states that all stakeholders can
submit comments on the standard at any time. All comments onstandards are considered in subsequent revision process.
Examples of evidence for scheme alignment:- s cheme’s website with form for submitting comments onstandards.
- internal procedure, quality handbook describing the receiving,filing and incorporation of submissions during the subsequent
revision process.
Review ongoing submissions by interested parties on file.

FAO REFERENCE
Taken directly from 61 [83]. This Essential Component enables stakeholders to provide input at any time on how thestandard is working and how to improve it.

A.3 10RECORD KEEPINGGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner keeps on file for a period ofat least one full standards revision the following
records related to each standard development
or revision process:The Scheme Owner has a mechanism is in place to assure allrecords outlined remain on file for at least one full standards revisionperiod.

–p olicies and procedures guiding the standardsetting activity;- internal procedure, quality handbook describing records to be
kept, document and retention policy.

– lists of stakeholders contacted;

Review the full range of records for the most previous standard
development and revision process.

– interested parties involved at each stage ofthe process;

Examples of evidence for scheme alignment:–c omments received and a synopsis of how
those comments were taken into account;and–a ll drafts and final versions of the standard.

FAO REFERENCE
59 [81] require that proper records are prepared and maintained of standard development activity.
ISO 17011 5.4.2 requires records are retained for a period consistent with its contractual and legal obligations.
Therefore records related to standards need to be kept at minimum for the life of the standard 5 years. ISEAL 5.10.1
defines 5 years as well as the specific records that shall be kept.
This Essential Component supports consistency of standard-setting practice and makes evidence accessible in theevent of a complaint submission

RELATED SUPPLEMENTARY COMPONENTS
A.3 1001 See page 54

34

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemesu PARTICIPATION AND CONSULTATION
A.3 11

PUBLIC SUMMARYGSSI ESSENTIAL COMPONENTGUIDANCE

At the outset of a standard development orrevision process, the Scheme Owner makes
publicly available a summary of the process that
includes:The Scheme Owner has a mechanism in place assuring that asummary of the process is made easily available for the public
online at the outset of the process. This includes Who and How
to contribute, timeline, summary ToR (A.3.05) and decision making(who and how).

–c ontact information and information on how tocontribute to the consultation;– s ummary of the terms of reference for the
standard, including the proposed scope,
objectives and justification of the need for the
standard;

Examples of evidence for scheme alignment:- internal procedure/quality handbook describing elements andprocess of public summary.
-e xamples of availability of past or current information.

– s teps in the standard-setting process,including timelines and clearly identified
opportunities for contributing; and–d ecision-making procedures, including how
decisions are made and who makes them.

FAO REFERENCE
44, 47, 56 [71-75] require a standard setting body to be in place with clear rules of procedure and a decision making
process. This Essential Component reflects those intentions by providing stakeholders with the information they needto know to decide whether to participate in standards development.

A.3 12BALANCED PARTICIPATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner or delegated authority
ensures participation by independent technicalexperts and encourages balanced participation
by stakeholders in the standard development,
revision and approval process.

The Scheme Owner, or delegated authority, has mechanism toensure participation of necessary technical experts and balanceof different stakeholder perspectives in standard development
and maintenance. A balanced participation of stakeholders
would include: fisheries/aquaculture management authorities, thefishing/aquaculture industry, fish workers organizations, fishing/aquaculture communities, the scientific community, environmental
interest groups, fish processors/traders/retailers, aquaculture input
providers such as feed providers, hatcheries/nurseries and possibly
treatment providers, as well as consumer associations.
Examples of evidence for scheme alignment:- internal procedure/quality handbook for standard development- revision and approval processes that describe how balance isachieved, such as through stakeholder mapping, announcements
and invitation.
Draft documents and meeting minutes/email correspondence
indicate that during standard development, revision and approval
processes of the past, independent technical experts participated,
and a balanced participation by stakeholders was encouraged.

FAO REFERENCE
Adapted from 54 [76]. List of stakeholders to be considered as outlined in the guidelines is included in the guidance.
This Essential Component supports necessary technical expertise in standards development as well as a balance of
perspectives.

35

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 13

PUBLIC CONSULTATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner allows a period of at least
60 days for the submission of comments on thedraft standard.

The Scheme Owner has a mechanism is in place to assure aminimum of 60 days for comments on the draft standard.
Examples of evidence for scheme alignment:- internal procedure/quality handbook defining public comment
period.
-T oR
Review previous comments and dates for submission on draft
standards.

FAO REFERENCE
Taken directly from 57 [79]. This Essential Component provides necessary transparency about the standards
development process.

RELATED SUPPLEMENTARY COMPONENTS
A.3 1301 See page 55

A.3 14

PUBLIC ANNOUNCEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

No later than the start of the comment
period, the Scheme Owner publishes a noticeannouncing the period for commenting in anational or, as may be, regional or international
publication of standardization activities and/oron the internet.

Timely announcements are made regarding the public comment
period in appropriate channels so that they are easily available
to relevant stakeholders. This can be online or in an appropriate
publication. Dates should be clearly stated.
Examples of evidence for scheme alignment:- internal procedure defining process.
-p revious announcements are dated and were published before thebeginning of the comment period.

FAO REFERENCE
Taken directly from 57 [79]. This Essential Component provides necessary transparency about the standards
development process.

36

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 15STAKEHOLDER CONSULTATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that interested
parties can participate in the standard-setting
process through a consultation forum or are
made aware of alternative mechanisms bywhich they can participate.

The Scheme Owner has a mechanism is in place to ensure allinterested stakeholders can participate in standard setting process
through a forum or alternative mechanisms or tools.
Examples of evidence for scheme alignment:- internal procedure/quality handbook defining public consultation
process.
-T oR.
Review participation, communication and mechanisms/tools of pastor current consultation.

FAO REFERENCE
Taken directly from 55 [77]. This Essential Component provides the mechanisms through which stakeholders canparticipate.

RELATED SUPPLEMENTARY COMPONENTS
A.3 1501 See page 55

A.3 16

TRANSPARENCY ON COMMENTS RECEIVED

A.3 15

02 See page 56

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner makes publicly available
all comments received in the consultation in a
non-attributable way.

All comments received during the public comment period are madepublically available without attribution or identifier.
Examples of evidence for scheme alignment:- internal procedure/quality handbook describing policy, current or
past public comment comments posted online.

FAO REFERENCE
Further elaboration on 57, 58, 61 [76, 77, 83]. This Essential Component provides a level of transparency of the input
received in standards consultations.

37

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 17

TAKING COMMENTS INTO ACCOUNTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner takes into account infurther processing of the standard, comments
received during the period for commenting.

The Scheme Owner has a process for considering all comments
received during the public consultation on the standard. Comments
which are integrated into the standard should be clearly identified.
Examples of evidence for scheme alignment:- s ome sort of system (e.g. excel) for organizing, categorizing andresponding to comments.
- review past consultation system, comments and response taken.

FAO REFERENCE
Taken directly from 58 [80], followed the language from [80] which does not require the inclusion of explanations for
deviations from relevant national or international standards.
This Essential Component ensures that stakeholder comments are taken into account in the further drafting.

RELATED SUPPLEMENTARY COMPONENTS
A.3

1701 See page 56

u STANDARDS CONTENT
A.3 18

STANDARDS CONTENTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that the standard
is consistent with the following requirements:

The Scheme Owner has a mechanism in place to review standards
in respect to the listed requirements.

–o nly includes language that is clear, specific,
objective and verifiable;

Examples of evidence for scheme alignment:– is expressed in terms of process,management and / or performance
criteria, rather than design or descriptive
characteristics; (ISO 59)– does not favor a particular technology, patented
item or service provider; and (ISO 59)–a ttributes or cites all original intellectual
sources of content.

- internal procedure/quality handbook defining all list requirements.
Some standards state these in their preamble as principles orreferences.
- review that this list was checked for the current standards
- review standards and if available mandatory checklists/audit
manuals in respect to the listed requirements.
- review any available complaints relating to this requirement.

FAO REFERENCE
Supports consistent application and interpretation of the standard and reflection of best practices as per 63 [85]. The
Essential Component wording has been adapted from ISEAL 6.3.1 and ISO 59 section 5.

38

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 19RELEVANCE OF STANDARDS CONTENTGSSI ESSENTIAL COMPONENTGUIDANCE

As part of the standard development process,the Scheme Owner assesses the feasibility andauditability of requirements in the draft standard.

The Scheme Owner has a mechanism in place to test thefeasibility (cost, time) and auditability (interpretation, consistency) of
requirements prior to finalization of the standards.
Examples of evidence for scheme alignment:- internal procedure, quality handbook, standard setting work plan.
- review assessment outcomes of past processes including
revisions based on findings.

FAO REFERENCE[85] is a further clarification of para. 63. It requires that a Scheme Owner validates the standard is effective in meetingthe certification goals, meaningful, objective and auditable.

A.3 20

RELEVANCE OF STANDARDS CONTENTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner demonstrates that all
criteria in the standard contribute to thestandard’s defined objectives.

Criteria are related to how the Scheme Owner’s objectives are met
by identifying the acceptable performance. Often they are logicallygrouped around principles and objectives.
Examples of evidence for scheme alignment:- comparison of the Scheme Owner performance indicators withthe standard’s criteria.
- monitoring and evaluation system of the performance indicators.
- criteria that are not monitored and not evaluated may be surplus
to the objective of the standards.

FAO REFERENCE
Taken directly from 40 [66]. ISO 59 section 5 outlines this concept in general.

39

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 21

LOCAL APPLICABILITYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that the standard
is locally applicable. Where the Scheme Owner
adapts the standard for direct application
at the national or regional level, the Scheme
Owner develops interpretive guidance or related
policies and procedures for how to take into
account local environmental and regulatory
conditions.

The Scheme Owner has mechanisms in place to ensure local
applicability and relevance. For national or regional standards,
the Scheme Owner has a process to take into account local
environmental and regulatory conditions through guidance andpolicies.
Examples of evidence for scheme alignment:-p olicies, internal procedures and quality handbook documenting
process to consider environmental and regulatory aspects.
-c ompare geographical scope of standard and implementation(certificates) with available documented interpretation guidance.
-a ssessment or monitoring reporting indicating where locallyspecific guidance is required.

FAO REFERENCEISEAL 6.4.1, ISO 59.7. ISO 59 requires a general coordination of international, national and regional levels. ISEAL
requires interpretive guidance is formally developed.
This Essential Component provides a mechanism to ensure that the standard is locally applicable in the regions where
it is applied, reflecting the requirements for validation of standards in 63 [85].

u STANDARDS ACCESSIBILITY
A.3 22

STANDARDS AVAILABILITYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner promptly publishes
adopted standards, and makes them available
for free on the internet, and on request, to any
interested party.

Standards are published in a timely fashion and are freely available
online and on request. Validity dates coincide with publication datesof standards (taking transition periods into account) and the public
work program on standard setting and maintenance.

FAO REFERENCE
Taken directly from 49 (equivalent [71-73] in aquaculture). Free availability of standards reduces barriers to access andsupports necessary transparency, in line with Principles 2.4 and 2.5 [17.d and 17.k]

40

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 23

TRANSLATIONSGSSI ESSENTIAL COMPONENTGUIDANCE

Where a scheme is globally applicable, theScheme Owner makes translations of thestandard into English, French or Spanish
freely available and authorizes translations into
other languages where necessary for credible
implementation of the standard.

The Scheme Owner has a mechanism in place to identify theapplicability and need for translations based on geographical scopeof certification, as well as the geographical range of certified entities
and products. For global schemes, the Scheme Owner should
translate and make available the standard in English, French andSpanish and authorize into other languages to positively affecttransparency and effective implementation.
Examples of evidence for scheme alignment:- internal procedure, quality handbook, current language availability,
work plan of translations

FAO REFERENCE
Adapted from FAO 53 [75]. Instead on naming specific languages as per FAO the requirement was writing to apply in
only countries where scheme certificates have been issued. This is similar to ISEAL Standard Setting Code 5.7.3, andmore practical.
Having translations supports accessibility of the standard for stakeholders

u TRANSITION PERIOD
A.3 24

INFORMING ENTERPRISES OF TRANSITIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that certified
enterprises are informed of the revised standard
and transition period, either directly or throughtheir certification bodies.

The Scheme Owner has a mechanism in place assuring thatcertified entities are informed of standard revision and transition
periods. This can be done directly or through other assurance
bodies.
Examples of evidence for scheme alignment:- internal procedures, quality handbook, contracts/agreements orformal arrangements with certification bodies.
- review process of previous revisions if applicable.

FAO REFERENCE
This requirement further defines FAO para. 60 [82] based on ISEAL Standard-Setting Code 5.9.2. This is in line with
FAO Principles 2.4 and [17.d] on transparency and ensures that certified enterprises are aware of any revisions to thestandard and how long they have to comply.

41

A.3

ESSENTIALCOMPONENTS

Standard Setting and Maintenance
GSSI Essential Components for Governance of Seafood Certification Schemes
A.3 25TRANSITION PERIOD FOR COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that the unit ofcertification is given a period of at least three
years to come into compliance with revised
fishery standards and at least one year forrevised aquaculture standards.

Certified entities are given sufficient time to come into compliancewith revised standards, for fisheries – minimum 3 years and at least
one year for revised aquaculture standards.
Examples of evidence for scheme alignment:- s tandards, certification requirements/methodologies which state
minimum transition period for revised standards

FAO REFERENCE
FAO 60 [82] require an appropriate period of time for certificated entities to come in compliance with the revised
standard. For Fisheries this should be a minimum of 3 years.

A.3 26

TRANSITION PERIOD FOR COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner notes in the standard
the date of a revision or reaffirmation of thestandard along with a transition period after
which the revised standard will come into effect.

Standards include date of version and any transition period for thecertified entity to come into compliance. If there are normative
documents other than the standard and certification requirements/
methodologies which affect compliance of fisheries/aquaculture,these similarly should contain the described validity dates.

FAO REFERENCE
This Essential Component further defines FAO para. 60 [82] based on ISEAL Standard-Setting Code 5.9.1. This is inline with FAO Principles 2.4 and [17.d] on transparency and makes clear to stakeholders, which standard is in effectand when it will be revised.

42

A

GSSI SUPPLEMENTARY COMPONENTS
FOR GOVERNANCE
OF SEAFOOD CERTIFICATION SCHEMES

43

A.1

SUPPLEMENTARYCOMPONENTS

Scheme Governance
GSSI Supplementary Components for Governance of Seafood Certification Schemesu GOVERNANCE
A.1

01

01

LEGAL STATUS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has insurance or reservesto cover the operations of the scheme.

The Scheme Owner shall be able to demonstrate that it has
evaluated the risks arising from its activities and that it has adequate
arrangements (e.g. insurance and/ or reserves) to cover liabilities
arising from its operations in each of its fields of activities and thegeographic areas in which it operates. (adapted ISO 17021 5.3 andISO 17065 4.3)

Note: This does not apply to government-run
schemes as they are self-insured.

Examples of evidence for scheme alignment:- system for business risk assessment, insurance policy,- clauses in accreditation body and/or certification body contracts
addressing liability.

REFERENCE[61] requires institutions involved in establishing and implementing a certification scheme should be transparent,
credible and robust with good governance. [64] Requires the owner of a certification scheme to have clear written rules
and procedures and decision making process.
70-71 [92-93], and 113-114 [135-136] require the same arrangements for accreditation bodies and certification bodies
to function appropriately therefore this requirement should also apply to a Scheme Owner on order to ensure good
governance.
Based on ISO 17067 Section 6.3.8 -11, this is common practice for any legal entity and ensures they are covered foreventualities.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.01 The Scheme Owner is a legal entity, or
an organization that is a partnership of legal
entities, or a government or inter-governmental
agency.

Demonstrates that the Scheme Owner has adequately evaluatedrisks arising from its activities.

A.1

01

02

LEGAL STATUS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner provides, within its means,translations into appropriate languages of its
standard-setting procedures, most recent work
program, and draft and final versions of its
standards.

Scheme owner has a process for determining the need fortranslation and publication of documents in appropriate language toensure access and transparency based on scope of activities andgeographies. The procedure includes an assessment in order toensure accurate translation.
Examples of evidence for scheme alignment :- relevant policy and procedure document control system,- work plans covering language needs assessment,- process for ensuring accuracy of translations.

REFERENCE
53 [75] requires standards to be translated into appropriate languages. This Supplementary Component ensures thattranslations of the standard will be accurate and will not be misrepresented.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.01 The Scheme Owner is a legal entity, or
an organization that is a partnership of legal
entities, or a government or inter-governmental
agency.

Strengthens transparency and accessibility to stakeholders basedon scope of activities and geographic regions.

44

A.1

SUPPLEMENTARYCOMPONENTS

Scheme Governance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.1

03

01

OPERATING PROCEDURESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner carries out a regularperformance review of its top decision-making
body, with results that are made publicly
available.

Scheme owner ensures continuous improvement of its operations
by undertaking an annual performance review of its governancebody. Results are made publically available to ensure transparency
and accountability.
Examples of evidence for scheme alignment:- online performance review findings and defined actions,- annual report which includes summary of review,- findings and actions.

REFERENCE
Adapted from ISO/IEC 17067:2013. Considered good practice and would result in higher integrity of the scheme

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.03 The Scheme Owner operates to a
documented set of governance policies andprocedures specifying at least the following:

Supports competent and professional operations, and a level oftransparency to stakeholders.

- Board or governance body election or
appointment process,- Board or governance body representationand terms of reference,- Member categories (where applicable),- Income generation or funding processes,- An organizational structure,- The decision making processes of eachgovernance body,- Key personnel roles (responsibility andauthority),- Managing conflict of interest, and- A conformity assessment program.

45

A.1

SUPPLEMENTARYCOMPONENTS

Scheme Governance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.1

08

01

SCHEME OBJECTIVESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has a documented
monitoring and evaluation system throughwhich it collects data on its performanceindicators, and uses this to inform the revisionof its standard.

The Scheme Owner has a documented system to monitor andassess its defined performance indicators. Monitoring information isshared with standards committee.
Examples of evidence for scheme alignment:- monitoring system including data collected- previous monitoring information has been assessed anddocumented inputs developed for the next standard revision
process,- requirement for full ISEAL members.

REFERENCE
Combination of ISEAL Impacts Code 5.1, 8.2, 9.1. This would be considered good practice but is not normally done
and would result in higher integrity of the scheme.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.08 The Scheme Owner has defined
objectives for its scheme that aim for
responsible use of the resource and has
publicly available performance indicators
related to scheme objectives.

Provides the data for understanding and communicating on
progress towards scheme objectives. A foundation for a continuous
improvement model.

A.1

08

02

SCHEME OBJECTIVESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner can demonstrate it hasdelivered against its scheme objectives throughoutcome and impact evaluations of its scheme.

The Scheme Owner has a system to periodically conduct in-depth
assessments of its performance. The number, regularity and extent
of outcome or impact evaluations should be commensurate with thematurity, scale and intensity of the activities of the standards system.
Examples of evidence for scheme alignment:- documented outcome or impact evaluations,- requirement for full ISEAL members.

REFERENCE
Builds from the principle 2.12 [17.f] of the FAO Guidelines principles, which stipulate that certification schemes should
be practical, viable and verifiable (2.12 FAO Ecolabelling Guidelines) and fully effective in achieving their designatedobjectives (17.f FAO Aquaculture Certification Guidelines).
Adapted from ISEAL Impacts Code 8.5. This would be considered good practice but is not normally done and would
result in higher integrity of the scheme.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.08 The Scheme Owner has defined
objectives for its scheme that aim for
responsible use of the resource and has
publicly available performance indicators
related to scheme objectives.

Independent evaluations reinforce the findings of the monitoringand evaluation and provide a level of independence that increases
integrity.

46

A.1

SUPPLEMENTARYCOMPONENTS

Scheme Governance
GSSI Supplementary Components for Governance of Seafood Certification Schemesu NON-DISCRIMINATION
A.1

09

01

NON-DISCRIMINATION - OPENNESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has procedures for taking
into account the special circumstances ofdata deficient and/ or small-scale fishery/
aquaculture operations.

The Scheme Owner processes and policies reduce barriers or
promote access of small scale enterprises. This may include
specific small scale standards or exemptions that do not lower therequirements of the standards themselves.
Examples of evidence for scheme alignment:- s eparate specific standard for small scale enterprises or programs
such as capacity building and access to finance targeted tosmall scale enterprises. Policies may include sliding scale fees orsimplified reporting templates.

REFERENCE
Building from 4, 6 and 29 [172-176] which specifically require schemes to take into account special considerations forsmall-scale fisheries and aquaculture, however without lowering the standard.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.09 The Scheme Owner ensures that
all types of fishery/aquaculture operations
within the scope of its scheme can apply forcertification, regardless of their scale, size or
management arrangements, and has not set
an upper limit on the number of operations thatcan be certified.

Avoids discrimination against operations on the basis of scale orlevel of development.

47

A.1

SUPPLEMENTARYCOMPONENTS

Scheme Governance
GSSI Supplementary Components for Governance of Seafood Certification Schemes

u SCHEME INTEGRITY MONITORING PROGRAM
A.1

11

01

INTERNAL REVIEWGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner ensures the management
review is, is carried out with the involvement of
directly affected stakeholders and addresses
any issues of concern raised by stakeholders.

Directly affected stakeholders are defined by the Scheme Owner. A
system exists to ensure sufficient time and opportunity for all directly
affected stakeholders to provide input. Submissions are reviewed
and addressed transparently.
Examples of evidence for scheme alignment:- documented stakeholder identification,- examples of invite and information system to inform stakeholders
how to submit issues of concern or general input,- documented process for handling, reviewing and responding toissues raised.

REFERENCE
Building from 77, 120, 141 [99, 252, 161], It is common good practice for certification bodies and, to a certain
extent, accreditation bodies to have a formal internal documented review. Following the principle of transparency it isreasonable for a Scheme to do this more openly including stakeholders.

RELATED ESSENTIAL COMPONENTRATIONALE

A.1.11 The Scheme Owner undertakes a fully
documented annual management review ofscheme performance, including its assurance
program, and the performance of certification
and accreditation bodies. The results of
the review are used to revise its operatingprocedures and practices, where necessary.

Ensures stakeholder accountability in the management review.

48

A.2

SUPPLEMENTARYCOMPONENTS

Scheme Management
GSSI Supplementary Components for Governance of Seafood Certification Schemesu LOGO USE AND CLAIMS
A.2 0201

RELEVANT CLAIMSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has data to substantiate
claims about meeting its scheme objectives,
e.g. with impacts data or monitoring andevaluation results.

The Scheme Owner ensures claims (e.g. in a publications or ona website) are accurate and supported by data such as throughoutcome or impacts reports. This could be through a system and/or
assignment of responsibility to check claims or statements made by
the scheme itself.
Examples of evidence for scheme alignment:- Review claims by schemes of meeting its objectives (this may
be in the form of an annual update, 10 year success booklets,internet news, presentation materials for fairs, or other advertisingmaterials).
- For such claims, a documented assessment of the publicly
available in the form of outcome or impact reports supporting theclaim/results.
- ISEAL Improvement criteria

REFERENCE
Adapted from ISEAL Impacts Code 10.3, building further from the FAO Ecolabelling Guidelines principles. Principle
2.12 [17.f] stipulates that certification schemes should be practical, viable and verifiable.

RELATED ESSENTIAL COMPONENTRATIONALE

A.2.02 Through the claims policy, the Scheme
Owner ensures copyright is protected andthat symbols, logos and claims are only
applied to activities that are within the scope of
certification, do not overstate or mislead users
relative to the defined scope, and are relevantto that scope.

Demonstrates scheme is achieving what it intended and supports
truthfulness in claims. This data may only be available after ascheme has been in operation for a number of years.

49

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemesu STANDARD SETTING PROCEDURES
A.3 0501

TERMS OF REFERENCEGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The terms of reference also include:

The terms of reference for standard development and revision
includes justification of need, issues and risks and how the standard
addresses these.

- A justification of the need for the standard,
including an assessment of the mostimportant environmental issues falling within
the scope of the standard; whether the
proposed standard will meet an expressed
need; and documentation of what otherstandards exist or are in the process ofdevelopment which meet all or part of theexpressed need;

Examples of evidence for scheme alignment:- documented due diligence process,- preamble of terms of reference covering these aspects.

- An assessment of risks in implementing thestandard and how to mitigate for these.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.1. This Supplementary Component builds on and goes beyond A.3.05.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.05 At the outset of a new standard
development or revision process, the Scheme
Owner develops or updates terms of reference(ToRs), which includes at least the following
elements:

Additional requirements ensure the Scheme Owner has done due
diligence in determining the need and positive impact of developing
a new standard.

- Proposed scope of the standard andintended geographic application;- Clear objectives that the standard seeks
to achieve and how those are linked to theorganization’s intended change.

50

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.3 0601

DECISION MAKING PROCESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner ensures participation instandards decision-making bodies is open to
all stakeholders.

Standard owner process and procedures for participation instandard's decision-making bodies ensures open participation of all
stakeholders.

REFERENCE
Adapted from ISEAL Standard Setting Code 5.6.1, building on from A.3.06 and FAO 47, 55 [72, 77]

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.06 The Scheme Owner strives forconsensus decisions on the content of thestandard. Where consensus cannot be
achieved, the Scheme Owner defines criteria
in advance to determine when alternativedecision-making procedures should come into
effect and what the decision-making thresholds
will be.

Supports openness in decision-making. Not all stakeholders canparticipate but all should be given the opportunity to put their nameforward.

A.3 0602

DECISION MAKING PROCESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner’s decision-making process
for standards development or revision ensuresthat no category of stakeholders has a majority
vote in decision-making.

Standard owner voting procedure process ensures balance indecision making where no single category of stakeholder has amajority in decision making.
Examples of evidence for scheme alignment:- internal procedures and/or quality handbook,- previous voting from minutes if available.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.6.3, building from A.3.06 and FAO 47, 55, 56 [72, 77, 64].

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.06 The Scheme Owner strives forconsensus decisions on the content of thestandard. Where consensus cannot be
achieved, the Scheme Owner defines criteria
in advance to determine when alternativedecision-making procedures should come into
effect and what the decision-making thresholds
will be.

Ensures that no one stakeholder group is able to dominate decisionmaking – a key tenet of a multi-stakeholder process.

51

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.3 0603

DECISION MAKING PROCESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has procedures in place
to ensure that directly affected stakeholders
have the opportunity to be represented indecision-making.

The standard owner defines directly affected stakeholders, including
certified entities and any active technical and/or stakeholder working
groups.
A procedure is in place, assuring and describing how directly
affected stakeholders can be represented in decision-making. A
mechanism is in place to inform directly affected stakeholders of thisopportunity.
Examples of evidence for scheme alignment:- s takeholder mapping, meeting minutes and email correspondence
to verify if stakeholders have been informed.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.6.1, building from A.3.06 and FAO 47, 55, 56 [72, 77, 64].

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.06 The Scheme Owner strives forconsensus decisions on the content of thestandard. Where consensus cannot be
achieved, the Scheme Owner defines criteria
in advance to determine when alternativedecision-making procedures should come into
effect and what the decision-making thresholds
will be.

Directly affected stakeholders are the ones that will be impacted
by implementation of the standard and need to have a voice indecision-making

A.3 0604

DECISION MAKING PROCESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Where the Scheme Owner limits decisionmaking to members, it ensures thatmembership criteria and application
procedures are transparent andnon-discriminatory.

For membership organization where decision making is limited tomembers, the application process and selection criteria are easily
available and ensure balanced participation of stakeholders. These
criteria could be “Not Applicable” if the Scheme Owner is not amember based organization.
Examples of evidence for scheme alignment:-a pplication procedure, forms, completed applications and any
reasons for declining.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.6.2, building from A.3.06 and FAO 47, 55, 56 [72, 77, 64].

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.06 The Scheme Owner strives forconsensus decisions on the content of thestandard. Where consensus cannot be
achieved, the Scheme Owner defines criteria
in advance to determine when alternativedecision-making procedures should come into
effect and what the decision-making thresholds
will be.

Supports transparency and non-discrimination over who canparticipate.

52

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.3 0605

DECISION MAKING PROCESSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner makes public any
decisions on the content of the standard aswell as a summary of deliberations in arriving at
the decision.

The standard owner has a process in place to document decisions
made on standard content, as well as a summary of deliberations inarriving at the decision. Records are made public, such as online.
Example of evidence of alignment:- standards development or revision process description,- template for comments and response,- review of past development or revision documents.

REFERENCE
Builds from 56 [64] which require written procedures to guide the decision making process. Strengthened by theapplication of Principle 2.4 and [17.d] on transparency on the Essential Component.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.06 The Scheme Owner strives forconsensus decisions on the content of thestandard. Where consensus cannot be
achieved, the Scheme Owner defines criteria
in advance to determine when alternativedecision-making procedures should come into
effect and what the decision-making thresholds
will be.

Supports transparency in how decisions are made.

A.3 0701

COMPLAINTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Decisions taken on complaints andjustifications for those decisions are madepublicly available.

Decisions on complaints related to standard setting and justification
for decision are publicly available (e.g. online on website).

REFERENCE
47 [72] Requires activities of the standard-setting body are carried out in a transparent manner following written rules
and procedures. The procedures should contain a mechanism for impartial resolution of any substantive or procedural
disputes about the handling of standard-setting matters.
Requiring the publication of decisions taken in this matter will improve transparency of the complaints resolution
process. This follows the ISEAL Standard setting Code and further implements Principle 2.4 and [17.d] ontransparency.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.07 The Scheme Owner, or delegatedauthority makes impartial and documented
efforts to resolve procedural complaints related
to standard-setting, based on a publicly
documented complaints resolution mechanism.
Decisions taken on complaints are disclosed atleast to the affected parties.

Improves transparency of the complaints resolution process.

53

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.3

10

01

RECORD KEEPINGGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner makes records in A.3.10
available to interested parties upon request.

The Scheme Owner has a mechanism to ensure records describedin A.3.10 are provided to stakeholders on request for the last
revision process.
Examples of evidence for scheme alignment:-p olicy/procedure describing system and process to provide
information,- online form for request, past actual requests and action taken,- possibly request records through online contact.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.10.1. FAO 59 [81] requires that proper records are preparedand maintained of standard development activity. Strengthened by the application of Principle 2.4 and [17.d] ontransparency on the Essential Component.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.10 The Scheme Owner keeps on file fora period of at least one full standards revision
the following records related to each standard
development or revision process:Support transparency in record-keeping.

- policies and procedures guiding thestandard-setting activity;- lists of stakeholders contacted;- interested parties involved at each stage ofthe process;- comments received and a synopsis of how
those comments were taken into account;and- all draft and final versions of the standard.

54

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemesu PARTICIPATION AND CONSULTATION
A.3

13

01

PUBLIC CONSULTATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner requires at least tworounds for comment submissions on the draft
standard by interested parties, with one roundof at least 60 days and the other of at least 30
days.

The Scheme Owner has a mechanism in place to ensure comment
periods as per Supplementary Component.
Examples of evidence for scheme alignment:- internal procedure/quality handbook defining public comment
periods in line with Supplementary Component.
- terms of reference review previous comments and dates for
submission on draft standards.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.4.1, going beyond A.3.13 by requiring a second consultation period.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.13 The Scheme Owner allows a periodof at least 60 days for the submission ofcomments on the draft standard.

Strengthens stakeholder engagement and transparency on howcomments were taken into account.

A.3

15

01

STAKEHOLDER CONSULTATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner identifies stakeholders
who will be directly affected by the standard
and those that are not well-represented inconsultations and proactively seeks theircontributions.

The Scheme Owner documents directly affected stakeholders
and identifies those not as represented in past consultations or
have potential barriers to participate to proactively seek their
input through alternative mechanisms and tools that are that areaccessible and culturally appropriate for the stakeholder groups inquestion such online or in in-person workshops.
Examples of evidence for scheme alignment:- stakeholder mapping including participation in past consultations- meeting minutes, announcements, publications and or emailcommunication indicate that the Scheme Owner is proactively
seeking the input of specific stakeholder groups.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.4.4. This Supplementary Component builds on A.3.15.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.15 The Scheme Owner ensuresthat interested parties can participate in
the standard-setting process through a
consultation forum or are made aware ofalternative mechanisms by which they canparticipate.

Puts the onus on the Scheme Owner to take steps to strengthen thebalance and participation of key stakeholders.

55

A.3

SUPPLEMENTARYCOMPONENTS

Standard Setting and Maintenance
GSSI Supplementary Components for Governance of Seafood Certification Schemes
A.3

15

02

STAKEHOLDER CONSULTATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner makes efforts to address
constraints to participation in standard-setting
faced by disadvantaged stakeholders such as
small-scale operations and vulnerable groups.

The Scheme Owner defines disadvantaged stakeholders andaddresses potential barriers to participation such as language,
culture, access to internet, costs, technical accessibility, etc. throughalternative mechanisms and tools that are that are accessible andculturally appropriate for the stakeholder groups in question.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.4.4, building from 4 and 6 [172-176] which specifically require schemes
to take into account special considerations for small-scale fisheries and aquaculture.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.15 The Scheme Owner ensuresthat interested parties can participate in
the standard-setting process through a
consultation forum or are made aware ofalternative mechanisms by which they canparticipate.

Supports participation by stakeholders who may face constraints toactive engagement.

A.3

17

01

TAKING COMMENTS INTO ACCOUNTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner makes publicly available
a synopsis of how these comments wereaddressed and sends the synopsis to allparties that submitted comments.

The Scheme Owner develops a summary of how comments wereaddressed, makes publicly available as well as sends to everyone
who submitted comments.
Examples of evidence for scheme alignment:- system, internal procedure/quality handbook that describes howcomments are summarized and made available publicly and tocommenters,- review of current and past standard public consultation information
flow including synopsis.

REFERENCE
Adapted from ISEAL Standard-Setting Code 5.4.5. Builds on A.3.17, ensures stakeholders can see how their input
was addressed in standards revisions.

RELATED ESSENTIAL COMPONENTRATIONALE

A.3.17 The Scheme Owner takes into
account in further processing of the standard,comments received during the period forcommenting.

Ensures stakeholders can see how their input was addressed instandards revisions.

56

B
57

B

GSSI

BENCHMARK FRAMEWORK

Scheme Operational Management
B.1

B.2

B.3
CHAIN OF CUSTODYCERTIFICATION

ACCREDITATIONELEMENT /GSSI ESSENTIAL COMPONENTS

PAGE

ISO-17011 complianceB.1.0161

Non-discrimination

B.1.02

61

Specified requirements

B.1.0362

Transition period

B.1.0462

Accreditation body – Competencies

B.1.0563

External review

B.1.06

63

Organizational transparency

B.1.0764

Office audit

B.1.0864

Field audit

B.1.0965

ELEMENT /GSSI ESSENTIAL COMPONENTSGSSI
SUPPLEMENTARYCOMPONENTS
PAGE

PAGE

Certification process

ELEMENT /GSSI ESSENTIAL COMPONENTS

PAGE

Segregation

B.3.01Enterprises to be audited

B.3.0278

Records for traceability

B.3.03

79

78

ISO-17065 complianceB.2.0166

Fee structure

B.2.0266

Sub-contractors

B.3.04

79

Certification cycle

B.2.03

67

Auditing methods and frequency

B.3.0580

Surveillance

B.2.0467

Non-conformity/corrective actions

B.3.0680

Assessment methodology

B.2.05

68

Audit report

B.3.0781

B.3.0881

Record keeping

B.3.0982

Multi-site Chain of Custody audit

B.3.1082

Multi-site Chain of Custody internalverification

B.3.1182

B.2.05.01 l l l 84

 l 84B.2.05.02 l l
Termination, suspension,
withdrawal

B.2.06

68

Multi-site certification

B.2.07

69

Audit reports

B.2.0869

Stakeholder input

B.2.0970

Non-compliances

B.2.1070

Site audit

B.2.11

71

Transparency
on certified entities

B.2.12

72

Transparency
on audit reports

B.2.1372

B.2.1473

Notification of changes

B.2.1573

Timeline for corrective action

B.2.1674



B.2.09.01 l l85

B.2.09.02 l

86

For Section B the GSSI Supplementary Components outline the statusof existing practices in seafood certification and how they build from theprinciples of the FAO Guidelines for Certification and Ecolabelling, ISO
normative standards, ISEAL codes and the GFSI Guidance Document.
They can be built on going forward as technical guidelines evolve. Each GSSISupplementary Component has a rationale to explain the value that alignment
with it offers to both schemes and stakeholders.

SOURCE DOCUMENTSl Assuring Compliance with Social and Environmental Standards,
Code of Good Practice, ISEAL Alliance, 2012l Further elaboration on FAO Guidelines for the Ecolabelling of Fishand Fishery Products from Marine/Inland Capture Fisheries and
FAO Technical Guidelines on Aquaculture Certificationl GFSI Guidance Document, Sixth Edition, Version 6.3, GFSI,
October 2013

B.2.11.01 l l l 87

B.2.14.01 l

88

B.2.14.02 l

89

Auditor competence
Requirements for technicalknowledge

B.2.1774

Technical knowledge

B.2.1875

General auditing skills

B.2.1975

Scheme specific knowledge
assessment

B.2.2076

Scheme specific knowledge
maintenance

B.2.2177

Knowledge maintenance

B.2.22

77

58

59

B

GSSI ESSENTIAL COMPONENTSFOR OPERATIONAL MANAGEMENT
OF SEAFOOD CERTIFICATION SCHEMES

60

B.1

ESSENTIALCOMPONENTS

Accreditation
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.1

01

ISO-17011 COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has a contractual,
enforceable arrangement or formal
understanding that requires accreditation
bodies to be compliant with the requirementsof ISO/IEC 17011:2004.

The Scheme Owner has a contract, memorandum of understanding
or enforceable arrangement with a certification body or accreditationbody that require the accreditation bodies to be accredited to ISO/IEC 17011:2004.
Examples of evidence for scheme alignment:- contracts,- memorandums of understanding and/or memorandum ofagreements between scheme and accreditation bodies orcertification bodies that specify accreditation bodies to becompliant with ISO/IEC 17011:2004.
- accreditation bodies’ certificate of accreditation (on website).

FAO REFERENCE
The FAO Guidelines in paragraph 64, 66, [86, 87, 88] require that accreditation is conducted by a competent bodyin line with the requirements set forth in ISO/IEC 17011:2004 [86]. An arrangement between the Scheme Owner andAccreditation Body ensures only competent accreditation bodies offer accreditation for their scheme.
Paragraphs 67, 69-77, 79-84, 87-95, 97-99 [86, 89, 91-99, 101-106, 109-119, 121-123] are addressed throughconformance with ISO/IEC 17011:2004.

B.1

02

NON-DISCRIMINATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that accreditation
services are available to certifying bodies
irrespective of their country of residence, size,and of the existing number of already accredited
bodies, within the scope of the scheme.

The Scheme Owner ensures that access to accreditation is open toqualified certification bodies without consideration of size, country
or number of existing accredited certification bodies. This could bethrough contracts/agreements, in referenced policies or certification
requirements/methodologies.
Examples of evidence for scheme alignment:- application process/forms,- review list of accredited certification bodies

FAO REFERENCE
The FAO Guidelines in paragraph 67 [89] require that access to the services of the accreditation body or entity shouldbe open to all certification entities irrespective of their location. Access should not be conditional upon the size of theapplicant body or membership in any association or group, nor should accreditation be conditional upon the number ofcertification bodies already accredited.

61

B.1

ESSENTIALCOMPONENTS

Accreditation
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.1

03

SPECIFIED REQUIREMENTS

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner specifies the requirements
for certification bodies that the accreditationbody is required to verify.

The Scheme Owner defines requirements for certification bodies toensure accurate and consistent implementation. These are verified
as part of the accreditation process by the accreditation body.
Examples of evidence for scheme alignment:- requirements are specified in certification requirements/
methodologies or a separate certification body and/or
accreditation manual.
- reference to requirements in contracts or formal agreements withcertification bodies or accreditation bodies.

FAO REFERENCE
The FAO Guidelines in paragraph [65] indicate that “the certification scheme should lay down rules and regulations
under which the certification body or entity is required to operate”. In paragraph 64 [87] it is specified that it is than
the role of the Accreditation Body to conduct an “independent assessment of the competence of the certification bodyor entity”.

B.1

04

TRANSITION PERIODGSSI ESSENTIAL COMPONENTGUIDANCE

Subsequent to any changes in the requirements
for assessing certification bodies, the Scheme
Owner ensures certification bodies are given adefined time period within which to conform tothe changes.

The Scheme Owner specifies transition periods for any changes tocertification requirements (B.1.03) for certification bodies to comeinto compliance with changes. For certification bodies in developing
countries consideration is given that may include a longer transition
period, capacity building or other measures.

Special considerations should be given toaccredited bodies in developing countries andcountries in transition.

Examples of evidence for scheme alignment:- see B.1.03 reference to transition period and/or special
consideration for developing country certification bodies.

FAO REFERENCE
The FAO Guidelines in paragraph 95 [119] require accredited certification bodies are provided with a defined time period
to implement any changes in the accreditation requirements, paragraph 96 [120] requires that within this process
special considerations should be given to accredited bodies in developing countries and countries in transition.

62

B.1

ESSENTIALCOMPONENTS

Accreditation
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.1

05

ACCREDITATION BODY COMPETENCIESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner only works withaccreditation bodies that have personnel with
the necessary education, training, technicalknowledge and experience for performing
accreditation functions in fisheries andaquaculture operations.

The Scheme Owner ensures personnel competency throughcontracts or enforceable arrangements with accreditation bodies.
Personnel competency incudes education, training on the standard,
technical knowledge and experience and can be defined by the
Scheme Owner.
Examples of objective evidence:- agreement/contract between the Scheme Owner and certificationbody to use national accreditation bodies which are IAF members
and signatories to the Multilateral Recognition Arrangement for
ISO 17065.
- contract/agreement between the Scheme Owner and theaccreditation body if applicable, certification/accreditation
manuals.
- review of CVs of accreditation body staff.

FAO REFERENCE
The FAO Guidelines in paragraph 79-80 [101-102] require an accreditation body has qualified personnel to conduct
assessment against all accreditation requirements.

B.1

06

EXTERNAL REVIEWGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that external audits
are carried out on the accreditation body toassess performance.

The Scheme Owner ensures accreditation bodies undergo external/
independent performance assessments.
Examples of evidence for scheme alignment:- assessment process and requirements of IAF, ISEAL or othermembership organization.
- Scheme Owner accreditation manual or requirements, contracts
or agreements, assessment reports.

FAO REFERENCE
The FAO Guidelines in paragraph 78 [100] describe that an accreditation body may receive external audits.
This level of independent oversight is good practice in accreditation systems, e.g. the peer review system for membersof the International Accreditation Forum (IAF). It is not normal practice to make the outcomes of these reviews
publicly available.

63

B.1

ESSENTIALCOMPONENTS

Accreditation
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.1

07

ORGANIZATIONAL TRANSPARENCYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that theaccreditation body is transparent about its
organizational structure and the financial andother kinds of support it receives from public or
private entities.

Scheme owner ensures accreditation body transparency
regarding organizational structure and financial support.
The Scheme Owner requires disclosure of this information directlyfrom the accreditation body.
Examples of evidence for scheme alignment:- accreditation body website with information, certification/accreditation manuals, contracts and/or agreements.
- agreement/contract between the Scheme Owner and certificationbody to use national accreditation bodies which are IAF members
and signatories to the Multilateral Recognition Arrangement for ISO
17065;- annual or periodic reports.

FAO REFERENCE
The FAO Guidelines in paragraph 69 [91] require an accreditation body is “transparent about its organizational structure
and the financial and other kinds of support it receives from public or private entities.”

B.1

08

OFFICE AUDITGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that theaccreditation process includes an on-site auditof the certification body.

The Scheme Owner specifies that accreditation includes an on-site
audit of the certification body.
Examples of evidence for scheme alignment:- accreditation/certification requirements/methodologies,
accreditation body office audit reports, audit schedule.
- specified in accreditation body or certification body contracts/
agreements.
- agreement/contract between the Scheme Owner and certificationbody to use national accreditation bodies which are IAF members
and signatories to the Multilateral Recognition Arrangement for
ISO 17065.

FAO REFERENCE
Not specifically defined in the FAO Guidelines, however this is considered a requirement for good practice inaccreditation of seafood certification schemes, in the GSSI Public Consultation and Expert Consultation Workshops.
It is considered a necessary level of rigor of the accreditation audit to better assess the operations of thecertification bodies.

64

B.1

ESSENTIALCOMPONENTS

Accreditation
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.1

09

FIELD AUDITGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that theaccreditation process includes a review of theperformance of certification bodies and auditors
in the field.

The Scheme Owner specifies that accreditation includes aperformance review of certification bodies and auditors.
Examples of evidence for scheme alignment:-a ccreditation/certification requirements/methodologies,
accreditation body audit reports, audit schedule, specified inaccreditation body or certification body contracts/agreements.
-a greement/contract between the Scheme Owner and certificationbody to use national accreditation bodies which are IAF members
and signatories to the Multilateral Recognition Arrangement for
ISO 17065.

FAO REFERENCE
Not specifically defined in the FAO Guidelines, however this is considered a requirement for good practice inaccreditation of seafood certification schemes, in the GSSI Public Consultation and Expert Consultation Workshops.
It is considered a necessary level of rigor of the accreditation audit to better assess the operations of the certification
bodies.

65

B.2

ESSENTIALCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemesu CERTIFICATION PROCESS
B.2 01

ISO-17065 COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies operating in the scheme are accredited
to ISO/IEC 17065:2012 for the scope of therespective standard of the scheme.

The Scheme Owner has a contract, memorandum of understanding
or enforceable arrangement with certification body that require ISO/IEC 17065:2012 for the scope of the respective standard of thescheme.
Examples of evidence for scheme alignment:- contracts, memorandums of understanding and/or memorandumof agreements between Scheme and accreditation bodies orcertification bodies that specify certification bodies be accreditedwith ISO 17065:2012;- accreditation manual or certification requirements/methodologies;
certification bodies certificate of accreditation.

FAO REFERENCE
The normative reference for certification in the FAO Guidelines is ISO/IEC Guide 65 (105 [127]). ISO/IEC Guide 65 is
replaced by ISO/IEC 17065:2012 as the international standard for conducting certification. FAO paragraphs 107-130,133134 [128-150, 153-154] are addressed through conformance with ISO/IEC-17065 :2012.

B.2 02

FEE STRUCTURE

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires certification
bodies to maintain a written fee structure thatis available on request and is adequate tosupport accurate and truthful assessmentscommensurate with the scale, size andcomplexity of the fishery, fish farm or chain ofcustody. The fee structure is non-discriminatory
and takes into account the special
circumstances and requirements of developing
countries and countries in transition.

The Scheme Owner defines this requirement in the contract,
memorandum of understanding or enforceable agreement with theaccreditation body and/or certification body.
Examples of evidence for scheme alignment:- accreditation manual/certification requirements/methodologies.
- possibly also review accreditation body audit reports that thisrequirement is verified, and for compliance of certification bodies
on this requirement.
- policy or procedure which outlines how fee structures ofcertification bodies could address special requirements ofdeveloping and in transition countries in a non-discriminatory
manner; certification body fee structure and policy (online orrequest).

FAO REFERENCE
The Essential Component was taken directly from FAO Guidelines paragraph 125 [145] and helps to avoid discrimination
against enterprises on the basis of fees charged

66

B.2

ESSENTIALCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 03

CERTIFICATION CYCLEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that the validity ofa certification cycle does not exceed 5 years
in the case of fishery or 3 years in the case of
aquaculture certification and 3 years in the caseof chain of custody certification.

The Scheme Owner defines this requirement in the contract,
memorandum of understanding or enforceable agreement with theaccreditation body and/or certification body.
Examples of evidence for scheme alignment:- accreditation manual/certification requirements/methodologies.
Issued certificates with validity (online database or on request)

FAO REFERENCE
This Essential Component was taken directly from FAO Guidelines paragraphs 131-132 [151-152] and draws a balance
between a certification cycle that is not overly burdensome and one that assures continued compliance with thestandard.

B.2 04SURVEILLANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies carry out periodic surveillance andmonitoring at sufficiently close intervals to verify
that certified operations continue to comply withthe certification requirements. For aquaculture
operations, this should be on an annual basis.

The Scheme Owner defines this requirement in the contract,
memorandum of understanding or enforceable agreement withaccreditation body and/or certification body. Scheme owner risk
assessment system should identify “sufficient close intervals”.
Examples of evidence for scheme alignment:-a ccreditation manual/certification requirements/methodologies.
- Scheme Owner internal risk assessment system with assessment
reports.
-A udit reports, schedules and issued certificates.

FAO REFERENCE
This Essential Component builds on FAO Guidelines paragraph 128 [148] which require periodic surveillances atappropriate intervals.

67

B.2

ESSENTIALCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 05ASSESSMENT METHODOLOGYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that certification
bodies apply a consistent methodology toassess compliance with the standard.

The Scheme Owner defines the methodology to assess compliancewith the standard. An internal assessment (updated regularly) withclear outcomes, identifies if the methodology is consistent between
certification bodies or if the methodology needs revising.
Examples of evidence for scheme alignment:- certification requirements/methodologies,- contracts and agreements with the certification body,- guidance interpretation documents,- Scheme Owner internal assessment system with assessment
reports,- training and calibration records.

FAO REFERENCE
The FAO Guidelines in paragraph 107 [128] require that certification is conducted in a competent, impartial and accurate
manner. Such outcomes can only be achieved when the certification processes are conducted according to consistentmethodologies. The Scheme Owner is the only body that can ensure this consistency by defining rules and regulations
under which a certification body or entity is required to operate as required in paragraph [65]. All of the above is in linewith principle 2.7 [17.i] of establishing clear accountability and responsibility for Scheme Owners, certification bodies
and accreditation bodies.

RELATED SUPPLEMENTARY COMPONENTS
B.2 05

B.2 0601 See page 84

B.2 05

02 See page 84

TERMINATION, SUSPENSION, WITHDRAWALGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner ensures that accredited
certification bodies have consistent
documented procedure(s) that specify theconditions under which certification may besuspended or withdrawn, partially or in total, forall or part of the scope of certification.

For accurate and consistent implementation of the standard, theScheme Owner ensures that certification bodies have documented
procedures that specify the conditions under which certification
may be suspended or withdrawn, partially or in total, for all or part ofthe scope of certification.
Examples of evidence for scheme alignment:- contract, memorandum of understanding or enforceableagreement between the Scheme Owner and the certification body;accreditation manual, certification requirements/methodologies,- audit reports,- guidance documents specifying the conditions under which
certification may be suspended or withdrawn.

FAO REFERENCE
This Essential Component builds from FAO Guidelines paragraph 133 [153] which requires certification bodies tospecify conditions under which certification may be suspended and withdrawn. Such conditions should be consistent
for all certifications under a certification scheme in order to ensure impartial and accurate certification as required inparagraph 107 [128].
The Scheme Owner is the only body that can ensure this consistency by defining rules and regulations underwhich a certification body or entity is required to operate as required in paragraph [65]. All of the above is in line withprinciple 2.7 [17.i] of establishing clear accountability and responsibility for Scheme Owners, certification bodies andaccreditation bodies.

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Certification
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B.2 07

MULTI-SITE CERTIFICATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that accredited
certification bodies have certification
procedures and guidance for multi-site
certifications, if allowed under the scheme.

If the Scheme Owner explicitly does not allow multi-site certification(prohibits, not that it is not yet developed or exists) requirement
is “Not applicable”. Otherwise, the Scheme Owner requires
certification body to have documented certification procedures andguidance for multi-site certification.
Examples of evidence for scheme alignment:- memorandum of understanding or enforceable agreement
between the Scheme Owner and the certification body;- certification requirements/methodologies specifying multi-site
procedures;- guidance specifying certification procedures for multi-site
certifications, in order to support consistency between certification
bodies;- audit reports.

FAO REFERENCE
This Essential Component supports consistency in assessment of multi-site operations, which are not considered
explicitly under FAO however is considered important to provide guidance for this in order to be able to ensure an
impartial and accurate certification system as required in paragraph 107 [128].

B.2 08

AUDIT REPORTS

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires CBs to ensure
consistency in audit report formats and in how
the reports are completed.

The Scheme Owner defines this requirement for certification bodies
and has some system for quality control.
Examples of evidence for scheme alignment:-c ontract/agreement between the Scheme Owner and thecertification body, certification requirements/methodologies;-g uidance specifying formats for audit reports and reporting,mandatory audit templates;- r eview online audit reports for consistency of report format andreporting, Scheme Owner quality management system for review
of audit reports.

FAO REFERENCE
This Essential Component builds from FAO Guidelines paragraph 139-140 [159-160] which requires specifications for a
written audit report for Chain of Custody, reference to assessment reports for aquaculture and fisheries certification is
implied in paragraph 122 [143] but not further specified.
Consistent audit reports are however a key component to ensure impartial and accurate certification as required inparagraph 107 [128].
The Scheme Owner is the only body that can ensure this consistency by defining rules and regulations under which a
certification body or entity is required to operate as required in paragraph [65].

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GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 09STAKEHOLDER INPUTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies have in place consistent proceduresfor stakeholders to provide input during thecertification process.

The Scheme Owner defines this requirement for certification
bodies to have a documented procedure to enable input from all
stakeholders during the certification process.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, certification requirements/methodologies
specifying requirements for mechanism for stakeholder input
during certification process.
- guidance specifying procedures.
- review certification body process for input:- publicly available information for stakeholder input, publicannouncements, audit work plans, requests for input.
- audit reports with stakeholder input.

FAO REFERENCE
FAO Principle 2.4 and 3 [17.e] require transparency and fair participation in all aspects of a certification scheme.
This Essential Component provides a mechanism for stakeholders to provide input about an enterprise undergoingcertification which strengthens information base on which to make certification decisions.

RELATED SUPPLEMENTARY COMPONENTS
B.2 09B.2 1001 See page 85

B.2 0902 See page 86

NON-COMPLIANCESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies use a consistent procedure fordetermining non-compliances, verifying
corrective actions arising from non-compliances
and allowing for appeals of non-compliances.

For accurate and consistent implementation of the standard, theScheme Owner ensures that certification bodies have documented
procedures determining all of the following: non-compliances,verifying corrective actions arising from non-compliances, andallowing for appeals of non-compliances.
Examples of evidence for scheme alignment:- contract, memorandum of understanding or enforceableagreement between the Scheme Owner and the certification body.
- accreditation manual, certification requirements/methodologies.
- guidance documents, determining non-compliances, verifying
corrective actions arising from non-compliances and allowing
for appeals of non-compliances, in order to support consistency
between certification bodies.
- audit reports.

FAO REFERENCE
Not specifically defined in the FAO Guidelines, however considered key component for impartial and accurate
certification as required in paragraph 107 [128]. This is a requirement under ISO-17065:2012 8.7 and 8.8.

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Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 11

SITE AUDITGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that the scopeof the (re-)certification audit includes a visit
to locations pertinent to the scope of thecertification.

The Scheme Owner requires that the scope of the audit (initial,
annual or re-assessment) includes on-site assessment of premises
covered by the scope of the standards and which one or more key
activities are performed
Examples of evidence for scheme alignment:- contract, memorandum of understanding or enforceableagreement between the Scheme Owner and the certification body,- accreditation manual, certification requirements/methodologies,- guidance documents specifying procedures for determining site
visits including sampling,- review audit reports.

FAO REFERENCE
Not specifically defined in the FAO Guidelines, however this is considered a requirement for good practice in seafoodcertification, in the GSSI Public Consultation and Expert Consultation Workshops. It is considered a necessary levelof rigor of the certification audit which enables certification bodies to ground-truth the practices of the enterprise
undergoing assessment.

RELATED SUPPLEMENTARY COMPONENTS
B.2

1101 See page 87

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B.2 12

TRANSPARENCY ON CERTIFIED ENTITIESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that a list ofcertified enterprises is made publicly available.

The Scheme Owner makes publically available a list of certified
entities either directly or requires of certification bodies/accreditation
bodies.
Examples of evidence for scheme alignment:- system to show the certification status of enterprises is publicly
available online (e.g. database or online certificate list). If thissystem is outsourced to the accreditation bodies or certification
bodies, this is required and the system described in the contract/
agreement between the Scheme Owner and the accreditation
body/certification body, in a separate accreditation manual or
certification requirements/methodologies.

FAO REFERENCE
FAO Principle 2.4, 2.12 and 3 [17.e] require transparency in all aspects of a certification scheme and communicationof truthful information. This Essential Component helps achieve these principles as transparency of who is certified,
helping to prevent fraudulent claims.

B.2 13

TRANSPARENCY ON AUDIT REPORTS

GSSI ESSENTIAL COMPONENTGUIDANCE

For fisheries, the Scheme Owner requires
certification bodies to make full audit reports
available on request after certification has been
granted, while excluding commercially sensitive
information.

Applicable only to fisheries, for Aquaculture “Not Applicable”. The
Scheme Owner defines this requirement for certification bodies tomake full audit reports, after certification has been granted, available
online or upon request. Commercially sensitive information is
excluded. Contracts with certified entities should clearly give noticeof this requirement.
Examples of evidence for scheme alignment:-c ontract/agreement between the Scheme Owner and thecertification body, contract with certification body and certified
entity with this requirement,-c ertification requirements/methodologies specifying requirement,-g uidance specifying that making reports available to stakeholders
happens in a timely manner,- r eview certification body website for posted reports or process forresponding to requests.

FAO REFERENCEFAO Guidelines Paragraph 122, 124 [142, 144] requires certification bodies to appropriate document available on
request, taking into account confidentiality of information.
This supports transparency and empowers stakeholders to better understand how certification decisions were made.
This is in line with FAO Principle 2.4, 2.12 and 3 [17.e] which require transparency in all aspects of a certification scheme
and communication of truthful information.

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GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 14TRANSPARENCY ON AUDIT REPORTS

GSSI ESSENTIAL COMPONENTGUIDANCE

For aquaculture, the Scheme Owner requires
certification bodies to make summary
audit reports publicly available (excludingcommercially sensitive material) after
certification has been granted.

Applicable only to Aquaculture. For Fisheries “Not Applicable”.
The Scheme Owner defines this requirement for certification bodies
to make summary audit reports, after certification has been granted,
publicly available. Commercially sensitive information is excluded.
Contracts with certified entities should clearly give notice of thisrequirement.
Examples of evidence for scheme alignment:-c ontract/agreement between the Scheme Owner and thecertification body, contract with certification body and certified
entity with this requirement.
-c ertification requirements/methodologies specifying requirement.
-g uidance specifying that making reports available to stakeholders
happens in a timely manner.
-c ertification body website for posted reports.

FAO REFERENCEFAO Guidelines Paragraph 122, 124 [142, 144] requires certification bodies to appropriate document available on
request, taking into account confidentiality of information.
A summary of the audit reports is considered appropriate documentation to be made available on request.
This supports transparency and empowers stakeholders to better understand how certification decisions were made.
This is in line with FAO Principle 2.4, 2.12 and 3 [17.e] which require transparency in all aspects of a certification scheme
and communication of truthful information.

RELATED SUPPLEMENTARY COMPONENTS
B.2 14B.2 1501 See page 88

B.2 1402 See page 89

NOTIFICATION OF CHANGESGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner notifies accreditation
bodies, certification bodies and certified
enterprises of any change in management
procedures which affects scheme rules andprocedures for accreditation or certification.

The Scheme Owner has a system to ensure that accreditation
bodies, certification bodies and certified entities are notified
in a timely manner of any substantive change in management
procedures. This is defined as changes which affect scheme rules
and procedures for accreditation and/or certification. Where thescheme outsources responsibility of notification to accreditation
bodies or certification bodies, there is a requirement for certification
bodies to have a procedure for this notification and guidance on
how this should take place (timeframe, manner, channel, etc.).
Examples of evidence for scheme alignment:- contracts/agreements with accreditation bodies and certification
bodies regarding notification of changes, internal procedure/quality
handbook for change management, ring information flow.

FAO REFERENCE
FAO guidelines paragraphs 93-96 [116-119] require that proper notification and adjustments are made when changes
are made to the rules and procedures for accreditation or certification. As paragraph [65] specifies that the Scheme
Owner should define the rules and regulations under which a certification body or entity should operate, it is the
Scheme Owner who should notify the accreditation bodies and certification bodies on any changes.

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B.2 16

TIMELINE FOR CORRECTIVE ACTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner clearly defines the criteria
relating to the classification of non-conformities.
Where the Scheme Owner allows forcertification of an entity with non-compliances,
the Scheme Owner requires that:

The Scheme Owner defines the criteria related to rating the severityof non-conformities for certification bodies. If Scheme allows forcertified entities with non-compliances, these can only be (All must
be met): minor/non-critical, with a defined timeline for closing out
and a mechanism defined to verify resolution.

- only non-conformities on minor, non-criticalissues are allowed;

Examples of evidence for scheme alignment:- a timeline for closing out corrective actions
must be defined;- a system to verify that corrective actions havebeen closed out is in place.

-c ontract/agreement between the Scheme Owner and thecertification body, certification requirements/methodologies
specifying classifications of non-conformities and conditions forallowing certification with non-compliances.
-g uidance specifying procedures and process for classifying nonconformities and conditions for issuing certification, audit reports.

FAO REFERENCE
Not specifically defined in the FAO Guidelines, however considered key component for impartial and accurate
certification as required in paragraph 107 [128].
This Essential Component ensures that there is a clear path for enterprises to remediate any non-compliances in atimely manner in line with ISO-17065 8.7.

u AUDITOR COMPETENCE
B.2 17REQUIREMENTS FOR TECHNICAL KNOWLEDGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has defined thequalifications and competence criteria requiredby auditors and audit teams, employedby certification bodies, and it makes thisinformation publicly available.

The Scheme Owner defines the requirement for certificationbody auditor and audit teams qualifications and competency
and these requirements are publically available. Competencies
and qualifications include knowledge in the standard, education,
experience and personal attributes.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and theaccreditation body/certification body, accreditation/certification
requirements/methodologies specifying criteria for each function,- auditor assessment and training records,- auditor CVs.

FAO REFERENCE
Builds from FAO Guidelines paragraph 114 [137] which require that personnel are employed that have the necessary
education, training, technical knowledge and experience.
Such qualification and competence criteria should be consistent for all certification bodies in order to ensure impartial
and accurate certification as required in paragraph 107 [128].
The Scheme Owner is the only body that can ensure this consistency by defining rules and regulations under whicha certification body or entity is required to operate as required in paragraph [65]. All of the above is in line withprinciple 2.7 [17.i] of establishing clear accountability and responsibility for Scheme Owners, certification bodies andaccreditation bodies.
It is considered important to make these qualifications and competence criteria publically available in order to meet
Principle 2.4 and 3 [17.e].

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B.2 18TECHNICAL KNOWLEDGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires certification body
auditors to have successfully completed training
in the scheme to the satisfaction of the Scheme
Owner.

The Scheme Owner defines the requirement for certificationbody auditor training in the standard including initial and ongoingdevelopment.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and theaccreditation body/certification body, accreditation/certification
requirements/methodologies specifying criteria for each function.
- auditor assessment and training records.

FAO REFERENCE
Builds from FAO Guidelines paragraph 114 [137] which require that personnel are employed that have the necessary
education, training, technical knowledge and experience.
Such qualifications are very specific for each scheme and therefore can only be achieved through a scheme specifictraining program. This should therefore be part of the rules and regulations under which a certification body or entity isrequired to operate to be specified by the Scheme Owner as per paragraph [65].
All of the above is in line with principle 2.7 [17.i] of establishing clear accountability and responsibility for Scheme
Owners, certification bodies and accreditation bodies

B.2 19GENERAL AUDITING SKILLSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certificationbody auditors successfully complete auditor
training based on ISO 19011. This does notinclude technical experts seconded to audit
teams.

The Scheme Owner defines the requirement for certification body
auditors to have successfully completed (passed) training basedon ISO 19011 (Guidelines for auditing management systems) andthat the audit team includes at least one auditor. Technical experts
supplement auditor expertise, but are not formally auditors and do
not count as an auditor.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and theaccreditation body/certification body, accreditation/certification
requirements/methodologies specifying criteria for each function.
- auditor assessment and training records.
- auditor CVs.
- audit Reports.

FAO REFERENCE
Builds from FAO Guidelines paragraph 107, 114 [129, 137] which require that certification is conducted by a bodyrecognized as being competent and reliable by personnel that have the necessary education, training, technicalknowledge and experience.
ISO-19011 is the global standard for auditor competence ensuring that lead auditors are competent in basic auditing
techniques.

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Certification
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B.2 20SCHEME SPECIFIC KNOWLEDGE ASSESSMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies include the following in their competenceassessment of auditors:

The Scheme Owner defines the requirement for certification bodies
to include in the management of personnel competence (ISO 17065
clause 6.1.2) all of the elements in the Essential Component.

- an assessment of knowledge and skills foreach fundamental area the auditor will be
expected to be working,

Examples of evidence for scheme alignment:- an assessment of knowledge of pertinent
fishery and /or aquaculture Programs and theability to access and be able to apply relevantlaws and regulations,- an assessment of the personal attributes of
the auditor, to ensure they conduct themselvesin a professional manner,-c ontract/agreement between the Scheme Owner and thecertification body, accreditation/certification requirements/
methodologies specifying requirement,-g uidance outlining the system and criteria for competencies,
training, etc. (see B.2.17-B2.19, 21-22),-a uditor assessment and training records,-a uditor CVs,-a
 ccreditation body reports.

- a period of supervision to cover theassessment fishery and/or aquaculture
principles, specific audit techniques andspecific category knowledge,- a documented sign off by the certificationbody of the satisfactory completion ofassessment requirements.

FAO REFERENCE
Builds from FAO Guidelines paragraph 114 [137] which require that personnel are employed that have the necessary
education, training, technical knowledge and experience.
Assessment of such qualification and competence criteria should be consistent for all certification bodies in order toensure impartial and accurate certification as required in paragraph 107 [128].
The Scheme Owner is the only body that can ensure this consistency by defining rules and regulations under whicha certification body or entity is required to operate as required in paragraph [65]. All of the above is in line withprinciple 2.7 [17.i] of establishing clear accountability and responsibility for Scheme Owners, certification bodies andaccreditation bodies.

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B.2 21SCHEME SPECIFIC KNOWLEDGE MAINTENANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certificationbody lead auditors maintain category andscheme knowledge.

The Scheme Owner defines the requirement for certification bodylead auditors to have and maintain the necessary training, technicalknowledge and experience to ensure consistent and accurate
audits.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, accreditation/certification requirements/
methodologies specifying requirement,- guidance outlining the system and criteria for lead auditors,- lead auditor assessment and training records,- lead auditor CVs,
- accreditation body reports.

FAO REFERENCE
Builds from FAO Guidelines paragraph 114 [137] which require that personnel are employed that have the necessary
education, training, technical knowledge and experience. This Essential Component ensures that lead auditors maintaina minimum level of familiarity with the standard and scheme and therefore maintain the necessary training, technicalknowledge and experience.

B.2 22KNOWLEDGE MAINTENANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certification
bodies have a continuing professional
development program in place that provides
auditors with current best practice for fisheryand/or aquaculture.

The Scheme Owner defines the requirement for certification body
auditor ongoing professional development to maintain current bestpractice in sector.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and theaccreditation body/certification body, accreditation/certification
requirements/methodologies specifying criteria for continuous
professional development,- auditor training, assessment and training records.

FAO REFERENCE
Builds from FAO Guidelines paragraph 114 [137] which require that personnel are employed that have the necessary
education, training, technical knowledge and experience. This requirement supports continued professional
development by auditors to maintain their competence and therefore maintain the necessary training, technicalknowledge and experience.

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Chain of Custody
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B3

01

SEGREGATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that all certified
products are identified and segregated from
non-certified products at all stages of the
supply chain.

The Scheme Owner requires clear identification and separation ofcertified from non-certified product at all stages of the supply chain.
Examples of evidence for scheme alignment:-C hain of Custody standards, audit checklists, certification
requirements/methodologies specifying requirement.
-C hain of Custody audit reports.

FAO REFERENCEFAO Guidelines paragraph 135 [155] requires segregation of certified and non-certified products at all key pointsof transfer.

B3

02

ENTERPRISES TO BE AUDITEDGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires all enterprises thatare physically handling the certified productto undergo a Chain of Custody audit by anaccredited certification body if the product canbe destined for retail sale as a certified, labelled
product.

The Scheme Owner requires all entities in a supply chain thatphysically handle the product and where there is the possibilityof mixing undergo a Chain of Custody audit if the product will beclaimed as certified or carry a label. Entities in the supply chain
which do not take physical control or only handle storage anddistribution in tamper proof packaging need to be identified, but do
not require a Chain of Custody audit.

Exceptions: No audit is required for storage
and distribution of tamper-proof, packaged
products.

Examples of evidence for scheme alignment:-c ontract/agreement between the Scheme Owner and theaccreditation body/certification body, certified entity, certification
requirements/methodologies defining types of operations andactivities that require auditing according to these requirements,-C hain of Custody reports.

FAO REFERENCEFAO Guidelines paragraphs 102, 103 and 135 [126, 127 and 155] require certification of chain of custody andimplementation of chain of custody procedures at all key points of transfer.

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Chain of Custody
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B3

03

RECORDS FOR TRACEABILITYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires certification bodies
to verify that all enterprises within the chain
maintain accurate and accessible records thatallow any certified product or batch of products
to be traceable from the point of sale to thebuyer.

The Scheme Owner defines the requirement for certification bodies
that all entities within the supply chain, including those which may
not undergo a Chain of Custody audit (see B.3.02), maintain up todate, complete and accessible records that allow for full traceabilityof the product along the entire supply chain.
Examples of evidence for scheme alignment:-C hain of Custody standard.
-c ontract/agreement between the Scheme Owner and thecertification body, accreditation/certification requirements/
methodologies specifying criteria for document control andmaintenance.
-a uditor checklists.

FAO REFERENCEFAO Guidelines paragraph 136 [156] requires the certification body ensures that pertinent chain of custody records aremaintained, including all records relating to shipment, receipt and invoicing. This Essential Component provides a tool to
trace products through the supply chain.

B3

04

SUB-CONTRACTORSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that enterprises
are able to demonstrate that these Chainof Custody requirements are met by theenterprise’s subcontractors.

The Scheme Owner ensures that certified entity takes full
responsibility that all subcontractors fully meet Chain of Custodyrequirements and has a system to demonstrate this.
Examples of evidence for scheme alignment:- s ub-contract agreements, internal audits. If the Scheme Owner
does not allow sub-contracting then this is aligned (as opposed to
Not Applicable)

FAO REFERENCE
Building from FAO Guidelines 135 and 136 [155 and 156] to extend responsibility for Chain of Custody integrity toinclude sub-contractors. Ensuring integrity of Chain of Custody.

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Chain of Custody
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B3

05

AUDITING METHODS AND FREQUENCYGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner has or requires certification
bodies to have documented procedures forauditing methods and frequency of audits thatmeet the following requirements:

The Scheme Owner has or ensures certification bodies havedocumented Chain of Custody audit methodologies including:validity of certificate cannot exceed 3 years, frequency of audits
takes into consideration risk factors and an onsite audit is required
when substantive changes to the certified entities traceability
system take place. These are instances where the integrity of the
Chain of Custody could be affected such as company mergers,
major new markets.

- certificate validity does not exceed 3 years;- periodicity depends on risk factors- changes to an enterprise’s traceability systemthat are deemed to affect the integrity of the
Chain of Custody result in a re-audit (onsite).

Examples of evidence for scheme alignment:- requirements in the contract/agreement between the Scheme
Owner and the certification body, in a separate accreditation
manual or for example in certification requirements/methodologies.
- guidance interpretation specifying frequency, auditing methods
and risk factors, in order to support consistency between
certification bodies.

FAO REFERENCEFAO Guidelines 137 [157] requires certification bodies have documented procedures for defining auditing methods andperiodicity of audits based on risk. This Essential Component supports continued compliance of Chain of Custodyenterprises with the Chain of Custody standard, without being overly burdensome.

B3

06

NON-CONFORMITY/CORRECTIVE ACTIONSGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires the certificationbody to record all identified breaches of thechain of custody, including:

The Scheme Owner requires of certification bodies to document all
breaches of Chain of Custody with explanation of contextual factors,
corrective actions, and timeframes for corrective actions, date ofclosing and resolution.

- an explanation of the factors that allowed thebreach to occur;

Examples of evidence for scheme alignment:- an explanation of the corrective actions
required to ensure that a similar breach does
not re-occur;- certification requirements/methodologies defining requirementsof reports, contract or agreement specifying requirements,
mandatory template reports.

- the time frames for the corrective actions to becompleted; and- Chain of Custody audit report.

- the date of closing out of the corrective actions
and how the problem was solved.

FAO REFERENCE
This Essential Component builds from FAO Guidelines paragraph 138 [158] which requires any breach or apparent
breach of chain of custody identified during an inspection/audit is explicitly recorded in the audit report together withan explanation of factors that allowed the breach to occur and explanation of corrective actions required. This Essential
Component provides a framework for identifying and remediating non-compliances in chain of custody.

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Chain of Custody
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B3

07

AUDIT REPORTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that certificationbody audit reports include:

The Scheme Owner requires of certification bodies that all Chainof Custody audit reports include all of the elements in the Essential
Component.

- the date of the inspection/audit;- the name(s) of the person(s) responsible for theaudit and report;- the names and addresses of the sites
inspected/audited;

Examples of evidence for scheme alignment:- certification requirements/methodologies defining requirements ofreports, mandatory template reports.
- Chain of Custody audit report.

- the scope of the inspection/audit;- the non-conformities identified;- the result of at least one mass balance
assessment for each product covered by the
Chain of Custody audit; and- a conclusion on the conformity of the clientwith the Chain of Custody requirements.

FAO REFERENCEFAO Guidelines paragraph 139 and 140 [159 and 160] describe the minimum contents of a Chain of Custody audit
report. This Essential Component ensures consistency of audit reports with sufficient information to determine
compliance of an enterprise.

B3

08

AUDIT REPORTGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires certification bodies
to file reports at their office and to make thesereports available to relevant parties upon request.

Certification bodies are required to maintain files of Chain of
Custody audit reports (paper or electronic) and make these available
upon request to relevant parties, within contractual arrangementswith certified entities.
Examples of evidence for scheme alignment:-c ontracts, agreements, certification requirements specify Chain of
Custody reports are filed and process for making them available.

FAO REFERENCE
Builds from and further specifies FAO Guidelines 136 [156], which requires pertinent chain of custody records aremaintained. This Essential Component ensures relevant data exists to enable accurate checking through audit process.
FAO Guidelines Paragraph 122, 124 [142, 144] requires certification bodies to appropriate document available on
request, taking into account confidentiality of information.
This supports transparency and empowers stakeholders to better understand how certification decisions were made.
This is in line with FAO Principle 2.4, 2.12 and 3 [17.e] which require transparency in all aspects of a certification scheme
and communication of truthful information.

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Chain of Custody
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B3

09

RECORD KEEPINGGSSI ESSENTIAL COMPONENTGUIDANCE

The Scheme Owner requires that an enterprisekeeps records that demonstrate conformity with
the Chain of Custody requirements for a period
that:

Certified entity must keep records documenting compliance with
Chain of Custody standard requirements at a minimum time thatis longer than a. the shelf life of the product and b. time between
audits.

- exceeds the shelf life of the certified product;and- exceeds the periodicity between audits

Examples of evidence for scheme alignment:- Chain of Custody standard, guidance interpretation and audit
checklist that specify document retention policy.

FAO REFERENCE
Builds from and further specifies FAO Guidelines 136 [156], which requires pertinent chain of custody records aremaintained. This Essential Component ensures relevant data exists to enable accurate checking through audit process.

B3

10

MULTI-SITE CHAIN OF CUSTODY AUDITGSSI ESSENTIAL COMPONENTGUIDANCE

Where a scheme allows for Chain of Custodycertification of multiple sites managed under thecontrol of a single entity, the Scheme Owner
defines specific audit procedures that ensure
all sites comply with the Chain of Custodycertification requirements.

If the Scheme Owner does not allow Chain of Custody of multi-sites(prohibits not that it is not yet developed or exists)- requirement
is “Not applicable”. Otherwise, the Scheme Owner defines
audit procedure for multi-sites (under control of one entity) andrequirements for internal control management system.

Control can include direct ownership,
franchises, or where the entity has a signed
agreement or contract with each site.

-C hain of Custody standard, guidance or checklist specifying
procedure and internal control system.

Examples of evidence for scheme alignment:

FAO REFERENCE
Builds from and further specifies FAO Guidelines 137 [157] to specifically address certification of multiple sites managed
under the control of a single entity. This requirement extends applicability of Chain of Custody requirements to groups ofenterprises, where applicable.

B3

11

MULTI-SITE CHAIN OF INTERNAL VERIFICATIONGSSI ESSENTIAL COMPONENTGUIDANCE

Where the Scheme Owner allows for multisite certification, they require that all sites areassessed as part of the internal audit during theperiod of validity of the certificate.

The Scheme Owner does not allow Chain of Custody of multi-siterequirement is “Not applicable”. Otherwise, the Chain of custody
standard requires all sites are assessed as part of the internal audit
during the validity period of the certificate.
Examples of evidence for scheme alignment:- s tandard, guidance interpretation and audit checklist.

FAO REFERENCE
Builds from and further specifies FAO Guidelines 137 [157] to specifically address certification of multiple sites managed
under the control of a single entity. This Essential Component sets intensity of Chain of Custody requirements forgroups, where applicable.

82

B

GSSI SUPPLEMENTARY COMPONENTSFOR OPERATIONAL MANAGEMENT
OF SEAFOOD CERTIFICATION SCHEMES

83

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemesu CERTIFICATION PROCESS
B.2 0501

ASSESSMENT METHODOLOGYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has a publicly available
methodology for calculating minimum audit
duration.

A methodology for calculating minimum audit duration is publicly
available. Certification bodies implement this methodology.
Examples of evidence for scheme alignment:- online methodology, audit schedules, audit reports defined incertification requirements/ methodologies.

REFERENCE
Adapted from GFSI Guidance Document Version 6.3 – Part II, 3.5.4 and 3.5.5, and ISEAL Assurance Code 6.4.3.
Builds further from the principles of the FAO Certification and Ecolabelling Guidelines. Principle 3 [17.d] stipulates thattransparency should apply to all aspects of a certification scheme, specifying in principle 2.4 [17.e] the need to include
balanced and fair participation by all interested parties.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.05 The Scheme Owner ensures thatcertification bodies apply a consistentmethodology to assess compliance with thestandard.

Provides a tool to avoid poor audit quality by ensuring a level ofconsistency in how audit duration is calculated.

B.2 0502

ASSESSMENT METHODOLOGYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner has defined requirements
for sampling methodology and frequency thatcertification bodies are required to follow during
the audit.

The Scheme Owner defines the requirements for certification bodies
for sampling methodology and frequency of audits.
Examples of evidence for scheme alignment:- contract, memorandum of understanding or enforceableagreement between the Scheme Owner and the certification body.
- accreditation manual, certification requirements/ methodologies- audit reports- guidance specifying sampling methodology (including whatissues to focus on) and sampling frequency, in order to supportconsistency between certification bodies.

REFERENCE
Adapted from GFSI Guidance Document Version 6.3 – Part II, 3.5.1 and 3.5.2 and ISEAL Assurance Code 6.4.4.
Builds further from the principles of the FAO Certification and Ecolabelling Guidelines. Principle 2.8 [17.h and17.i] stipulates the need to incorporate reliable, independent auditing and verification procedures. Clearly definedrequirements for sampling methodologies and frequencies increase consistency between audits and strengthen
reliability of applied procedures.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.05 The Scheme Owner ensures thatcertification bodies apply a consistentmethodology to assess compliance with thestandard.

Provides guidance to certification bodies and auditors about whatissues to focus on during the audit and how frequently to carry out
audits.

84

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 0901

STAKEHOLDER INPUTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner requires that thecertification body solicits stakeholder input
during the audit process.

The Scheme Owner defines this requirement for certification bodies
to solicit input from all stakeholders during the certification process.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, certification requirements/methodologies
specifying requirement for mechanism for stakeholder input duringcertification process,- guidance specifying procedures,- review certification body process for input: publically available
information for stakeholder input, public announcements, audit
work plans, requests for input,- audit reports with documented stakeholder input.

REFERENCE
Based on optional good practice according to ISEAL Assurance Code 6.1.4. Builds further from the principles of the
FAO Certification and Ecolabelling Guidelines. Principle 3 [17.d] stipulates that transparency should apply to all aspectsof a certification scheme, specifying in principle 2.4 the need to include balanced and fair participation by all interested
parties.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.09 The Scheme Owner requires thatcertification bodies have in place consistentprocedures for stakeholders to provide input
during the certification process.

Proactive soliciting of stakeholder input encourages and increases
scrutiny and transparency in the certification process, adding to theoverall credibility.

85

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2 0902

STAKEHOLDER INPUTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

For fisheries, the Scheme Owner requires
certification bodies to make publicly available
for comment a draft of the full audit reportprior to the certification decision (excludingcommercially sensitive information), with
sufficient time for interested parties to submit
comments. The Scheme Owner requires
certification bodies to respond to all comments
received.

Applicable only to fisheries. For Aquaculture “Not Applicable”. The
Scheme Owner defines this requirement for certification bodies tosolicit input before a certification decision is made and to respondto all comments. Format and “sufficient” time should be definedthat takes into consideration the risk, scope, size and type of
stakeholders.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, certification requirements/methodologies
specifying requirement- guidance specifying procedures for determining channel and time- review certification body process for input: publically available
information for stakeholder input, public announcements, audit
work plans, requests for input,- audit reports with documented stakeholder input,- system for tracking comments and responses.

REFERENCE
Builds further from the FAO Ecolabelling Guidelines principles. Principle 3 stipulates that transparency should apply to
all aspects of a certification scheme, specifying in principle 2.4 the need to include balanced and fair participation by allinterested parties.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.09 The Scheme Owner requires thatcertification bodies have in place consistentprocedures for stakeholders to provide input
during the certification process.

Strengthens audit reports by inviting stakeholder input before they
are finalized. Supports accountability by requiring certification bodies
to respond to comments.

86

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2

11

01

SITE AUDITGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme Owner requires that CBs conduct
unscheduled audits.

‘Unscheduled’ means without significant advance warning.
The Scheme Owner defines this requirement for certification bodies
to conduct unscheduled (without significant advance warning) or
surprise audits. The Scheme Owner defines process for determining
audits and methodologies to ensure consistent implementation.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body,- certification requirements/methodologies specifying requirement
and conditions for unscheduled audits (e.g. risk, context,
complaints received),- guidance specifying procedures and process to ensure
consistency,- audit reports.

REFERENCE
Adapted from GFSI Guidance Document Version 6.3 – Part II 2.5.6. Builds further from the FAO Ecolabelling Guidelines
principles. Principle 2.8 stipulates the need to incorporate reliable, independent auditing and verification procedures.
Unscheduled audits can increase the reliability of auditing and verification procedures.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.11 The Scheme Owner requires that thescope of the (re-)certification audit includes avisit to locations pertinent to the scope of thecertification.

Provides a mechanism to assess enterprises without a lot ofadvance warning, to get a more truthful assessment of practices.

87

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2

14

01

TRANSPARENCY ON AUDIT REPORTS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

For aquaculture, the Scheme Owner requires
Certification Bodies to make summary audit
reports available on request after certification
has been granted, that include the following
information:

Applicable only to Aquaculture. For Fisheries “Not Applicable”.
The Scheme Owner defines this requirement for certification bodies
to make summary audit reports, after certification has been granted,
available upon request that include all of the information defined in
the Supplementary Component. If the scheme does not allow massbalance, then that information requirement is considered aligned.
Contracts with certified entities should clearly give notice of thisrequirement.

- the date of the inspection/audit;- the name(s) of the person(s) responsible forthe audit and report;- the names and addresses of the sites
inspected/audited;- the scope of the inspection/audit;- the non-conformities identified;- the result of at least one mass balance
assessment for each product covered by the
Chain of Custody audit; and- a conclusion on the conformity of the clientwith the chain of custody requirements.

Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, contract with the certification body and certified
entity with this requirement,- certification requirements/ methodologies specifying requirement- guidance specifying the information to be included in summary
audit reports- certification body website for posted reports.

REFERENCE
Builds further from FAO Guidelines Paragraph 122, 124 [142, 144] which requires Certification Bodies to appropriate
document available on request, taking into account confidentiality of information.
This supports transparency and empowers stakeholders to understand the performance of an enterprise. This is inline with FAO Principle 2.4, 2.12 and 3 [17.e] which require transparency in all aspects of a certification scheme andcommunication of truthful information.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.14 For aquaculture, the Scheme Ownerrequires certification bodies to make summary
audit reports publicly available (excludingcommercially sensitive material) after
certification has been granted.

Supports transparency and empowers stakeholders to understandthe performance of an enterprise

88

B.2

SUPPLEMENTARYCOMPONENTS

Certification
GSSI Essential Components for Operational Managementof Seafood Certification Schemes
B.2

14

02

TRANSPARENCY ON AUDIT REPORTS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

For aquaculture, the Scheme Owner requires
certification bodies to make full audit reports
on request after certification has been granted,
while excluding commercially sensitive
information

Applicable only to Aquaculture. For Fisheries “Not Applicable”. The
Scheme Owner defines this requirement for certification bodies tomake full audit reports, certification has been granted, publicallyavailable or upon request. Commercially sensitive information is
excluded. Contracts with certified entities should clearly give noticeof this requirement.
Examples of evidence for scheme alignment:- contract/agreement between the Scheme Owner and thecertification body, contract with the certification body and certified
entity with this requirement,- certification requirements/ methodologies specifying requirement- guidance specifying that making reports available to stakeholders
happens in a timely manner- certification body website for posted reports.

REFERENCE
Builds further from FAO Guidelines Paragraph 122, 124 [142, 144] which requires Certification Bodies to appropriate
document available on request, taking into account confidentiality of information.
This supports transparency and empowers stakeholders to understand the performance of an enterprise. This is inline with FAO Principle 2.4, 2.12 and 3 [17.e] which require transparency in all aspects of a certification scheme andcommunication of truthful information.

RELATED ESSENTIAL COMPONENTRATIONALE

B.2.14 For aquaculture, the Scheme Ownerrequires certification bodies to make summary
audit reports publicly available (excludingcommercially sensitive material) after
certification has been granted.

Supports transparency and empowers stakeholders to understandthe performance of an enterprise

89

C
90

C

GSSI

C.1

C.2

C.3

AQUATIC ANIMAL HEALTH MANAGEMENTELEMENT /GSSI ESSENTIAL COMPONENT

Antimicrobial Usage

PAGE

C.1.0194

C.1.0295

GSSI
SUPPLEMENTARYCOMPONENT
PAGE

C.1.0396

C.1.0496

C.1.0597

C.1.0697

C.1.0798

C.1.0898

Off-farm diseasetransmission

C.1.09Record keeping

C.1.10 99
C.1.11 100

C.4

C.5

FEED USE

IMPACTS ON HABITAT AND BIODIVERSITYELEMENT /GSSI ESSENTIAL COMPONENT

Environmental
considerations offeed IngredientsC.1.02.01 l l l 120
C.1.02.02 l

Biosecurity

BENCHMARK FRAMEWORK

Aquaculture Certification Standards

121

PAGE

C.4.01 105
C.4.02 105
C.4.03 106
C.4.04 106

C.1.08.01 l

122

C.1.08.02 l

123

C.1.08.03 l

124

C.1.08.04 l

125

C.1.08.05 l

126

C.1.08.06 l

127

C.1.08.07 l

127

C.1.08.08 l l

128

Feed biosecurity

GSSI
SUPPLEMENTARYCOMPONENT
PAGE

C.4.08 108

Record keeping

C.4.09 108

Legal compliance

Maintaining good
culture and hygienic
conditions

C.2.01 101
C.2.02.01 l l

130
130

PAGE

C.3.01 103

General environmental
management
C.3.02 104

C.2.03 102

Legal complianceSalinization

C.8.01 116
C.8.02 116

C.5.02.02 l

140

Water use

C.8.03 117

C.5.03.01 l

141

C.5.03.02 l

141

C.5.03.03 l

142

135

C.4.04.04 l

136

C.5.04.01 l

143

C.4.04.05 l

137

C.5.04.02 l

144

C.4.04.06 l

138

C.5.04.03 l

145

C.4.04.07 l

139

Sensitive habitat andbiodiversity

C.5.04 110

ELEMENT /GSSI ESSENTIAL COMPONENT

131

C.3.02.01 l

132

C.3.02.02 l

132

155

C.8.03.02 l

156

C.8.04.01 l

157

C.8.04.02 l

158

C.8.04.03 l

159

PAGE

GSSI
SUPPLEMENTARYCOMPONENTELEMENT /GSSI ESSENTIAL COMPONENT

Escapes

PAGE

PAGE

C.7.01 114

GSSI
SUPPLEMENTARYCOMPONENT
PAGE

C.7.01.01 l

152

C.6.01 111

C.7.01.02 l

152

Record keeping

C.6.02 111

C.6.02.01 l l l

146

C.7.01.03 l

153

Wild seed
Hatchery seed

C.6.03 112
C.6.04 112

C.6.03.01 l

147

C.6.05 113

C.6.05.01 l l l

C.7.03.01 l

154

GSSI
SUPPLEMENTARYCOMPONENT
PAGE

C.3.01.02 l

C.8.03.01 l

SPECIES SELECTION AND ESCAPES

SEED

131

C.8.04 118

Water quality

C.6

C.3.01.01 l

PAGE

GSSI
SUPPLEMENTARYCOMPONENT
PAGE

C.7

C.4.07 107

Legal compliance140

C.4.04.03 l

C.4.05 107

ELEMENT /GSSI ESSENTIAL COMPONENTGSSISUPPLEMENTARYCOMPONENT
PAGE

C.2.02.02 l

C.5.03 110

C.5.02.01 l

134

129

CHEMICAL AND VETERINARY DRUG USE

C.2.02 101

Preventing habitat
impacts

Legal compliance

C.2

Chemical Usage

C.5.02 109

PAGE

ELEMENT /GSSI ESSENTIAL COMPONENT

C.4.04.02 l

ENVIRONMENTALLY RESPONSIBLE
INFRASTRUCTURE CONSTRUCTION,
WASTE DISPOSAL AND GENERAL STORAGE

PAGE

C.5.01 109

Predator control

C.8

GSSI
SUPPLEMENTARYCOMPONENT

133

C.3

ELEMENT /GSSI ESSENTIAL COMPONENT

Benthic habitats

C.4.06 107
Feeding efficiency

PAGE

C.7

IMPACTS ON WATER RESOURCES

C.4.04.01 l l

99
C.1.10.01 l

ELEMENT /GSSI ESSENTIAL COMPONENT

C.6

148

C.6.05.02 l

149

C.6.05.03 l l l

150

C.6.05.04 l

151

For Section C the GSSI Supplementary Components outline thestatus of existing practices in seafood certification and how they
relate to internationally agreed technical guidelines developed by FAO
members since the Code of Conduct was agreed in 1995 and relevant
OIE and WHO documents. They can be built on going forward astechnical guidelines evolve. Each GSSI Supplementary Component
has a rationale to explain the value that alignment with it offers to bothschemes and stakeholders.

Genetically modified
organisms

C.7.02 115

Exotic species

C.7.03 115lA quaculture development. 3. Genetic resource management.
FAO Technical Guidelines for Responsible Fisheries. No. 5,
Suppl. 3. Rome, FAO. 2008. 125p

lA
 quaculture development. 5. Use of wild fish as feed inaquaculture. FAO Technical Guidelines for Responsible Fisheries.
Rome, FAO. 2011. 79p.

l Hasan and Halwart (2009). Fish as feed inputs for aquaculture:practices, sustainability and implications. FAO Fisheries andAquaculture Technical Paper. No. 518. Rome, FAO. 2009. 407p.

SOURCE DOCUMENTS

l F AO Technical Guidelines for Aquaculture Certificationl Critically important antimicrobials for human medicine –lS errano (2005). Responsible use of antibiotics in aquaculture.

3rd Rev. World Health Organization. 2012.

FAO Fisheries Technical Paper 469.

l Aquatic Animal Health Code, OIE, 18th Edition 2015lC
 onservation Alliance for Seafood Solutions (2015). Guidelines

lA
 quaculture development. 4. Ecosystem approach to aquaculture.

for Supporting Fishery Improvement Projects.
www.solutionsforseafood.org/wp-content/uploads/2015/03/
Alliance-FIP-Guidelines-3.7.15.pdf

FAO Technical Guidelines for Responsible Fisheries. No. 5,
Suppl. 4. Rome, FAO. 2010. 53p.

l F AO (2011). Aquaculture development. 6. Use of wild fisheryl T he WHO Recommended Classification of Pesticides by Hazard.

resources for capturebased aquaculture. FAO Technical Guidelines
for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011.
81 pp.

2009. www.who.int/ipcs/publications/pesticides_hazard/en/lR otterdam Convention Annex III listed chemicals - 2010,
see www.pic.int/TheConvention/Chemicals/AnnexIIIChemicals/
tabid/1132/language/en-US/Default.aspx

91

92

C

GSSI ESSENTIAL COMPONENTS FOR
AQUACULTURE CERTIFICATION STANDARDS

93

C.1

ESSENTIALCOMPONENTS

Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

01

ANTIMICROBIAL USAGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the decision totreat with antimicrobials is made according
to the guidance of the OIE Aquatic Animal
Health Code (i.e., by the aquatic animal healthprofessional or other relevant competentauthority and in response to a diagnosed
disease; see Article 6.2.7 of the 2015 Aquatic
Animal Health Code).

The standard is expected to prohibit prophylactic usage for growthpromotion and require that all antimicrobials are used in response toa diagnosed disease (i.e., by the aquatic animal health professionalor other relevant competent authority) and the audit is expected
to include a review of suitable evidence (e.g., records of disease
testing etc. prescriptions for treatments).

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE in its Aquatic Animal Health Code (2015) should be the normative basis for standards, andthat farms implement management programs based on these. The Code, while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs. Article 6.2.7 (AAHC 2015) states that “The responsibilities of veterinarians or otheraquatic animal health professionals are to carry out a thorough clinical assessment of the aquatic animal(s), including
as appropriate: clinical examination, post-mortem examination, bacteriology with culture and sensitivity, and otherlaboratory tests to arrive at the most definitive diagnosis possible before initiating a specific course of treatment with anantimicrobial agent. Evaluation of environmental factors and husbandry at the production site (e.g. water quality) should
be considered as potential primary factors leading to infection and should be addressed prior to prescribing a course of
antimicrobial agent treatment. If therapy with an antimicrobial agent is deemed necessary it should be initiated as soon
as possible. The selection of the agent should be based on the knowledge and experience of the veterinarian or otheraquatic animal health professional authorized to prescribe veterinary medicines. As soon as possible, susceptibility
testing of the target microorganism should be used to confirm the choice of treatment. Results of all susceptibility tests
should be retained and should be available to the Competent Authority.” Paragraph 23 of the Technical Guidelines on
Aquaculture Certification requires antimicrobials are used legally. Paragraph 30 outlines controls on antimicrobial usage,
while 52 requires all chemicals are used responsibly to minimize their adverse impacts on the environment.
OIE Aquatic Animal Health Code (AAHC) (2015). Article 6.2.7. www.oie.int/index.php?id=171&L=0&htmfile=chapitre_
antibio_resp_prudent_use.htm

94

C.1

ESSENTIALCOMPONENTS

Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

02

ANTIMICROBIAL USAGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the application of
antimicrobial agents is consistent with theguidelines outlined in Principles for Responsible
and Prudent Use of Antimicrobial Agents in
Aquatic Animals of the OIE Aquatic Animal
Health Code (Articles 6.2.7 and 6.2.8 of the2015 Code).

The audit is expected to include a review of evidence (such as
written records or through interviews) to ensure consistency withOIE guidelines (2015) Article 6.2.7 “The veterinarian or other aquatic
animal health professional authorized to prescribe veterinary
medicines should indicate precisely to the aquatic animal producer
the treatment regime, including the dose, the treatment intervals,
the duration of the treatment, the withdrawal period and theamount of antimicrobial agents to be delivered, depending on the
dosage and the number of aquatic animals to be treated. The
use of antimicrobial agents extra-label/off-label may be permitted
in appropriate circumstances in conformity with the relevant
legislation” and Article 6.2.8 “Aquatic animal producers should use
antimicrobial agents only on the prescription of a veterinarian orother aquatic animal health professional authorized to prescribe
veterinary medicines, and follow directions on the dosage, methodof application, and withdrawal period.”

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code, while primarily focused on transboundary movementsof aquatic animals, also describes common practice for activities related to aquatic animal health, including the useof veterinary drugs: Article 6.2.7 “The veterinarian or other aquatic animal health professional authorized to prescribe
veterinary medicines should indicate precisely to the aquatic animal producer the treatment regime, including the dose,
the treatment intervals, the duration of the treatment, the withdrawal period and the amount of antimicrobial agentsto be delivered, depending on the dosage and the number of aquatic animals to be treated. The use of antimicrobial
agents extra-label/off-label may be permitted in appropriate circumstances in conformity with the relevant legislation”
and Article 6.2.8 “Aquatic animal producers should use antimicrobial agents only on the prescription of a veterinarianor other aquatic animal health professional authorized to prescribe veterinary medicines, and follow directions on
the dosage, method of application, and withdrawal period.” Paragraphs 23 and 52 of the Technical Guidelines on
Aquaculture Certification require responsible use of chemicals.
OIE Aquatic Animal Health Code (2015). Articles 6.2.7 and 6.2.8. www.oie.int/index.php?id=171&L=0&htmfile=chapitre_
antibio_resp_prudent_use.htm.

RELATED SUPPLEMENTARY COMPONENTS
C.1

02

01 See page 120

C.1

02

95

02 See page 121

C.1

ESSENTIALCOMPONENTS

Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

03

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that workers employedin husbandry activities have been adequately
trained and are aware of their responsibilities inaquatic animal health management practices.

The audit is expected include a review of evidence that relevant
workers have been appropriately trained and aware of their
responsibilities. Examples of suitable evidence could include
suitable training or appropriate qualifications, and interviews withstaff. The training of workers may be a component in a broader
management system e.g., a health management plan.

FAO REFERENCE
Paragraph 19 of the Technical Guidelines on Aquaculture Certification requires that the guidelines and standards
set by the OIE should be the normative basis for standards. The Aquatic Animal Health Code (2015), while primarily
focused on transboundary movements of aquatic animals, also describes common practice for activities related toaquatic animal health, including the use of veterinary drugs. Paragraph 26 of the Technical Guidelines on Aquaculture
Certification specifically requires that workers are trained on good aquatic animal health practices.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

C.1

04

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that aquatic animals are
kept under farming conditions suitable for the
species being raised.

The objective of this requirement is to verify that the species is being
farmed in the proper environment to maintain its health. Due to thevery broad nature of this Essential Component, specific guidancecannot be provided. Expected evidence could include requirements
for farm siting (including permitting for the farm site and species),
aquatic health plan maintenance, assurance or monitoring aquatic
animal health, on-farm water quality and temperature monitoring, etc.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs. Paragraph 26 of the Technical Guidelines on Aquaculture Certification specifically requiresthat workers are trained on good aquatic animal health practices.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

96

C.1

ESSENTIALCOMPONENTS

Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

05

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility toestablish, implement and maintain appropriate
procedures to respond to disease outbreaks,
which includes the ability to quarantine theaquatic animal where feasible.

It is expected that disease response procedures would be acomponent of the aquatic animal health management system.
Feasibility of quarantine depends on a combination of species,
culture system and production environment. In cases where
quarantine is applicable, a review of suitable evidence is expected
to demonstrate and verify the ability to contain diseased aquatic
animals.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health,including the use of veterinary drugs. Paragraph 22 of the Technical Guidelines on Aquaculture Certification specificallyreferences quarantine.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

C.1

06

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility toestablish, implement and maintain appropriate
procedures and/or systems for the early
detection of aquatic animal health issues, which
include routine monitoring of stocks and theenvironment.

Appropriate procedures are expected to include general health/behavioral inspections or testing for specific diseases with suitable
monitoring (e.g., regular and including a suitable range of parameters,
and of sufficient sample size to identify or anticipate disease
outbreaks expediently, as well as increased surveillance whenpotential issues are identified.) Environmental monitoring is expected
to include detection of unfavorable environmental quality factors that
could adversely affect the health of the aquatic animal (e.g., watertemperature and quality).
Verification is expected and could include reviews of written records
and monitoring results to ensure procedures and/or systems areoperational is also expected. This could also be captured in an aquatic
health management plan.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health,including the use of veterinary drugs. Paragraph 22 of the Technical Guidelines on Aquaculture Certification specificallyreferences routine monitoring.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

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Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

07

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that mortalities andmoribund aquatic animals are routinely
collected, where collection is a feasible practice.

GSSI expects this Essential Component to be applied wherecollection is a feasible function of good management practice (e.g.,
finfish grow out). Examples where this is not suitable could include
where aquatic animals may be too small to effectively collect (e.g.,
shrimp farming). Record keeping on the numbers of, and reason for,mortalities is expected.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines definedin the OIE Aquatic Animal Health Code should be the normative basis for standards, and that farms implement
management programs based on these. The Code, while primarily focused on transboundary movements of aquatic
animals, also describes common practice for activities related to aquatic animal health, including the use of veterinary
drugs. Removing mortalities is considered part of the requirement for responsible waste disposal in Paragraph 51 of theTechnical Guidelines on Aquaculture Certification.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

C.1

08

BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by an aquatic
animal health professional.

It is expected that the standard will contain sufficient elements and/or audit of culture practices for an operational program relative
to the scale, species, and production systems covered by thestandard’s scope, including a focus on disease prevention (e.g. theuse of vaccines). The content of the measures are expected to beoverseen (but not necessarily full time employment) of an aquatic
animal health professional.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE in its Aquatic Animal Health Code (2015) should be the normative basis for standards, andthat farms implement management programs based on these. The Code, while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED SUPPLEMENTARY COMPONENTS
C.1 0801 See page 122

C.1 0802 See page 123

C.1 0803 See page 124

C.1 0804 See page 125

C.1 0805 See page 126

C.1 0806 See page 127

C.1 0807 See page 127

C.1 0808 See page 128

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Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

09

OFF-FARM DISEASE TRANSMISSIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
to establish and implement procedures forthe disposal of mortalities using appropriate
methods that prevent the spread of disease.

Given the nature of this requirement, the standard may appear
as a general requirement; however verification that practices are
employed is expected. Relevant examples can be found in Articles
4.7.7 and 4.7.8 of the Aquatic Animal Health Code 2015 (see www.
oie.int/index.php?id=171&L=0&htmfile=chapitre_aquatic_animal_
waste.htm).

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs.
Articles 4.7.7 and 4.7.8 of the OIE Aquatic Animal Health Code 2015.
www.oie.int/index.php?id=171&L=0&htmfile=chapitre_aquatic_animal_waste.htm.

C.1

10

OFF-FARM DISEASE TRANSMISSIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility toestablish, implement and maintain appropriate
procedures and/or systems to reduce thelikelihood of disease and parasite transmission
within and between the aquaculture facility andnatural aquatic fauna.

Appropriate procedures or systems are expected to address
both on farm disease and parasite transfer (such as the ability
to quarantine diseased stocks, separating equipment) as well
as between the facility and natural fauna (such as disinfection of
effluents for diseased stocks, fallowing). The approach taken would
be expected to be relevant to the species, production system, scaleof production, and legal requirements. Can be “not applicable” withsuitable justification provided by the scheme.
Where pathogens or parasites are a known concern (for example,
sea lice on farmed salmon); Appropriate procedures or systems
are expected to include specific requirements or actions definedin the standard or specified by the aquaculture facility through asuitable risk assessment or other evidence such as local or national
regulations. Appropriate management measures in these cases
could include treatment trigger levels of parasite numbers on thefarm-facility or siting requirements that require that the aquaculture
facility is located at suitable distances from wild populations.
Verification that the management measures are suitable andemployed is expected.

FAO REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines and standards
set by the OIE should be the normative basis for standards, and that farms implement management programs based onthese. The Aquatic Animal Health Code (2015), while primarily focused on transboundary movements of aquatic animals,
also describes common practice for activities related to aquatic animal health, including the use of veterinary drugs.
Paragraph 22 specifically addresses the spread of disease between farms and natural fauna.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED SUPPLEMENTARY COMPONENTS
C.1

1001 See page 129

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ESSENTIALCOMPONENTS

Aquatic Animal Health Management
GSSI Essential Components for Aquaculture Certification Standards
C.1

11RECORD KEEPINGGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
maintain records on veterinary drug andchemical usage and the rationale for their use.

Verification that suitable records are maintained is expected.
Suitable records are expected to include type, concentration,and dosage, method of administration and withdrawal times ofchemicals and veterinary drugs and the rationale for their use.

FAO REFERENCE
Paragraph 33 of the Technical Guidelines on Aquaculture Certification defines specific requirements for record keeping.

100

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ESSENTIALCOMPONENTS

Chemical and Veterinary Drug Use
GSSI Essential Components for Aquaculture Certification Standards
C.2 01CHEMICAL USAGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the establishment,
implementation and maintenance of an
appropriate system for the application ofchemicals and veterinary drugs.

An appropriate system could conform to the relevant sections ofArticle 6.2.7 and 6.2.8 of the Aquatic Animal Health Code (2015)(www.oie.int/index.php?id=171&L=0&htmfile=chapitre_antibio_
resp_prudent_use.htm) or other suitable reference. The system
is expected to ensure that the application of the product follows
the instructions of the manufacturer or other competent authority.
Verification that the system is operational is also expected.

FAO REFERENCE
Paragraph 19 of the Technical Guidelines on Aquaculture Certification requires that the guidelines and standards set by
the OIE should be the normative basis for standards. The Aquatic Animal Health Code (2015), while primarily focusedon transboundary movements of aquatic animals, also describes common practice for activities related to aquatic
animal health, including the use of veterinary drugs.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

C.2 02CHEMICAL USAGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires appropriate controls for all
chemicals, incl. veterinary drugs, that enter theenvironment (whether already covered by GSSI
Essential Components or not) in order to minimize
adverse impacts on environmental quality.

It is expected that the standard will require all chemicals used by
the aquaculture facility and that will enter the environment are atleast used according to the manufacturer’s guidance (such as onlabel requirements or Safety Data Sheets (SDS) or, in the caseof veterinary drugs, the guidance of the aquatic animal healthprofessional.
In addition, for chemicals that pose a high risk of adverse impacts
to environmental quality -- these could be specifically defined by thestandard (e.g., copper-based anti-foulant treatments in marine cageaquaculture) or identified through a risk based self-assessment by
the farmer (e.g., an environmental risk assessment)-- it is expectedthat the standard or the risk-assessment will define any necessary
additional requirements to minimize the impacts (e.g., EQS limits forcopper residues in the benthic environment).

FAO REFERENCE
Paragraph 52 states that chemicals should be used responsibly to minimize their adverse impacts on the environment
and to promote economic viability. Flexibility is required as a wide variety of chemicals are used in aquaculture.

RELATED SUPPLEMENTARY COMPONENTS
C.2 0201 See page 130

C.2 02

101

02 See page 130

C.2

ESSENTIALCOMPONENTS

Chemical and Veterinary Drug Use
GSSI Essential Components for Aquaculture Certification Standards
C.2 03LEGAL COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
operates in compliance with relevant national
and local laws with regard to the application ofchemicals and veterinary drugs.

Verification is expected to include a review evidence to supportcompliance with relevant laws.

FAO REFERENCE
Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require Legal compliance.

102

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ESSENTIALCOMPONENTS

Environmentally Responsible Infrastructure
Construction, Waste Disposal and General Storage
GSSI Essential Components for Aquaculture Certification Standards
C.3 01

MAINTAINING GOOD CULTURE AND HYGIENIC CONDITIONSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the aquaculture
facility and its daily operations ensure that good
culture and hygienic conditions are maintained.

This is a general Essential Component that covers a range ofpotential issues depending on the type of production system,
species being cultured, and the local environment, and as suchthere is a need for flexibility in how consistency is achieved. It is
expected that the following issues would be addressed and thesystems verified to be operational:- Appropriate storage of chemicals and fuel (e.g., stored in a
lockable, labeled facility, limited access by personnel, leakage
prevention - all based on Safety Data Sheets (SDS) (see figure
4.14 of the A Guide to The Globally Harmonized System ofClassification and Labeling of Chemicals (GHS), available at: www.
osha.gov/dsg/hazcom/ghsguideoct05.pdf)- Appropriate storage of feed (e.g., stored separately from sourcesof contamination, accurately labeled, keeping medicated and nonmedicated feed separated.)- Appropriate pest control (e.g., prevent contamination of feed,chemicals by rodents or insects etc.)- Domestic sewage control/disposal to avoid local contamination- General farm waste (e.g., empty feed bags, household rubbish,
food containers etc.).

FAO REFERENCE
Paragraph 34 of the Technical Guidelines on Aquaculture Certification states that “aquaculture facilities and operations
should maintain good culture and hygienic conditions”. Paragraph 29 states that “Where feed is used, aquaculture
operations should include procedures for avoiding feed contamination in compliance with national regulations or as
determined by internationally agreed standards. Aquaculture operations should use feeds and feed ingredients which
do not contain unsafe levels of pesticides, biological, chemical and physical contaminants and/or other adulterated
substances. Feed which is manufactured or prepared on the farm should contain only substances permitted by thenational competent authorities.” Paragraph 52 states that “feeds, feed additives, chemicals, veterinary drugs, including
antimicrobials, manure, and fertilizer, should be used responsibly to minimize their adverse impacts on the environment
and to promote economic viability.”
OSHA (2005). A Guide to The Globally Harmonized System of Classification and Labeling of Chemicals (GHS). www.
osha.gov/dsg/hazcom/ghsguideoct05.pdf

RELATED SUPPLEMENTARY COMPONENTS
C.3 0101 See page 131

C.3 01103

02 See page 131

C.3

ESSENTIALCOMPONENTS

Environmentally Responsible Infrastructure
Construction, Waste Disposal and General Storage
GSSI Essential Components for Aquaculture Certification Standards
C.3 02

GENERAL ENVIRONMENTAL MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that aquaculture facility
infrastructure is appropriately maintainedin order to prevent pollution, whether fromconstruction, operation or decommissioning(e.g., including the following requirement:

Given the wide variety of production systems in aquaculture specificguidance cannot be provided and flexibility by the evaluator isrequired using a risk-based approach. Examples could include
the requirement for derelict or damaged gear in shellfish or cageaquaculture to be collected and disposed of responsibly, or for thatwaste from pond construction is not placed in mangrove forests
in shrimp farming. It is expected that specific requirements or riskbased management systems would be required where appropriate,
along with suitable verification. These requirements may also be
included in other Standards, such as sensitive habitat protection or
escape prevention.

- A requirement for derelict or damaged gear to
be collected and disposed of responsibly.)

FAO REFERENCE
Paragraph 51 of the Technical Guidelines on Aquaculture Certification states that “Infrastructure construction and waste
disposal should be conducted responsibly”.

RELATED SUPPLEMENTARY COMPONENTS
C.3 0201 See page 132

C.3 02

104

02 See page 132

C.4

ESSENTIALCOMPONENTS

Feed UseGSSI Essential Components for Aquaculture Certification Standards
C.4 01ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
sources feed from a manufacturer that can
trace fish meal and fish oil (>1% inclusion) to thespecies and, at least, to the country of origin.

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer). The
standard is expected to apply to other relevant marine feed
ingredients (e.g., algae, krill, and squid) and to whole fish andfishery byproducts.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed andParagraph 17g. states that “Aquaculture schemes should promote responsible aquaculture during production as
outlined in the FAO Code of Conduct for Responsible Fisheries, in particular Article 9, Aquaculture Development”.
Based on Aquaculture Development 5. Use of Wild Fish as Feed in Aquaculture (FAO, 2011)
FAO (2009) Feed Ingredients and Fertilizers for Farmed Aquatic Animals. Technical Paper 540.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

C.4 02ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
sources feed from a manufacture that prohibits
fishmeal and fish oil from endangered species.

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer). The
standard is expected to apply to other relevant marine feed
ingredients (e.g., algae, krill, and squid) and to whole fish andfishery byproducts.
Endangered species are expected to be defined in the Standard,with reference to relevant national listings (e.g., Vietnam’s Red
Data Book) and/or global listing organizations such as CITES(Appendix 1), IUCN Red List (Categories Critically Endangered (CR),Endangered (EN), Vulnerable (VU)). See www.iucnredlist.org andwww.cities.org for more information.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed andParagraph 17g. states that “Aquaculture schemes should promote responsible aquaculture during production as
outlined in the FAO Code of Conduct for Responsible Fisheries, in particular Article 9, Aquaculture Development”.
Based on FAO’s Aquaculture Development 5. Use of Wild Fish as Feed in Aquaculture (FAO, 2011).
FAO (2009) Feed Ingredients and Fertilizers for Farmed Aquatic Animals. Technical Paper 540.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.
International Union for Conservation of Nature (IUCN) (2015). Red List.www.iucnredlist.org
Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) (2015). www.cities.org

105

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Feed UseGSSI Essential Components for Aquaculture Certification Standards
C.4 03ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the aquaculture facility
sources feed from a manufacture that prohibits
the use of fishmeal and fish oil from illegal,
unreported, and unregulated fishing (I.U.U.).

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer). The
standard is expected to apply to other relevant marine feed
ingredients (e.g., algae, krill, and squid) and to whole fish andfishery byproducts.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed andParagraph 17g. states that “Aquaculture schemes should promote responsible aquaculture during production as
outlined in the FAO Code of Conduct for Responsible Fisheries, in particular Article 9, Aquaculture Development”.
Based on FAO’s Aquaculture Development 5. Use of Wild Fish as Feed in Aquaculture (FAO, 2011).
FAO (2009) Feed Ingredients and Fertilizers for Farmed Aquatic Animals. Technical Paper 540.
FAO (2011) Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

C.4 04ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the aquaculture
facility sources feed from a manufacturer thathas a written policy which includes assessmentof source fishery status and identification of
improvement needs and work plan to deliver
improvements. The policy must include acommitment and timeline to source aquaculture
and fishery products from responsible/bestpractice sources, such as those certified astandard benchmarked at minimum consistent
with relevant FAO’s ecolabelling guidelines or by
identified independent risk assessment.

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer).
The standard is expected to apply to other relevant marine feed
ingredients (e.g., algae, krill, and squid) and to whole fish andfishery byproducts.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed andParagraph 17g. states that “Aquaculture schemes should promote responsible aquaculture during production as
outlined in the FAO Code of Conduct for Responsible Fisheries, in particular Article 9, Aquaculture Development”.
Based on FAO (2011) Aquaculture Development 5. Use of Wild Fish as Feed in Aquaculture. In 2013, three prominentaquaculture certifications identified common practice between there feed ingredient sourcing policies.
ASC, GAA, & GLOBALG.A.P. (2013). Joint Statement on Requirements for the Responsible Sourcing of Fishmeal and
Fish Oil.
FAO (2009). Feed Ingredients and Fertilizers for Farmed Aquatic Animals. Technical Paper 540.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

RELATED SUPPLEMENTARY COMPONENTS
C.4 0401 See page 133

C.4 0402 See page 134

C.4 0403 See page 135

C.4 0404 See page 136

C.4 0405 See page 137

C.4 0406 See page 138

C.4 0407 See page 139

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ESSENTIALCOMPONENTS

Feed UseGSSI Essential Components for Aquaculture Certification Standards
C.4 05

FEED BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard prohibits the use of whole fish asa direct feed source in grow-out.

Verification is expected to include a suitable review of evidence,such as feed use records, visual observation, and financial records
in aquaculture industries where this is common practice.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. Also basedon the guidance in FAO (2011) Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture for a preference
to avoid trash fish. Wet fish is a highly inefficient method of feed compared to dry feeds; increasing pollution potential.
Secondary, wet fish may transmit diseases to the farmed stocks. This is also supported in Aquaculture Development. 5.
Use of Wild Fish as Feed in Aquaculture, Principle 7, to reduce the use of wet fish in aquaculture feed.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

C.4 06

FEED BIOSECURITY

GSSI ESSENTIAL COMPONENTGUIDANCE

The standards prohibit aquatic feed protein fromthe same species and genus as the species
being farmed.

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer).

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. This is also
supported by FAO (2011) Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture Principle 9.1 “Forbiosecurity reasons, intraspecies recycling is an unacceptable practice that should be prohibited”.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

C.4 07

FEEDING EFFICIENCYGSSI ESSENTIAL COMPONENTGUIDANCE

Where applicable, the standard requires thatthe aquaculture facility has suitable measuresin place to ensure that feed is used efficiently at
the individual production unit level.

Suitable measures are expected to be part of a wider feed
management system, such as the use of feed trays, cameras, pellet
sensors, documented records of visual feed response, staff training.
Verification that the measures are operational and fit for purpose isalso expected.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. Record
keeping is a specific requirement of Paragraph 33.

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Feed UseGSSI Essential Components for Aquaculture Certification Standards
C.4 08LEGAL COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that feed, feed additives,
feed ingredients, and fertilizers used arecompliant with relevant national and local laws

Verification is expected to include a review of evidence (e.g.,documentation, self-declaration by the feed manufacturer).

FAO REFERENCE
Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require Legal compliance.

C.4 09RECORD KEEPINGGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that appropriate records
are kept on all feed use.

Appropriate records are expected to include feed source, feed
Batch/Lot/ID number, date of purchase, feed conversion ratio(FCR), and, where appropriate, feed inclusion percentagesof fishmeal and fish oil or a fish in: fish out ratio. Appropriate
records are expected to be kept for each individual production
unit. Verification of appropriate record keeping and suitable
documentation from feed manufacturers is also expected.

FAO REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. Record
keeping is a specific requirement of Paragraph 33.

108

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ESSENTIALCOMPONENTS

Impacts on Habitat and Biodiversity
GSSI Essential Components for Aquaculture Certification Standards
C.5 01BENTHIC HABITATSGSSI ESSENTIAL COMPONENTGUIDANCE

For cage production systems, the standard
requires appropriate management measuresfor preventing excessive impacts of aquaculture
facility waste on benthic environments.

Appropriate measures for marine cage production systems are
expected to consider biological, chemical and physical impacts andadditional chemical residues resulting from culture practices. Where
relevant, they should conform to ISO 16665. The use of systems
combining suitable allowable zones of effect and environmental
quality standards of effect are expected. Verification that themeasures are operational and fit for purpose is expected. Evidenceof the prevention of adverse impacts could include comparisonswith baseline conditions, reference locations, or standardized
limits with a suitable justification for their use. Where adverse
impacts are detected it is expected that appropriate mitigation
measures/ remedial action for the identified adverse impacts on thesurrounding natural ecosystem are applied.
While generally recognized as a marine cage issue, benthic
impacts can also occur in freshwater cage systems. The degreeof management measures should reflect the degree of potential
impacts relative to the environment, production system, species,
and size of production.

FAO REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm andoff-farm environmental quality should be carried out, combined with good record-keeping and use of appropriate
methodologies.” Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural
ecosystems, including fauna, flora and habitats should be carried out.” These Paragraphs are considered in the cage
culture context.

C.5 02

PREDATOR CONTROLGSSI ESSENTIAL COMPONENTGUIDANCE

The standard prohibits the use of any lethal
predator control techniques on endangered
species. Exceptions for worker safety andwhere euthanization is an act of mercy are
acceptable and expected.

Verification of the predator controls used, appropriate record
keeping, and details of the endangered species in the region of
the aquaculture facility are expected. Examples of supporting
evidence of non-use could include interview, appropriate signage,and mortality records. Exceptions for worker safety and where
euthanization is an act of mercy are acceptable and expected.
Endangered species are expected to be defined in the standard,with reference to relevant national listings (e.g., Vietnam’s Red
Data Book) and/or global listing organizations such as CITES(Appendix 1), IUCN Red List (Categories Critically Endangered (CR),Endangered (EN), Vulnerable (VU)). See www.iucnredlist.org andwww.cities.org for more information.

FAO REFERENCE
Paragraph 46 of the Technical Guidelines on Aquaculture Certification states “Evaluation and mitigation of the adverse
impacts on surrounding natural ecosystems, including fauna, flora and habitats should be carried out.”

RELATED SUPPLEMENTARY COMPONENTS
C.5 0201 See page 140

C.5 02

109

02 See page 140

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ESSENTIALCOMPONENTS

Impacts on Habitat and Biodiversity
GSSI Essential Components for Aquaculture Certification Standards
C.5 03

PREVENTING HABITAT IMPACTS

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires compliance with national
and local laws on habitat and biodiversity,
including an Environmental Impact Assessment(EIA) where required.

Verification is expected to include review evidence provided by theaquaculture facility to demonstrate legal compliance.

FAO REFERENCE
This is a stated requirement Paragraph 44 of the Technical Guidelines on Aquaculture Certification “Environmental
impact assessments should be conducted, according to national legislation, prior to approval of establishment ofaquaculture operations.” Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require
Legal compliance.

RELATED SUPPLEMENTARY COMPONENTS
C.5 0301 See page 141

C.5 04SENSITIVE HABITAT AND BIODIVERSITY

C.5 0302 See page 141

C.5 0303 See page 142

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that in areas where
damage of sensitive habitats has occurredpreviously and where restoration is possible andeffective; restoration efforts will or have resulted
in a meaningful amount of restored habitat;
either through direct on-farm restoration or by
an off-farm offsetting approach. Grandfatheringof historical losses is allowed.

It is expected that the standard will define sensitive habitat incontext with its scope and an appropriate date to be used prior
to which legal impacts can be “grandfathered in” and provide
supporting evidence for the date. Verification at the aquaculture
facility is expected to include whether restoration is necessary, towhat degree (evidence could include maps, aerial photos, satellite
images, government certification etc.) and whether that the active
restoration is suitable (i.e., will it be successful and restore a suitablearea of sensitive habitat).

FAO REFERENCE
Paragraph 38 states that “Aquaculture certification schemes should encourage restoration of habitats and sites
damaged by previous uses in aquaculture.” Paragraph 45 of the Technical Guidelines on Aquaculture Certification state“Regular monitoring of on-farm and off-farm environmental quality should be carried out, combined with good recordkeeping and use of appropriate methodologies.” Restoration of high conservation habitats, such as mangrove forests,
has become a common part of aquaculture standards, including national and international schemes. Since someaquaculture operations have been in operation for many decades, often before awareness and protection of certain
resources, there is suitable justification to allow grandfathering.

RELATED SUPPLEMENTARY COMPONENTS
C.5 0401 See page 143

C.5 04110

02 See page 144

C.5 0403 See page 145

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Seed
GSSI Essential Components for Aquaculture Certification Standards
C.6 01LEGAL COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that all seed is sourced
and used in compliance with relevant national
and local legal requirements for both the sourceand destination law.

Verification is expected to include review evidence provided by theaquaculture facility to support compliance with relevant laws. This
could include international laws (e.g., CITES) and laws governing
introductions and transfers of live aquatic animals.

FAO REFERENCE
Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require Legal compliance.

C.6 02

RECORD KEEPINGGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the establishment,
implementation and maintenance of an
appropriate record keeping system for all seedthat is intentionally stocked.

An appropriate records system may include source of the seed,date of purchase, stocking density, vaccination record of the seed,
and stocked seed batch identification.
Verification is expected to include a review of evidence that thesystem is operational and fit for purpose.

FAO REFERENCE
Paragraph 33 of the Technical Guidelines on Aquaculture Certification requires “traceability and record-keeping offarming activities and inputs which impact food safety should be ensured by documenting, inter alia: the source of
inputs such as feed, seed, veterinary drugs and antibacterials, additives, chemicals”. Though FAO’s focus is on foodsafety, traceability and record keeping is also required to verify environmentally focused practices.

RELATED SUPPLEMENTARY COMPONENTS
C.6 0201 See page 146

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C.6 03

WILD SEEDGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that where the deliberate
use of wild seed is justifiable, it is collected in amanner that:

Expected examples of “justifiable use” include where there is alack of commercially-available hatchery-raised seed, inability/lackof technology to hatchery-raised the farmed species, or passive
collection of mollusks. Justification could be offered at the standard
or aquaculture facility level.

- Ensures controls are in place so that thecollection of seed is not detrimental to thestatus of the wild target and non-target
populations, nor the wider ecosystem.
- Avoids the use of environmentally damaging
collection practices- Source fishery is regulated by an appropriate
authorityi) Suitable controls are expected to include aspects such as a fishery
management plan that limits take to maintain the wild populations(i.e., there is no measurable impact on recruitment levels or thestocks ability to increases (examples include stocks that are underor fully exploited) with appropriate safeguards against excessive
bycatch, and prevention of damaging gear types.
ii) Examples of environmentally damaging collection practice are
expected to include dynamite or poison fishing, habitat impacts.
Verification is expected to include the need to provide suitableevidence by the aquaculture facility (e.g., a summary report written
by a credible 3rd party on the source fishery, a self-certificationby the appropriate management authority, a 3rd party fisherycertification that verifies suitable compliance).

FAO REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”.

RELATED SUPPLEMENTARY COMPONENTS
C.6 0301 See page 147

C.6 04HATCHERY SEEDGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the aquaculture
facility intentionally stocks hatchery-raised seed
unless justification exists otherwise.

Examples of suitable justifiable exclusions are provided in C.6.03.
Standards are expected to encourage the use of hatchery raised
seed as they become available (e.g. by including a deadline for
use to become required in the standard, or a certain percentage ofseed needing to come from hatcheries to be met for certification,etc.). Verification is expected to include a review of evidence ofthe source of seed stocked at the aquaculture facility. In case of
production systems and species where only hatchery seed is used
(e.g. Atlantic salmon) this GSSI Essential Component can be notapplicable.

FAO REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”.

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C.6 05HATCHERY SEEDGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that suitable measures
are in place to ensure that hatchery-raised seed
are free from relevant/important pathogens
before stocking for grow-out.

Relevant/important pathogens are expected to include those
identified by the aquatic health professional and sources suchas the OIE/ transboundary disease lists (See Chapter 1.3 of
the Aquatic Animal Health Code 2015 http://www.oie.int/en/international-standard-setting/aquatic-code/access-online/).
Verification of suitable measures is expected to include reviewsof disease-testing methods, the disease tested for, and theresults (including ISO 23893-1:2007), and the vaccination recordof the seed. This could form part of the aquatic animal healthmanagement plan.

FAO REFERENCE
Paragraphs 19, 21, 22 require a basis on OIE’s Aquatic Animal Health Code. Paragraph 48 of the Technical Guidelinesof Aquaculture Certification states “Where possible, hatchery produced seed should be used for culture. Whenwild seeds are used, they should be collected using responsible practices”. Also based on FAO (2011) Aquaculture
Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture Section 3.2.3 to ensure the minimaland monitored use of wild brood stock in aquaculture.
FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture. FAO
Technical Guidelines for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011. 81 pp.

RELATED SUPPLEMENTARY COMPONENTS
C.6 0501 See page 148

C.6 05

04 See page 151

C.6 05

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Species Selection and Escapes
GSSI Essential Components for Aquaculture Certification Standards
C.7

01

ESCAPESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the aquaculture
facility establishes, implements, and maintains
an appropriate system to minimize theunintentional release or escape of cultured
species.

An appropriate system is expected to be based on an evaluationof the likelihood of events and the magnitude of impacts on
surrounding environment (where risk assessments are used they
met use a suitable scientific method and taking into consideration,
siting, culture practices, local environmental conditions, including
extreme events, and other relevant uncertainties) according to
the precautionary approach and possible impacts on surrounding
natural ecosystems, including fauna, flora, and habitat. Specificrequirements stated in the standard are acceptable.
Verification is expected to include a review of evidence of an
operational and fit for purpose system.
The system is expected to address the following; relative to thespecies being farmed and the production system (individual
elements can be “Not Applicable” with these considerations).
i) Measures for escape detectionii)	Monitoring for and record keeping of escapes eventsiii)	Suitable training of employeesiv)	Incident management and infrastructure, including response orrecapture measures.
v)	Regular monitoring and maintenance of the culture systemvi)	Regular review and failure analysisvii)	containment infrastructure

FAO REFERENCE
Supplementary Components on escape prevention are based on Paragraphs 39 and 46 of the Technical Guidelines on
Aquaculture Certification which reference the minimizing unintentional release and escape of aquatic animals and that
potential impacts and mitigation measures for impacts on biodiversity respectively.

RELATED SUPPLEMENTARY COMPONENTS
C.7 0101 See page 152

C.7 01

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GSSI Essential Components for Aquaculture Certification Standards
C.7

02

GENETICALLY MODIFIED ORGANISMSGSSI ESSENTIAL COMPONENTGUIDANCE

In the case where the culture of GMO
organisms is permitted, the standard requires asuitable evaluation of the risk of environmental
impacts.

A suitable evaluation is expected to have been performed using
an appropriate scientific method that assesses the likelihood of
events and the magnitude of impacts, and take into accountrelevant uncertainties according to the precautionary approach.
The evaluation should consider the possible impacts on genetic
diversity, aquatic communities and ecosystems. Where ICES Codeof Practice on the Introductions and Transfers of Marine Organisms
2005 is relevant, consistency with these requirements on geneticallymodified organisms (GMO) is also expected. Verification is expected
to include a review of supporting evidence.

FAO REFERENCE
Paragraph 50 of the Technical Guidelines on Aquaculture Certification states “with reference to paragraph 9.3.1 of
the Code of Conduct for Responsible Fisheries, where genetic material of an aquatic organism has been altered ina way that does not occur naturally, science-based risk assessment should be used to address possible risks on acase-by-case basis.” Paragraph 9.3.1, referenced above, states that “States should conserve genetic diversity andmaintain integrity of aquatic communities and ecosystems by appropriate management. In particular, efforts should
be undertaken to minimize the harmful effects of introducing non-native species or genetically altered stocks used
for aquaculture including culture-based fisheries into waters, especially where there is a significant potential for the
spread of such non-native species or genetically altered stocks into waters under the jurisdiction of other States as wellas waters under the jurisdiction of the State of origin. States should, whenever possible, promote steps to minimize
adverse genetic, disease and other effects of escaped farmed fish on wild stocks.” This Essential Component follows
FAO’s specific guidance on this issue.
FAO (1995). Code of Conduct for Responsible Fisheries.
International Council for the Exploration of the Sea (ICES) (2005) ICES Code of Practice on the Introductions andTransfers of Marine Organisms. www.ices.dk/publications/Documents/Miscellaneous%20pubs/ICES%20Code%20
of%20Practice.pdf

C.7

03

EXOTIC SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that all species arefarmed in compliance with relevant laws andregulations.

Verification is expected to include review evidence provided by theaquaculture facility to support compliance with relevant laws.

FAO REFERENCE
Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require Legal compliance.

RELATED SUPPLEMENTARY COMPONENTS
C.7 0301 See page 154

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Impacts on Water Resources
GSSI Essential Components for Aquaculture Certification Standards
C.8 01LEGAL COMPLIANCEGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires compliance with all
relevant laws regarding water use, water quality,
and waste discharge.

Verification is expected to include review evidence provided by theaquaculture facility to support compliance with relevant laws.

FAO REFERENCE
Paragraphs 17a, 17b, and 37 of the Technical Guidelines on Aquaculture Certification require Legal compliance.

C.8 02SALINIZATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the aquaculture
facility establishes, implements, and maintains
an appropriate system that addresses theimpact of salinization of freshwater resources
and the surrounding environment by theaquaculture facility.

An exemption for standards that do not cover land-based saline
water systems is expected.
Appropriate measures are expected to be based on risk assessments
or standardized requirements. Controls could include relevant
monitoring of freshwater resources (e.g., groundwater resources,
local water bodies, local soils) for salinity changes and measures
such as pond-linings, limiting groundwater use and other control
techniques. The standard is expected to prohibit the aquaculture
facility to contributing to changing freshwater resources and thesurrounding environment to saline conditions. Verification is expected
to include a review of evidence that the system is operational and fit
for purpose, such as a visual inspection of the site.

FAO REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.”

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GSSI Essential Components for Aquaculture Certification Standards
C.8 03

WATER USEGSSI ESSENTIAL COMPONENTGUIDANCE

Where appropriate (e.g. land-based freshwater
ponds supplied with groundwater and all culture
systems where water resources are limiting) the
standard requires that the aquaculture facility
has appropriate management measures for
efficient water use.

This requirement is based on Paragraph 47 of the Technical
Guidelines on Aquaculture Certification state “Measures should
be adopted to promote efficient water management and use, as
well as proper management of effluents to reduce impacts on
surrounding land, and water resources should be adopted.” GSSI
recognizes that standards for efficient water management and use
are not common in many current aquaculture standards. Generally
it is expected that this Essential Component will only apply toaquaculture facilities that use land-based freshwater ponds suppliedwith groundwater and all culture systems where water resources
are limiting. An exemption for all other production systems is
expected. This can also be “not applicable” for standards that do
not cover relevant production systems.
Management measures may include a general promotion orawareness of efficient water use or actions that may lead to more
efficient use. Where groundwater is used the standard is expected
to require that the aquaculture facility establish, implement andmaintain an appropriate system to prevent aquifer drawdown andnegative impacts on freshwater resources and the surrounding
environment caused by the facilities operations. Verification that thesystem is operational and fit for purpose is expected.

FAO REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.”

RELATED SUPPLEMENTARY COMPONENTS
C.8 0301 See page 155

C.8 03

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02 See page 156

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Impacts on Water Resources
GSSI Essential Components for Aquaculture Certification Standards
C.8 04

WATER QUALITYGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires, where appropriate,
management measures for effluents to reduce
adverse impacts on water quality of water
bodies receiving effluents.

Appropriate measures are expected to include.
1. Monitoring and recording of effluent or receiving water quality,
and which may including key parameters that need to beaddressed include, where applicable:i) Nutrients – Nitrate/Nitrogen (impacts on seawater)ii) Nutrients – Phosphate/Phosphorous (impacts on freshwater)iii) Dissolved oxygeniv) Salinityv) Suspended Solidsvi) pH
2. Defined, aquaculture appropriate, maximum reference points(e.g., general concentration limits or aquaculture facility-specificlimits) or mandatory systems (e.g., presence of a suitable filter)are defined to prevent pollution
3. Where reference points are exceeded, the scheme either refusescertification or that mitigation methods are employed andmonitored to meet a time bound goal to come into compliance.
Verification is expected to include a review of evidence thatthe system is operational and fit for purpose, including visualinspection of the site. Where effluent concentration limits are used
for compliance, independent verification of conformance is also
expected.
“Where appropriate” is expected to include standards that coverproduction systems that release effluent that has the potential toimpact water quality, e.g., fed/intensive aquaculture in ponds andraceways. An exception for marine cage aquaculture and on or offbottom shellfish culture is expected.

FAO REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” Measures are required to reduce aquaculture facility effluent impacts on
surrounding land and water resources. Key criteria are based on common practice in aquaculture standards.

RELATED SUPPLEMENTARY COMPONENTS
C.8 0401 See page 157

C.8 04118

02 See page 158

C.8 0403 See page 159

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Aquatic Animal Health Management
GSSI Supplementary Components for Aquaculture Certification Standards
C.1

02

01

ANTIMICROBIAL USAGE

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard prohibits the use of antimicrobials
listed by the World Health Organization (WHO) as
highly and critically important to human health.

The audit is expected to include a review of evidence that
supports a claim of no listed antimicrobial usage, this could include
independent laboratory testing results, reviews of financial records,
inspections of offices and chemical storage facilities.
The most recent version of the WHO list is the 3rd edition,
which can be found at www.who.int/foodsafety/publications/antimicrobials-third/en/.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs. Serrano (2005) also highlights the challenges for to antimicrobial usage in aquaculture. This
Supplementary Component enhances the controls on antimicrobials by preventing the use of antimicrobials that meet
one or both of the following statements “A) An antimicrobial agent which is the sole, or one of limited available therapy,
to treat serious human disease or B) Antimicrobial agent is used to treat diseases caused by either: (1) organismsthat may be transmitted to humans from non-human sources or, (2) human diseases causes by organisms that may
acquire resistance genes from nonhuman sources” (WHO, 2011).
World Health Organization (WHO) (2012). Critically important antimicrobials for human medicine – 3rd Rev. ww.who.int/
food safety/publications/antimicrobials-third/en/.
Serrano (2005). Responsible use of antibiotics in aquaculture. FAO Fisheries Technical Paper 469.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.02 The standard requires that theapplication of antimicrobial agents is consistent
with the guidelines outlined in Principles for
Responsible and Prudent Use of Antimicrobial
Agents in Aquatic Animals of the OIE Aquatic
Animal Health Code (Articles 6.2.7 and 6.2.8 of
the 2015 Code).

The development of antimicrobial resistance is a serious problem
in human medicine. Using antimicrobials that are important to treat
human diseases in aquaculture potentially promotes the spread ofresistance to these antimicrobials between bacteria, including thosethat would affect humans. By prohibiting their use, this risk is reduced.

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C.1

02

02

ANTIMICROBIAL USAGE

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard prohibits aquatic animals treatedwith antimicrobials from being labeled with its
standard; however, antimicrobial application
deemed necessary by an aquatic healthprofessional cannot be withheld from aquatic
animals solely to preserve the certification
status of the production.

The audit is expected to include a review of evidence that supports
a claim of no antimicrobial usage, this could include independent
laboratory testing results, reviews of financial records, inspectionsof offices and chemical storage facilities. The standard is expected
to ensure the need to treat aquatic animals is prioritized above thecertification status.
Where a standard complies with the prohibition on all antimicrobial
then it will also be considered in alignment with C.1.01 and C1.02(and the corresponding inclusion of these in Supplementary
Component C.1.08.2). Unlabeled products produced by thecertified aquaculture facility are still expected to meet the Essential
Components C.1.01 and C1.02 (and the corresponding need forcompliance with them in in Supplementary Component C.1.08.3).

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code (2015), while primarily focused on transboundary
movements of aquatic animals, also describes common practice for activities related to aquatic animal health, including
the use of veterinary drugs. Paragraphs 23 and 52 of the Technical Guidelines on Aquaculture Certification require
responsible use of chemicals. Serrano (2005) also highlights the challenges for to antimicrobial usage in aquaculture.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.02 The standard requires that theapplication of antimicrobial agents is consistent
with the guidelines outlined in Principles for
Responsible and Prudent Use of Antimicrobial
Agents in Aquatic Animals of the OIE Aquatic
Animal Health Code (Articles 6.2.7 and 6.2.8 of
the 2015 Code).

The development of antimicrobial resistance is a serious problem
for both human treatment and aquaculture. Using antimicrobials
in aquaculture potentially promotes the spread of resistance tothese antimicrobials between bacteria. By prohibiting their use, thisrisk is addressed. However, aquatic animal health professionals
are obligated to act where animals are sick and therefore thisindicator should only be applied for species where antimicrobial freeproduction can be performed without a welfare risk or where chainof custody allows for the segregation treated and untreated aquatic
animals within the scheme.

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C.1

08

01

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture facility
to appropriately review the Aquatic HealthManagement Plan.

Verification is expected. Appropriate timing for reviews are expected
and could include annual reviews, reviews following specific disease
outbreaks or at the end of a production cycle.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE in its Aquatic Animal Health Code should be the normative basis for standards, and that
farms implement management programs based on these. Paragraph 22 of the Technical Guidelines on Aquaculture
Certification requires that the culture environment is maintained as a means to prevent the spread of disease.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

By requiring regular reviews the plan can be kept up to datewith any new techniques and the effectiveness of the plan canbe reviewed following a disease outbreak. This Supplementary
Component leads the farm to improve its plan, and provide better
disease management, as time goes on.

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C.1

08

02

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture facility
to determine the cause of death when losses
are significantly greater than expected and thecause is unclear, use laboratory analysis where
feasible.

Verification that policies or other systems are in place to respond tothese situations is expected.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The aquatic animal health actions defined in the GSSI Essential Components for thiselement may be undocumented or fragmented; at the GSSI Supplementary Component level all of the elementsof must now be formalized and viewed as one defined and operational plan. Each additional GSSI Supplementary
Component reflects enhanced practices designed to enable the prevention, early detection, and management ofdisease at the individual aquaculture facility level. The increased surveillance and confidence in detection should allow
for greater understanding of the spread of disease around the aquaculture facility and possibly aid in identifying novel
disease outbreaks and decrease the use of veterinary drugs, which could reduce the frequency and impact of disease
outbreaks.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

Early disease detection and identification, particularly in the eventof an exotic disease, is critical to reducing the spread and severityof a disease outbreak. When losses are unclear, laboratory testing
may be the only way to appropriately diagnose the cause of losses
and the actions necessary to mitigate its impacts. The increased
surveillance and confidence in detection should allow for greater
understanding of the spread of disease around the aquaculture
facility and possibly aid in identifying novel disease outbreaks anddecrease the use of veterinary drugs, which could reduce thefrequency and impact of disease outbreaks.

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C.1

08

03

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture facility
establishes, implements, and maintains awritten Aquatic Animal Health Management
Plan (AAHMP) which is overseen by anaquatic animal health professional, at aminimum, compliant with the following GSSIrequirements; C.1.01, C.1.02, C.1.03, C.1.04,
C.1.05, C.1.06, C.1.07, C.1.08, C.1.09,
C.1.10, C.1.11.

Verification that the farm has a written AAHMP, and that the content
covers the necessary content and that it is fully in operation andfrequently reviewed is expected. Evidence of oversight could include
an interview with the health professional or a signature on the
documents.
Aligned standards will also be considered in alignment with C.1.01,
C.1.02, C.1.03, C.1.04, C.1.05, C.1.06, C.1.07, C.1.08, C.1.09,
and C.1.10.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The aquatic animal health actions defined in the Essential Component for this element
may be undocumented or fragmented; at the Supplementary Component level all of the elements of must now be
formalized and viewed as one defined and operational plan.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

The aquatic animal health actions defined in the Essential
Components for this element may be undocumented or fragmented;
at the Supplementary Component level all of the elements of must
now be formalized and viewed as one defined and operational
plan. By formalizing the plan, the effectiveness of the plan can be
determined and the benefits for reducing the severity and frequency
of disease outbreaks are likely to be increased.

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C.1

08

04

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

In addition to the written health plan from GSSISupplementary Component C.1.08.2, thestandard also requires the plan to include:

Verification that the farm has these elements in its written AAHMP is
expected.

- An emergency response protocol in theevent of an invasive disease, which includes
depopulation where appropriate.
- A written list of all diseases that the aquatic
animals are likely to face during production.
- Annual/end of production review and failure
analysis.
- Where multiple effective chemicaltreatments are available, while maintaining
the compliance with the OIE Prudent Use
guidance, there is a rotation to reduce the riskof resistance.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The aquatic animal health actions defined in the Essential Component for this element
may be undocumented or fragmented; at the Supplementary Component level all of the elements of must now be
formalized and viewed as one defined and operational plan.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

The additional requirements of the Aquatic Health Management Planshould verify that its effectiveness is being reviewed and the plan is
updated accordingly. Additional controls are introduced that would
verify that the farm has a contingency plan in the event of a novel
disease outbreak, this should expedite the responses and potentiallycould reduce or even eradicate an outbreak of a novel disease.
Rotating effective treatments is generally recognized as a techniqueto reduce resistance of pathogens.

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08

05

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the aquatic animals
are vaccinated against relevant/importantdiseases for which vaccines are available andeffective against.

Relevant/important pathogens could include those identified by
the aquatic animal health professional and sources such as the
OIE/ transboundary disease lists. Verification, such as a review ofjustification by the aquatic animal health professional as to which
vaccines could be used and records/receipts for vaccinations is
expected.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

Vaccination is an important tool for reducing the severity of disease
outbreaks and the spread of disease. Vaccines are increasingly
becoming available in aquaculture though their uptake may be limitedby access, application, cost, risk, and perceived effectiveness. The
standard verifies that effective vaccinations are used.

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Aquatic Animal Health Management
GSSI Supplementary Components for Aquaculture Certification Standards
C.1

08

06

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture facility
to establish, implement, and maintain a written
plan for improving survival rate (or similar systemthat incorporates survival rates (e.g., recoveryrate)), including defined annual targets.

Verification that a written plan exists and that includes actions
directed at increasing the survival rate (such as increasing
vaccination, biosecurity, water quality etc.) and that suitable records
are kept on survival rate and the factors being considered in theplan, and that the plan is operational (e.g. by interview) is expected.
Aligned standards will also be considered in alignment with
C.1.08.01.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

Survival rates can be used as performance based metrics to reflect
the effectiveness of the disease management systems. This GSSISupplementary Component shows that the farm understands its
current performance and is committed to improving it, this will haveadditional environmental benefits including reduced the severity of
disease outbreaks and improving feed efficiencies.

C.1

08

07

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires suitable performancebased metric limits on survival rate (orsimilar system that incorporates survival
rates (e.g. recovery rate)) or similar criteriathat demonstrate that the aquatic healthmanagement practices are effective.

A suitable performance based metric limit could include those set on
a species specific basis using industry average data (e.g., a minimal% relative to say industry average data) or based on farm monitoring
records. Other possible criteria may include metric limits onveterinary drug usage. Verification that the metric limits have been
met and set based on a suitable monitoring and record keeping
system is expected.
Aligned standards will also be considered in alignment with
C.1.08.02 and C.1.08.6.

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards and, that farms implement management
programs based on these.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

By meeting a performance based metric for survival rate thestandard verifies that the farm has an effective biosecurity system.

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Aquatic Animal Health Management
GSSI Supplementary Components for Aquaculture Certification Standards
C.1

08

08

BIOSECURITY

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities use
common and, where applicable, coordinatedpractices for the shared management ofaquatic animal disease risk.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
Common practices for the shared management of aquatic animal
disease risk are expected to include suitable requirements toprevent disease outbreaks, share disease status information, and,
where appropriate, coordinate response actions in the presence ofa disease, such as the use of veterinary drugs. Requirements are
expected to be enforced through an agreement with the regulator or
legally binding agreement of the producers in the area (e.g. an MOUor similar document).
An appropriately defined area is expected to have boundaries thatare defined according to the ability to realistically manage aquatic
disease risk within it.
Verification is expected to include a review evidence of the presenceof the system and the common and coordinated practices
applied (e.g., such as written records, meeting notes, contractual
agreements and/or interviews).

REFERENCE
Paragraph 17j of the Technical Guidelines on Aquaculture Certification requires the promotion of cooperation between
farmers. Formal area management systems (AMS) should incorporate the guidance outlined in paragraphs 19, 21, 23,
and 52 to ensure the aquatic animal health system within the AMS is based on OIE guidance and on Principle 1 of theTechnical Guidelines on the Ecosystem Approach to Aquaculture. The formal AMS system aims at greatly reducing
disease outbreaks and impacts by the collaborative management across all farms within the AMS.
Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for Responsible
Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.08 The standard requires the aquaculture
facility has operational fish health management
practices, specifically favoring effective
biosecurity and available vaccines, including
introductions and transfers of farmed animals
where relevant, which is overseen by anaquatic animal health professional.

Disease outbreaks are a limiting factor to the further growth of
aquaculture. While maintaining farm level biosecurity practices
reduces the chance of disease appearing on an individual farm, thatfarm system may still be reliant on shared resources such as water
bodies. By working together to address the cumulative risk andspread of disease farms within the AMS boundary have the potential
to great reducing the severity of disease outbreaks.

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Aquatic Animal Health Management
GSSI Supplementary Components for Aquaculture Certification Standards
C.1

10

01

OFF-FARM DISEASE TRANSMISSIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Where the production system allows thedischarge of parasites that are a known
concern to local wildlife, the standard requires
monitoring and adapting farming practices
based on trigger limits of relevant parasite
numbers on wild fish where this is feasible.

Examples of pathogens or parasites that are a known concern
include sea lice on farmed salmon; appropriate practices could
be specified in the standard or a suitable risk assessment orother justification could be given to determine whether or not thisSupplementary Component is applicable.
The certification scheme or standard is expected to address themonitoring of pathogen or parasite numbers on wild fish or a similarsystem that is likely to be effective at finding evidence of impact if
it’s occurring (possibly performed by third parties or government),
and that appropriate trigger limits (e.g., expert opinions, scientific
literature) and adaptive management plans exist and are employed
to reduce the pressure on wild populations (such as by treating fish,
fallowing, etc.).
Verification that the system is operational is also expected.
Aligned standards will also be considered in alignment with C.1.10

REFERENCE
Paragraphs 19, 20, & 22 of the Technical Guidelines on Aquaculture Certification require that the guidelines andstandards set by the OIE should be the normative basis for standards, and that farms implement management
programs based on these. The Aquatic Animal Health Code, while primarily focused on transboundary movementsof aquatic animals, also describes common practice for activities related to aquatic animal health, including the useof veterinary drugs. Paragraph 22 specifically addresses the spread of disease between farms and natural fauna.
Aquaculture facilities have the potential to introduce and locally amplify parasites numbers above those generally foundin the wild. With a few exceptions, these issues remain poorly understood or studied. However, where these issues
are known, these Supplementary Components verify that the issue is managed based on indicators of impacts on wild
populations.
OIE Aquatic Animal Health Code (2015). www.oie.int/international-standard-setting/aquatic-code/.

RELATED ESSENTIAL COMPONENTRATIONALE

C.1.10 The standard requires the aquaculture
facility to establish, implement and maintainappropriate procedures and/or systems
to reduce the likelihood of disease andparasite transmission within and between theaquaculture facility and natural aquatic fauna.

Aquaculture facilities have the potential to introduce and locally
amplify parasite numbers above those generally found in the wild.
With a few exceptions, these issues remain poorly understood or
studied. However, where these issues are known, these indicators
verify that the degree of impact on wild populations is being
managed.

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SUPPLEMENTARYCOMPONENTS

Chemical and Veterinary Drug Use
GSSI Supplementary Components for Aquaculture Certification Standards
C.2 0201

CHEMICAL USAGE

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard prohibits chemicals used on
the aquaculture facility and that may enter the
local environment due to farming practices
that are listed as highly polluting by relevantorganizations or other justification.

Relevant organizations could include the World Health Organization
listed 1a and 1b pesticides (see www.who.int/ipcs/publications/pesticides_hazard_2009.pdf?ua=1) and the Rotterdam Convention
Annex III listed chemicals (see www.pic.int/TheConvention/Chemicals/
AnnexIIIChemicals/tabid/1132/language/en-US/Default.aspx).
Verification is expected to include a review of evidence supportingthe claim of no use, such as inspection of the chemical storage,interviews etc.

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification states that chemicals should be used responsibly
to minimize their adverse impacts on the environment and to promote economic viability. Chemicals available toaquaculture vary from one country to another. Several organizations exist, including international organizations, todissuade the use of certain particularly polluting chemicals. These Supplementary Components enhance the Essential
Components by further limiting the type of chemicals that can be used on the aquaculture facility, irrespective if its use
is permitted under national regulations.
The WHO Recommended Classification of Pesticides by Hazard. 2009.
Rotterdam Convention Annex III Listed Chemicals (see www.pic.int/TheConvention/Chemicals/AnnexIIIChemicals/
tabid/1132/language/en-US/Default.aspx).

RELATED ESSENTIAL COMPONENTRATIONALE

C.2.02 The standard requires appropriate
controls for all chemicals, incl. veterinary
drugs, that enter the environment (whether
already covered by Essential Components ornot) in order to minimize adverse impacts onenvironmental quality.

Chemicals available to aquaculture vary from one country to another.
Several organizations exist, including international organizations, todissuade the use of certain particularly polluting chemicals. These
Supplementary Components enhance the Essential Components
by further limiting the type of chemicals that can be used on theaquaculture facility, irrespective if its use is permitted under national
regulations.

C.2 0202

CHEMICAL USAGE

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that chemicals used on
the aquaculture facility, and that may enter the
local environment, are restricted to identified
environmentally benign products (e.g.,
rapidly denaturing chemicals), with a suitablejustification for their listing as benign.

Suitable justification is expected to include scientific literature or
product description. Verification, including a review of evidence
supporting the claim, such as inspection of the chemical storage,interviews is also expected.
Aligned standards will also be considered in alignment with C.2.02.1

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification states that chemicals should be used responsibly
to minimize their adverse impacts on the environment and to promote economic viability. Chemicals available toaquaculture vary from one country to another. Several organizations exist, including international organizations, toencourage the use of certain chemicals with minimal potential for environmental damage.

RELATED ESSENTIAL COMPONENTRATIONALE

C.2.02 The standard requires appropriate
controls for all chemicals, incl. veterinary drugs,
that enter the environment (whether alreadycovered by GSSI Essential Components ornot) in order to minimize adverse impacts onenvironmental quality.

Chemicals available to aquaculture vary from one country to another.
Several organizations exist, including international organizations, toencourage the use of certain chemicals with minimal potential forenvironmental damage.

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SUPPLEMENTARYCOMPONENTS

Environmentally Responsible Infrastructure
Construction, Waste Disposal and General Storage
GSSI Supplementary Components for Aquaculture Certification Standards
C.3 0101

MAINTAINING GOOD CULTURE AND HYGIENIC CONDITIONSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the presence of anactive and documented recycling program.

The system is expected to ensure the farm recycles to the maximum
extent practicable.

REFERENCE
Paragraph 51 of the Technical Guidelines on Aquaculture Certification states that “Infrastructure construction andwaste disposal should be conducted responsibly”.

RELATED ESSENTIAL COMPONENTRATIONALE

C.3.01 The standard requires that theaquaculture facility and its daily operations
ensure that good culture and hygienic
conditions are maintained.

The benefits of recycling are well known but may not be seen asa high priority on aquaculture farms. The standard verifies that all
recyclable waste is recycled.

C.3 0102

MAINTAINING GOOD CULTURE AND HYGIENIC CONDITIONSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture facility
to establish, implement and maintain a generalwaste management system.

An appropriate system is expected to include a baseline of waste
generation and actions aimed at reductions, and suitable monitoring.
Verification is expected to include a review of evidence that thesystem is operational and fit for the purpose.

REFERENCE
Paragraph 51 of the Technical Guidelines on Aquaculture Certification states that “Infrastructure construction andwaste disposal should be conducted responsibly”.

RELATED ESSENTIAL COMPONENTRATIONALE

C.3.01 The standard requires that theaquaculture facility and its daily operations
ensure that good culture and hygienic
conditions are maintained.

Controlling waste results a more efficient, cleaner, and more hygienic
farming system.

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Environmentally Responsible Infrastructure
Construction, Waste Disposal and General Storage
GSSI Supplementary Components for Aquaculture Certification Standards
C.3 02

01

GENERAL ENVIRONMENTAL MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires energy use to bemonitored and recorded (e.g. total fuels orenergy).

Verification is expected to include a review of evidence that energy
use is being appropriately monitored and recorded using appropriate
methods.

REFERENCE
Paragraphs 39 and 40 of the Technical Guidelines on Aquaculture Certification look holistically at aquaculture impacts
and the need to encourage improvement and innovation in the environmental performance of aquaculture.

RELATED ESSENTIAL COMPONENTRATIONALE

C.3.02 The standard requires that aquaculture
facility infrastructure is appropriately maintainedin order to prevent pollution, whether fromconstruction, operation or decommissioning(e.g. including the following requirements:

The environmental impacts associated with energy use, such as
greenhouse gas emissions, are well known but have rarely been
considered in aquaculture. The aquaculture facility is required to pay
attention to its energy use through monitoring.

- A requirement for derelict or damaged gear to
be collected and disposed of responsibly.

C.3 0202

GENERAL ENVIRONMENTAL MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the aquaculture
facility to establish, implement and maintainan appropriate system to improve energy
efficiency.

An appropriate system is expected to include a baseline of energy
use per unit of production, and actions aimed at increasing
efficiency, and suitable monitoring and revision of the system.
Verification that the system is operation and fit for purpose is also
expected.
Aligned standards will also be considered in alignment with C3.02.1

REFERENCE
Paragraphs 39 and 40 of the Technical Guidelines on Aquaculture Certification look holistically at aquaculture impacts
and the need to encourage improvement and innovation in the environmental performance of aquaculture.

RELATED ESSENTIAL COMPONENTRATIONALE

C.3.02 The standard requires that aquaculture
facility infrastructure is appropriately maintainedin order to prevent pollution, whether fromconstruction, operation or decommissioning(e.g., including the following requirements:

The aquaculture facility is required to actively reduce its energy
consumption and the environmental issues, such as greenhousegas emissions, associated with it.

- A requirement for derelict or damaged gear to
be collected and disposed of responsibly.
- A requirement for derelict or damaged gear to
be collected and disposed of responsibly.

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SUPPLEMENTARYCOMPONENTS

Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0401

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires independent verificationthat the feed manufacturer that sources, forwhole fish ingredients greater than 1% content;

Verification is expected to include a 3rd party certification or audit of
the feed manufacturer. The standard is expected to apply to otherrelevant marine feed ingredients (e.g., algae, krill, and squid) and towhole fish.

- fishmeal and fish oil that are traceable back tothe species, fishery and country of origin, and- fishmeal and fish oil with less risk of
detrimental environmental impacts, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines and that uncertified
sources must be identified as low risk by
independent risk assessment or must comefrom sources that are part of an effective
Fishery Improvement Project (FIP) towards
a suitable certification or that have beenassessed to show limited impacts on stock
status and ecosystem impacts as defined in
Principle 3 of the FAO (2011). Aquaculture
Development. 5. Use of Wild Fish as Feed in
Aquaculture.

Effective FIPs could be those consistent with the Conservation
Alliance for Seafood Solutions (2015). Guidelines for Supporting
Fishery Improvement Projects. www.solutionsforseafood.org/wpcontent/uploads/2015/03/Alliance-FIP-Guidelines-3.7.15.pdf
Aligned standards will also be considered in alignment with C.4.01,
C.4.02, C.4.03, and C.4.04

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. Also basedon the environmentally relevant criteria in Aquaculture Development 5. Use of Wild Fish as Feed in Aquaculture (FAO,
2011) Principles 1-3 which specifically details the promotion of fish from certified fisheries and Principle 7.5 which
details that “Feed manufacturers and suppliers should be held responsible to declare the source and type of all raw
materials used in feed manufacture and the final nutritional composition.”
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.
Conservation Alliance for Seafood Solutions (2015). Guidelines for Supporting Fishery Improvement Projects.
www.solutionsforseafood.org/wp-content/uploads/2015/03/Alliance-FIP-Guidelines-3.7.15.pdf

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

Third party audits of feed mill ingredient sourcing practices
provide additional assurance that stated goals are being met. The
Supplementary Components on sourcing marine feed ingredientsare now focused towards more responsible sourcing and builds
on the Essential Components which require the avoidance ofenvironmentally damaging sources.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0402

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires independent verificationthat the feed manufacturer only sources
fishmeal and fish oil (greater than 1%
content) from whole fish certified a standard
benchmarked to be, at minimum, consistent
with relevant FAO’s ecolabelling guidelines.

Verification is expected to include a 3rd party certification or audit of
the feed manufacturer. The standard is expected to apply to otherrelevant marine feed ingredients (e.g., algae, krill, and squid) and towhole fish.
Aligned standards will also be considered in alignment with C.4.01,
C.4.02, C.4.03, C.4.04, and C.4.04.1

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feeds. Based on
the eventual goal of FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture, Principle 1:
Aquaculture should utilize resources from sustainably managed fisheries as defined by the FAO. This Supplementary
Component builds on the Essential Components by verifying feed mill sourcing practices and assurance that aquatic
ingredients are conforming to FAO’s Code of Conduct for Responsible Fisheries.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

Third party audits of feed mill ingredient sourcing practices provide
additional assurance that stated goals are being met.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0403

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires independent verificationthat the feed manufacturer only sources
terrestrial feed ingredients (greater than 1%
content) that are certified to an ecolabel
or risk assessed not to present significant
environmental impacts.

Verification is expected to include a 3rd party certification or audit of
the feed manufacturer.
Examples of ecolabels in terrestrial feed ingredients include theRoundtable for sustainable soy and the Roundtable for sustainablepalm oil. Accepted ecolabels are expected to have met credibility
thresholds for content and process requirements relevant to theindustry they represent (examples could include full ISEAL members,
ISO Guidelines or other FAO Guidelines).
Risk assessment may include, but is not limited to: (For plants) sensitive
habitat protection, run-off (nutrients), chemicals, water use, predator/
pest controls, and legal compliance. (For Animals): Antimicrobials,
disease prevention, feed efficiency and ingredients, waste.

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feeds. Also basedon the intent outlined in Hasan and Halwart (2009) that encourage sustainably sourced terrestrial feed ingredients.
Hasan and Halwart (2009). Fish as Feed Inputs for Aquaculture: Practices, Sustainability and Implications. FAO
Fisheries and Aquaculture Technical Paper. No. 518. Rome, FAO. 2009. 407p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

Like aquatic feed ingredients, the production of terrestrial feed
ingredients may have serious environmental impacts, such as the useof chemicals or removal of sensitive habitats. This indicator shows
the feed mill’s responsible sourcing practices also cover terrestrial
ingredients further addressing the environmental impact of feed.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0404

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the efficient use offishmeal and fish oil relative to the production
system and the species being farmed.

Suitable approaches are expected to include setting a suitablemaximum Fish in: Fish Out Ratios, FFDRm (Forage Fish Dependency
Ratio for Fish Meal) and FFDRo (Forage Fish Dependency Ratio for
Fish Oil), or other calculations which reflect the importance of limited
wild-harvested aquatic resources, this could include be species
specific performance based metric limits. Consideration for extreme
events (such as disease or escapes) is permissible. The standard is
expected to apply to other relevant marine feed ingredients, such as
from squid and krill. Verification is expected to include compliance at
the aquaculture facility level.
Where fishmeal and fish oil are used in feed, aligned standards will
also be considered in alignment C.4.07

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feed. Also basedon FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture, Principle 2.4 which states that“where aquaculture operations are dependent upon fish for feed, research and development programs that aim to
reduce this dependence should be promoted.” The Supplementary Components build on the Essential Components bylimiting the total amounts of aquatic resources used in certified aquaculture facilities.
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

Aquatic resources are limited resources and have, for the most part,been fully exploited meaning that there is a finite limit of these forthe aquaculture industry. Using these valuable resources efficiently istherefore an important environmental goal, by setting stringent metriclimits to the amount of aquatic resources being used to produce theaquaculture product, the scheme promotes efficiency and thereby
potentially increasing the amount of seafood that could be produced
using aquatic resources.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0405

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the aquaculture
facility sources feed from a manufacturer thatassures the fish meal and fish oil used in the
production of from aquaculture trimmings(if greater than 1% inclusion) can also be
traceable back to the origin fishery anddoes not come from illegal, unreported, andunregulated fishing (I.U.U.) and does notcontain species on the IUCN red list. The
standard is expected to apply to other relevant
marine feed ingredients, such as from squidand krill.

Verification is expected to include a 3rd party certification or audit of
the feed manufacturer. The standard is expected to apply to otherrelevant marine feed ingredients, such as from squid and krill.
Verification of the use of compliant feed by the aquaculture facility is
expected. Suitable evidence of compliance could include document
evidence of sources supplying the feed mill, 3rd party certificationsof source aquaculture facilities and/or rendering plants, legal permits
or declarations etc.

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feeds. This
Supplementary Component builds on the Essential Components by verifying that the standards add environmental
sourcing criteria for fishery byproducts in feeds.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

The trimmings from the processing of fishery and aquaculture
products are sometimes used in aquaculture feeds. This
Supplementary Component avoids the use of egregious fishingactivity in feed ingredients used to produce the initial product andfurther dissuades fisheries from these practices.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0406

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the aquaculture
facility sources feed from a manufacturer thatassures the fishmeal and fish oil used frombyproducts (if greater than 1% inclusion) comefrom fishery and aquaculture sources thatwere certified a standard benchmarked to be,at minimum, consistent with relevant FAO’s
ecolabelling guidelines.

Verification is expected to include a 3rd party certification or audit of
the feed manufacturer. The standard is expected to apply to otherrelevant marine feed ingredients, such as from squid and krill.
Verification of the use of compliant feed by the aquaculture facility
is expected. Suitable evidence is expected to include document
evidence of sources 3rd party certification and the independent
verification that these certifications are compliant with FAO
Guidelines.
Aligned standards will also be considered in alignment with
C.4.04.05

REFERENCE
Paragraph 52 of the Technical Guidelines on Aquaculture Certification requires the responsible use of feeds. This
Supplementary Component builds on the Essential Components by verifying that the standards add environmental
sourcing criteria for aquaculture byproducts in feeds.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

The trimmings from the processing of fishery and aquaculture
products are sometimes used in aquaculture feeds. This
Supplementary Component ensures the sources of the trimmings
came from sources that are appropriately certified to further reduce
environmental impacts.

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Feed UseGSSI Supplementary Components for Aquaculture Certification Standards
C.4 0407

ENVIRONMENTAL CONSIDERATIONS OF FEED INGREDIENTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all relevant participant aquaculture facilities
are required to, at least, meet appropriate
requirements for feed.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
Appropriate requirements must, at least, meet GSSI Essential
Components in the Feed Use Performance Area. It is expected thatthe standard will define the minimum standards on feed or requireparticipating facilities to have been certified to a standard thatappropriate addresses feed.
Verification is expected to include a review evidence of the presenceof the system and that the assurance system that the requirements
are being met (e.g., such as written records, meeting notes,
contractual agreements and/or interviews).

REFERENCE
Paragraph 52 requires the responsible use of feeds and FAO (2010) Aquaculture Development. 4. Technical Guidelines
on the Ecosystem Approach to Aquaculture which highlights the need to improve the sustainability of aquaculture feeds.
This Component builds on all the individual aquaculture facility Essential and Supplementary Components by assuringthat all operations within the AMS agree to use feeds and fertilizers efficiently and use feeds with environmentally
preferable ingredients.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.4.04 The standard requires that theaquaculture facility sources feed from amanufacturer that has a written policy which
includes assessment of source fishery status
and identification of improvement needs andwork plan to deliver improvements. The policy
must include a commitment and timeline
to source aquaculture and fishery products
from responsible/best practice sources, suchas those certified a standard benchmarked
at minimum consistent with relevant FAO’s
ecolabelling guidelines or by identified
independent risk assessment.

Feed is a key sustainability parameter for aquaculture, thisSupplementary Component verifies that all the aquaculture facilities
in a given area management system conform to using moreenvironmentally responsible feeds.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 0201

PREDATOR CONTROLGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that aquaculture facility
uses non-lethal predator control measures onbirds, mammals, and where relevant, reptiles.

Verification of the predator controls used is expected. Examples
of supporting evidence could include interview, visual inspection,
and appropriate signage. Exceptions for human health and welfare
and where euthanization is an act of mercy are acceptable andexpected. Exclusions for accidental mortalities are also acceptable.
This does not apply to pests (e.g., rats).
Aligned standards will also be considered in alignment with C.5.02

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm and off-farmenvironmental quality should be carried out, combined with good record-keeping and use of appropriate methodologies.”
Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural ecosystems, including
fauna, flora and habitats should be carried out.” These paragraphs are considered in the predator control context.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.02 The standard prohibits the use of
any lethal predator control techniques on
endangered species. Exceptions for worker
safety and where euthanization is an act ofmercy are acceptable and expected.

This Supplementary Component verifies that lethal predator control isavoided on all species.

C.5 0202

PREDATOR CONTROLGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard excludes aquaculture facilities
with a history of repeated accidental ordeliberate mortality of endangered species has
occurred.

Accidental mortality can include those as a result of entanglement etc.
Repeated mortality means on more than one occasion over a suitable
period of time (expected to be over one production cycle). Verification
is expected and examples of supporting evidence include employee
and local community interviews, appropriate signage, and interaction
records.
Endangered species are expected to be defined in the standard, withreference to relevant national listings (e.g., Vietnam’s Red Data Book)
and/or global listing organizations such as CITES (Appendix 1), IUCNRed List (Categories Critically Endangered (CR), Endangered (EN),
Vulnerable (VU)). See www.iucnredlist.org and www.cities.org for more
information.
Aligned standards will also be considered in alignment with C.5.02
and C.5.02.1

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm and off-farmenvironmental quality should be carried out, combined with good record-keeping and use of appropriate methodologies.”
Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural ecosystems, including
fauna, flora and habitats should be carried out.” These paragraphs are considered in the predator control context

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.02 The standard prohibits the use of
any lethal predator control techniques on
endangered species. Exceptions for worker
safety and where euthanization is an act ofmercy are acceptable and expected.

This Supplementary Component verifies the effectiveness of the nonlethal predator control measures by reviewing evidence that there
have been no losses of Endangered, Threatened, and Protected
Species.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 0301

PREVENTING HABITAT IMPACTS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a suitable process was
put in place to protect sensitive habitat andendangered species prior to expansions to
the aquaculture facility that occur post-initialcertification.

A suitable process could include an EIA that be required to show
evidence of negligible impacts to sensitive habitats
Endangered species are expected to be defined in the Standard,with reference to relevant national listings (e.g., Vietnam’s Red
Data Book) and/or global listing organizations such as CITES(Appendix 1), IUCN Red List (Categories Critically Endangered (CR),Endangered (EN), Vulnerable (VU)). See www.iucnredlist.org andwww.cities.org for more information.
Verification is also expected.

REFERENCE
Paragraph 44 of the Technical Guidelines for Aquaculture Certification states “Environmental impact assessments should
be conducted, according to national legislation, prior to approval of establishment of aquaculture operations.” This
Supplementary Component builds on the Essential Components by verifying that Environmental Impact Assessments
are used even in regions where they are not required by law.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.03 The standard requires compliancewith national and local laws on habitat andbiodiversity, including an Environmental Impact
Assessment (EIA) where required.

Environmental Impact Assessment (EIA) is a management tool
designed to understand the impact of an activity on the environmentand steps required to limit those impact. Globally EIA’s are notalways required for aquaculture facilities. This Supplementary
Component verifies an EIA is used even if it is not required by law.

C.5 0302

PREVENTING HABITAT IMPACTS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that environmental
monitoring records are made available uponrequest because of the aquaculture facilities useof a public resource (e.g., water).

Relevant records could include water quality, veterinary drug andchemical use, diseases, escapees, predator incidents. Verification is
expected.

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm and off-farmenvironmental quality should be carried out, combined with good record-keeping and use of appropriate methodologies.”
Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural ecosystems, including
fauna, flora and habitats should be carried out.” Paragraph 38 states that “Aquaculture certification schemes should
encourage restoration of habitats and sites damaged by previous uses in aquaculture.” These Paragraphs are consideredjointly in the context of habitat and biodiversity management. Also based on FAO (2010) Aquaculture Development. 4.
Ecosystem Approach to Aquaculture section 3.2.1.2 Management measures at the watershed scale to “Maintaining an“agreed” biodiversity” and “Providing and enhancing green infrastructure”. They build on the Essential Components byverifying increasing the transparency of the impacts and mitigation measures. These Supplementary Components aim toincrease the benefit and confidence in restoration activities through community engagement.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.03 The standard requires compliancewith national and local laws on habitat andbiodiversity, including an Environmental Impact
Assessment (EIA) where required.

Requiring aquaculture facilities to provide relevant records toscientific or governmental institutions allows the institutions toevaluate the environmental impacts and any mitigation efforts of the
facilities, and to help ensure that the facilities are in compliance withregulatory requirements. It also provides an incentive for facilities tominimize environmental impacts, and fosters trust and a collaborative
relationship between the facility and the institutions.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 03

03

PREVENTING HABITAT IMPACTS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that ecologically relevant
data that maybe useful to other stakeholders
or policy makers to better manage sharedresources are made public by the aquaculture
facility.

Ecologically relevant data is expected to include data that maybe
useful to other stakeholders or policy makers to better manage
shared resources; for example EIA, escapes, veterinary drug use,water or benthic quality data etc.
Aligned standards will also be considered in alignment with C.5.03.2

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm andoff-farm environmental quality should be carried out, combined with good record-keeping and use of appropriate
methodologies.” Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural
ecosystems, including fauna, flora and habitats should be carried out.” Paragraph 38 states that “Aquaculture
certification schemes should encourage restoration of habitats and sites damaged by previous uses in aquaculture.”
These paragraphs are considered jointly in the context of habitat and biodiversity management. Also based on FAO(2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture section 3.2.1.2 Management measures at thewatershed scale to “Maintaining an “agreed” biodiversity” and “Providing and enhancing green infrastructure”. They buildon the Essential Components by verifying increasing the transparency of the impacts and mitigation measures. These
Supplementary Components aim to increase the benefit and confidence in restoration activities through community
engagement.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.03 The standard requires compliancewith national and local laws on habitat andbiodiversity, including an Environmental Impact
Assessment (EIA) where required.

Making monitoring records publicly available allows stakeholders toevaluate the environmental impacts of aquaculture facilities and tohelp ensure that establishments are in compliance with regulatory
and any certification requirements. It also provides an incentive foraquaculture facilities to minimize their environmental impacts, andpotentially fosters trust and a collaborative relationship between thefacility and the local community and other stakeholders.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 0401

SENSITIVE HABITAT AND BIODIVERSITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard ensures no net loss of
sensitive habitats on an area basis as aresult of aquaculture facility construction andconversion and culture practices.

It is expected that the Standard will define (with supporting
evidence) sensitive habitat in context with its scope, the basis fora “no net loss” claim, and an appropriate date to be used prior
to which legal impacts can be “grandfathered in” (the date must
be before major period of significant historical habitat loss for the
production system that the certification covers). Verification at theaquaculture facility is expected to include whether restoration isnecessary, to what degree (evidence could include maps, aerial
photos, satellite images, government certification etc.) and whether
the active restoration is or is likely to be successful at restoring thesensitive habitat. Offsetting is allowed.
Aligned standards will also be considered in alignment with C.5.04

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm andoff-farm environmental quality should be carried out, combined with good record-keeping and use of appropriate
methodologies.” Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural
ecosystems, including fauna, flora and habitats should be carried out.” Paragraph 38 states that “Aquaculture
certification schemes should encourage restoration of habitats and sites damaged by previous uses in aquaculture.”
These paragraphs are considered jointly in the context of habitat and biodiversity management. Also based on FAO(2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture section 3.2.1.2 Management measures at thewatershed scale to “Maintaining an “agreed” biodiversity” and “Providing and enhancing green infrastructure”. They buildon the Essential Components by verifying increasing the transparency of the impacts and mitigation measures. These
Supplementary Components aim to increase the benefit and confidence in restoration activities through community
engagement.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.04 The standard requires that in areas
where damage of sensitive habitats has
occurred previously and where restorationis possible and effective; restoration efforts
will or have resulted in a meaningful amountof restored habitat; either through direct
on-farm restoration or by an off-farm offsetting
approach. Grandfathering of historical losses
is allowed.

This Supplementary Component helps reduce aquaculture-related
loss of sensitive habitats by requiring no net loss of sensitive
habitat within a particular area, while allowing for grandfathering
within proscribed time periods and off-setting restoration projects(restoration outside of the area); and by requiring that any required
restoration projects (to ensure no net less) be monitored anddemonstrate progress.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 0402

SENSITIVE HABITAT AND BIODIVERSITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard ensures no loss of sensitive
habitats as a result of aquaculture facility
construction, conversion, expansion, andculture practices at the site. No grandfathering
or offsetting is allowed.

It is expected that the Standard will define (with supporting
evidence) sensitive habitat in context with its scope, the basis fora “no loss” claim. Verification at the aquaculture facility is expected(evidence could include maps, aerial photos, satellite images,
government certification etc.)
Aligned standards will also be considered in alignment with C.5.04
and C.5.04.1

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm and off-farmenvironmental quality should be carried out, combined with good record-keeping and use of appropriate methodologies.”
Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural ecosystems, including
fauna, flora and habitats should be carried out.” Paragraph 38 states that “Aquaculture certification schemes should
encourage restoration of habitats and sites damaged by previous uses in aquaculture.” These paragraphs are consideredjointly in the context of habitat and biodiversity management. Also based on FAO (2010) Aquaculture Development. 4.
Ecosystem Approach to Aquaculture section 3.2.1.2 Management measures at the watershed scale to “Maintaining an“agreed” biodiversity” and “Providing and enhancing green infrastructure”. They build on the Essential Components byverifying increasing the transparency of the impacts and mitigation measures. These Supplementary Components aim toincrease the benefit and confidence in restoration activities through community engagement.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.04 The standard requires that in areas
where damage of sensitive habitats has
occurred previously and where restorationis possible and effective; restoration efforts
will or have resulted in a meaningful amountof restored habitat; either through direct
on-farm restoration or by an off-farm offsetting
approach. Grandfathering of historical losses
is allowed.

This Supplementary Component helps reduce aquaculture-related
loss of sensitive habitats by unconditionally not allowing theaquaculture facility to have caused any loss of sensitive habitat; no
grandfathering or offsetting exemptions are allowed.

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Impacts on Habitat and Biodiversity
GSSI Supplementary Components for Aquaculture Certification Standards
C.5 0403

SENSITIVE HABITAT AND BIODIVERSITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities use
common and, where applicable, coordinatedpractices for the shared protection of sensitive
habitats and biodiversity.

Not applicable where the aquaculture facility is physically or sufficiently
isolated that cumulative impact is highly unlikely.
Common practices for shared protection include the examples in
C.5.01, and C.5.02, and C.5.05. Coordinated practices could include
the development of buffer zones and the restoration of impacted
habitat within the area where necessary.
An appropriately defined area is expected to have boundaries that are
defined according to the ability to realistically manage aquatic diseaserisk within it.
Verification is expected to include a review of evidence including thearea management agreement, and other examplary evidence suchas written records and monitoring results, meeting notes, financial
records, and visual inspection.

REFERENCE
Paragraph 45 of the Technical Guidelines on Aquaculture Certification state “Regular monitoring of on-farm andoff-farm environmental quality should be carried out, combined with good record-keeping and use of appropriate
methodologies.” Paragraph 46 states “Evaluation and mitigation of the adverse impacts on surrounding natural
ecosystems, including fauna, flora and habitats should be carried out.” Paragraph 38 states that “Aquaculture
certification schemes should encourage restoration of habitats and sites damaged by previous uses in aquaculture.”
These paragraphs are considered jointly in the context of habitat and biodiversity management. Also based on FAO(2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture section 3.2.1.2 Management measures at
the watershed scale to “Maintaining an “agreed” biodiversity” and “Providing and enhancing green infrastructure”. The
Supplementary Component builds on the Essential Components by ensuring that cumulative habitat impacts within the
AMS are addressed.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.5.04 The standard requires that in areas
where damage of sensitive habitats has
occurred previously and where restorationis possible and effective; restoration efforts
will or have resulted in a meaningful amountof restored habitat; either through direct
on-farm restoration or by an off-farm offsetting
approach. Grandfathering of historical losses
is allowed.

This Supplementary Component helps reduce aquaculture-related
loss of sensitive habitats by unconditionally not allowing theaquaculture facility to have caused any loss of sensitive habitat; no
grandfathering or offsetting exemptions are allowed.

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Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0201RECORD KEEPINGGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that all intentionallystocked seed come from a source hatchery thathas been independently-verified to be legallycompliant and has an Aquatic Animal HealthManagement Plan (AAHMP) which is overseen
by an aquatic animal health professional andis, at a minimum, consistent with the following
GSSI Essential Components; C.1.01, C.1.02,
C.1.06, C.1.08. Verification that an established,
implemented and maintained appropriate
system for recording the source, stocking
and health status of broodstock (either by thehatchery or through a traceability system backto the broodstock facility).

Legal alignment is expected to include applicable local/international/
national laws/CITES laws and cover species introductions andtransfers of live aquatic animals requirements (where relevant),
including legal brood stock sourcing. Verification is expected toinclude a review of evidence of the independence and suitability of
the hatchery source (e.g., audit report, certificate, benchmarking
result). An appropriate records system is expected to include sourceof the seed, date of purchase, results of disease/heath status tests,
vaccination record of the seed, stocking density, and stocked broodstock batch identification. Verification that the system is operationaland fit for purpose is expected.
Aligned standards will also be considered in alignment with C.6.04,
while C.6.03 will not be applicable.

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced
seed should be used for culture. When wild seeds are used, they should be collected using responsible practices”.
The Supplementary Component expands its scope to include hatcheries and builds on the Essential Components byrequiring the 3rd party verification of practices at the hatchery.
FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture. FAO Technical
Guidelines for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011. 81 pp.
FAO (2008). Aquaculture Development. 3. Genetic Resource Management. FAO Technical Guidelines for Responsible
Fisheries. No. 5, Suppl. 3. Rome, FAO. 2008. 125p
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. Rome, FAO. 2011. 79p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.02 The standard requires theestablishment, implementation andmaintenance of an appropriate record keeping
system for all seed that is intentionally stocked.

Many hatchery practices stipulated by national and internationallaw and CITES are essential for reducing the risk of adverse
environmental impacts related to fish health, escapes, chemical use,
feed, and water quality. Third-party verification of hatchery practices
provides an additional layer of certainty that these practices arecomplied with. It is especially important given that enforcement
by national authorities may not be sufficient and may not address
relevant international laws and provisions of CITES. Record keeping
is critical to verifying practices at the broodstock facility and for
tracking the performance of the produced broodstock.

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Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0301

WILD SEEDGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that wild-caught seed
are prohibited. 100% of intentionally stocked
seed must be from a hatchery.

Verification is expected to include a review of evidence to support
the claim (e.g., receipts from seed purchases). An exemption for
accidentally stocked seed (such as seed unintentionally trappedwhen a pond is being filled) is acceptable. Verification is expected
to include a review of evidence of the source of seed stocked at theaquaculture facility.
Aligned standards will also be considered in alignment with C.6.04,
while C.6.03 will not be applicable.

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”. FAO’s
end goal is used to define the Supplementary Component.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.03 The standard requires that where thedeliberate use of wild seed is justifiable, it iscollected in a manner that:

The collection of wild seed for aquaculture can negatively impact
the target species by reducing recruitment, non-target species frombycatch, and ecosystems from environmentally damaging harvest
methods. Prohibiting the use of wild seed precludes any such adverse
impacts; helps ensure that the many benefits of hatchery production
are utilized to the fullest extent; and provides additional incentives
for the development of technologies to produce commercially-viablehatchery seed, where these do not presently exist.

- Ensures controls are in place so that thecollection of seed is not detrimental to thestatus of the wild target and non-target
populations, nor the wider ecosystem.
- Avoids the use of environmentally damaging
collection practices- Source fishery is regulated by an appropriate
authority

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Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0501

HATCHERY SEEDGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that all manually stocked
seed are principally from hatchery-reared(domesticated) broodstock.

Verification is expected to include a review evidence of the sourceof the broodstock (e.g., hatchery certification, inspection of written/
financial records, marking techniques, legal compliance/permits). An
exception for small numbers of wild broodstock is allowable if needed
to avoid inbreeding depression and genetic drift.
C.6.03 will not be applicable to aligned standards.

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”. Also
based on FAO (2011) Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture
Section 3.2.3 to ensure the minimal and monitored use of wild brood stock in aquaculture, and FAO (2008) Aquaculture
Development. 3. Genetic Resource Management which outlines the need to address genetic drift and inbreeding in
hatcheries. The use of brood stock selection to reduce feed resource demands also features in FAO (2011). Aquaculture
Development. 5. Use of Wild Fish as Feed in Aquaculture.
The Supplementary Components build on the Essential Components by verifying that the environmental implicationsof brood stock sourcing are covered by the scope of the standard, and eventually that brood stock are selected
for parameters that should enhance the efficiency and productivity of farming which correspond to reducing someenvironmental impacts such as feed use.
FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture. FAO Technical
Guidelines for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011. 81 pp.
FAO (2008). Aquaculture Development. 3. Genetic Resource Management. FAO Technical Guidelines for Responsible
Fisheries. No. 5, Suppl. 3. Rome, FAO. 2008. 125p
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. Rome, FAO. 2011. 79p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.05 The standard requires that suitablemeasures are in place to ensure that hatcheryraised seed are free from relevant/important
pathogens before stocking for grow-out.

The collection of wild broodstock can negatively impact the target
species by reducing recruitment, non-target species (e.g., frombycatch), and the wider ecosystem from environmentally-harmful
collection methods. Using hatchery-reared broodstock also confers
other advantages over wild collection, such as greater control of
disease. Requiring justification for the use of wild broodstock helps
reduce this practice and hence the environmental risks associatedwith it.

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Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0502

HATCHERY SEEDGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that all manually stocked
seed that are hatchery-reared from wild
broodstock, the broodstock is collected in amanner that:i) Suitable controls are expected to include aspects such as a fishery
management plan that limits take to maintain the wild populations(i.e., there is no measurable impact on recruitment levels or thestocks ability to increases (examples include stocks that are underor fully exploited) with appropriate safeguards against excessive
bycatch, and prevention of damaging gear types.

- Ensures controls are in place so that thecollection of broodstock is not detrimental to
the status of the wild target and non-target
populations, nor the wider ecosystem.
- Avoids the use of environmentally damaging
collection practices- Source fishery is regulated by an appropriate
authorityii) Examples of environmentally damaging collection practice are
expected to include dynamite or poison fishing, habitat impacts.
Verification is expected to include the need to provide suitableevidence by the aquaculture facility (e.g., a summary report written
by a credible 3rd party on the source fishery, a self-certification by theappropriate management authority, a 3rd party fishery certification thatverifies suitable compliance).
Consistency with this Supplementary Component results in C.6.03
being “not applicable”.

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”. Also
based on FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture toensure the minimal and monitored use of wild brood stock in aquaculture.
FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture. FAO Technical
Guidelines for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011. 81 pp.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.05 The standard requires that suitablemeasures are in place to ensure that hatcheryraised seed are free from relevant/important
pathogens before stocking for grow-out.

This Supplementary Component further reduces the environmental
risks of collecting wild brood stock by explicitly requiring collection
controls (e.g., a fishery management plan) and prohibiting the use
harmful collection methods.

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Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0503

HATCHERY SEEDGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that, all manuallystocked hatchery-reared seed is from ahatchery, or via broodstock facility, that hasestablished, implemented, and maintained abroodstock management plan to avoid genetic
drift and inbreeding depression.

Verification is expected to include a review of evidence of thebroodstock facility having an operational and fit for purpose plan.
This could include self-certification, copies of the plan itself, suitable
records etc.
Aligned standards will also be considered in alignment with C.6.05.1

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”. Also
based on FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture toensure the minimal and monitored use of wild brood stock in aquaculture and FAO (2008) Aquaculture Development.
3. Genetic Resource Management which outlines the need to address genetic drift and inbreeding in hatcheries. The
use of brood stock selection to reduce feed resource demands also features in FAO (2011). Aquaculture Development.
5. Use of Wild Fish as Feed in Aquaculture. The Supplementary Components build on the Essential Components byverifying that the environmental implications of brood stock sourcing are covered by the scope of the standard, andeventually that brood stock are selected for parameters that should enhance the efficiency and productivity of farming
which correspond to reducing some environmental impacts such as feed use.
FAO (2011). Aquaculture Development. 6. Use of Wild Fishery Resources for Capture Based Aquaculture. FAO
Technical Guidelines for Responsible Fisheries. No. 5, Suppl. 6. Rome, FAO. 2011. 81 pp.
FAO (2008). Aquaculture Development. 3. Genetic Resource Management. FAO Technical Guidelines for Responsible
Fisheries. No. 5, Suppl. 3. Rome, FAO. 2008. 125p
FAO (2011). Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. Rome, FAO. 2011. 79p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.05 The standard requires that suitablemeasures are in place to ensure that hatcheryraised seed are free from relevant/important
pathogens before stocking for grow-out.

An inadequate brood stock selection program can result in progeny
with decreased growth rate, fecundity, and survival, due to lossof genetic variability and genetic drift. This may result not only in
production losses for the hatchery, but also genetic risks to wild
populations if escaped fish were to breed with wild populations.
Requiring the hatchery to procure brood stock from a facility with amulti-factor selection program helps reduce these risks.

150

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SUPPLEMENTARYCOMPONENTS

Seed
GSSI Supplementary Components for Aquaculture Certification Standards
C.6 0504

HATCHERY SEEDGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities use
appropriate common and, where applicable,
coordinated practices for sourcing seed inorder to maintain biosecurity within the AMS.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
An appropriately defined area is expected to have boundaries thatare defined according to the ability to realistically manage aquatic
disease risk within it.
Common practices for sourcing seed are expected to include(where applicable) GSSI-Essential Components C.6.03, C.6.04,
C.6.05. Where appropriate, coordinate response actions could
include harmonized stocking. Verification is expected to include a
review evidence of the presence of the system and the common
and coordinated practices applied (e.g., such as written records,
meeting notes, contractual agreements and/or interviews).

REFERENCE
Paragraph 48 of the Technical Guidelines of Aquaculture Certification states “Where possible, hatchery produced seedshould be used for culture. When wild seeds are used, they should be collected using responsible practices”. Also
based on “discouraging unsustainable use of wild seed, juveniles and brood stock” in Section 3.2.1.2 Management
measures at the watershed scale of FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.6.05 The standard requires that suitablemeasures are in place to ensure that hatcheryraised seed are free from relevant/important
pathogens before stocking for grow-out.

The risk of disease is amplified when aquaculture facilities arelocated in close proximity to each other, principally due to thepotential for the water-born transmission of disease between
aquaculture facilities. The efforts of an aquaculture facility withrobust fish health management practices can be for naught if
disease breaks out at a neighboring, less vigilant farm. Requiring anaquaculture facility to belong to an AMS in which all farms source
seed according to GSSI Essential Components helps reduce thedisease risk for all aquaculture facilities in the area.

151

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SUPPLEMENTARYCOMPONENTS

Species Selection and Escapes
GSSI Supplementary Components for Aquaculture Certification Standards
C.7

01

01

ESCAPESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard excludes (or decertifies)
aquaculture facilities from certification that haverepeated escape events over a representative
number of production cycles.

Repeated escape events is expected to be considered in termsof the numbers of aquatic animals stocked and the length of the
production cycle. Escapes due to factors outside of the aquaculture
facility’s control can be exempt. Examples of representative numberof production cycles include 3 or more for production cycles
less than 1.5 years, 2 for production cycles over 1.5 years, 1 forproduction cycles over 3 years.
Verification is expected to include a review of evidence, suchas monitoring records, interviews with employees and the local
community.

REFERENCE
Supplementary Components on escape prevention are based on Paragraphs 39 and 46 of the Technical Guidelines on
Aquaculture Certification which reference the minimizing unintentional release and escape of aquatic animals and that
potential impacts and mitigation measures for impacts on biodiversity respectively.

RELATED ESSENTIAL COMPONENTRATIONALE

C.7.01 The standard requires that theaquaculture facility establishes, implements,and maintains an appropriate system tominimize the unintentional release or escape ofcultured species.

An aquaculture facility that has repeated escape events over anumber of production cycles and/or a single significant escape
event often indicates that the establishment has not taken sufficient
precautionary measures to prevent escapes, such as proper siting,“robust” infrastructure materials and installation design, regularinfrastructure inspections, and escape prevention planning andtraining. Not allowing such facility’s to become certified provides an
incentive for them to implement policies and procedures to reduce
escapes.

C.7

01

02

ESCAPESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Within detection limitations, the standard
requires a stringent maximum cap on the total
number of escaped fish that would lead to theloss of certification.

Escapes due to factors outside of the aquaculture facility’scontrol can be exempt. Stringent escape limits are expected to
be pragmatic and set to account for the detection limits of thecounting system and relevant for the production system and species(e.g., if counting accuracy is +/- 3%, then a stringent limit could
be interpreted as 4-6% of the stocked population). Verification
is expected to include a review of evidence, such as monitoring
records, interviews with employees and the local community.

REFERENCE
Supplementary Components on escape prevention are based on Paragraphs 39 and 46 of the Technical Guidelines on
Aquaculture Certification which reference the minimizing unintentional release and escape of aquatic animals and that
potential impacts and mitigation measures for impacts on biodiversity respectively.

RELATED ESSENTIAL COMPONENTRATIONALE

C.7.01 The standard requires that theaquaculture facility establishes, implements
and maintains an appropriate system tominimize the unintentional release or escape ofcultured species.

A certified aquaculture facility that has a significant number of
escapes may indicate that the establishment’s escape prevention
measures are inadequate. Loss of certification when a specified
number of escapes is exceeded provides a strong and clear
incentive for facilities to develop and maintain robust escapeprevention measures, and thereby reduce the number of escapes.

152

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SUPPLEMENTARYCOMPONENTS

Species Selection and Escapes
GSSI Supplementary Components for Aquaculture Certification Standards
C.7

01

03

ESCAPESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities use
common and, where applicable, coordinatedpractices for the shared management ofaquatic animal escape risk.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
Common practices for the shared management of aquatic animal
escape risks are expected to include a system consistent with
Essential Component C.7.01. Where appropriate, coordinate
response actions could include recapture efforts. Where relevant,the AMS is expected to include monitoring impact of cumulative
escapes on native wild fish population feeding back into appropriate
management systems to prevent and mitigate irreversible or very
slowly reversible impact on the native population. Requirements are
expected to be enforced through an agreement with the regulator or
legally binding agreement of the producers in the area (e.g., an MOUor similar document).
An appropriately defined area is expected to have boundaries thatare defined according to the ability to realistically manage aquatic
disease risk within it.
Verification is expected to include a review evidence of the presenceof the system and the common and coordinated practices
applied (e.g., such as written records, meeting notes, contractual
agreements and/or interviews).

REFERENCE
Supplementary Components on escape prevention are based on Paragraphs 39 and 46 of the Technical Guidelines
on Aquaculture Certification which reference the minimizing unintentional release and escape of aquatic animals andthat potential impacts and mitigation measures for impacts on biodiversity respectively. It also reflects the intent of FAO(2010) Aquaculture Development 4. on the Ecosystem Approach to Aquaculture that highlights that control of escapes
usually occurs at the farm level, but that the impacts are at the area level - thus coordinated management is importantand is the basis for this collective interpretation. The Supplementary Components builds on the Essential Components
by ensuring the cumulative impacts of fish escapements are reduced by verifying that all aquaculture facilities within thearea use appropriate prevention measures.
FAO (2010). Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.7.01 The standard requires that theaquaculture facility establishes, implements
and maintains an appropriate system tominimize the unintentional release or escape ofcultured species.

Escape impacts (adverse impacts from predation, competition forresources, disease transmission, inbreeding, and habitat damage)occur at the area level and can generally be considered proportional
to the total number of escapes in a given area; their risk is increased
when multiple aquaculture facilities operate in close proximity to
one another. Requiring an aquaculture facility to participate in an
AMS in which all facilities in the AMS must use escape prevention
measures reduces the risk of escapes throughout the area andhence cumulative escape impacts.

153

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SUPPLEMENTARYCOMPONENTS

Species Selection and Escapes
GSSI Supplementary Components for Aquaculture Certification Standards
C.7 0301

EXOTIC SPECIESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Where a non-established, non-native species
has been shown to be or has potential to bea successful invasive species, the standard
requires that they are controlled by strict
effective escape impact prevention andmitigation measures.

Effective measures are expected to include sourcing only sterile,
polyploidy, or mono-sex seed or physical isolation. Verification is
expected to include a review of evidence of operational and fit
for purpose measures (e.g., hatchery records, visual inspection(aquaculture facility and/or aquatic animal).

REFERENCE
Supplementary Components on escape prevention are based on Paragraphs 39 and 46 of the Technical Guidelines on
Aquaculture Certification which reference the minimizing unintentional release and escape of aquatic animals and that
potential impacts and mitigation measures for impacts on biodiversity respectively. The Supplementary Component
builds on the Essential Components by verifying that certified operations take active measures to reduce the risk of
introductions if an escape were to occur.

RELATED ESSENTIAL COMPONENTRATIONALE

C.7.03 The standard requires that all species
are farmed in compliance with relevant laws
and regulations.

The risk of adverse impacts from escapes (impacts from predation,competition, disease transmission, hybridization, and habitat
damage) are generally greater when the escaped species are nonnative and becomes established. Requiring strict escape prevention
and mitigation measures for non-native species with the potential forestablishment -- such as requiring sterile, polyploidy, or mono-sex
seed polyploidy to help prevent establishment -- reduces the risk ofsuch impacts.

154

C.8

SUPPLEMENTARYCOMPONENTS

Impacts on Water Resources
GSSI Supplementary Components for Aquaculture Certification Standards
C.8 0301

WATER USEGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Where appropriate (e.g., land-based pond
and flow-through systems, particularly inwater resource limited region), the standard
requires metric limits are placed on the fresh
water consumption and prevention of aquifer
drawdown.

Metric limits are expected to be defined (by the facility or by thestandard) and intended to prevent aquifer drawdown and minimize
negative impacts on freshwater resources and the surrounding
environment. Verification that these limits are not exceeded by theaquaculture facility is expected.
Aligned standards will also be considered in alignment with C.8.03

REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Component builds on the Essential Components byverifying that water draw limits are set, limiting the magnitude of this impact at the individual operation level.
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Component builds on the Essential Components byverifying that water draw limits are set, limiting the magnitude of this impact at the individual operation level.

RELATED ESSENTIAL COMPONENTRATIONALE

C.8.03 Where appropriate (e.g. land-based
freshwater ponds supplied with groundwaterand all culture systems where water
resources are limiting) the standard requiresthat the aquaculture facility has appropriate
management measures for efficient water use.

Impacts on local and regional water resources resulting from fresh
water consumption by an aquaculture facility are typically increasedby the cumulative consumption of multiple facilities located within
the same watershed and/or drawing water from the same aquifer.

155

C.8

SUPPLEMENTARYCOMPONENTS

Impacts on Water Resources
GSSI Supplementary Components for Aquaculture Certification Standards
C.8 0302

WATER USEGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities adapt
their practices using a planned approach tolimit cumulative freshwater abstraction.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
Practices could include setting water abstraction limits for eachaquaculture facility based on an assessment of regional abstraction
capacity and/or requiring common practices that limit abstraction(e.g., requiring pond linings). Requirements are expected to be
enforced through an agreement with the regulator or legally binding
agreement of the producers in the area (e.g., an MOU or similar
document).
An appropriately defined area is expected to have boundaries thatare defined according to the ability to realistically manage aquatic
disease risk within it.
Verification is expected to include a review of evidence, such as
regional water resources monitoring data and local planning andlicensing policies. Please also review guidance for the Essential
Components on Water Use.
Aligned standards will also be considered in alignment with C.8.03
and C.8.03.1

REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Components progressively build on the Essential
Components first at the individual aquaculture facility level then at the area level through an AMS. Also based on FAO(2010) Aquaculture Development 4. The Ecosystem Approach to Aquaculture, Section 3.2.1.2 Management measuresat the watershed scale.
FAO (2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.8.03 Where appropriate (e.g. land-based
freshwater ponds supplied with groundwaterand all culture systems where water
resources are limiting) the standard requiresthat the aquaculture facility has appropriate
management measures for efficient water use.

Impacts on local and regional water resources resulting from fresh
water consumption by an aquaculture facility are typically increasedby the cumulative consumption of multiple facilities located within
the same watershed and/or drawing water from the same aquifer.
Implementing a total water consumption limit for an AMS provides a
direct and relatively certain means to reduce the risk of such impacts.

156

C.8

SUPPLEMENTARYCOMPONENTS

Impacts on Water Resources
GSSI Supplementary Components for Aquaculture Certification Standards
C.8 0401

WATER QUALITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires suitable specific limits onnutrient load released to the environment.

Suitable specific limits are expected to be specific to the culture
practices, and designed to ensure minimal pollution. Verification is
expected to include a review of evidence that the specific limits are met.
Aligned standards will also be considered in alignment with C.8.04

REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Components progressively build on the Essential
Components at the individual establishment level by first verifying that specific limits are met based on the total amountof waste released from the aquaculture facility through a loading approach, then that awareness is drawn to cumulative
water quality issues and prevent pollution.

RELATED ESSENTIAL COMPONENTRATIONALE

C.8.04 The standard requires, whereappropriate, management measures for
effluents to reduce adverse impacts on water
quality of water bodies receiving effluents.

Nutrients released in aquaculture facility effluent can have significant
adverse impacts on water quality and benthic environments. Limiting
the total amount of nutrients released from an aquaculture facility
provides a direct and relatively certain means of reducing the risk ofsignificant impacts on water quality.

157

C.8

SUPPLEMENTARYCOMPONENTS

Impacts on Water Resources
GSSI Supplementary Components for Aquaculture Certification Standards
C.8 0402

WATER QUALITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities adapt
their practices using a planned approach tolimit regional water quality impacts to avoid
regional eutrophication and self-pollution.

Not applicable where the aquaculture facility is physically or
sufficiently isolated that disease transfer is highly unlikely.
Practices could include developing regional environmental quality
standards based on regional water quality monitoring and feedingback to the farms when the limits are approached or exceed toreduce their impact (e.g., by improving water treatments systems or
reducing production). Another possible approach would be to set
regional production limits based on carrying capacity planning.
An appropriately defined area is expected to have boundaries thatare defined according to the ability to realistically manage aquatic
disease risk within it.
Verification is expected to include a review evidence of the presenceof the system and the practices applied (e.g., such as written
records, meeting notes, contractual agreements and/or interviews).
Aligned standards will also be considered in alignment with C.8.04
and C.8.04.01

REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Components progressively build on the Essential
Components at the individual establishment level by first verifying that specific limits are met based on the total amountof waste released from the aquaculture facility through a loading approach, then that awareness is drawn to cumulative
water quality issues and prevent pollution. Also based on FAO (2010) Aquaculture Development 4. The Ecosystem
Approach to Aquaculture, Section 3.2.1.2 Management measures at the watershed scale.
FAO (2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.8.04 The standard requires, whereappropriate, management measures for
effluents to reduce adverse impacts on water
quality of water bodies receiving effluents.

Impacts on local and regional water quality from an aquaculture
facility’s effluent and water consumption are typically increased by
the cumulative effects of multiple facilities located within the same
embayment, watershed, or region. Requiring an aquaculture facility
to participate in an AMS that sets a maximum limit for cumulative
water quality impacts provides a direct and relatively certain means to
help ensure that unacceptable cumulative impacts are avoided andthat remedial actions are taken when threshold limits are neared or
exceeded. The requirement also provides a strong, general incentive
for aquaculture facilities to minimize and/or treat effluent.

158

C.8

SUPPLEMENTARYCOMPONENTS

Impacts on Water Resources
GSSI Supplementary Components for Aquaculture Certification Standards
C.8 0403

WATER QUALITYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a legally binding,appropriately defined, and operational area
management system is in place that ensuresthat all participant aquaculture facilities
cooperate to ensure a carrying capacity basedplanning system is used to minimize impact on
local water quality

Verification is expected to include a review of carrying capacity
modeling, regional water quality monitoring results, local planningand licensing policies.
Aligned standards will also be considered in alignment with C.8.04,
C.8.04.1, C.8.04.2, and C.8.04.3.

REFERENCE
Paragraph 47 of the Technical Guidelines on Aquaculture Certification state “Measures should be adopted to promote
efficient water management and use, as well as proper management of effluents to reduce impacts on surrounding
land, and water resources should be adopted.” The Supplementary Components progressively build on the Essential
Components at the individual establishment level by first verifying that specific limits are met based on the total amountof waste released from the aquaculture facility through a loading approach, then that awareness is drawn to cumulative
water quality issues and prevent pollution. Also based on FAO (2010) Aquaculture Development 4. The Ecosystem
Approach to Aquaculture, Section 3.2.1.2 Management measures at the watershed scale.
FAO (2010) Aquaculture Development. 4. Ecosystem Approach to Aquaculture. FAO Technical Guidelines for
Responsible Fisheries. No. 5, Suppl. 4. Rome, FAO. 2010. 53p.

RELATED ESSENTIAL COMPONENTRATIONALE

C.8.04 The standard requires, whereappropriate, management measures for
effluents to reduce adverse impacts on water
quality of water bodies receiving effluents.

Impacts on local and regional water quality from an aquaculture
facility’s effluent and water consumption are typically increased by
the cumulative effects of multiple facilities located within the same
embayment, watershed, or region. Requiring an aquaculture facility
to participate in an AMS that sets a maximum limit for cumulative
water quality impacts provides a direct and relatively certain means to
help ensure that unacceptable cumulative impacts are avoided andthat remedial actions are taken when threshold limits are neared or
exceeded. The requirement also provides a strong, general incentive
for aquaculture facilities to minimize and/or treat effluent.

159

D
160

D

GSSI

BENCHMARK FRAMEWORK

Fisheries Certification Standards
D.1

D.2

GOVERNANCE AND FISHERY MANAGEMENTELEMENT /GSSI ESSENTIAL COMPONENTGSSISUPPLEMENTARYCOMPONENT
PAGE

PAGE

Fishery management organization
Management
organization
D.1.01 164 D.1.01.01 l

224

D.1.01.02 l

225

Adaptive management D.1.02

165

D.1.03

166

Transboundary stocks D.1.04

167

Management system
Participatory
management
D.1.05

Small scale and/or data
limited fisheries
D.1.06
Compliance of the
management system D.1.07
Legal framework
Compliance of thefishery

D.1.01.03 l

226

D.1.01.04 l 

227

D.1.02.01 l

228

D.1.02.02 l

229

D.1.04.01 l

D.4

MANAGEMENT APPROACHES, STRATEGIES AND PLANSDATA AND INFORMATIONELEMENT /GSSI ESSENTIAL COMPONENTPAGEManagement system
Documented management
approach
D.3.01 184

Best scientificevidence available

168

D.1.05.01 l

230

D.1.05.02 l

231

D.1.05.03 l

231

D.1.05.04 l

232

D.1.05.05 l

233

169

D.1.06.01 l

234

170

D.1.07.01 l

235

D.1.07.02 l

236

D.1.08.01 l

237

D.1.09172

D.1.09.01 l

238

D.1.09.02 l

239

D.3.06 189

Non-target catches

D.3.07 190

Endangered species
HabitatDependent predators
Ecosystem structure,processes and function

D.3.08 191
D.3.09 192
D.3.10 193
D.3.11

194

				
MANAGEMENT OBJECTIVESMANAGEMENT OBJECTIVES
PAGE

GSSI
SUPPLEMENTARYCOMPONENT

PAGE

Non-target catches

D.2.02 176
D.2.03 177

PAGE

PAGE

GSSI
SUPPLEMENTARYCOMPONENT

Target stock status

252

D.3.06.01 l
D.3.06.02 l
D.3.06.03 l
D.3.06.04 l
D.3.06.05 l
D.3.06.06 l
D.3.06.07 l
D.3.07.01 l
D.3.07.02 l
D.3.07.03 l
D.3.08.01 l
D.3.09.01 l

253
254
255
256
257
258
259
260
261
261
262
263

265
266

D.4.01.01 l

267
268
269

GSSI
SUPPLEMENTARYCOMPONENT

PAGE

D.2.03.01 l

240

D.2.03.02 l

241

D.2.04 178

161

D.2.05 179

D.2.05.01 l

242

D.2.05.02 l

243

217

 cosystem effects of fishingE
Non-target catches
D.6.05Endangered species
D.6.06

218
219

D.4.03.02 l

274

D.4.03.03 l

275

D.4.05.01 l

276

D.4.05.02 l

277

D.4.05.03 l

278

HabitatDependent predators
Ecosystem structure,processes and function

D.4.06 204

Traditional, fisher or community knowledge
Traditional, fisher orcommunity knowledge
D.4.07 205

D.5
ASSESSMENT METHODOLOGIESPAGE tock under consideration
S
Stock assessment
D.5.01 206

GSSI
SUPPLEMENTARYCOMPONENT

PAGE

D.5.01.01 l

279

D.5.06.01 l

280

D.5.06.02 l

281

For Section D the GSSI Supplementary Components outline thestatus of existing practices in seafood certification and how they
relate to internationally agreed technical guidelines developedby FAO members since the Code of Conduct was agreed in
1995. They can be built on going forward as technical guidelines
evolve. Each GSSI Supplementary Component has a rationale toexplain the value that alignment with it offers to both schemes andstakeholders.

Enhanced fisheries

D.5.04 208
D.5.05 209

 cosystem effects of fishingE
Non-target catches
D.5.06 210
Ecosystem structure,processes and function
HabitatDependent predators
Endangered species

D.5.07211

D.5.08D.5.09
D.5.10

212
213
214

SOURCE DOCUMENTS
l F AO Technical Guidelines for Responsible Fisheries. 4. Fisheries
management. 4.2. The ecosystem approach to fisheries (2003).

l F AO Technical Guidelines for Responsible Fisheries. No. 4.
Fisheries management. Rome, FAO. 1997.

l F AO Voluntary Guidelines for Securing Sustainable SmallScale Fisheries in the Context of Food Security and Poverty
Eradication (2014)l FAO International Guidelines for the Management of Deep Sea

Endangered species

D.2.06 180

D.2.06.01 l

244

HabitatDependent predators
Ecosystem structure,processes and function

D.2.07 181
D.2.08 182

D.2.07.01 l

245

D.2.09 183

284

D.6.04

Enhanced fisheries

D.5.02 207
D.5.03 207
D.3.13.01 l
D.3.13.02 l
D.3.13.03 l

D.6.09.01 l

271
272

Dependent predators

D.6.09 222

215
216

273

D.4.05 203

282

215

D.6.02D.6.03D.4.02.02 l

D.4.04 202

D.6.07.01 l

270

Stock under consideration
Target stock status
D.6.01

D.4.03.01 l

Habitat

D.6.07 220
D.6.08 221

PAGE

D.4.03 201

Endangered species

PAGE

PAGE

D.4.02.01 l

ELEMENT /GSSI ESSENTIAL COMPONENT

D.3.11.01 l
D.3.11.02 l

199

GSSI
SUPPLEMENTARYCOMPONENTELEMENT /GSSI ESSENTIAL COMPONENT

Ecosystem effects of fishing
Ecosystem structure,processes and function D.4.02 200
Non-target catches

D.3.04.01 l

D.4.01

D.6
STOCK AND ECOSYSTEM STATUS AND OUTCOMES

Ecosystem effects of fishing

Stock under consideration

Enhanced fisheries

249
250
251

MANAGEMENT OBJECTIVESELEMENT /GSSI ESSENTIAL COMPONENT tock under consideration
S
Management objectives D.2.01 175

Reference points

D.3.01.01 l
D.3.01.02 l
D.3.01.03 l 

D.3.14 198
D.3.15 198

D.2

ELEMENT /GSSI ESSENTIAL COMPONENT

D.5

Stock under consideration

Management under uncertainty
Precautionary approach
D.3.12 195

174

Fishery management documentation
Continuous review
D.3.13 197

Management system
Best scientific evidence
available

PAGE

Ecosystem effects of fishing

171

ELEMENT /GSSI ESSENTIAL COMPONENTGSSISUPPLEMENTARYCOMPONENT

D.3.02 185

Stock under consideration
Fishing mortality
D.3.03 186
Decision rules
D.3.04 187
Enhanced fisheries
D.3.05 188

230

D.1.08D.1.10D.3

Fisheries in the High Seas (adopted 2008)l F AO International Guidelines on Bycatch Management andReduction of Discards (adopted in 2010)l F AO Technical Guidelines for Responsible Fisheries Responsible
fish trade. No. 11. Rome, FAO. 2009.009.

D.2.09.01 l

246

D.2.09.02 l

247

D.2.09.03 l

248

162

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GSSI ESSENTIAL COMPONENTS
FOR FISHERIES CERTIFICATION STANDARDS

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Governance and Fishery Management
GSSI Essential Components for Fisheries Certification Standards
u FISHERY MANAGEMENT
D.1

01

MANAGEMENT ORGANIZATIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence of a fishery
management organization or arrangementthat manages the fishery of which the Unit ofCertification is a part.

A “fisheries management organization or arrangement” is defined by
FAO (see Glossary). This term is used throughout the benchmarking
framework and is intended to represent the “designated authority”
mentioned in paragraphs 29.2 (36.2) and 29.4 (36.5) of the FAO
Ecolabelling Guidelines. In this context it is essentially an entity
holding the legal and generally recognised mandate for establishingfisheries management measures and taking management decisions
such that those measures and decisions are legally enforceable.
Where the stock under consideration is a transboundary fish stock,
straddling fish stock, highly migratory fish stock or high seas fishstock it might also encompass a Regional Fisheries Management
Organization (RFMO) - see Essential Component D.1.04. The
fisheries management organization or arrangement may also bepart of relevant traditional, fisher or community approaches tothe management of the stock under consideration, provided theirperformance can be objectively verified (i.e. the knowledge has
been collected and analysed though a systematic, objective andwell-designed process, and is not just hearsay).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.2 (36.2), 29.4 (36.5); 29.5 (36.6)
The “fisheries management organization or arrangement” is intended to represent the “designated authority” mentioned
in paragraphs 29.2 (36.2) and 29.4 (36.5) of the FAO Guidelines. Paragraph 29.5 (36.6) requires “An effective legal andadministrative framework at the local, national or regional level, as appropriate”. This requirement is served in part by
the existence of a “fisheries management organization or arrangement”.

RELATED SUPPLEMENTARY COMPONENTS
D.1

01

01 See page 224

D.1

01

04 See page 227

D.1

01

02 See page 225

D.1

01

03 See page 226

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D.1

02

ADAPTIVE MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the fishery
management organization or arrangement
receives and responds to in a timely manner thebest scientific evidence available regarding thestatus of the stock under consideration and thelikelihood and magnitude of adverse impactsof the unit of certification on the stock underconsideration and the ecosystem.

Best scientific evidence available is described in the Glossary. For
the stock under consideration it can derive from assessments ofstock status outside of what is regarded as a traditional “stock
assessment”, accommodating techniques for data limited fisheries
and including traditional knowledge, providing its validity canbe objectively verified. The actions of the fishery management
organization or arrangement in both receiving and responding to thebest scientific evidence available must be in accordance with thePrecautionary Approach (D.3.12). This Essential Component is also
linked to those in D.4 that cover the collection and handling of dataand information.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28 (35); 29.1 (36.1); 29.2 (36.2); 29.3 (36.4)
Paragraph 29.1 (36.1) requires adequate and reliable data and/or information are collected, maintained and assessed
for evaluation of the current state and trends of the stocks. These data and information are part of what is needed todevelop the best scientific evidence available. Paragraph 29.2 (36.2) requires that in determining suitable conservationand management measures, the best scientific evidence available is taken into account by the designated authority.
Paragraph 29.3 (36.4) requires that data and information are used to identify adverse impacts of the fishery on theecosystem, and timely scientific advice is provided on the likelihood and magnitude of identified impacts. Both of theserequirements are consistent with the fishery management organization or arrangement receiving the best scientificevidence available. Responding to this information in a timely manner is consistent with Paragraph 28, which requiresthat the fishery is conducted under a management system which is based upon good practice and that ensures thesatisfaction of the requirements and criteria described in Paragraph 29.

RELATED SUPPLEMENTARY COMPONENTS
D.1

02

01 See page 228

D.1

02

02 See page 229

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D.1

03

ADAPTIVE MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that in order for
the fishery management organization or
arrangement to receive and respond to in atimely manner the best scientific evidence
available (D.1.02) the fishery management
organization or arrangement convenes regularly,
as needed, to manage the integrated processof information collection, stock assessment,planning, formulation of the management
objectives and targets, establishingmanagement measures and enforcement offishery rules and regulations.

The FAO Ecolabelling Guidelines do not specify a requirement forany specific frequency of meetings of the fishery management
organisation or arrangement. Paragraph 29.3 refers to therequirement for timely scientific advice on the likelihood andmagnitude of identified impacts of the fishery on the ecosystem.
Principle 2.10 of the Guidelines requires that schemes be basedon the best scientific evidence available. Best scientific evidence
available is defined in the Glossary as a process by which scientificadvice is commissioned and solicited by the management system.
The wording of this Essential Component is intended to ensure that
the Standard requires that this is done in a timely and organised
way that is properly documented.
The CCRF also uses the word “timely” in many places in describing
requirements for responsible fisheries management, e.g. Article
6.13 “timely solutions to urgent matters”; Article 7.4.4: “timely,
complete and reliable statistics on catch and fishing effort
are collected and maintained in accordance with applicableinternational standards and practices and in sufficient detail to allow
sound statistical analysis. Such data should be updated regularly
and verified through an appropriate system.”; Article 6.15 refers
to the need for disputes relating to fishing activities and practices
to be resolved in a timely, peaceful and cooperative manner; andArticle 12.3 requires that States should ensure that data generated
by research are analysed, that the results of such analyses are
published, respecting confidentiality where appropriate, anddistributed in a timely and readily understood fashion, in order thatthe best scientific evidence is made available as a contribution tofisheries conservation, management and development.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.3; CCRF 6.13, 7.4.4; 6.15, 12.3
The FAO Guidelines do not specify a requirement for any specific frequency of meetings of the fishery management
organisation or arrangement. Paragraph 29.3 refers to the requirement for timely scientific advice on the likelihood
and magnitude of identified impacts of the fishery on the ecosystem. Principle 2.10 of the Guidelines requires that
schemes be based on the best scientific evidence available. Best scientific evidence available is defined in the Terms
and Definitions as a process by which scientific advice is commissioned and solicited by the management system. This
Essential Component requires that this is done in a timely and organised way that is properly documented.
The CCRF, in many places, uses the word timely in describing requirements for responsible fisheries management, e.g.
Article 6.13 “timely solutions to urgent matters”; Article 7.4.4: “timely scientific advice is provided on the likelihood andmagnitude of identified impacts”; Article 6.15 refers to the need for disputes relating to fishing activities and practices
to be resolved in a timely, peaceful and cooperative manner; and Article 12.3 requires that States should ensure thatdata generated by research are analysed, that the results of such analyses are published, respecting confidentiality
where appropriate, and distributed in a timely and readily understood fashion, in order that the best scientific evidence
is made available as a contribution to fisheries conservation, management and development.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.1

04

TRANSBOUNDARY STOCKSGSSI ESSENTIAL COMPONENTGUIDANCE

Where the stock under consideration is atransboundary fish stock, straddling fish stock,highly migratory fish stock or high seas fishstock, the standard requires the existence ofa bilateral, subregional or regional fisheriesorganization or arrangement, as appropriatethat is concerned with the management of
the whole stock unit over its entire area of
distribution.

This Essential Component is intended to build on D.1.01 to provide
greater specificity in the event that the stock under consideration isa transboundary fish stock, straddling fish stock, highly migratory
fish stock or high seas fish stock. In this case, as well as thenational authority with the legal and generally recognised mandate
for establishing fisheries management measures and taking
management decisions, there is expected to be an international
institution or arrangement established (usually between two or
more States) to be responsible for coordination of activities related
to fisheries management over the entire area of distribution of thestock. This is to make sure that management of these stocks andfleets that fish on them is coordinated at the international level.
Activities of the international institution or arrangement may include
consultation between parties to the agreement or arrangement,
formulation of fishery regulations and their implementation,
allocation of resources, collection of information, stock assessment,
as well as monitoring, control and surveillance (MCS). (e. g. a
Regional Fisheries Management Organization – RFMO). See also
CCRF Article 7.1.3 et seq. See also D.1.08, D.1.09 and D.1.10.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.5 (36.6); FAO CCRF 7.1.3 and 7.3.1
Paragraph 29.5 (36.6) requires the establishment of an effective legal and administrative framework for the fishery at the
local, national or regional level, as appropriate. In the case of transboundary fish stocks, straddling fish stocks, highly
migratory fish stocks and high seas fish stocks exploited by two or more States, paragraph 7.1.3 of the CCRF requires,
where appropriate, the establishment of a bilateral, subregional or regional fisheries organization or arrangement.
Paragraph 7.3.1 of the CCRF states that to be effective, fisheries management should be concerned with the wholestock unit over its entire area of distribution and take into account, inter alia, previously agreed management measuresestablished and applied in the same region.

RELATED SUPPLEMENTARY COMPONENTS
D.1

04

01 See page 230

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D.1

05

PARTICIPATORY MANAGEMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the governance andfisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

Participatory is described in the Glossary. Principle 2.4 (2.5) of the
FAO Guidelines requires ecolabelling schemes to be transparent,
including balanced and fair participation by all interested parties.
Requiring the standard also to require that the governanceand management system being assessed is participatory andtransparent (i.e. not just the scheme/ standard itself) is consistent
with paragraph 6.13 of the CCRF, which states that: States should,
to the extent permitted by national laws and regulations, ensurethat decision making processes are transparent and achieve timely
solutions to urgent matters. States, in accordance with appropriate
procedures, should facilitate consultation and the effective
participation of industry, fish workers, environmental and otherinterested organizations in decision–making with respect to thedevelopment of laws and policies related to fisheries management,
development, international lending and aid.
To meet this Essential Component, the standard must require
the fisheries management organization or arrangement to makeinformation and advice used in its decision-making publicly
available, to the extent allowed by national laws and regulations.
While it is possible for an organization to be separately participatory
or transparent, being one without the other is regarded as ofmuch less value, hence both are needed to meet this Essential
Component. A participatory approach to fisheries management
requires there to be an opportunity for all interested and affectedparties to be involved in the management process. This does notmean that stakeholders are necessarily required to have specificdecision rights in the fishery, or that participatory mechanisms must
be included in National laws, but there should be a consultation
process that regularly seeks and accepts relevant information,
including traditional, fisher or community knowledge and there
should be a transparent mechanism by which the management
system demonstrates consideration of the information obtained.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
2.4 (2.5); 46-56
Article 6.13 of the CCRF states that: States should, to the extent permitted by national laws and regulations, ensurethat decision making processes are transparent and achieve timely solutions to urgent matters. States, in accordancewith appropriate procedures, should facilitate consultation and the effective participation of industry, fish workers,
environmental and other interested organizations in decision–making with respect to the development of laws andpolicies related to fisheries management, development, international lending and aid.

RELATED SUPPLEMENTARY COMPONENTS
D.1

05

01 See page 230

D.1

05

02 See page 231

D.1

05

04 See page 232

D.1

05

05 See page 233

D.1

05

03 See page 231

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D.1

06

SMALL SCALE AND/OR DATA LIMITED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard is applicable to governance andmanagement systems for small scale and/or
data limited fisheries, with due consideration
to the availability of data and the fact thatmanagement systems can differ substantially for
different types and scales of fisheries.

Being data limited is not necessarily synonymous with being small
scale (hence the and/or in the Essential Component text), but theissues for fishery management may be similar.
The scheme and standard should be applicable to any fishery that
falls within the scheme’s geographic scope, i.e. different types andscales of fisheries, including potentially small scale and/or data limited
fisheries. If a scheme has a part of its standard that applies only to a
subset of fisheries, such as small scale and/or data limited fisheries,
then it needs to explain under what circumstances that part of thestandard would be invoked. This same logic would apply to otherpotential subsets of fisheries such as deep sea, low trophic level,salmon etc. This should not mean, however, the standard for these
subsets of fisheries is fundamentally different (e.g. lowered) comparedto the standard applicable to other fisheries. Being applicable tosmall scale and/or data limited fisheries relates to being able to take
into consideration different kinds of information and utilize different
fishery management approaches in a risk management context. In
order to be applicable to governance and management systems forsmall scale and data limited fisheries, the standard should also be
applicable to relevant traditional, fisher or community approaches
used by the fisheries management organization or arrangement tomanage the unit of certification, provided their performance can beobjectively verified. Evidence to verify the performance of the relevant
traditional, fisher or community approaches would need to beestablished by the certification body implementing the standard andcould be derived, for example, from the assessment of conformancewith other GSSI Essential Components, in particular those covering
the Stock and Ecosystem Status and Outcomes (D.6).
If the scheme is generally applicable to all types of fisheries, (i.e.
including small scale and/or data limited fisheries), then there is noneed to explain the specific applicability, but in this case it may beharder for the scheme to demonstrate that the standard is indeed
applicable to governance and management systems for small
scale and/or data limited fisheries. In this context, it is importantto recognize the great diversity of small-scale and/or data limited
fisheries, as well as the fact that there is no single, agreed definitionof these terms (see the Glossary). Small-scale fisheries represent
a diverse and dynamic subsector, often characterized by seasonal
migration. The precise characteristics of the subsector varydepending on the location. Accordingly, GSSI does not prescribe a
specific definition of small-scale fisheries or data limited fisheries.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29 (26)
Paragraph 29 requires special consideration to be given to small-scale fisheries with respect to the availability of data
and with respect to the fact that management systems can differ substantially for different types and scales of fisheries(e.g. small scale through to large scale commercial fisheries).

RELATED SUPPLEMENTARY COMPONENTS
D.1

06

01 See page 234

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D.1

07

COMPLIANCE OF THE MANAGEMENT SYSTEMGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the fisheries
management system under which the unit ofcertification is managed operates in compliancewith local, national and international laws andregulations, including the requirements of any
regional fisheries management organisationthat exercises internationally recognised
management jurisdiction over the fisheries on
the stock under consideration.

Under this Essential Component the standard requires that thefisheries management system must operate legally (locally, nationallyand internationally); the legality of the fishery (i.e. compliance withapplicable fishing regulations) is covered under other requirementsin this Performance Area. For the purposes of clarity, this includes
compliance with the rules and regulations of any RFMO/A thatexercises internationally recognized management jurisdiction overfisheries on the stock under consideration in the high seas andimplementation of the United Nations General Assembly (UNGA)
Resolution 61/105, paragraphs 76-95 concerning responsible
fisheries in the marine ecosystem.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28. (35)
Paragraph 28 (35) requires that the management system and the fishery operate in compliance with the requirementsof local, national and international law and regulations.

RELATED SUPPLEMENTARY COMPONENTS
D.1

07

01 See page 235

D.1

07

02 See page 236

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u LEGAL FRAMEWORK
D.1

08

COMPLIANCE OF THE FISHERYGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the fishery of which
the Unit of Certification is a part is managed
under an effective legal framework at the local,
national or regional (international) level as
appropriate.

Legal framework is described in the Glossary. An effective legal
framework is one that is shown to be fit for purpose, such thatthe fishery seeking certification proceeds in an orderly and wellcontrolled manner. An effective legal framework should enable thefisheries management organization or arrangement to perform its
functions without hindrance from systemic and repeated illegal
activity. An effective legal framework can be one that incorporates
traditional, fisher or community approaches (e.g. co-management
under community approaches) provided their performance canbe objectively verified. With respect to fisheries in the high seas,
the legal obligations of UNCLOS and UNFSA have particular
relevance. See also Essential Component D.1.09 regarding theneed for effective and suitable monitoring, surveillance, control andenforcement of the fishery of which the unit of certification is a part.
Evidence of the performance of the legal framework can bederived from the assessment of conformance with other Essential
Components, in particular D.1.09 and D.1.10 covering complianceand enforcement.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.5 (36.6); 6Paragraph 29.5 requires the establishment of an effective legal and administrative framework at the local, national orregional level, as appropriate, is established for the fishery (CCRF Article 7.7.1).

RELATED SUPPLEMENTARY COMPONENTS
D.1

08

01 See page 237

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D.1

09

COMPLIANCE OF THE FISHERYGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires effective and suitable
monitoring, surveillance, control andenforcement of the fishery of which the unit ofcertification is a part.

Effective and suitable monitoring, surveillance, control andenforcement is described in the Glossary. Evidence of high levelsof compliance in the fishery of which the Unit of Certification is apart with all applicable local, national and international laws andregulations (as appropriate, per Essential Component D.1.10)
would be indicative of effective monitoring, surveillance, control
and enforcement. The suitability of monitoring, surveillance, control
and enforcement for the fishery of which the Unit of Certification isa part should be assessed by the technical team undertaking theassessment for certification relative to the standard.
Both this Essential Component and Essential Component D.1.08(effective legal framework) derive from Paragraph 29.5 (36.6)of the Ecolabelling Guidelines which refers to “the fishery”. It is,therefore, the effective and suitable monitoring, surveillance, control
and enforcement of the “fishery” (see Glossary) that is the subjectof this Essential Component, and this may extend beyond theunit of certification (as per paragraph 25 of the Guidelines, theunit of certification could encompass: the whole fishery, where afishery refers to the activity of one particular gear-type or method
leading to the harvest of one or more species; a sub-componentof a fishery, for example a national fleet fishing a shared stock; orseveral fisheries operating on the same resources). If the stock
under consideration is not transboundary, then the Standard need
only be concerned with the effectiveness and suitability of themonitoring, surveillance, control and enforcement activities at thenational level for the fishery of which the Unit of Certification is apart. For transboundary stocks, however, there are several Essential
Components that apply such that the Standard must be concernedwith fishery management and compliance at the international level
and the status of the whole stock across its entire range. Essential
Component D.1.08 covers the need for an effective legal frameworkat the local, national or regional (international) level as appropriate
and Essential Component D.1.10 covers the need for the Unit ofCertification to be operating in compliance with the requirementsof local, national and international law and regulations. Under
Essential Component D.1.04, where the stock under consideration
is a transboundary fish stock, straddling fish stock, highly migratory
fish stock or high seas fish stock, the standard must require theexistence of a bilateral, subregional or regional fisheries organizationor arrangement (e.g. an RFMO), as appropriate, covering thestock under consideration over its entire area of distribution. This
is to make sure that management of these stocks and fleets thatfish on them is coordinated at the international level. RFMOs are
not generally responsible directly for monitoring, surveillance,
control and enforcement; this is done by national authorities (i.e.
of vessels operating within their waters of national jurisdiction andalso of vessels flying their flag when they are fishing outside ofthose waters). If the Unit of Certification is part of a national fleet
fishing on a transboundary stock, then it is still likely to be theeffectiveness and suitability of the monitoring, surveillance, control
and enforcement activities at the national level which is of prime

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importance for certification. If the Unit of Certification covers all
the fishing on the stock under consideration, then the monitoring,surveillance, control and enforcement all of the national fleets isof concern. Note also that under Essential Component D.5.02(assessment of the stock under consideration), the Standard must
require assessment of the current status and trends of the stock
under consideration to consider total fishing mortality on that stockfrom all sources, and under Essential Component D.6.01, the stock
under consideration must not be overfished. Hence any deficiencies
in the monitoring, surveillance, control and enforcement of fleets
fishing on a stock under consideration that is a transboundary fishstock, straddling fish stock, highly migratory fish stock or high seas
fish stock that compromise the effective assessment of the statusof that stock would need to be of concern for certification.
Article 7.7.2 of the CCRF requires states to ensure that laws andregulations provide for sanctions applicable in respect of violations
which are adequate in severity to be effective.
Article 7.7.3 of the CCRF requires states, in conformity with theirnational laws, to implement effective fisheries monitoring, control,
surveillance and law enforcement measures including, whereappropriate, observer programmes, inspection schemes and vessel
monitoring systems. Standards may refer to these mechanisms as
appropriate.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.5 (36.6)
Paragraph 29.5 of the Marine Guidelines includes the requirement for effective mechanisms for monitoring, surveillance,
control and enforcement applicable to the unit of certification. The equivalent paragraph in the Inland Guidelines(36.6) requires suitable mechanisms for monitoring, surveillance, control, and enforcement. Hence the GSSI Essential
Component refers to both effective and suitable.

RELATED SUPPLEMENTARY COMPONENTS
D.1

09

01 See page 238

D.1

09

02 See page 239

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D.1

10

COMPLIANCE OF THE FISHERYGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the Unit ofCertification operates in compliance with therequirements of local, national and internationallaw and regulations.

This requirement covers the compliance of the Unit of Certification
with all applicable laws and regulations. Paragraph 28 (35) of theEcolabelling Guidelines requires compliance both by the fishery andthe management system. The requirement for the management
system to be in compliance with applicable laws and regulations isaddressed in Essential Component D.1.07.
Conformance with this Essential Component should be consideredalongside Essential Component D.1.09 - the requirement foreffective and suitable monitoring, surveillance, control andenforcement. Conformance with this Essential Component
requires there to be no evidence of systematic (methodical,
regular, organized) or systemic (universal, throughout the system)
non-compliance by fishers in the unit of certification with therequirements of local, national and international law and regulations.
However, a lack of evidence of non-compliance by itself may not
be sufficient if the monitoring, surveillance, control and enforcement
is not effective and suitable for the fishery. Evidence of noncompliance may come from a variety of sources, including local
and national monitoring, surveillance, control and enforcement
programs, regional fisheries management organisations (RFMOs),and third party bodies such as industry organisations and nongovernmental organisations. The Standard should require all ofthese sources to be consulted and taken into consideration.
Article 7.7.2 of the CCRF requires states to ensure that laws andregulations provide for sanctions applicable in respect of violations
which are adequate in severity to be effective.
Article 7.7.3 of the CCRF requires states, in conformity with theirnational laws, to implement effective fisheries monitoring, control,
surveillance and law enforcement measures including, whereappropriate, observer programmes, inspection schemes and vessel
monitoring systems. Standards may refer to these mechanisms as
appropriate.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28. (35); 29.5 (36.6)
Paragraph 28 (35) requires that the management system and the fishery operate in compliance with the requirementsof local, national and international law and regulations. The “fishery” referred to in paragraph 28 in this context isregarded to be the Unit of Certification.

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ESSENTIALCOMPONENTSManagement Objectives
GSSI Essential Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.2 01

MANAGEMENT OBJECTIVESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that are applicableto the unit of certification and the stock underconsideration and seek outcomes consistent
with the long term sustainable use of thefisheries resources under management.

The Standard must show evidence of requiring the existence ofclearly stated management objectives that meet the description
in the Glossary The appropriateness of those objectives istested through the assessment of conformance with Essential
Components in other Performance Areas, including, the actions(management measures, monitoring etc.) taken to meet them andthe outcomes for the stock under consideration and the ecosystem.
The “fishery” referred to in Paragraph 28 of the Guidelines
encompasses both the unit of certification and the stock underconsideration (as per paragraph 28.1), as do the management
objectives referred to in this Essential Component.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
40 (51); 28 (35); 29(36)Paragraph 40 (51) of the Guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine (and inland) capture fisheries (including enhanced fisheries)
and that the standards reflect the objectives for sustainable capture fisheries that are being pursued through thescheme. .
The CCRF addresses Management Objectives in Article 7.2. “Recognizing that long-term sustainable use of fisheries
resources is the overriding objective of conservation and management, States and subregional or regional fisheries
management organizations and arrangements should, inter alia, adopt appropriate measures, based on the best
scientific evidence available, which are designed to maintain or restore stocks at levels capable of producing maximum
sustainable yield, as qualified by relevant environmental and economic factors, including the special requirements ofdeveloping countries.”
Paragraph 28 of the Guidelines requires that the fishery is conducted under a management system which is based
upon good practice and that ensures the satisfaction of the requirements and criteria described in Paragraph 29.
Paragraphs 28 and 29 are therefore very closely linked. Paragraph 29.2bis requires that the determination of suitableconservation and management measures should include or take account of (inter alia) the following:- Management targets are consistent with achieving maximum sustainable yield (MSY) (or a suitable proxy) on average,
or a lesser fishing mortality if that is optimal in the circumstances of the fishery (e.g. multispecies fisheries) or to avoid
severe adverse impacts on dependent predators.
- The management system should specify limits or directions in key performance indicators consistent with avoiding
recruitment overfishing or other impacts that are likely to be irreversible or very slowly reversible, and specify the actions
to be taken if the limits are approached or the desired directions are not achieved.
Paragraph 28.1 of the Guidelines requires documented management approaches for the “stock under consideration”
with a well based expectation that management will be successful taking into account uncertainty and imprecision.
This requires the specification of management objectives for the stock under consideration.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 02

BEST SCIENTIFIC EVIDENCE AVAILABLE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that management
objectives take into account the best scientificevidence available.

This Essential Component applies to all management objectives
referred to in Essential Components under Performance Area D.2.
Best scientific evidence available is described in the Glossary. It
can come from assessments of stock status outside of the typical“stock assessment”, accommodating techniques for data limited
fisheries and including traditional knowledge, providing its validity
can be objectively verified (i.e. the knowledge has been collected
and analysed though a systematic process, and is not simply
hearsay).
Note that the requirement for the management system to take into
account the best scientific evidence available is not inconsistent
with the Precautionary Approach (see Essential Component
D.3.12), which requires inter alia that the absence of adequate
scientific information should not be used as a reason for postponingor failing to take conservation and management measures. Both ofthese requirements apply.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
2.10 (2.11); 29.2 (36.2)
Principle 2 of the Guidelines: The following principles should apply to ecolabelling schemes for marine [inland] capture
fisheries: 2.10: Be based on the best scientific evidence available, also taking into account traditional knowledge of theresources provided that its validity can be objectively verified.
Paragraph 29.2 of the Guidelines requires that the best scientific evidence available is taken into account by thedesignated authority in determining suitable conservation and management measures. This reflects Paragraph 6.4
in the CCRF which states that conservation and management decisions for fisheries should be based on the best
scientific evidence available. In addition, Article 7.5.3 of the CCRF requires that stock specific target and limit reference
points be determined by States and subregional or regional fisheries management organizations and arrangements on
the basis of the best scientific evidence available.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 03

REFERENCE POINTSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the management
objectives clearly define target and limit
reference points, or proxies for the stock underconsideration on the basis of the best scientificevidence available and in accordance with
the Precautionary Approach. Target reference
points must be consistent with achieving
Maximum Sustainable Yield, MSY (or a suitableproxy) on average and limit reference points(or proxies) must be consistent with avoiding
recruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

The Glossary provides descriptions of target and limit reference
points. Reference points must be set at levels consistent withachieving maximum sustainable yield (MSY) (or a suitable proxy)
on average, or a lesser fishing mortality if that is optimal in thecircumstances of the fishery (e.g. multispecies fisheries) or to avoid
severe adverse impacts on dependent predators. To be effective,reference points must be incorporated within a framework ofdecision rules (See D.3.04) to ensure that the stock does not fall
below a limit, Blim, at which recruitment could be significantly
impaired, or lead to average recruitment that is significantly lower
than it would be with a higher stock biomass. The level of Blimshould be set on the basis of historical information, applying anappropriate level of precaution according to the reliability of that
information. In addition, an upper limit should be set on fishingmortality, Flim, which is the fishing mortality rate that, if sustained,
would drive biomass down to the Blim level.
A proxy is a surrogate or substitute approach that results inacceptable outcomes consistent with the primary approach. In thecontext of reference points, when data are insufficient to estimate
reference points directly other measures of productive capacity
can serve as reasonable substitutes or “proxies”. Suitable proxies
may be, for example, standardized cpue as a proxy for biomassor specific levels of fishing mortality and biomass which have
proven useful in other fisheries and can be used with a reasonable
degree of confidence in the absence of better defined levels. It is
important to note that the use of a proxy may involve additional
uncertainty, and if so, should trigger the use of extra precaution in
the setting of biological reference points. The words “or proxies”
are a consideration for small scale and/or data limited fisheries,
This should not be interpreted to mean that small scale and/or data
limited fisheries do not require target and limit reference points,
but that the methods used to develop them and monitor the stock
status in relation to them may be less data intensive than for large
scale fisheries. See also Essential Components D.1.04 and D.5.04.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.2 (36.2); 29.6 (36.7)
Paragraph 29.2 refers to the use of the best scientific evidence available to evaluate the current state of the stock
under consideration in relation to, where appropriate, stock specific target and limit reference points. Stock specifictarget and limit reference points are also required under Article 7.5.3 of the CCRF.
Paragraph 29.6 requires that the precautionary approach is being implemented to protect the stock underconsideration and the preserve the aquatic environment (in accordance with the CCRF, Article 7.5). This requires thetarget and limit reference points, or proxies for the stock under consideration to be defined in accordance with thePrecautionary Approach.

RELATED SUPPLEMENTARY COMPONENTS
D.2 0301 See page 240

D.2 0302 See page 241

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D.2 04ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires, in the case of enhanced
fisheries, the existence of management
objectives consistent with avoiding significant
negative impacts of enhancement activities on
the natural reproductive stock component of thestock under consideration and any other wild
stocks from which the organisms for stocking
are being removed.

All Essential Components that address Enhanced Fisheries canbe “not applicable” to schemes that do not cover these fisheries.
However, it is incumbent on the scheme to explicitly exclude
enhanced fisheries (rather than explicitly include them) in order forthese requirements to be not applicable. If the scheme remains
silent on the issue of enhanced fisheries, then the standard
could potentially be applied to fisheries that include enhanced
components, but if these are not properly dealt with by the standard(i.e. as per GSSI Essential Components) then the scheme would
be deficient when being used to certify such fisheries. In essence,the default position is that a scheme/standard can be applied toenhanced fisheries unless it excludes them explicitly.
The term “significant negative impacts” is used in the FAO Inland
Guidelines. This was not intended to be equivalent to “severe
adverse impacts” (on dependent predators). The FAO consultationthat resulted in the drafting of the Inland Guidelines consideredthat avoidance of “severe adverse impacts” only would not be
consistent with a management obligation to manage enhancement
in ways that would not impact the productivity and abundanceof the natural reproductive stock component of the stock underconsideration.
Any displacement of the naturally reproductive stock components
of enhanced stocks must not reduce the natural reproductive stockcomponents below abundance-based Target Reference Points
or their proxies. Note that the Target Reference Points are for thenatural reproductive stock component. For example, in the caseof salmon fisheries, if the spawning stock is comprised of fish bothfrom enhanced and natural origins, the escapement goal considers
only the natural origin component. An example Target Reference
Point would be an escapement target based on the natural
reproductive stock component.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(39); (40)
Paragraph 39 states that the overall enhanced fishery should be managed in such a way that the naturally reproductive
components are managed in accordance with the provisions of Article 7 of the CCRF and with paragraph 37 (this is theequivalent of paragraph 30 in the marine capture fisheries guidelines). The following criteria are to be interpreted in thecontext of avoiding significant negative impacts of enhancement activities on the natural reproductive components of“stock under consideration”:- naturally reproductive components of enhanced stocks are not overfished;- naturally reproductive components of enhanced stocks are not substantially displaced by stocked components. In
particular, displacement must not result in a reduction of the natural reproductive stock component below abundancebased target reference points (or their proxies) defined for the regulation of harvest in accordance with paragraph 37.
Paragraph 40 states that enhanced fisheries may be supported in part by stocking of organisms produced inaquaculture facilities or removed from wild stocks other than the “stock under consideration”. Removal of organisms
from wild stocks other than the stock of consideration should be managed according to the provisions of Article 7 of
the CCRF with respect to the stock from which organisms are being removed.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 05

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that seek to ensurethat non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishingor other impacts that are likely to be irreversible
or very slowly reversible.

The term “target” in this Essential Component is used only in thecontext of “target stock status” in the Elements. This refers to thestatus of the stock under consideration only. “Non-target catches”
refers to everything other than the stock under consideration.
This Essential Component is explicitly and deliberately confinedto the effects of non-target catches and discards by the unit ofcertification on those non-target species/stocks. Cumulative effects
on non-target species/stocks are not included in the Ecolabelling
Guidelines. They are not part of the Essential Components, but they
are covered in the Supplemental Components. The component
relating to enhancement activity may be “not applicable” toschemes that explicitly do not cover enhanced fisheries.
Examples of irreversible or very slowly reversible effects on bycatch
species include excessive depletion of very long-lived organisms(see Glossary). To mitigate effects that are likely to be irreversible orvery slowly reversible requires those effects to be made less severe
such that they are no longer likely to be irreversible or very slowly
reversible.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.1 (41.1)
Paragraph 28.2 requires objectives, and as necessary, management measures to address pertinent aspects of theecosystem effects of fishing as per paragraph 31.
Paragraph 31 requires those [ecosystem] impacts that are likely to have serious consequences should be addressed.
This may take the form of an immediate management response or further analysis of the identified risk.
Paragraph 41.1 of the Inland guidelines (a re-write of paragraph 31.1 from the marine guidelines) states: “Non-target
catches, including discards, of stocks other than the “stock under consideration” are monitored and should notthreaten these non-target stocks with recruitment overfishing or other impacts that are likely to be irreversible or very
slowly reversible. If such impacts arise, effective remedial action should be taken.”

RELATED SUPPLEMENTARY COMPONENTS
D.2 0501 See page 242

D.2 05

02 See page 243

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D.2 06ENDANGERED SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that seek to ensure that
endangered species are protected from adverse
impacts resulting from interactions with theunit of certification and any associated culture
or enhancement activity, including recruitment
overfishing or other impacts that are likely to beirreversible or very slowly reversible

The context of this Essential Component is Endangered Species.
Endangered species are defined in the Glossary. These species are
already adversely impacted at the population level, by definition,
and are susceptible to further adverse impacts at this level fromwhich they need to be protected. Where “adverse impacts” isused in the FAO Guidelines (“adverse impacts of the fishery on
the ecosystem”) there is no further qualification provided (i.e. no“significant” or “severe”). Elsewhere in the Guidelines, the term“adverse impacts” is qualified, but in each case this is in a very
specific context. For example. the term “significant negative
impacts” is used in the FAO Ecolabelling Guidelines only in relation
to enhanced fisheries and “severe adverse impacts” is used only
in relation to dependent predators. The term “significant adverse
impacts” occurs only in the Deep Sea Guidelines with respect to
VMEs.
The FAO Guidelines acknowledge that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target
stocks (paragraph 31 (41)), hence the management objectives
to protect endangered species should take into account risk anduncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31 (41); 31.1 (41.1); CCRF 7.2.2, 7.6.9 and 7.2.2.
The CCRF mentions endangered species in Articles 7.2.2 (objectives) and 7.6.9 (minimizing catch). CCRF Article
7.2.2(d) requires that endangered species are protected through the adoption of appropriate measures, based on
the best scientific evidence available. Endangered species are not specifically mentioned in the Marine Guidelines(see below for the Inland Guidelines). Paragraph 31.1 (41.1) requires that non-target catches (implicitly including
endangered species that are caught by the unit of certification) are monitored and should not threaten those nontarget stocks with serious risk of extinction. Paragraph 41.1 of the Inland Guidelines (a re-write of paragraph 31.1 fromthe marine fisheries guidelines) states: “Non-target catches, including discards, of stocks other than the “stock underconsideration” are monitored and should not threaten these non-target stocks with recruitment overfishing or otherimpacts that are likely to be irreversible or very slowly reversible. If such impacts arise, effective remedial action should
be taken.”Paragraph 31 of the Guidelines requires that adverse impacts of the fishery on the ecosystem should be appropriately
assessed and effectively addressed. Paragraph 41 of the Inland Guidelines (the equivalent of Paragraph 31 of the
Marine Guidelines) goes on to say that enhanced fisheries will be managed to ensure biodiversity of aquatic habitats
and ecosystems are conserved and endangered species protected. Paragraph 28.2 (35.2) requires objectives,and as necessary, management measures to address pertinent aspects of the ecosystem effects of fishing as per
paragraph 31 (41).

RELATED SUPPLEMENTARY COMPONENTS
D.2 0601 See page 244

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 07

HABITATGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives seeking to avoid,
minimize or mitigate impacts of the unit ofcertification on essential habitats for the stock
under consideration and on habitats that arehighly vulnerable to damage by the fishing gearof the unit of certification.

Essential habitats are described in the Glossary. The CCRF (Article
6.8) refers to “critical fisheries habitats in marine and fresh water
ecosystems” which can be regarded as substantively the same as
essential habitats for the purposes of the practical application of thisEssential Component. Critical fisheries habitats in marine and fresh
water ecosystems include wetlands, mangroves, reefs, lagoons,nursery and spawning areas. Examples of impacts on habitat thatshould be avoided include those listed in the CCRF: destruction,
degradation, pollution and other significant impacts. In accordancewith Paragraph 28.2 of the Ecolabelling Guidelines, in assessing
fishery impacts, the full spatial range of the relevant habitat should
be considered, not just that part of the spatial range that is
potentially affected by fishing. The purpose of this is to consider
both the degree to which the habitat is rare, or common, and alsothat there may be impacts on the same habitat in other parts of its
spatial range.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.3 (41.3)
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31. Paragraph 31.3 requires that impacts on essential
habitats [for the stock under consideration] and on habitats that are highly vulnerable to damage by the fishing gear
involved are avoided, minimized or mitigated. In assessing fishery impacts, the full spatial range of the relevant habitat
should be considered, not just that part of the spatial range that is potentially affected by fishing.
Article 6.8 of the CCRF states that all critical fisheries habitats in marine and fresh water ecosystems, such as wetlands,
mangroves, reefs, lagoons, nursery and spawning areas, should be protected and rehabilitated as far as possible andwhere necessary. Particular effort should be made to protect such habitats from destruction, degradation, pollution andother significant impacts resulting from human activities that threaten the health and viability of the fishery resources.

RELATED SUPPLEMENTARY COMPONENTS
D.2 0701 See page 245

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 08DEPENDENT PREDATORSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that seek to avoid
severe adverse impacts on dependent
predators resulting from fishing on a stock
under consideration that is a key prey species.

This Essential Component is about objectives for fishing mortality
on stocks under consideration that are key prey species, not aboutfishing mortality on Dependent Predators themselves. Where thestock under consideration is a key prey species, the standard must
require that fishing mortality on that species/stock is managed so
as not to result in severe adverse impacts on Dependent Predators.
The FAO Guidelines require that all sources of fishing mortality on
the stock under consideration are taken into account (whether or
not it is a prey species) in assessing the state of the stock underconsideration, including discards, unobserved mortality, incidental
mortality, unreported catches and catches in other fisheries.
Management measures to meet these objectives are required under
D.3.10. Severe adverse impacts are mentioned in the Essential
Components only in relation to dependent predators. This is in linewith the Ecolabelling Guidelines. The severity of adverse impacts is
related to their potential reversibility. Severe adverse impacts canbe regarded as those that are likely to be irreversible or very slowly
reversible, which is described in the Glossary.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.2 (41.2);
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31.
Paragraph 31.2 of the Guidelines requires that if the stock under consideration is a key prey species in the ecosystem,
management measures are in place to avoid severe adverse impacts on dependent predators.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.2 09ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement activities
if applicable, on the structure, processes andfunction of aquatic ecosystems that are likely tobe irreversible or very slowly reversible.

This Essential Component covers adverse impacts on the structure,processes and function of aquatic ecosystems. Ecosystem
structure, processes and function are described in the Glossary.
The Guidelines do not extend consideration of these impacts to all
fisheries operating in the ecosystem where the unit of certification
is operating and therefore this is not included in this Essential
Component. This language is in accordance with Section 4.1.4.1of the FAO Ecosystem Approach to Fisheries, which suggests oneof the broad management objectives for fisheries could be to keep
impact on the structure, processes and functions of the ecosystem
at an acceptable level.
An earlier version of the requirements included an Essential
Component on the conservation of biodiversity. Conservation of
biodiversity is not mentioned separately in the Guidelines, but it isincluded in the CCRF Article 7.2.2 (d), which requires that Statesand sub-regional or regional fisheries management organizations
and arrangements should adopt appropriate measures, basedon the best scientific evidence available to provide that inter alia
biodiversity of aquatic habitats and ecosystems is conserved. The
structure processes and function of aquatic ecosystems includes
biodiversity, hence this is considered to be included in this Essential
Component.
Examples of irreversible or very slowly reversible indirect effects on
the ecosystem include genetic modification and changed ecologicalrole.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.2 (41.2);
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31.
Paragraph 31.2 of the Guidelines requires that if the stock under consideration is a key prey species in the ecosystem,
management measures are in place to avoid severe adverse impacts on dependent predators.

RELATED SUPPLEMENTARY COMPONENTS
D.2 0901 See page 246

D.2 0902 See page 247

D.2 0903 See page 248

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GSSI Essential Components for Fisheries Certification Standardsu MANAGEMENT SYSTEM
D.3 01

DOCUMENTED MANAGEMENT APPROACH

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence of
documented management approaches or othermanagement framework covering the unit ofcertification and the stock under consideration,
including management measures consistent
with achieving management objectives for thestock under consideration.

A documented management approach or other management
framework is an important component of the Management System.
It provides clarity and transparency with respect to how thesystem is intended to function. The establishment of management
approaches for the stock under consideration may not be entirely
within the purview of the fishery management organizationor arrangement that manages the fishery of which the Unit ofCertification is a part. The stock’s distribution may extend beyond
its area of jurisdiction and there may be other fisheries targeting thestock under consideration that fall under a separate administrative
jurisdiction (potentially in another country). Nevertheless the
management measures that apply to the unit of certification should
be consistent with achieving management objectives for the stock
under consideration.
There is no uniform way that management approaches need to
be documented (for example they do not have to be all within one
overarching Fishery Management Plan), but the standard must
require the various elements of the management system to bepresent and identifiable and in use by the fishery management
organization or arrangement (D.1.01) , including the constitution
and rules and procedures of the Fisheries Management
Organization or Arrangement and the compliance regime(D.1.01-D.1.07); the legal framework (D.1.08); the management
objectives (D.2); methodologies (D.5) although not necessarily all
within one overarching Fishery Management Plan. It should be
expected that the documentation would be current. The frequency
of updates should be consistent with the requirements of meetingthe management objectives and implementing management
measures.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.1 (35.1). CCRF Article 7.3.3
Paragraph 28.1 of the Guidelines requires documented management approaches for the stock under consideration
with a well based expectation that management will be successful, taking into account uncertainty and imprecision.
Article 7.3.3 of the CCRF requires that long-term management objectives be translated into management actions,formulated as a fishery management plan or other management framework.

RELATED SUPPLEMENTARY COMPONENTS
D.3 0101 See page 249

D.3 01

02 See page 250

D.3 01

03 See page 251

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GSSI Essential Components for Fisheries Certification Standards
D.3 02

BEST SCIENTIFIC EVIDENCE AVAILABLE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that management
measures implemented through the
management system to achieve themanagement objectives are based on the best
scientific evidence available.

This Essential Component applies to all management measuresreferred to in Essential Components under Performance Area D.3.
Best scientific evidence available is described in the Glossary.
Note that it includes traditional knowledge and can come fromassessments of stock status outside of a typical stock assessment,
accommodating techniques for data limited fisheries, providing
their validity can be objectively verified (i.e. the knowledge has beencollected and analysed though a systematic process, and is not
simply hearsay).
Note also that the requirement for the management system to take
into account the best scientific evidence available is not inconsistent
with the Precautionary Approach (see Essential Component
D.3.12), which requires inter alia that the absence of adequate
scientific information should not be used as a reason for postponingor failing to take conservation and management measures. Both ofthese requirements apply.

FAO REFERENCE
2.10 [2.11]; 29.2 [36.2]
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
2.10 (2.11); 29.2 (36.2)
Principle 2 of the Guidelines: The following principles should apply to ecolabelling schemes for marine [inland] capture
fisheries: 2.10: Be based on the best scientific evidence available, also taking into account traditional knowledge of theresources provided that its validity can be objectively verified.
Paragraph 29.2 of the Guidelines requires that the best scientific evidence available is taken into account by thedesignated authority in determining suitable conservation and management measures. This reflects Article 6.4 in the
CCRF which states that conservation and management decisions for fisheries should be based on the best scientificevidence available. In addition, Article 7.5.3 of the CCRF requires that stock specific target and limit reference points bedetermined by States and subregional or regional fisheries management organizations and arrangements on the basisof the best scientific evidence available.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.3 03FISHING MORTALITYGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that management
measures for the stock under considerationconsider the impacts on the stock underconsideration of all the fisheries utilizing thatstock under consideration over its entire area of
distribution.

This Essential Component addresses cumulative impacts of fishingfrom all sources on the stock under consideration as specified in
the Ecolabelling Guidelines. Management measures for the stock
under consideration must be based on an assessment of thatstock which takes account of all removals from the stock over its
entire area of distribution, i.e. not just by the unit of certification but
by all fisheries that utilize that stock, including bycatch, discards,
unobserved mortality, incidental mortality, unreported catches, andcatches taken outside of the unit of certification. These terms are
not defined here, or in the Glossary. They are used collectively inthis context to cover all possible descriptions of fishery removals of
the stock under consideration.
Area of Distribution is described in the Glossary based on a CITES
reference for species, but this can apply to stocks in a fisheries
context.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
25 (32); 29.2bis (36.3);
Principle 2 of the Guidelines: The following principles should apply to ecolabelling schemes for marine [inland] capture
fisheries: 2.10: Be based on the best scientific evidence available, also taking into account traditional knowledge of theresources provided that its validity can be objectively verified.
Paragraph 29.2 of the Guidelines requires that the best scientific evidence available is taken into account by thedesignated authority in determining suitable conservation and management measures. This reflects Article 6.4 in the
CCRF which states that conservation and management decisions for fisheries should be based on the best scientificevidence available. In addition, Article 7.5.3 of the CCRF requires that stock specific target and limit reference points bedetermined by States and subregional or regional fisheries management organizations and arrangements on the basisof the best scientific evidence available.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.3 04

DECISION RULES

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that management
measures specify the actions to be taken in
the event that the status of the stock underconsideration drops below levels consistent
with achieving management objectives
that allow for the restoration of the stock tosuch levels within a reasonable time frame.
This requirement also pertains to species
introductions or translocations that haveoccurred historically and which have become
established as part of the natural ecosystem.

This requires the specification in advance of decision rules thatmandate remedial management actions to be taken if target
reference points are exceeded and/or limit reference points areapproached or exceeded or the desired directions in key indicatorsof stock status are not achieved. For example, decreasing fishingmortality (or its proxy) if the stock size approaches its limit reference
point. This is a central component of the Precautionary Approach(see D.3.12).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.2bis (36.3); 30. (37);Paragraph 29.2bis of the Guidelines requires that the management system specifies limits or directions in key
performance indicators, consistent with avoiding recruitment overfishing or other impacts on the stock(s) underconsideration that are likely to be irreversible or very slowly reversible, and specify the actions to be taken if thelimits are approached or the desired directions are not achieved. In the event that biomass of the stock(s) underconsideration drops well below target levels, Paragraph 30 requires that management measures should allow for
restoration of the stocks to such levels within reasonable time frames. Paragraph 37 of the Inland Guidelines (theequivalent to paragraph 30 in the Marine Guidelines) states that this requirement also pertains to species introductions
or translocations that have occurred historically and which become established as part of the natural ecosystem.
Although the latter is more applicable to Inland ecosystems, it can also be relevant to marine ecosystems and istherefore added here.
Article 7.5.3 of the CCRF requires the determination of stock specific target and limit reference points and the action to
be taken if they are exceeded, and in the case of limit reference points, if it they are approached, to ensure that they are
not exceeded.

RELATED SUPPLEMENTARY COMPONENTS
D.3 0401 See page 252

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D.3 05ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires, in the case of enhanced
fisheries, management measures designed toachieve management objectives (see D.2.06)
seeking to avoid significant negative impactsof enhancement activities on the natural
reproductive stock components of the stock
under consideration and any other wild stocks
from which the organisms for stocking are being
removed.

This Essential Component addresses the need for standards
to require management measures to achieve the management
objectives in Essential Component D.2.06. It refers to Enhanced
Fisheries, hence it may be regarded as not applicable if the
Scheme/Standard explicitly excludes enhanced fisheries (seealso Guidance for D.2.06) The term natural reproductive stockcomponents is explained in the Glossary. The term “significant
negative impacts” is used in the Inland Guidelines. This was notintended to be equivalent to severe adverse impacts (on dependent
predators). The consultation that resulted in the drafting of theInland Guidelines considered that avoidance of “severe adverse
impacts” only would not be consistent with a management
obligation to manage enhancement in ways that would not impact
the productivity and abundance of the natural reproductive stockcomponent of the stock under consideration.
In the case where organisms for stocking originate from wild stocks
other than the stock under consideration, those stocks should bemanaged according to the provisions of Article 7 of the CCRF. In
particular, those stocks should be within biologically based limits,
or if outside those limits, the removal of organisms for stocking
purposes does not hinder recovery and rebuilding of those stocks
Standards that apply to enhanced components of the stock underconsideration require that stocking of enhanced fisheries, whether
sourced from aquaculture facilities or wild stocks, is undertaken insuch a way as to maintain inter alia:i) The integrity of the environment;ii) The conservation of genetic diversity;iii) Disease control; andiv) Quality of stocking materialv) The donor wild stocks

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(39); (40)
Paragraph 39 of the Inland Guidelines require that the overall enhanced fishery should be managed in such a way thatthe naturally reproductive components are managed in accordance with the provisions of Article 7 of the CCRF andwith paragraph 37 of the Guidelines in the context of avoiding significant negative impacts of enhancement activities
on the natural reproductive components of “stock under consideration”. Paragraph 37 requires that the “stock underconsideration” is not overfished, and is maintained at a level which promotes the objective of optimal utilization andmaintains its availability for present and future generations.
Paragraph 40 of the Inland Guidelines states that Removal of organisms from wild stocks other than the stock ofconsideration should be managed according to the provisions of Article 7 of the Code of Conduct for Responsible
Fisheries with respect to the stock from which organisms are being removed.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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D.3 06

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishingor other impacts that are likely to be irreversible
or very slowly reversible.

This is the partner Essential Component of D.2.07. Non-target
catches and discards refers to species/stocks that are taken by
the unit of certification other than the stock for which certification is
being sought (see Glossary). Examples of irreversible or very slowly
reversible effects on bycatch species include recruitment overfishingor excessive depletion of very long-lived organisms. Management
measures should mitigate effects that are likely to be irreversible orvery slowly reversible by making those effects less severe such thatthey are no longer likely to be irreversible or very slowly reversible.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.1 (41.1)
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31. Paragraph 31 requires those [ecosystem] impacts thatare likely to have serious consequences should be addressed. This may take the form of an immediate management
response or further analysis of the identified risk.
Paragraph 41 of the Inland Guidelines (a re-write of paragraph 31from the Marine Guidelines) states that adverse
impacts of the fishery and any associated culture and enhancement activity on the ecosystem should be appropriately
assessed and effectively addressed. Paragraph 41.1 of the Inland Guidelines states that Non-target catches, including
discards, of stocks other than the “stock under consideration” are monitored and should not threaten these non-target
stocks with recruitment overfishing or other impacts that are likely to be irreversible or very slowly reversible. If suchimpacts arise, effective remedial action should be taken.

RELATED SUPPLEMENTARY COMPONENTS
D.3 0601 See page 253

D.3 06

02 See page 254

D.3 06

03 See page 255

D.3 0604 See page 256

D.3 0605 See page 257

D.3 06

06 See page 258

D.3 06

07 See page 259

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D.3 07

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures that minimize unwanted
catch and discards, where appropriate, andreduce post-released mortality where incidental
catch is unavoidable.

This Essential Component is related to D.3.06 in that minimizing
unwanted catch and discards and reducing post-released
mortality can help to reduce the impact of non-target catches
and discards by the unit of certification. Under the CCRF, users ofaquatic ecosystems should minimize waste and catch of nontarget species, both fish and non-fish species. Non-target catches
and discards refer to species/stocks that are taken by the unit ofcertification other than the stock for which certification is beingsought (see Glossary).
The words “where appropriate” give a scheme the flexibility not
to require a fishery to have bycatch avoidance if there is no risk of
bycatch in the fishery.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.1 (41.1); FAO CCRF 6.6
Paragraph 31 of the Guidelines requires those [ecosystem] impacts that are likely to have serious consequences should
be addressed. This may take the form of an immediate management response or further analysis of the identified risk.
Paragraph 41.1 of the Inland Guidelines (a re-write of 31.1 from the Marine Guidelines) states that Non-target catches,
including discards, of stocks other than the “stock under consideration” are monitored and should not threaten these
non-target stocks with recruitment overfishing or other impacts that are likely to be irreversible or very slowly reversible.
If such impacts arise, effective remedial action should be taken.
Article 6.6 of the CCRF requires that States and users of aquatic ecosystems should minimize waste, catch of nontarget species, both fish and non-fish species, and impacts on associated or dependent species.

RELATED SUPPLEMENTARY COMPONENTS
D.3 0701 See page 260

D.3 07

02 See page 261

D.3 0703 See page 261

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D.3 08ENDANGERED SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures, as necessary, designed
to achieve the management objectives (D.2.08)
that seek to ensure that endangered species
are protected from adverse impacts resulting
from interactions with the unit of certification
and any associated culture or enhancement
activity, including recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

The context of this Essential Component is Endangered Species.
Endangered species are defined in the Glossary. These species are
already adversely impacted at the population level, by definition,
and are susceptible to further adverse impacts at this level fromwhich they need to be protected. Where “adverse impacts” is usedin relation to Endangered Species in the FAO Guidelines there isno further qualification provided (i.e. no “significant” or “severe”).
Elsewhere in the Guidelines, the term “adverse impacts” is qualified,
but in each case this is in a very specific context. For example theterm “significant negative impacts” is used in the FAO Ecolabelling
Guidelines only in relation to enhanced fisheries and “severe
adverse impacts” is used only in relation to dependent predators.
The term “significant adverse impacts” occurs only in the Deep Sea
Guidelines with respect to VMEs.
The FAO Guidelines acknowledge that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target
stocks (paragraph 31 (41)), hence the management measures tomeet the objectives to protect endangered species should take into
account risk and uncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31 (41); 31.1 (41.1) CCRF 7.2.2 and 7.6.9.
The CCRF mentions endangered species in Articles 7.2.2 (objectives) and 7.6.9 (minimizing catch). CCRF Article
7.2.2(d) requires that endangered species are protected through the adoption of appropriate measures, based on thebest scientific evidence available.
Endangered species are not specifically mentioned in the Marine Guidelines (see below for the Inland Guidelines).
Paragraph 31.1 of the Guidelines requires that non-target catches (implicitly including endangered species that arecaught by the unit of certification) are monitored and should not threaten those non-target stocks with serious risk ofextinction. Paragraph 41.1 of the Inland Guidelines (a re-write of paragraph 31.1 from the marine fisheries guidelines)
states: “Non-target catches, including discards, of stocks other than the “stock under consideration” are monitored
and should not threaten these non-target stocks with recruitment overfishing or other impacts that are likely to beirreversible or very slowly reversible. If such impacts arise, effective remedial action should be taken.”Paragraph 31 of the Guidelines requires that adverse impacts of the fishery on the ecosystem should be appropriately
assessed and effectively addressed. Paragraph 41 of the Inland Guidelines (the equivalent of Paragraph 31 of the
Marine Guidelines) goes on to say that enhanced fisheries will be managed to ensure biodiversity of aquatic habitats
and ecosystems are conserved and endangered species protected. Paragraph 28.2 (35.2) of the Guidelines requires
objectives, and as necessary, management measures to address pertinent aspects of the ecosystem effects of fishingas per paragraph 31 (41).

RELATED SUPPLEMENTARY COMPONENTS
D.3 0801 See page 262

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D.3 09HABITATGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures, as necessary,
designed to achieve the management
objectives (D.2.09) seeking to avoid, minimize
or mitigate impacts of the unit of certification
on essential habitats for the “stock underconsideration” and on habitats that are highly
vulnerable to damage by the fishing gear of theunit of certification. In assessing fishery impacts,
the Standard requires consideration of the full
spatial range of the relevant habitat, not justthat part of the spatial range that is potentiallyaffected by fishing.

Essential habitats are described in the Glossary. There is no reason
to regard them as being significantly different from the “criticalfisheries habitats in marine and fresh water ecosystems” referred
to in the CCRF (Article 6.8), which include wetlands, mangroves,reefs, lagoons, nursery and spawning areas. Examples of impacts
on habitat that should be avoided include those listed in thisparagraph: destruction, degradation, pollution and other significant
impacts. The purpose of the requirement to consider the full spatial
range of the relevant habitat in assessing fishery impacts may be toconsider both the degree to which the habitat is rare, or common,
and also that there may be impacts on the same habitat in otherparts of its spatial range.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.3 (41.3)
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31. Paragraph 31.3 requires that impacts on essential
habitats [for the stock under consideration] and on habitats that are highly vulnerable to damage by the fishing gear
involved are avoided, minimized or mitigated. In assessing fishery impacts, the full spatial range of the relevant habitat
should be considered, not just that part of the spatial range that is potentially affected by fishing.
Article 6.8 of the CCRF states that all critical fisheries habitats in marine and fresh water ecosystems, such as wetlands,
mangroves, reefs, lagoons, nursery and spawning areas, should be protected and rehabilitated as far as possible andwhere necessary. Particular effort should be made to protect such habitats from destruction, degradation, pollution andother significant impacts resulting from human activities that threaten the health and viability of the fishery resources.

RELATED SUPPLEMENTARY COMPONENTS
D.3 0901 See page 263

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D.3 10DEPENDANT PREDATORSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures, as necessary,
designed to meet the objectives (D.2.10) that
seek to avoid severe adverse impacts on
dependent predators resulting from fishing ona stock under consideration that is a key preyspecies.

This is the partner Essential Component of D.2.10. Where thestock under consideration is a key prey species, the standard must
require that fishing mortality on that species/stock is managed so
as not to result in severe adverse impacts on Dependent Predators.
The FAO Guidelines require that all sources of fishing mortality on
the stock under consideration are taken into account (whether or
not it is a prey species) in assessing the state of the stock underconsideration, including discards, unobserved mortality, incidental
mortality, unreported catches and catches in other fisheries. Severe
adverse impacts are mentioned in the Essential Components only in
relation to dependent predators. This is in line with the Ecolabelling
Guidelines. The severity of adverse impacts is related to theirpotential reversibility. Severe adverse impacts can be regarded as
those that are likely to be irreversible or very slowly reversible, which
is described in the Glossary.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.2 (41.2);
Paragraph 28.2 requires objectives, and as necessary, management measures to address pertinent aspects of theecosystem effects of fishing as per paragraph 31.
Paragraph 31.2 requires that if the stock under consideration is a key prey species in the ecosystem, management
measures are in place to avoid severe adverse impacts on dependent predators.

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D.3 11ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures, as necessary, designed
to achieve the management objectives (D.2.09)
that seek to minimize adverse impacts of theunit of certification, including any associatedenhancement activities, on the structure,processes and functions of aquatic ecosystems
that are likely to be irreversible or very slowly
reversible.

Ecosystem structure, processes and function are described in the
Glossary. This language is in accordance with Section 4.1.4.1 of the
FAO Ecosystem Approach to Fisheries, which suggests one of thebroad management objectives for fisheries could be to keep impact
on the structure, processes and functions of the ecosystem at an
acceptable level.
Adverse impacts that are likely to be irreversible or very slowly
reversible are discussed in the Glossary. These may include genetic
modification and changed ecological role.
An earlier version of the requirements included an Essential
Component on the conservation of biodiversity. Conservation of
biodiversity is not mentioned separately in the Guidelines, but it isincluded in the CCRF Article 7.2.2 (d), which requires that States andsub-regional or regional fisheries management organizations andarrangements should adopt appropriate measures, based on thebest scientific evidence available to provide that inter alia biodiversityof aquatic habitats and ecosystems is conserved. The structure
processes and function of aquatic ecosystems includes biodiversity,
hence this is considered to be included in this Essential Component.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31 (41); (36.9); CCRF Article 7.2
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31.
Paragraph 31 of the Guidelines requires that adverse impacts of the fishery on the ecosystem should be appropriately
assessed and effectively addressed. Paragraph 31 references Article 7.2 of the CCRF, which requires, inter alia, thatthe biodiversity of aquatic habitats and ecosystems is conserved. The structure, processes and function of aquatic
ecosystems is deemed to include biodiversity.
Paragraph 36.9 of the Inland Guidelines requires that In the case of enhanced fisheries, the fishery management
system should take due regard of the natural production processes and minimize adverse impacts on ecosystem
structure and function.

RELATED SUPPLEMENTARY COMPONENTS
D.3

1101 See page 265

D.3

11

02 See page 266

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GSSI Essential Components for Fisheries Certification Standardsu MANAGEMENT UNDER UNCERTAINTY
D.3 12

PRECAUTIONARY APPROACH

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the precautionary
approach is applied widely through the
management system to the conservation,
management and exploitation of living aquatic
resources in order to protect them and preserve
the aquatic environment.

The General Principles and Article 6.5 of the CCRF prescribe aprecautionary approach to all fisheries, in all aquatic systems,
regardless of their jurisdictional nature, recognizing that mostproblems affecting the fishing sector result from insufficiency of
precaution in management regimes when faced with high levels of
uncertainty.
The precautionary approach referred to in this Essential Component
is that elaborated in the FAO Document: Precautionary approachto capture fisheries and species introductions, FAO Technical
Guidelines for Responsible Fisheries. No. 2. Rome, FAO. 1996.
To meet this Essential Component, the standard must require interalia that the management system uses a suitable method of risk
management to take into account relevant uncertainties in thestatus of the stock under consideration and the impacts of the unitof certification on that stock and the ecosystem, including those
associated with the use of introduced or translocated species.
Where the application of less quantitative and data demanding
approaches results in greater uncertainty, the management systemshould apply more precaution, which may necessitate lower levelsof utilization of the resource.
The FAO Guidelines (Paragraph 29.6) state that the absence ofadequate scientific information should not be used as a reason
for postponing or failing to take conservation and management
measures.
The FAO Guidelines (Paragraph 31) note that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target
stocks. This issue can be addressed by taking a risk assessment/risk management approach (see also D.5.07).
The FAO Guidelines (Paragraph 32) also note that a past record ofgood management performance could be considered as supporting
evidence of the adequacy of the management measures and the
management system.
The suitability of the method of risk management applied should
be assessed by the technical team undertaking the assessment forcertification.

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FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.6 (36.7); 31 (41); 32 (42).
Articles 6.5 and 7.5.1 of the CCRF require that States should apply the precautionary approach widely to conservation,
management and exploitation of living aquatic resources in order to protect them and preserve the aquatic
environment.
Paragraph 29.6 of the Guidelines requires that the precautionary approach is being implemented to protect the stock
under consideration and to preserve the aquatic environment. Inter alia this will require that the absence of adequate
scientific information should not be used as a reason for postponing or failing to take conservation and management
measures.
Paragraph 31 of the Guidelines states that much greater scientific uncertainty is to be expected in assessing possible
adverse ecosystem impacts of fisheries than in assessing the state of target stocks. This issue can be addressed bytaking a “risk assessment/risk management approach”.
Paragraph 32 of the Guidelines states that use of less elaborate methods for stock assessment should not preclude
fisheries from possible certification for ecolabelling. However it should be noted that, to the extent that the applicationof such methods results in greater uncertainty about the state of the “stock under consideration”, more precautionary
approaches to managing fisheries on such resources will be required which may necessitate lower levels of utilization of
the resource.

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u FISHERY MANAGEMENT DOCUMENTATION
D.3 13

CONTINUOUS REVIEWGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the efficacy ofmanagement measures and their possible
interactions is kept under continuous review,
taking into account the multipurpose nature of
the use patterns in inland and marine waters.

The purpose of continuous review of the efficacy of conservationand management measures and their possible interactions is toensure that there is a well based expectation that management
will be successful, taking into account uncertainty and imprecision.
“Management measures” in this Essential Component are themeasures referred to in the other Essential Components in thisPerformance Area. They are regarded as being synonymous withthe “conservation and management measures” referred to in CCRF
Article 7.6.8.
The expression “taking into account the multipurpose nature of theuse patterns in inland and marine waters” refers to the uncertainty
arising from other (non-fishery) impacts on the fishery. For example,
if there are other users from other sectors, fishery management,
although not being able to control those sectors, should take theirimpacts into account when devising the strategy for achieving
management objectives. This is akin to taking into account all
sources of mortality on the fish stock, from fishing and non-fishingsources. For example, if water is abstracted from rivers at certain
times of the year and this has an adverse impact on the fish stock,
management of the fishery should address that fact (perhaps by
reducing fishing or having a closed season at this time), although
not being able to influence when and to what extent the water isabstracted. In a coastal context, the fishery management should be
integrated with coastal zone management to the extent necessary
to account for non-fishing impacts.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.1 (35.1); CCRF Article 6.9
Paragraph 28.1 of the Guidelines requires documented management approaches for the stock under consideration
with a well based expectation that management will be successful, taking into account uncertainty and imprecision.
Paragraph 35.1 of the Inland Guidelines (the equivalent of 28.1 from the Marine Guidelines) adds that the well-based
expectation that management will be successful should also take into account the multipurpose nature of the use
patterns in inland waters. This Essential Component extends this latter requirement to marine waters.
Article 6.9 of the CCRF states that States should ensure that their fisheries interests, including the need forconservation of the resources, are taken into account in the multiple uses of the coastal zone and are integrated into
coastal area management, planning and development.
Article 7.6.8 of the CCRF (continuous review) states that the efficacy of conservation and management measures andtheir possible interactions should be kept under continuous review. Such measures should, as appropriate, be revisedor abolished in the light of new information.

RELATED SUPPLEMENTARY COMPONENTS
D.3 1301 See page 267

D.3 1302 See page 268

D.3 1303 See page 269

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D.3 14

CONTINUOUS REVIEWGSSI ESSENTIAL COMPONENTGUIDANCE

The Standard requires that the methodology
and results of assessments of the current status
and trends of the stock under consideration
are made publicly available in a timely manner,respecting confidentiality where appropriate.

This Essential Component is included under the Element ofcontinuous review, but is essentially about transparency. It is linked
with Essential Component D. 1.05 that addressed Participatory
Management. To meet that Essential Component, the standard must
require the fisheries management organization or arrangement tomake information and advice used in its decision-making publicly
available. The methodology and results of assessments of the current
status and trends of the stock under consideration is part of theinformation and advice used in this decision-making. The publicationof this information may be constrained by legitimate rules governing
confidentiality.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
CCRF Article 12.3
CCRF Article 12.3 requires that states should ensure that data generated by research are analysed, that theresults of such analyses are published, respecting confidentiality where appropriate, and distributed in a timely andreadily understood fashion, in order that the best scientific evidence is made available as a contribution to fisheriesconservation, management and development.

D.3 15

CONTINUOUS REVIEWGSSI ESSENTIAL COMPONENTGUIDANCE

The Standard requires that the methodology
and results of the analysis of the most probableadverse impacts of the unit of certification
and any associated culture and enhancement
activity on the ecosystem are made publicly
available in a timely manner, respecting
confidentiality where appropriate.

This Essential Component is included under the Element ofcontinuous review, but is essentially about transparency. It is linked
with Essential Component D. 1.05 that addressed Participatory
Management. To meet that Essential Component, the standard must
require the fisheries management organization or arrangement tomake information and advice used in its decision-making publicly
available. The methodology and results of the analysis of themost probable adverse impacts of the unit of certification and any
associated culture and enhancement activity on the ecosystem ispart of the information and advice used in this decision-making. The
publication of this information may be constrained by legitimate rules
governing confidentiality.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
CCRF Article 12.3
CCRF Article 12.3 requires that states should ensure that data generated by research are analysed, that theresults of such analyses are published, respecting confidentiality where appropriate, and distributed in a timely andreadily understood fashion, in order that the best scientific evidence is made available as a contribution to fisheriesconservation, management and development.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Data and Information
GSSI Essential Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.4 01TARGET STOCK STATUS

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about the state
and trends of the stock under considerationin accordance with applicable international
standards and practices.

Adequate, reliable and current data and/or other information
are those which are commensurate with the development anddelivery of the best scientific evidence available. In this case, therequirement for data collection is focussed on the assessment of
the status and trends of stock under consideration (see Essential
Components D.5.01-D.5.03). Adequate, reliable and current data
and/or other information can include relevant traditional, fisher
or community knowledge, provided its validity can be objectively
verified.
Some fisheries and/or fish stock are hard to monitor for various
reasons, including remoteness of operation/distribution andcomplexity of fishing operations, posing particular challenges withthe collection and maintenance of adequate, reliable and current
data and/or other information. To meet this Essential Component
the standard must require the fishery to acknowledge and explainthese challenges and data collection and maintenance to cover
all stages of fishery development, in accordance with applicableinternational standards and practices.
Applicable international standards and practices include the outputof the Coordinating Working Party on Fishery Statistics (CWP) andthe FAO Guidelines for the routine collection of capture fishery data
(1998) FAO Fisheries Technical Paper. No. 382.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.1 (36.1)
Paragraph 29.1 requires that adequate data and/or information are collected, maintained and assessed in accordancewith applicable international standards and practices for evaluation of the current state and trends of the stocks.

RELATED SUPPLEMENTARY COMPONENTS
D.4 0101 See page 270

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Data and Information
GSSI Essential Components for Fisheries Certification Standardsu ECOSYSTEM EFFECTS OF FISHING
D.4 02ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about theeffects of the unit of certification, including
any associated enhancement activities, on
ecosystem structure, processes and functionin accordance with applicable international
standards and practices.

Adequate, reliable and current data and/or other information are
described in the Glossary. In general these are data which arecommensurate with the development and delivery of the best
scientific evidence available. The requirements for data collection arefocussed on the effects of the unit of certification on the ecosystem,
including direct and indirect effects. The adequacy of data relates
primarily to the quantity and type of data collected (including
sampling coverage) and depends crucially on the nature of thesystems being monitored and purposes to which the data are being
put. Some analysis of the precision resulting from sampling coverage
would normally be part of an assessment of adequacy and reliability.
The currency of data is important inter alia because its capacity forsupporting reliable assessment of current status and trends declines
as it gets older. Adequate, reliable and current data and/or otherinformation can include relevant traditional, fisher or community
knowledge, provided its validity can be objectively verified (i.e. theknowledge has been collected and analysed though a systematic,
objective and well-designed process, and is not just hearsay).
The requirements for data collection are focussed on the effects of
the unit of certification on the ecosystem structure, processes andfunction. The component relating to enhancement activities may be“not applicable” to schemes that explicitly do not cover enhanced
fisheries.
Ecosystem structure, processes and function are described in the
Glossary. This language is in accordance with Section 4.1.4.1 of the
FAO Ecosystem Approach to Fisheries, which suggests one of thebroad management objectives for fisheries could be to keep impact
on the structure, processes and functions of the ecosystem at an
acceptable level.
Applicable international standards and practices include the outputof the Coordinating Working Party on Fishery Statistics (CWP) andthe FAO Guidelines for the routine collection of capture fishery data
(1998) FAO Fisheries Technical Paper. No. 382.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41)
Paragraph 31 of the Guidelines requires consideration of the most probable adverse impacts of the fishery on theecosystem, taking into account available scientific information, and traditional, fisher or community knowledge provided
that its validity can be objectively verified.
Article 6.4 of the CCRF requires States to assign priority to undertake research and data collection in order to improvescientific and technical knowledge of fisheries including their interaction with the ecosystem.

RELATED SUPPLEMENTARY COMPONENTS
D.4 0201 See page 271

D.4 02

02 See page 272

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Data and Information
GSSI Essential Components for Fisheries Certification Standards
D.4 03

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information on non-target
catches and discards in the unit of certification.

Adequate, reliable and current data and/or other information are
described in the Glossary. In general these are data which arecommensurate with the development and delivery of the best
scientific evidence available. The requirements for data collection arefocussed on the need to assess the effects of the unit of certification
on non-target stocks. Non-target catches and discards refer tospecies/stocks that are taken by the unit of certification other than
the stock for which certification is being sought (see Glossary).
The adequacy of data relates primarily to the quantity and type ofdata collected (including sampling coverage) and depends cruciallyon the nature of the systems being monitored and purposes towhich the data are being put. Some analysis of the precision
resulting from sampling coverage would normally be part of anassessment of adequacy and reliability. The currency of data isimportant inter alia because its capacity for supporting reliable
assessment of current status and trends declines as it gets older.
Adequate, reliable and current data and/or other information
can include relevant traditional, fisher or community knowledge,
provided its validity can be objectively verified (i.e. the knowledge
has been collected and analysed though a systematic, objective
and well-designed process, and is not just hearsay).
The requirements for data collection in this Essential Component
are focussed on the effects of the unit of certification on non-target
species/stocks. Non-target catches/stocks are described in the
Glossary. Catches of Endangered species are covered in Essential
Component D.4.04.
Applicable international standards and practices include the outputof the Coordinating Working Party on Fishery Statistics (CWP) andthe FAO Guidelines for the routine collection of capture fishery data
(1998) FAO Fisheries Technical Paper. No. 382.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31.1 (41.1)
Paragraph 31.1 of the Guidelines requires that Non target catches, including discards, of stocks other than the stock
under consideration are monitored.

RELATED SUPPLEMENTARY COMPONENTS
D.4 0301 See page 273

D.4 0302 See page 274

D.4 0303 See page 275

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Data and Information
GSSI Essential Components for Fisheries Certification Standards
D.4 04ENDANGERED SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about the effects of
the unit of certification, including any associatedenhancement activities, on endangered species
in accordance with applicable international
standards and practices.

Adequate, reliable and current data and/or other information is
described in the Glossary. In general these are data which arecommensurate with the development and delivery of the best
scientific evidence available. The requirements for data collection arefocussed on the effects of the unit of certification on the ecosystem,
including direct and indirect effects. The adequacy of data relates
primarily to the quantity and type of data collected (including
sampling coverage) and depends crucially on the nature of thesystems being monitored and purposes to which the data are being
put. Some analysis of the precision resulting from sampling coverage
would normally be part of an assessment of adequacy and reliability.
The currency of data is important inter alia because its capacity forsupporting reliable assessment of current status and trends declines
as it gets older. Adequate, reliable and current data and/or otherinformation can include relevant traditional, fisher or community
knowledge, provided its validity can be objectively verified (i.e. theknowledge has been collected and analysed though a systematic,
objective and well-designed process, and is not just hearsay).
The requirements for data collection are focussed on the effectsof the unit of certification on endangered species. The component
relating to enhancement activities may be “not applicable”
to schemes that explicitly do not cover enhanced fisheries.
Endangered species are described in the Glossary.
Applicable international standards and practices include the outputof the Coordinating Working Party on Fishery Statistics (CWP) andthe FAO Guidelines for the routine collection of capture fishery data
(1998) FAO Fisheries Technical Paper. No. 382.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.1 (41.1); CCRF 6.4 and 7.2.2(d)Paragraph 31 of the Guidelines requires consideration of the most probable adverse impacts of the fishery on theecosystem, taking into account available scientific information, and traditional, fisher or community knowledge provided
that its validity can be objectively verified. Paragraph 31.1 requires that Non target catches, including discards, ofstocks other than the stock under consideration are monitored.
Article 6.4 of the CCRF requires States to assign priority to undertake research and data collection in order to improvescientific and technical knowledge of fisheries including their interaction with the ecosystem. CCRF paragraph 7.2.2(d)requires that endangered species are protected through the adoption of appropriate measures, based on the best
scientific evidence available.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Data and Information
GSSI Essential Components for Fisheries Certification Standards
D.4 05

HABITATGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that there is knowledge
within the fishery management system of
the essential habitats for the stock underconsideration and habitats that are highly
vulnerable to damage by the fishing gear of theunit of certification. This includes knowledgeof the full spatial range of the relevant habitat,
not just that part of the spatial range that is
potentially affected by fishing.

The level of knowledge of the essential habitats for the stock underconsideration and habitats that are highly vulnerable to damage by
the fishing gear of the unit of certification should provide sufficientunderstanding to enable impacts of the unit of certification on
those habitats to be avoided, minimized or mitigated; i.e. for the
management objective with respect to habitat (D.2.09) to beachieved. The achievement of this Essential Component should
be considered alongside D.5.08 and D.6.07. In particular, the FAO
Ecolabelling Guidelines acknowledge the importance of a “riskassessment/risk management approach” to address the issue ofgreater scientific uncertainty associated with ecosystem impacts;
also that the most probable adverse impacts should be considered,taking into account available scientific information, and traditional,
fisher or community knowledge provided that its validity can beobjectively verified. The knowledge of the habitats in question
can therefore include relevant traditional, fisher or community
knowledge, provided its validity can be objectively verified (i.e. theknowledge has been collected and analysed though a systematic,
objective and well-designed process, and is not just hearsay).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.3 (41.3)
Paragraph 31 of the Guidelines requires that adverse impacts of the fishery on the ecosystem should be appropriately
assessed. Paragraph 31 also recognises that much greater scientific uncertainty is to be expected in assessing possible
adverse ecosystem impacts of fisheries than in assessing the state of target stocks and that this issue can be addressed bytaking a “risk assessment/risk management approach” (see also D.6.07).
Paragraph 31.3 of the Guidelines requires there to be knowledge of the essential habitats for the “stock under consideration”
and potential fishery impacts on them. It also requires that in In assessing fishery impacts, the full spatial range of the relevant
habitat should be considered, not just that part of the spatial range that is potentially affected by fishing.

RELATED SUPPLEMENTARY COMPONENTS
D.4 0501 See page 276

D.4 05

02 See page 277

D.4 05

03 See page 278

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Data and Information
GSSI Essential Components for Fisheries Certification Standards
D.4 06

DEPENDENT PREDATORSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that data and information
are collected on the role of the stock underconsideration in the food-web to enable
determination of whether it is a key prey species
in the ecosystem, and if so whether fishingon that stock might result in severe adverse
impacts on dependent predators.

The data and information collected must be sufficient to provide
adequate knowledge of the role of the stock under consideration in
the food-web to determine whether it is a key prey species and, if
so, whether fishing on that stock under consideration might result
in severe adverse impacts on dependent predators. Where thestock under consideration is a key prey species, the standard must
require that fishing mortality on that species/stock is managed so
as not to result in severe adverse impacts on Dependent Predators.
The FAO Guidelines require that all sources of fishing mortality on
the stock under consideration are taken into account (whether or
not it is a prey species) in assessing the state of the stock underconsideration, including discards, unobserved mortality, incidental
mortality, unreported catches and catches in other fisheries.
Data and information on the role of the stock under consideration in
the food-web can include relevant traditional, fisher or community
knowledge, provided its validity can be objectively verified (i.e. theknowledge has been collected and analysed though a systematic,
objective and well-designed process, and is not just hearsay).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31.2 (41.2)
Paragraph 31.2 requires that role of the “stock under consideration” in the food-web is considered, and if it is a key preyspecies in the ecosystem, management measures are in place to avoid severe adverse impacts on dependent predators.
The role of data and information in this context is therefore to determine whether the stock under consideration is a key
prey species and if so whether fishing by the unit of certification on that stock might result in severe adverse impacts on
dependent predators.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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GSSI Essential Components for Fisheries Certification Standardsu TRADITIONAL, FISHER OR COMMUNITY KNOWLEDGE
D.4 07TRADITIONAL, FISHER OR COMMUNITY KNOWLEDGE

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that any traditional,
fisher or community knowledge used within the
management system can be objectively verified.

The methods by which traditional, fisher or community knowledge
can be objectively verified will vary between fisheries, and will need
to be assessed by the auditors. Elsewhere in the Benchmark thereis the general suggestion that the knowledge should be collected
and analysed though a systematic, objective and well-designed
process, and is not be just hearsay. Scientific uncertainty associatedwith the use of traditional, fisher or community knowledge can beassessed using a risk assessment/risk management approach, as
specified in the Guidelines. In all cases, the management measures
implemented by the management system must be based on thebest scientific evidence available (Essential Component D.3.02).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.1 (36.1); 29.2 (36.2); 29.3 (36.4); 31 (41)
Throughout the FAO Guidelines, wherever the use by the management system of traditional, fisher or community
knowledge is mentioned, there is also mentioned the proviso that it be objectively verified. This Essential Component
reflects that overarching requirement.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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GSSI Essential Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.5 01

STOCK ASSESSMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires management decisions
by the fishery management organization or
arrangement (D.1.02) to be based on anassessment of the current status and trendsof the stock under consideration, using
adequate, reliable and current data and/or otherinformation. Other information may include
generic evidence based on similar stocks,
when specific information on the stock underconsideration is not available, providing there
is low risk to the stock under consideration inaccordance with the Precautionary Approach.

This is a partner Essential Component to D.4.01 which covers thecollection and maintenance of the data to be used in the stock
assessment referred to in this Essential Component. The purpose of
the stock assessment is to contribute to the best scientific evidence
available which is used by the fishery management organization or
arrangement (D.1.02) to establish management objectives for thestock under consideration (D.2), management measures (D.3) tomeet those objectives and evidence regarding outcome status (D.6)- i.e. whether the objectives have been met.
The Ecolabelling Guidelines provide additional guidance on theuse of data in the stock assessment. Specifically, in the absenceof specific information on the stock under consideration, genericevidence based on similar stocks can be used for fisheries with low
risk to that stock under consideration. The language of the Essential
Component aligns with this text, however, it raises a concern that
this approach could be used inappropriately in cases where the risk
to the stock under consideration is not “low”. The greater the risk,
the more specific evidence is necessary to assess sustainability.
In principle, ‘generic evidence based on similar stocks’ should
not suffice, but it may be adequate where there is low risk to thestock under consideration. In general, “Low risk to the stock underconsideration” would suggest that there is very little chance of thestock becoming overfished, for example where the exploitation
rate is very low and the resilience of the stock is high (see Essential
Component D.5.03). However, the Standard should make it clearthat the evidence for low risk and the justification for using surrogate
data must come from the stock assessment itself.
The aim of this Essential Component, in conjunction with Essential
Component D.5.04, is to avoid the use of less elaborate methods ofstock assessment automatically precluding fisheries from potential
certification. Nevertheless, to the extent that the application of suchmethods results in greater uncertainty about the state of the stock
under consideration, more precaution must be applied in managing
fisheries on such stocks. This may, for example, necessitate
lower levels of utilization of the resource than would be possible
with lower levels of uncertainty, in accordance with the Essential
Components covering the Precautionary Approach (D.3.12) and theBest Scientific Evidence Available (D.2.02 and D.3.02).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.1 (36.1); 30.4 (37.4)
Paragraph 29.1 of the Guidelines requires that adequate data and/or information are collected, maintained and assessed inaccordance with applicable international standards and practices for evaluation of the current state and trends of the stocks.
Paragraph 30.4 of the Guidelines states that In the absence of specific information on the “stock under consideration”,
generic evidence based on similar stocks can be used for fisheries with low risk to that “stock under consideration”.
However, the greater the risk the more specific evidence is necessary to ascertain the sustainability of intensive fisheries.

RELATED SUPPLEMENTARY COMPONENTS
D.5 0101 See page 279

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GSSI Essential Components for Fisheries Certification Standards
D.5 02STOCK ASSESSMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the assessment of
the current status and trends of the stock underconsideration considers total fishing mortality onthat stock from all sources including discards,
unobserved mortality, incidental mortality,
unreported catches and catches in all fisheries
over its entire area of distribution.

This is a partner Essential Component to D.3.03. Management
measures for the stock under consideration must be based on
an assessment of that stock which takes account of all removals
from the stock over its entire area of distribution, i.e. not just by
the unit of certification but by all fisheries that utilize that stock,
including bycatch, discards, unobserved mortality, incidental
mortality, unreported catches, and catches taken outside of theunit of certification. Note that these terms are not defined here, orin the Glossary. They are used collectively in this context to cover
all possible descriptions of fishery removals of the stock underconsideration. See also Essential Component D.1.09 covering
the effective and suitable monitoring, surveillance, control andenforcement of the fishery of which the unit of certification is a part.
Area of Distribution is described in the Glossary based on a CITES
reference for species, but in the context of fish and fisheries, thiscan be used for stocks.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
25 (32); 29.2bis (36.3)
Paragraph 25 of the Guidelines states that in assessing compliance with certification standards, the impacts on thestock under consideration of all the fisheries utilizing that stock under consideration over its entire area of distribution
are to be considered.
Paragraph 29.2bis requires that total fishing mortality from all sources is considered in assessing the state of the stock
under consideration, including discards, unobserved mortality, incidental mortality, unreported catches and catches inother fisheries.

D.5 03

STOCK ASSESSMENTGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the assessment of
the current status and trends of the stock underconsideration takes into account the structure
and composition of that stock which contributeto its resilience.

Resilience is described in the Glossary. Understanding the resilienceof a stock (i.e. it’s ability to recover from a disturbance) is an
important part of assessing that stock’s status and trends andcontributes to an assessment of the level of risk to that stock (seeEssential Component D.5.01).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
30 (37); 30.3 (37.3)
Paragraph 30 of the Guidelines requires that the stock under consideration is not overfished, and is maintained at alevel which promotes the objective of optimal utilization and maintains its availability for present and future generations.
In maintaining the stock at this level, Paragraph 30.3 requires that management measures take into account thestructure and composition of the stock under consideration which contribute to its resilience. This “taking into account”
is achieved through the stock assessment.

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GSSI Essential Components for Fisheries Certification Standards
D.5 04ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

In the case of enhanced fisheries, the standard
requires that the assessment of current status
and trends of the stock under consideration
includes an evaluation of whether there are
significant negative impacts of enhancement
activities on the naturally reproductive
component of the stock under consideration.

This Essential Component addresses the need for standards torequire an assessment to support the achievement of management
objectives specified in Essential Component D.2.06. It refers to
Enhanced Fisheries, hence it may be regarded as not applicable if
the Scheme/Standard explicitly excludes enhanced fisheries (seealso Guidance for D.2.06) The term natural reproductive stockcomponents is explained in the Glossary. The term “significant
negative impacts” is used in the Inland Guidelines. This was notintended to be equivalent to severe adverse impacts (on dependent
predators). The consultation that resulted in the drafting of theInland Guidelines considered that avoidance of “severe adverse
impacts” only would not be consistent with a management
obligation to manage enhancement in ways that would not impact
the productivity and abundance of the natural reproductive stockcomponent of the stock under consideration.
The Guidelines specifically require that naturally reproductive
components of enhanced stocks are not substantially displaced bystocked components. In particular, displacement must not resultin a reduction of the natural reproductive stock component below
abundance-based target reference points (or their proxies). With
respect to aquaculture production of organisms for stocking, there
should be an advance evaluation of the effects of aquaculture
development on genetic diversity and ecosystem integrity, based on
the best scientific information available.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(39); (40); CCRF Article 9
Paragraph 39 of the Inland Guidelines requires avoidance of significant negative impacts of enhancement activities on
the natural reproductive components of stock under consideration.
Paragraph 40 of the Inland Guidelines states that aquaculture production of organisms for stocking should bemanaged and developed according to relevant provisions of Article 9 of the CCRF, especially in relation to maintaining
the integrity of the environment, the conservation of genetic diversity, disease control, and quality of stocking material.
CCRF Article 9.1.2: States should promote responsible development and management of aquaculture, including an
advance evaluation of the effects of aquaculture development on genetic diversity and ecosystem integrity, based on
the best available scientific information.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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GSSI Essential Components for Fisheries Certification Standards
D.5 05ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

In the case of fisheries that are enhanced
through aquaculture inputs, the standard
requires that the stock assessment of the stock
under consideration must consider the separate
contributions from aquaculture and natural
production.

This is a technical requirement applicable to stock assessments offisheries that are enhanced through aquaculture inputs. If fisheries
that are enhanced through aquaculture inputs are explicitly outof scope for the scheme, then this Essential Component is notapplicable.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(43)
Paragraph 43 of the Inland Guidelines requires that stock assessment of fisheries that are enhanced throughaquaculture inputs must consider the separate contributions from aquaculture and natural production.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Assessment Methodologies
GSSI Essential Components for Fisheries Certification Standardsu ECOSYSTEM EFFECTS OF FISHING
D.5 06

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires an assessment of
the extent to which non-target catches anddiscards by the unit of certification of stocks
other than the stock under consideration andany associated culture and enhancement
activities threaten those non-target stocks withrecruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

This is the partner Essential Component of D.4.03 that requires thecollection and maintenance of adequate, reliable and current data
and/or other information on non-target catches and discards inthe unit of certification. Non-target catches and discards refers tospecies/stocks that are taken by the unit of certification other than
the stock for which certification is being sought (see Glossary).
This Essential Component addresses the need for standards torequire an assessment to support the achievement of management
objectives specified in Essential Component D.2.07. This Essential
Component is explicitly and deliberately confined to the effects
of non-target catches and discards by the unit of certification on
those non-target species/stocks. Cumulative effects on non-target
species/stocks are not included in the Ecolabelling Guidelines. They
are not part of the Essential Components, but they are coveredin the Supplemental Components. The component relating toenhancement activity may be “not applicable” to schemes that
explicitly do not cover enhanced fisheries. Non-target catches/stocks are described in the Glossary.
Examples of irreversible or very slowly reversible effects on bycatch
species include excessive depletion of very long-lived organisms(see Glossary).

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.1 (41.1)
Paragraph 28.2 requires objectives, and as necessary, management measures to address pertinent aspects of theecosystem effects of fishing as per paragraph 31.
Paragraph 31 requires those [ecosystem] impacts that are likely to have serious consequences should be addressed.
This may take the form of an immediate management response or further analysis of the identified risk.
Paragraph 41.1 of the Inland guidelines (a re-write of 31.1 from the marine fisheries guidelines) states: “Non-target
catches, including discards, of stocks other than the “stock under consideration” are monitored and should notthreaten these non-target stocks with recruitment overfishing or other impacts that are likely to be irreversible or very
slowly reversible. If such impacts arise, effective remedial action should be taken.”

RELATED SUPPLEMENTARY COMPONENTS
D.5 0601 See page 280

D.5 06

02 See page 281

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Assessment Methodologies
GSSI Essential Components for Fisheries Certification Standards
D.5 07ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires an analysis of theeffects of the unit of certification, including
any associated enhancement activities whereapplicable, on ecosystem structure, processes
and function to develop timely scientific advice
on the likelihood and magnitude of impacts.

This is the partner Essential Component of D.4.02 that requires thecollection and maintenance of adequate, reliable and current data
and/or other information about the effects of the unit of certification,
including any enhancement activities, on ecosystem structure,processes and function. The component relating to enhancement
activity may be “not applicable” to schemes that explicitly do
not cover enhanced fisheries. Ecosystem structure, processes
and function are described in the Glossary. This language is inaccordance with Section 4.1.4.1 of the FAO Ecosystem Approach
to Fisheries, which suggests one of the broad management
objectives for fisheries could be to keep impact on the structure,processes and functions of the ecosystem at an acceptable level.
This requirement is about the analysis of these data to develop thebest scientific evidence available regarding the ecosystem effectsof fishing, which is used by the fishery management organization or
arrangement (D.1.02) to establish management objectives (D.2) andmanagement measures (D.3) to meet those objectives.
The data and analysis may include local, traditional or indigenous
knowledge and research, providing its validity can be objectively
verified.
As expressed in the Guidance relating to the Essential Component
on the precautionary approach (D.3.12), much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target
stocks. This issue can be addressed by taking a risk assessment/risk management approach. Note that some ecosystem impacts
such as those on bycatch species are often more readily
quantifiable than others, such as those on habitat. While arisk assessment approach may mitigate a lack of quantitative
information, the management system must still ensure adequate
mitigation of adverse impacts.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
29.3 (36.4); 31 (41)
Paragraph 29.3 requires identification of adverse impacts of the fishery on the ecosystem, and provision of timely
scientific advice on the likelihood and magnitude of identified impacts.
Paragraph 31 requires adverse impacts of the fishery on the ecosystem to be appropriately assessed and that themost probable adverse impacts are considered.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Assessment Methodologies
GSSI Essential Components for Fisheries Certification Standards
D.5 08

HABITATGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires an assessment of the
impacts of the unit of certification, including
any associated enhancement activities whereapplicable, on essential habitats for the stock
under consideration and on habitats that arehighly vulnerable to damage by the fishing gearof the unit of certification. The assessment
should consider the full spatial range of therelevant habitat, not just that part of the spatial
range that is potentially affected by fishing.

This is the partner Essential Component of D.4.05 that requires
knowledge within the fishery management system of the essential
habitats for the stock under consideration and habitats that are highly
vulnerable to damage by the fishing gear of the unit of certification.
Under this Essential Component the standard must require andassessment of the impacts of the unit of certification on thesehabitats. The component relating to enhancement activity may be“not applicable” to schemes that explicitly do not cover enhanced
fisheries. The results of the assessment should provide sufficientunderstanding of the relevant habitats and fishery impacts on themto enable those impacts to be avoided, minimized or mitigated; i.e.
for the management objective with respect to habitat (D.2.09) to beachieved. The achievement of this Essential Component should
be considered alongside D.4.05 and D.6.07. In particular, the FAO
Ecolabelling Guidelines acknowledge the importance of a “riskassessment/risk management approach” to address the issue ofgreater scientific uncertainty; also that the most probable adverse
impacts should be considered, taking into account available scientificinformation, and traditional, fisher or community knowledge provided
that its validity can be objectively verified.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.3 (41.3)
Paragraph 31 requires that adverse impacts of the fishery on the ecosystem should be appropriately assessed.
Paragraph 31 also recognises that much greater scientific uncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target stocks and that this issue can be addressed bytaking a “risk assessment/risk management approach” (see also D.6.07).
Paragraph 31.3 requires there to be knowledge of the essential habitats for the “stock under consideration” andpotential fishery impacts on them. It also requires that Impacts on essential habitats and on habitats that are highly
vulnerable to damage by the fishing gear involved are avoided, minimized or mitigated. It further states that In assessing
fishery impacts, the full spatial range of the relevant habitat should be considered, not just that part of the spatial rangethat is potentially affected by fishing.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Assessment Methodologies
GSSI Essential Components for Fisheries Certification Standards
D.5 09DEPENDANT PREDATORSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that data and informationon the role of the stock under considerationin the food-web are assessed to determine
whether it is a key prey species in theecosystem, and if so whether fishing on thatstock might result in severe adverse impacts on
dependent predators.

The purpose of assessing the data and information is to provide
adequate knowledge of the role of the stock under considerationin the food-web. Adequate knowledge means there is enoughunderstanding of the role of the stock under consideration in the
food-web to determine whether it is a key prey species and, if so,whether fishing on that stock under consideration might result insevere adverse impacts on dependent predators.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.2 (41.2)
Paragraph 31 of the Guidelines requires adverse impacts of the fishery on the ecosystem to be appropriately assessed.
Paragraph 31.2 of the Guidelines requires that the role of the “stock under consideration” in the food-web isconsidered, and if it is a key prey species in the ecosystem, management measures are in place to avoid severe
adverse impacts on dependent predators.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Assessment Methodologies
GSSI Essential Components for Fisheries Certification Standards
D.5 10ENDANGERED SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires an assessment of the
impacts of the unit of certification, including
any associated enhancement activities whereapplicable, on endangered species.

This is the partner Essential Component of D.4.04 that requires thecollection and maintenance of adequate, reliable and current data
and/or other information about the effects of the unit of certification,
including any enhancement activities, on endangered species. Under
this Essential Component the standard must require and assessmentof the impacts of the unit of certification on these species. The
component relating to enhancement activity may be “not applicable” toschemes that explicitly do not cover enhanced fisheries. The results of
the assessment should provide sufficient understanding of the relevant
endangered species and fishery impacts on them to enable theirprotection from those impacts; i.e. for the management objective withrespect to endangered species (D.2.08) to be achieved.
The achievement of this Essential Component should be consideredalongside D.4.04 and D.6.06. In particular, the FAO Guidelines
acknowledge the importance of a “risk assessment/risk management
approach” to address the issue of greater scientific uncertainty
associated with ecosystem impacts; also that the most probableadverse impacts should be considered, taking into account available
scientific information, and traditional, fisher or community knowledge
provided that its validity can be objectively verified.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.1 (41.1); CCRF 6.4 and 7.2.2(d)Paragraph 31 of the Guidelines requires consideration of the most probable adverse impacts of the fishery on the ecosystem,taking into account available scientific information, and traditional, fisher or community knowledge provided that its validity canbe objectively verified. Paragraph 31.1 requires that Non target catches, including discards, of stocks other than the stock
under consideration are monitored.
CCRF Article 6.4 requires States to assign priority to undertake research and data collection in order to improve scientific andtechnical knowledge of fisheries including their interaction with the ecosystem. CCRF Article 7.2.2(d) requires that endangered
species are protected through the adoption of appropriate measures, based on the best scientific evidence available.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.6 01TARGET STOCK STATUS

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the stock underconsideration is not overfished.

The stock under consideration is considered to be overfished if its
stock size is below its limit reference point (or its proxy). Decisionrules should avoid stocks falling below Blim but sometimes they
do not for reasons that may or may not be wholly or partly due tothe fishery and/or the management of the fishery. Nevertheless, thelanguage in the Guidelines states that “the stock under consideration
is not overfished, and is maintained at a level which promotes
the objective of optimal utilization and maintains its availability forpresent and future generations.” If the stock under consideration ofa certified fishery becomes overfished, the scheme should cause thecertification of this fishery to be suspended or revoked.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
30. (37); 30.1 (37.1); (39)
Paragraph 30 requires that the stock under consideration is not overfished, and is maintained at a level which promotes
the objective of optimal utilization and maintains its availability for present and future generations.
Paragraph 30.1 requires that The stock under consideration is not overfished if it is above the associated limit reference
point (or its proxy).

D.6 02TARGET STOCK STATUS

GSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives for the stock underconsideration (D.2.01, D.2.03, D.2.04).

The relevant management objectives are those referred to in
Performance Area 2 and are for the whole of the stock underconsideration. The outcome indicators should be consistent
with demonstrating that the management objectives have beeneffectively achieved. Outcome indicators are required for all
management objectives for the stock under consideration, which
may include, for example, target reference points that take
into account the requirements of dependent predators, whereappropriate (D.2.10).

FAO REFERENCE
4FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
40 (51)
Paragraph 40 [51] of the guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries. The standards reflect theobjectives for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative andqualitative indicators of the governance system or management regime of a fishery as well as of its outcome in termsof sustainable fisheries and conservation of marine fishery resources and related ecosystems. Outcome indicators for
management objectives for the stock under consideration may include, for example, target reference points that take
into account the requirements of dependent predators, where appropriate (D.2.10).

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 03ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires that the natural
reproductive stock components of enhanced
stocks are not overfished.

All Essential Components that address Enhanced Fisheries canbe “not applicable” to schemes that explicitly do not cover thesefisheries. In the case of enhanced fisheries, the stock underconsideration may comprise naturally reproductive components
and components maintained by stocking. The natural reproductive
stock component of enhanced stocks is described in the Glossary.
In the context of avoiding significant negative impacts ofenhancement activities on the natural reproductive components ofthe stock under consideration, the Inland Ecolabelling Guidelines
state that displacement [of the naturally reproductive components
of enhanced stocks by stocked components] must not result ina reduction of the natural reproductive stock component below
abundance-based target reference points (or their proxies).
Decision rules (D.3.05) should avoid stocks falling below Blim but
sometimes they do not for reasons that may or may not be whollyor partly due to the fishery and/or the management of the fishery.
Nevertheless, the language in the Guidelines states that both thestock under consideration and the naturally reproductive components
of enhanced stocks are not overfished. In addition, naturally
reproductive components of enhanced stocks are not substantiallydisplaced by stocked components. If the stock under considerationof a certified fishery becomes overfished, the scheme should cause
the certification of this fishery to be suspended or revoked.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(39)
Paragraph 39 of the Inland Guidelines requires that naturally reproductive components of enhanced stocks are notoverfished. This is to be interpreted in the context of avoiding significant negative impacts of enhancement activities on
the natural reproductive components of stock under consideration.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 04ENHANCED FISHERIESGSSI ESSENTIAL COMPONENTGUIDANCE

In the case of enhanced fisheries, the standard
requires that the natural reproductive stockcomponent of enhanced stocks is notsubstantially displaced by stocked components.

All Essential Components that address Enhanced Fisheries canbe “not applicable” to schemes that explicitly do not cover thesefisheries. In the case of enhanced fisheries, the stock underconsideration may comprise naturally reproductive components
and components maintained by stocking. The natural reproductive
stock component of enhanced stocks is described in the Glossary.
With respect to “substantially displaced”, in particular, displacement must
not result in a reduction of the natural reproductive stock component
below abundance-based target reference points (or their proxies).

FAO REFERENCE[FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)(39)
Paragraph 39 of the Inland Guidelines requires that naturally reproductive components of enhanced stocks are notsubstantially displaced by stocked components. This is to be interpreted in the context of avoiding significant negative
impacts of enhancement activities on the natural reproductive components of stock under consideration.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standardsu ECOSYSTEM EFFECTS OF FISHING
D.6 05

NON-TARGET CATCHESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives for non-target stocks(D.2.05).

The relevant management objectives are those referred to in
Performance Area 2 and are for non-target species/stocks. The
outcome indicators should be consistent with demonstrating thatthe management objectives (D.2.07) have been effectively achieved.
Non-target stocks refer to species/stocks that are taken by the unitof certification other than the stock for which certification is beingsought (see Glossary).
Examples of irreversible or very slowly reversible effects on bycatch
species include excessive depletion of very long-lived organisms(see Glossary). To mitigate effects that are likely to be irreversible orvery slowly reversible requires those effects to be made less severe
such that they are no longer likely to be irreversible or very slowly
reversible.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31.1 (41.1); 40 (51)Paragraph 28.2 requires objectives, and as necessary, management measures to address pertinent aspects of theecosystem effects of fishing as per paragraph 31.
Paragraph 31 requires those [ecosystem] impacts that are likely to have serious consequences should be addressed.
This may take the form of an immediate management response or further analysis of the identified risk.
Paragraph 41.1 of the Inland guidelines (a re-write of 31.1 from the marine fisheries guidelines) states: “Non-target
catches, including discards, of stocks other than the “stock under consideration” are monitored and should notthreaten these non-target stocks with recruitment overfishing or other impacts that are likely to be irreversible or very
slowly reversible. If such impacts arise, effective remedial action should be taken.”Paragraph 40 [51] of the guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries. The standards reflect the objectives
for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative and qualitative
indicators of the governance system or management regime of a fishery as well as of its outcome in terms ofsustainable fisheries and conservation of marine fishery resources and related ecosystems.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 06ENDANGERED SPECIESGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.08) that seek toensure that Endangered species are protectedfrom adverse impacts resulting from interactions
with the unit of certification and any associatedculture or enhancement activity, including
recruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

The context of this Essential Component is Endangered Species.
Endangered species are defined in the Glossary. These species are
already adversely impacted at the population level, by definition,
and are susceptible to further adverse impacts at this level fromwhich they need to be protected. Where “adverse impacts” is usedin relation to Endangered Species in the FAO Guidelines there isno further qualification provided (i.e. no “significant” or “severe”).
Elsewhere in the Guidelines, the term “adverse impacts” is qualified,
but in each case this is in a very specific context. For example. The
term “significant negative impacts” is used in the FAO Ecolabelling
Guidelines only in relation to enhanced fisheries and “severe
adverse impacts” is used only in relation to dependent predators.
The term “significant adverse impacts” occurs only in the Deep Sea
Guidelines with respect to VMEs.
The outcome indicators required by the standard should beconsistent with demonstrating that the management objectives forEndangered Species (D.2.08) have been effectively achieved. The
actual outcome would be measures by an assessment required
under D.5.10.
The FAO Ecolabelling Guidelines acknowledge that much greater
scientific uncertainty is to be expected in assessing possible
adverse ecosystem impacts of fisheries than in assessing the stateof target stocks (paragraph 31 (41)), hence the outcome indicators
necessary to meet this Essential Component should take into
account risk and uncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.1 (41.1); CCRF 7.2.2 and 7.6.9.
The CCRF mentions endangered species in Articles 7.2.2 (objectives) and 7.6.9 (minimizing catch). CCRF Article
7.2.2(d) requires that endangered species are protected through the adoption of appropriate measures, based on thebest scientific evidence available.
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31.
Paragraph 31 of the Guidelines requires those [ecosystem] impacts that are likely to have serious consequences should
be addressed. This may take the form of an immediate management response or further analysis of the identified risk.
Paragraph 40 [51] of the Guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries [including enhanced fisheries].
The standards reflect the objectives for sustainable fisheries that are being pursued through the scheme. Standards
comprise quantitative and qualitative indicators of the governance system or management regime of a fishery as well asof its outcome in terms of sustainable fisheries and conservation of marine fishery resources and related ecosystems.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 07

HABITATGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.09) for avoiding,minimizing or mitigating the impacts of theunit of certification on essential habitats for the“stock under consideration” and on habitatsthat are highly vulnerable to damage by thefishing gear of the unit of certification.

The outcome indicators should be consistent with demonstratingthat the management objectives have been effectively achieved for
habitat (D.2.09).
Essential habitats are described in the Glossary. Examples ofimpacts on habitat that should be avoided include the destruction
or severe modification of rare and/or vulnerable habitats. In
assessing fishery impacts, the full spatial range of the relevant
habitat should be considered, not just that part of the spatial rangethat is potentially affected by fishing.
The FAO Guidelines acknowledge that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state oftarget stocks (paragraph 31 (41)), hence the outcome indicators
necessary to meet this Essential Component should take into
consideration risk and uncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.3 (41.3)
Paragraph 31 of the Guidelines requires those [ecosystem] impacts that are likely to have serious consequences should
be addressed. This may take the form of an immediate management response or further analysis of the identified risk.
Article 6.8 of the CCRF states that all critical fisheries habitats in marine and fresh water ecosystems, such as wetlands,
mangroves, reefs, lagoons, nursery and spawning areas, should be protected and rehabilitated as far as possible andwhere necessary. Particular effort should be made to protect such habitats from destruction, degradation, pollution andother significant impacts resulting from human activities that threaten the health and viability of the fishery resources.
Paragraph 40 [51] of the Guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries. The standards reflect the objectives
for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative and qualitative
indicators of the governance system or management regime of a fishery as well as of its outcome in terms ofsustainable fisheries and conservation of marine fishery resources and related ecosystems.

RELATED SUPPLEMENTARY COMPONENTS
D.6 0701 See page 282

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 08DEPENDANT PREDATORSGSSI ESSENTIAL COMPONENTGUIDANCE

The standard includes outcome indicator(s)consistent with achieving management
objectives (D.2.10) that seek to avoid severe
adverse impacts on dependent predators
resulting from fishing on a stock underconsideration that is a key prey species.

The outcome indicators should be consistent with demonstratingthat the management objectives have been effectively achieved for
dependent predators (D.2.10). Dependent predators are describedin the Glossary.
The FAO Guidelines acknowledge that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state of target
stocks (paragraph 31 (41)), hence the outcome indicators shouldtake into account risk and uncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
31 (41); 31.2 (41.2); 40 (51)Paragraph 31 of the Guidelines requires adverse impacts of the fishery on the ecosystem to be appropriately assessed.
Paragraph 31.2 of the Guidelines requires that the role of the “stock under consideration” in the food-web isconsidered, and if it is a key prey species in the ecosystem, management measures are in place to avoid severe
adverse impacts on dependent predators.
Paragraph 40 [51] of the guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries. The standards reflect the objectives
for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative and qualitative
indicators of the governance system or management regime of a fishery as well as of its outcome in terms ofsustainable fisheries and conservation of marine fishery resources and related ecosystems.

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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Stock and Ecosystem Status and OutcomesGSSI Essential Components for Fisheries Certification Standards
D.6 09ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI ESSENTIAL COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.11) that seek
to minimize adverse impacts of the unit ofcertification, including any enhancement
activities, on the structure, processes andfunction of aquatic ecosystems that are likely
to be irreversible or very slowly reversible. Any
modifications to the habitat for enhancing thestock under consideration must be reversible
and not cause serious or irreversible harm to
the natural ecosystem’s structure, processes
and function.

The outcome indicators should be consistent with demonstratingthat the management objectives for impacts on the structure,processes and function of aquatic ecosystems (D.2.11) have beeneffectively achieved. The component relating to enhancement
activity may be “not applicable” to schemes that explicitly do notcover enhanced fisheries.
Ecosystem structure, processes and function are described in the
Glossary. This language is in accordance with Section 4.1.4.1 of the
FAO Ecosystem Approach to Fisheries, which suggests one of thebroad management objectives for fisheries could be to keep impact
on the structure, processes and functions of the ecosystem at an
acceptable level.
The FAO Guidelines acknowledge that much greater scientificuncertainty is to be expected in assessing possible adverse
ecosystem impacts of fisheries than in assessing the state oftarget stocks (paragraph 31 (41)), hence the outcome indicators
necessary to meet this Essential Component should take into
account risk and uncertainty.

FAO REFERENCE
FAO Marine and/or Inland Guidelines for Ecolabelling + FAO CCRF (where listed)
28.2 (35.2); 31 (41); (36.9)
Paragraph 28.2 of the Guidelines requires objectives, and as necessary, management measures to address pertinent
aspects of the ecosystem effects of fishing as per paragraph 31.
Paragraph 31 of the Guidelines requires that adverse impacts of the fishery on the ecosystem should be appropriately
assessed and effectively addressed. Outcome indicators enable the management authority, and hence the scheme, toassess whether the impacts have been effectively addressed. Paragraph 41 (Inland Guidelines) specifically requires thatany modifications to the habitat for enhancing the stock under consideration are reversible and do not cause serious or
irreversible harm to the natural ecosystem’s structure and function. Paragraph 31 references Article 7.2 of the CCRF,
which requires, inter alia, that the biodiversity of aquatic habitats and ecosystems is conserved.
Paragraph 36.9 of the Inland Guidelines requires that In the case of enhanced fisheries, the fishery management
system should take due regard of the natural production processes and minimize adverse impacts on ecosystem
structure and function.
Paragraph 40 [51] of the Guidelines states that the setting of standards is among the most critical tasks of any
ecolabelling scheme of products from sustainable marine [inland] capture fisheries. The standards reflect the objectives
for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative and qualitative
indicators of the governance system or management regime of a fishery as well as of its outcome in terms ofsustainable fisheries and conservation of marine fishery resources and related ecosystems.

RELATED SUPPLEMENTARY COMPONENTS
D.6 0901 See page 284

Paragraph references to FAO Guidelines for Ecolabelling Fish and Fishery Products from Marine/Inland Fisheries (paragraphreferences to the inland guidelines are in parenthesis), and where listed FAO Code of Conduct for Responsible Fisheries (CCRF).

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u FISHERY MANAGEMENT ORGANIZATION
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MANAGEMENT ORGANIZATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the fishery
management organization or arrangement
provides advice that contributes to theattainment of objectives for the managementof the deep-sea fishery (DSFs) in the highseas under consideration and the preventionof significant adverse impacts on Vulnerable
Marine Ecosystems (VMEs.) from fishing.

To meet the parent Essential Component, the fishery management
organization or arrangement is expected to be fit for purpose. Thisis tested through the other Essential Components that assess
the performance and content of the management system. This
Supplementary Component looks more specifically at the advice
provided by the fishery management organization or arrangementwith respect to the management of DSFs in the high seas. The
fishery management organization or arrangement must be required
to provide specific advice on the prevention of significant adverse
impacts on VMEs arising from fishing by the Unit of Certification.
The FAO International Guidelines for the Management of Deep Sea
Fisheries in the High Seas provide detail on what is regarded as a
VME and what is a significant adverse impact in this context.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
8 to 11 and 14 to 20
These paragraphs require that the management system addressed the prevention of significant adverse impacts on
VMEs as well as managing the stock under consideration as core to the management proposition.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.01 The standard requires the existenceof a fishery management organization or
arrangement that manages the fishery of which
the Unit of Certification is a part.

This Supplementary Component represents an additionally detailed
focus on the activities of the fishery management organization or
arrangement regarding the prevention of significant adverse impacts
on VMEs in DSFs on the high seas.

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MANAGEMENT ORGANIZATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that in giving due
recognition to the requirements andopportunities of small-scale fisheries the fishery
management organization or arrangement
adopts measures for the long-term
conservation and sustainable use of fisheries
resources and to secure the ecologicalfoundation for food production.

The standard requires that in giving due recognition to therequirements and opportunities of small-scale fisheries the fishery
management organization or arrangement adopts measures for the
long-term conservation and sustainable use of fisheries resources
and to secure the ecological foundation for food production.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5.13
Paragraph 5.13 requires that States and all those engaged in fisheries management should adopt measures for the
long-term conservation and sustainable use of fisheries resources and to secure the ecological foundation for foodproduction. They should promote and implement appropriate management systems, consistent with their existingobligations under national and international law and voluntary commitments, including the Code, that give due
recognition to the requirements and opportunities of small-scale fisheries.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.01 The standard requires the existenceof a fishery management organization or
arrangement that manages the fishery of which
the Unit of Certification is a part.

This Supplementary Component qualifies the management systemwith respect to long-term conservation and sustainability of fisheries
resources. There is a particular focus on the requirements andopportunities of small scale fisheries and their role in securing theecological foundation for food production.

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MANAGEMENT ORGANIZATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the fishery
management organization or arrangement isable to coordinate and integrate its activities
with other relevant institutions that havemandates for or are active in the ecosystem
in which the fishery of which the unit ofcertification is part is operating (e.g. otherrelevant ministries), and that respective roles
and responsibilities are clarified.

To meet the parent Essential Component, the fishery management
organization or arrangement is expected to be fit for purpose.
This is tested through the other Essential Components thatassess the performance and content of the management
system. This Supplementary Component looks more specificallyat the requirement for the fishery management organization or
arrangement to coordinate and integrate its activities with otherrelevant institutions that have mandates for or are active in theecosystem in which the fishery of which the unit of certification ispart is operating. The standard must require that their respectiveroles and responsibilities are clarified.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
1.4.5
Adapted from Paragraph 1.4.5 Institutional concepts and functions of the EAF Guidelines.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.01 The standard requires the existenceof a fishery management organization or
arrangement that manages the fishery of which
the Unit of Certification is a part.

This Supplementary Component addresses one of the implicationsof implementing EAF which is an expansion of stakeholder groups
and sectoral linkages. An effective ecosystem approach will require
effective institutional coordination (e.g. between ministries). This
will require clarification of roles and responsibilities, improved
coordination and integration across government and other users
and more accountability across all stakeholder groups. A greater
emphasis on planning at a range of geographical levels that involves
all relevant stakeholders will be required and will involve a morecollaborative approach and sharing of information.

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MANAGEMENT ORGANIZATIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the fishery
management organization or arrangement at aminimum, shall:

To meet the parent Essential Component, the fishery management
organization or arrangement is expected to be fit for purpose. Thisis tested through the other Essential Components that assess
the performance and content of the management system. This
Supplemental Component lists several specific activities fromthe FAO Technical Guidelines for Responsible Fisheries. No. 4.
Fisheries management that the fishery management organization or
arrangement is required to undertake. These are not inconsistent
with the parent Essential Component, but are specified in greater
detail in the Supplemental Component.

- identify interested parties and oversee theformulation of the management objectives;- translate, in cooperation with the interested
parties, these objectives into management
plans and define the criteria upon which
decisions and regulatory measures will bebased, evaluated and adjusted as necessary;- ensure implementation of the management
measures through monitoring control andsurveillance; and- coordinate the collection and analysis of
information and data necessary to allow
responsible fisheries management.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. No. 4. Fisheries management. Rome, FAO. 1997.
1.6.2 (ii)Paragraph 1.6.2 (ii) states that responsible fisheries management requires the existence of management institutions
among which would be one or more explicit fisheries management authority. In particular, functions of any
management authority at a minimum should include the mandate for:- identifying the interested parties and overseeing the formulation of the management objectives;- translating, in cooperation with the interested parties, these objectives into management plans and defining thecriteria upon which decisions and regulatory measures will be based, evaluated and adjusted as necessary;- ensuring implementation of the management measures through monitoring control and surveillance;- coordinating the collection and analysis of information and data necessary to allow responsible fisheries management;and- liaising and negotiating on behalf of the fisheries interests with users of other resources or areas having an impact on
fisheries.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.01 The standard requires the existenceof a fishery management organization or
arrangement that manages the fishery of which
the Unit of Certification is a part.

This Supplementary Component ensures that the minimum essentialfunctions that any FMO are recognised.
There was an objection from within the F-EWG to inclusion of thelast bullet point from the list in the FAO Technical Guidelines for
Responsible Fisheries. Fisheries management. No. 4 paragraph1.6.2 (ii), therefore this bullet point was omitted.

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ADAPTIVE MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the fishery
management organization or arrangement
receives and responds in a timely manner tothe best scientific evidence available regarding
the status of the DSF fish stock underconsideration and the likelihood and magnitudeof adverse impacts of the unit of certificationon the stock under consideration and prevents
significant adverse impacts on VMEs.

To meet this Supplementary Component the standard mustspecifically require the best scientific evidence available
regarding the status of the DSF fish stock under consideration.
This is essentially part of the Essential Component (except theSupplementary Component is referring specifically to DSF stocks),
however, there is an added element in the focus on significant
adverse impacts on VMEs. The FAO International Guidelines for theManagement of Deep Sea Fisheries in the High Seas provide detailon what is regarded as a VME and what is a significant adverse
impact in this context.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)11; 21 to 23
Paragraphs 11 and 21 to 23 place equal emphasis on managing the stock under consideration and preventing
significant adverse impacts on VMEs from that fishing.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.02 The standard requires that the fishery
management organization or arrangement
receives and responds to in a timely manner
the best scientific evidence available regarding
the status of the stock under considerationand the likelihood and magnitude of adverse
impacts of the unit of certification on the stock
under consideration and the ecosystem.

This Supplementary Component seeks puts a specific focus on
preventing significant adverse impacts on VMEs.

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ADAPTIVE MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Scheme makes available to fisheries
management organisations or arrangements
information about and communication links
to international, regional, national or private
funding agencies to encourage funding forsmall-scale fisheries research and collaborativeand participatory data collection analysis andresearch.

This Supplementary Component is looking for action by the Scheme
itself to be proactive in the sharing of information on funding forsmall scale fisheries research and collaborative and participatory
data collection analysis and research.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
11.8, 11.9
Paragraph 11.8 states that all parties should promote the availability, flow and exchange of information, including on
aquatic transboundary resources, through the establishment or use of appropriate existing platforms and networks at
community, national, subregional and regional level, including both horizontal and vertical two-way information flows.
Taking into account the social and cultural dimensions, appropriate approaches, tools and media should be used forcommunication with and capacity development for small-scale fishing communities.
Paragraph 11.9 requires that States and other parties should, to the extent possible, ensure that funds are available
for small-scale fisheries research, and collaborative and participatory data collection, analyses and research should
be encouraged. States and other parties should endeavour to integrate this research knowledge into their decisionmaking processes. Research organizations and institutions should support capacity development to allow small-scale
fishing communities to participate in research and in the utilization of research findings. Research priorities shouldbe agreed upon through a consultative process focusing on the role of small-scale fisheries in sustainable resource
utilization, food security and nutrition, poverty eradication, and equitable development, including also DRM and CCA
considerations.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.02 The standard requires that the fishery
management organization or arrangement
receives and responds to in a timely manner
the best scientific evidence available regarding
the status of the stock under considerationand the likelihood and magnitude of adverse
impacts of the unit of certification on the stock
under consideration and the ecosystem.

This Supplementary Component seeks to strengthen the capacity of
FMOs with regard to information on possible funding opportunities
for fisheries research, data and information.

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TRANSBOUNDARY STOCKSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that wheretransboundary fishery resources exist, Statesshould work together to ensure that the tenurerights of small-scale fishing communities thatare granted, are protected.

In addition to the requirement for the existence of a bilateral,
subregional or regional fisheries organization or arrangement,
this Supplementary Component is seeking the inclusion in thestandard of a requirement for the tenure rights of small-scale fishingcommunities to be protected.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5.19
Paragraph 5.19 Where transboundary and other similar issues exist, e.g. shared waters and fishery resources, Statesshould work together to ensure that the tenure rights of small-scale fishing communities that are granted are protected.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.04 Where the stock under consideration
is a transboundary fish stock, straddling fishstock, highly migratory fish stock or high seas
fish stock, the standard requires the existenceof a bilateral, subregional or regional fisheriesorganization or arrangement, as appropriatethat is concerned with the management of
the whole stock unit over its entire area of
distribution.

This Supplementary Component ensures that the transboundary
fisheries management organisation or arrangement recognises thetenure rights of small-scale fishing communities.

u MANAGEMENT SYSTEM
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01

PARTICIPATORY MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires the management
system to encourage the participation offishers in policy development, implementationand self-policing in order to promote
greater voluntary compliance and improved
enforcement of bycatch management
measures.

In addition to the governance and fisheries management systembeing participatory and transparent, this Supplementary Component
is seeking the inclusion in the standard of a requirement for theparticipation of fishers in policy development, implementation andself-policing.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
9,4
Paragraph 9.4 In order to promote greater voluntary compliance and improved enforcement of bycatch management
measures, States and RFMO/As should encourage the participation of fishers in policy development, implementationand self-policing (e.g. through co-management and community-based management).

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.05 The standard requires the governanceand fisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

This Supplementary Component adds specific reference toparticipation of fishers in policy development, implementationand self-policing. This goes beyond the basic requirement for thegovernance and fisheries management system to be participatory
and transparent.

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PARTICIPATORY MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires that bycatch anddiscard data are publicly available to promotetransparency in bycatch management.

In addition to the governance and fisheries management systembeing participatory and transparent, this Supplementary Component
is seeking the inclusion in the standard of a requirement for bycatchand discards data to be publicly available.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
5.1.7
Paragraph 5.1.7 Consideration should be given to making bycatch and discard data publicly available to promotetransparency in bycatch management.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.05 The standard requires the governanceand fisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

Essential Components D.3.14 and D.3.15 require methodology andresults of assessments to be made publicly available. Under thisSupplementary Component, the standard requires that bycatch anddiscard data are made publicly available.

D.1

05

03

PARTICIPATORY MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the governance andfisheries management system under which
the unit of certification is managed to beboth participatory and transparent, including
consultation with “responsible” deep sea
fishers, to the extent permitted by national laws
and regulations.

In addition to the governance and fisheries management systembeing participatory and transparent (as per the parent Essential
Component), this Supplemental Component requires to theStandard to include specific consultation with “responsible” deepsea fishers. The source of this Supplemental Component is the
FAO Deep Sea Guidelines, which relate to fisheries on the highseas. Hence there is an international context for managementof fisheries in areas beyond national jurisdiction which may go
beyond the parent requirement. Note, however, that the wording ofa Supplemental Component cannot be used as a justification for
weakening the application of an Essential Component by implyingthat something is excluded from the Essential Component thatmight otherwise have been assumed to be included.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)21 (vii); 79 and 80
Paragraphs 21 (vii), 79 and 80 set out explicit encouragement for participatory management and consultation with“responsible” deep sea fishers.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.05 The standard requires the governanceand fisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

This Supplementary Component adds specific reference toconsultation with “responsible” deep sea fishers. This may go
beyond the basic requirement for the governance and fisheries
management system to be participatory and transparent.

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PARTICIPATORY MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the involvement ofsmall-scale fishing communities in the design,planning and, as appropriate, implementationof management measures, including protectedareas, affecting their livelihood options isfacilitated. Participatory management systems,
such as co-management, should be promotedin accordance with national law.

In addition to the governance and fisheries management systembeing participatory and transparent, this Supplementary Component
is seeking the inclusion in the standard of a requirement forthe specific facilitation of the involvement of small-scale fishingcommunities in the management process, where their livelihood
options are affected.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5.15
Paragraph 5.15 States should facilitate, train and support small-scale fishing communities to participate in and takeresponsibility for, taking into consideration their legitimate tenure rights and systems, the management of the resourceson which they depend for their well-being and that are traditionally used for their livelihoods. Accordingly, States should
involve small-scale fishing communities – with special attention to equitable participation of women, vulnerable andmarginalized groups – in the design, planning and, as appropriate, implementation of management measures, including
protected areas, affecting their livelihood options. Participatory management systems, such as co-management,
should be promoted in accordance with national law.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.05 The standard requires the governanceand fisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

This Supplementary Component ensures particular focus is paid
to the needs of small-scale fishing communities with respect
to their involvement in fisheries management. Supporting thegeneration and collection of data regarding the certification unit
and its supporting environment should form a key part of thisSupplementary Component.

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PARTICIPATORY MANAGEMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires, where applicable, thatfor a fisheries co-management system underwhich the unit of certification operates, theroles and responsibilities of concerned parties
and stakeholders are clarified and agreed
through a participatory and legally supported
process. All parties shall be responsible forassuming the management roles agreed to. All
endeavours should be made so that smallscale fisheries are represented in relevant
local and national professional associations
and fisheries bodies and actively take part in
relevant decision-making and fisheries policymaking processes.

In addition to the governance and fisheries management systembeing participatory and transparent, this Supplemental Component
is seeking the inclusion in the standard of a requirement for a
co-management system within which, inter alia, the roles andresponsibilities of concerned parties and stakeholders are clarified
and agreed and all endeavours are made for small-scale fisheries
to be represented in relevant local and national professional
associations and fisheries bodies.
Although an enabling legal system for co-management is often
necessary, a legal framework is not a pre-requisite for an effective
co-management arrangement. The roles and responsibilities ofconcerned parties and stakeholders may therefore be clarified andagreed through a participatory and customarily supported process.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5.17
Paragraph 5.17 States should ensure that the roles and responsibilities within the context of co-management
arrangements of concerned parties and stakeholders are clarified and agreed through a participatory and legally
supported process. All parties are responsible for assuming the management roles agreed to. All endeavours should
be made so that small-scale fisheries are represented in relevant local and national professional associations andfisheries bodies and actively take part in relevant decision-making and fisheries policy-making processes.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.05 The standard requires the governanceand fisheries management system under which
the unit of certification is managed to be bothparticipatory and transparent, to the extent
permitted by national laws and regulations.

This Supplementary Component qualifies how the participatory
process operates and ensures that small-scale fisheries have theopportunity to participate in fisheries governance.

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SMALL SCALE AND/OR DATA LIMITED FISHERIESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard recognises that the knowledge,
culture and practices of small scale fisheriescommunities may inform responsible
governance and sustainable development
processes including co-management.

This Supplementary Component expands on the concept in theparent Essential Component requiring specific recognition of thecontribution of the knowledge, culture and practices of small scale
fishing communities to responsible governance and sustainable
development processes. Co-management is mentioned specifically.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5.18
Paragraph 5.18 states that States and small-scale fisheries actors should encourage and support the role andinvolvement of both men and women, whether engaged in pre-harvest, harvest or post-harvest operations, in thecontext of co-management and in the promotion of responsible fisheries, contributing their particular knowledge,
perspectives and needs. All parties should pay specific attention to the need to ensure equitable participation of
women, designing special measures to achieve this objective.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.06 The standard is applicable togovernance and management systems forsmall scale and/or data limited fisheries, withdue consideration to the availability of data andthe fact that management systems can differ
substantially for different types and scales offisheries.

This Supplementary Component ensures that knowledge, culture
and practices of small scale fisheries communities can be used
to inform governance and management systems for small-scale
fisheries.

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COMPLIANCE OF THE MANAGEMENT SYSTEMGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the management
system to include national policies, legal
and institutional frameworks for the effective
management of bycatch and the reduction of
discards, including those measures agreed at
an international level, for example by RFMOs
in which they are members or participate ascooperating non-members.

This Supplementary Component puts a greater emphasis on thelegal and institutional treatment within the management system of
bycatch and reduction of discards. Specifically there is a need tosee explicit policies and frameworks for their effective management,
and incorporation within domestic legislation of bycatch and discard
measures agreed internationally.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
3.1.1; 3.1.2
Paragraph 3.1.1 States, acting as flag States, port States, coastal States or importing or exporting (market) Statesin conformity with the relevant rules of international law, in particular trade-related instruments, or when exercisingjurisdiction over their nationals, should, with the advice of the competent fisheries management authority, contribute to
the attainment of their objectives for the management of bycatch and reduction of discards.
Paragraph 3.1.2 requires that States should establish and implement national policies, legal and institutionalframeworks for the effective management of bycatch and the reduction of discards, including those measures agreed
by RFMO/As in which they are members or participate as cooperating non-members.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.07 The standard requires that thefisheries management system under which
the unit of certification is managed operates
in compliance with local, national andinternational laws and regulations, including
the requirements of any regional fisheries
management organisation that exercises
internationally recognised management
jurisdiction over the fisheries on the stock
under consideration.

The Supplementary Component puts a greater emphasis on thetreatment within the management system of bycatch and reductionof discards and compliance with international agreements.

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02

COMPLIANCE OF THE MANAGEMENT SYSTEMGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that trade-related
measures to promote the sustainability offisheries should be adopted and implemented
in accordance with international law,
including the principles, rights and obligations
established in the WTO Agreements.

In addition to the Essential Component under which the standard
must require the Unit of Certification to operate in compliancewith the requirements of local, national and international law andregulations, this Supplemental Component is seeking the inclusionin the standard of a requirement that if a fishery management
system includes trade-related measures, they must be adopted
and implemented in accordance with international law, including
WTO Agreements. It does not require every fishery management
system to have trade related measures. As such, it is likely that
this will have particular relevance to RFMO/As where trade related
measures may have greater emphasis (noting that any trade related
measures agreed by RFMO/As will need to be implemented at thenational level by the Members and Cooperating non-Members of the
RFMO/S).

REFERENCEFAO Technical Guidelines for Responsible Fisheries Responsible fish trade. No. 11. Rome, FAO. 2009.
11.2.2 (14)Article 11.2.2 para 14 Trade-related measures to promote the sustainability of fisheries should be adopted andimplemented in accordance with international law, including the principles, rights and obligations established in the
WTO Agreements. Such measures should be used only after prior consultation with interested States. Unilateral traderelated measures should be avoided.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.07 The standard requires that thefisheries management system under which
the unit of certification is managed operates
in compliance with local, national andinternational laws and regulations, including
the requirements of any regional fisheries
management organisation that exercises
internationally recognised management
jurisdiction over the fisheries on the stock
under consideration.

This Supplementary Component provides an added focus to theparent Essential Component, with specific mention of the need to
be in compliance with the WTO Agreements with respect to any
trade-related measures that might be adopted by the management
system to promote the sustainability of fisheries.

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u LEGAL FRAMEWORK
D.1

08

01

COMPLIANCE OF THE FISHERYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence of a legal
and/or policy framework that recognizes andaddresses the impacts of fisheries on othersectors and the impact of those sectors on
fisheries, in accordance with EAF.

This Supplemental Component puts a specific emphasis on theimpacts of fisheries on other sectors and the impact of those
sectors on fisheries. The Standard must require the management
system to recognize and address these within the effective legal
framework.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2.The ecosystem approach tofisheries (2003).
4.2.1
Copied from 4.2 Legal and institutional aspects of EAF, 4.2.1 Legal:… EAF is not frequently an integral part of national fisheries policy and legislation. This leads to many deficiencies incurrent fishery management regimes, such as (i) weak cross sectoral consultation and cooperation and (ii) the failure
to consider, or a legal inability to act on external influences such as pollution and habitat deterioration. Such problems
need to be addressed and corrected where required. Especially in the case of national policies and laws, EAF may
require that existing legal instruments and the practices of other sectors that interact with or impact on fisheries need
to be considered, and that adjustments to those instruments and practices pertaining to other sectors be made. EAF
is, therefore, likely to require more complex sets of rules or regulations that recognize the impacts of fisheries on othersectors and the impact of those sectors on fisheries.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.08 The standard requires that the fisheryof which the Unit of Certification is a part ismanaged under an effective legal frameworkat the local, national or regional (international)
level as appropriate.

This Supplementary Component puts a specific emphasis on
the impacts of fisheries on other sectors and the impact of those
sectors on fisheries, and requires the standard to recognize andaddress these within the effective legal framework.

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09

01

COMPLIANCE OF THE FISHERYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires effective and suitable
monitoring, surveillance, control andenforcement of the unit of certification for
management of bycatch and reduction of
discards

Effective and suitable monitoring, surveillance, control andenforcement of the unit of certification for management of bycatchand reduction of discards may be implicit within the parent Essential
Component, but this Supplementary Component is seeking specificreference to the management of bycatch and reduction of discards
in this context within the Standard.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
9.2
Paragraph 9.2 States should establish and implement the appropriate national policies, as well as the legal andinstitutional frameworks, for effective monitoring, control and surveillance of fisheries for management of bycatch andreduction of discards.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.09 The standard requires effective andsuitable monitoring, surveillance, control andenforcement of the fishery of which the unit ofcertification is a part.

The Supplementary Component adds a specific emphasis
on effective and suitable monitoring, surveillance, control andenforcement for management of bycatch and reduction of discards.

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Governance and Fishery Management
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D.1

09

02

COMPLIANCE OF THE FISHERYGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that in the case ofsmall scale fisheries, monitoring, control,
surveillance and enforcement systems aresupported (resourced) and involve small scale
fisheries actors as appropriate and promoteparticipatory arrangements within the context
of co-management. Small-scale fishers should
support the monitoring, control, and surveillanceand enforcement systems and provide to
the State fisheries authorities the information
required for the management of the activity.

In addition to the effective and suitable monitoring, surveillance,
control and enforcement of the unit of certification in the parent
Essential Component, this Supplementary Component requires thestandard to include explicit promotion of participatory arrangements
for these activities within the context of co-management.

REFERENCE
FAO Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty
Eradication (2014)
5,16
Paragraph 5.16 States should ensure the establishment of monitoring, control and surveillance (MCS) systems or
promote the application of existing ones applicable to and suitable for small-scale fisheries. They should provide support
to such systems, involving small-scale fisheries actors as appropriate and promoting participatory arrangements within
the context of co-management. States should ensure effective monitoring and enforcement mechanisms to deter,prevent and eliminate all forms of illegal and/or destructive fishing practices having a negative effect on marine and inland
ecosystems. States should endeavour to improve registration of the fishing activity. Small-scale fishers should support the
MCS systems and provide to the State fisheries authorities the information required for the management of the activity.

RELATED ESSENTIAL COMPONENTRATIONALE

D.1.09 The standard requires effective andsuitable monitoring, surveillance, control andenforcement of the fishery of which the unit ofcertification is a part.

This Supplementary Component aims for improved MCS outcomesthrough the use of a participatory approach involving small-scale
fisheries.

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D.2 0301

REFERENCE POINTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

In requiring management objectives consistent
with avoiding adverse impacts on thestock(s) under consideration that are likely
to be irreversible or very slowly reversible,
the standard recognises that many marine
resources exploited in DSFs in the high seas
have low productivity and are only able tosustain very low exploitation rates. Also whenthese resources are depleted, recovery is
expected to be long and is not assured.

In requiring management objectives consistent with avoiding
adverse impacts on the stock(s) under consideration that are likely tobe irreversible or very slowly reversible, to meet this Supplementary
Component the standard is expected to include explicit recognitionof the characteristics of marine resources exploited in DSFs in
the high seas that create specific challenges for their sustainableutilization and exploitation. These include: (i) maturation at relatively
old ages; (ii) slow growth; (iii) long life expectancies; (iv) low natural
mortality rates; (v) intermittent recruitment of successful year
classes; and (vi) spawning that may not occur every year.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
13
Paragraph 13 Many marine living resources exploited by DSFs in the high seas have biological characteristics thatcreate specific challenges for their sustainable utilization and exploitation. These include: (i) maturation at relatively oldages; (ii) slow growth; (iii) long life expectancies; (iv) low natural mortality rates; (v) intermittent recruitment of successful
year classes; and (vi) spawning that may not occur every year. As a result, many deep-sea marine living resources
have low productivity and are only able to sustain very low exploitation rates. Also, when these resources are depleted,recovery is expected to be long and is not assured.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.03 The standard requires that the
management objectives clearly define target andlimit reference points, or proxies for the stock
under consideration on the basis of the best
scientific evidence available and in accordancewith the Precautionary Approach. Target reference
points must be consistent with achieving
Maximum Sustainable Yield, MSY (or a suitableproxy) on average and limit reference points(or proxies) must be consistent with avoiding
recruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

This Supplementary Component expands on its parent Essential
Component by seeking explicit recognition of the challenges of
exploiting DSF resources on the high seas in a sustainable manner,and the need for suitably constructed management objectives.

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REFERENCE POINTSGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that fishery management
plans for DSFs in the high seas include
biological reference points for the stock underconsideration set at levels that ensure, at aminimum, that fish stocks are harvested at
levels that are sustainable in the long term.
Appropriate biological reference points forstock assessment and management need
to be set in a precautionary manner anddetermined on a case-by-case basis, taking
into account the different target stocks, fisherycharacteristics, and the state of knowledge
about the species and fishery.

To meet this Supplementary Component, standards are expected torecognise the specific characteristics of marine resources exploitedin DSF in the high seas in setting suitable biological reference points.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
76, 77
Paragraph 76: Fishery management plans for DSFs should include biological reference points set at levels that ensure,at a minimum, that fish stocks are harvested at levels that are sustainable in the long term. Appropriate biologicalreference points for stock assessment and management need to be set in a precautionary manner and determinedon a case-by-case basis, taking into account the different target stocks, fishery characteristics, and the state ofknowledge about the species and fishery.
Paragraph 77: In general, for low-productivity species, fishing mortality should not exceed the estimated or inferrednatural mortality. Sustainable management strategies that would be robust to uncertainties are likely to require low
exploitation rates.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.03 The standard requires that the
management objectives clearly define target
and limit reference points, or proxies for thestock under consideration on the basis of
the best scientific evidence available and inaccordance with the Precautionary Approach.
Target reference points must be consistent
with achieving Maximum Sustainable Yield,
MSY (or a suitable proxy) on average and limit
reference points (or proxies) must be consistent
with avoiding recruitment overfishing or otherimpacts that are likely to be irreversible or very
slowly reversible.

This Supplementary Component expands on its parent Essential
Component by requiring standards to recognise the specificcharacteristics of marine resources exploited in DSF in the high seas
in setting suitable biological reference points.

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D.2 0501

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives for the use andmanagement of that portion of the full catch ofwhich bycatch and discards are subsets, andthat such plans are consistent with the CCRF.

Management objectives required by the standard should include,inter alia, reduction of post-harvest losses and waste, andencouragement for those involved in fish processing, distribution
and marketing to improve the use of by-catch, to the extent that
this is consistent with responsible fisheries management practices.
The over-riding aim should be to minimise waste including, whereappropriate, loss of productivity to the marine ecosystem.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
3.2.4 (i); CCRF 11.1.8
Paragraph 3.2.4 (i) States and RFMO/As should:(i) d evelop or amend management plans for their fisheries so that the plans include objectives for the use andmanagement of that portion of the full catch of which bycatch and discards are subsets, and that such plans are
consistent with the Code [CCRF].
CCRF Article 11.1.8 States should encourage those involved in fish processing, distribution and marketing to:a) reduce post-harvest losses and waste;b) improve the use of by-catch to the extent that this is consistent with responsible fisheries management practices;andc) u se the resources, especially water and energy, in particular wood, in an environmentally sound manner.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.05 The standard requires the existence ofmanagement objectives that seek to ensurethat non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

This is a step up from the Essential Component in that it requires
management objectives for the use and management of that portionof the full catch of which bycatch and discards are subsets. The
Essential Component requires only management objectives toensure that non-target species are not threatened with recruitment
overfishing or other impacts that are likely to be irreversible or very
slowly reversible.

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NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives, including reference
points, that seek to ensure non-target stocks(i.e. stocks/species in the catch that are otherthan the stock under consideration) are notthreatened with recruitment overfishing or otherimpacts that are likely to be irreversible or very
slowly reversible.

This Supplementary Component requires that management
objectives for non-target stocks (i.e. stocks/species in the catchthat are other than the stock under consideration) that consider
their overall status, similar to the objectives for the stock underconsideration. This takes into account the impacts of all fishing on
those stocks that might give rise to recruitment overfishing or otherimpacts that are likely to be irreversible or very slowly reversible. This
Supplementary Component has a cumulative element similar to thatfor stock(s) under consideration in Essential Component D.2.04. To
meet this Supplementary Component the standard would require
the specification of reference points for non-target stocks.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2 (i); 4.1.3; 6.3; 7.7.4
Paragraph 4.1.2(i): States and RFMO/As should identify and assess fisheries where bycatch and discards occur andspecify the requirements for management actions. Such assessments should, where feasible, include, inter alia: (i)information on the type(s) of fishing conducted or considered, including the vessels and gear types, fishing areas,levels of fishing effort, duration of fishing as well as the target and bycatch species and their sizes, and in particularthreatened, endangered or protected species.
Paragraph 4.1.3 requires bycatch management planning for all fisheries that require bycatch management action. This
planning should include objectives, strategies, standards and measures directed at managing bycatch and reducing
discards. Bycatch management planning should be incorporated into broader fisheries management plans.
Paragraph 6.3: States and RFMO/As should collaborate in assessing bycatch and discard issues throughout the entire
distribution range of the species of concern where applicable.
Paragraph 7.7.4: When setting a quota for a species that can be taken both as a target as well as a bycatch in various
fisheries, it is necessary to ensure that quotas for the species as targeted catch and as bycatch are accounted forwithin an overall limit.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.05 The standard requires the existence ofmanagement objectives that seek to ensurethat non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

The parent Essential Component seeks to ensure that non-target
catches and discards by the unit of certification of stocks otherthan the stock under consideration and any associated culture
and enhancement activity do not threaten those non-target stocks
with recruitment overfishing or other impacts that are likely to beirreversible or very slowly reversible. This Supplementary Component
expands on the Essential Component by requiring consideration of
the effects of all fishing (not just that of the unit of certification) on
stocks other than the stock under consideration.

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ENDANGERED SPECIESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives that seek to reduce
interactions with particularly vulnerable
bycatch (e.g. juveniles and rare, endangered,threatened or protected species).

Under this Supplemental Component the standard must require
objectives for the reduction of interactions with a range ofparticularly vulnerable bycatch, including juveniles and rare,endangered, threatened or protected species. This is in addition
to objectives to ensure that endangered species are protectedfrom adverse impacts as in the parent Essential Component.
Endangered and threatened are described in the Glossary.
“Protected” refers generally to any plant or animal that a government
declares by law to warrant protection; most protected species are
considered either threatened or endangered; also a species that isrecognised by national legislation, affording it legal protection due toits population decline in the wild. The decline could be as a result of
human or other causes.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
7.6.1
7.6.1 States and RFMO/As should consider measures to reduce interactions with particularly vulnerable bycatch (e.g.
juveniles and rare, endangered, threatened or protected species) through identifying and establishing areas where theuse of all or certain gears is limited or prohibited, based on the best available scientific information and consistent withinternational law.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.06 The standard requires the existence ofmanagement objectives that seek to ensurethat endangered species are protected fromadverse impacts resulting from interactions
with the unit of certification and any associatedculture or enhancement activity, including
recruitment overfishing or other impacts thatare likely to be irreversible or very slowly
reversible.

This is a step up from the parent Essential Component in thatit requires a management objective to reduce interactions withparticularly vulnerable bycatch.

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D.2 0701

HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement objectives for preventing
significant adverse impacts of the unit ofcertification on VMEs in the high seas.

To meet this Supplementary Component the standard must require
management objectives specifically for preventing significant
adverse impacts of the unit of certification on VMEs in addition to
management measures to avoid, minimize or mitigate impacts of
the unit of certification on essential habitats for the “stock underconsideration” and on habitats that are highly vulnerable to damage
by the fishing gear of the unit of certification. The FAO International
Guidelines for the Management of Deep Sea Fisheries in the High
Seas provide detail on what is regarded as a VME and what is asignificant adverse impact in this context.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
12 (ii), 21; 22Paragraph 12 (ii), 21 and 22 of the DSG require prevention of significant adverse impact on VMEs as a particular
category of ecosystem structure, processes and function.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.07 The standard requires the existenceof management objectives seeking to avoid,
minimize or mitigate impacts of the unit ofcertification on essential habitats for the stock
under consideration and on habitats that arehighly vulnerable to damage by the fishing gearof the unit of certification.

The parent Essential Component does not explicitly exclude impacts
on VMEs, but nor are they explicitly included. This Supplementary
Component also seeks prevention of significant adverse impacts on
VMEs rather than to avoid, minimize or mitigate impacts on Habitat.

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D.2 0901

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that in setting
management objectives for the fishery of which
the unit of certification is part all the economic,
social and environmental aspects of the fisheryare considered to ensure that important issues
or sub-issues are not overlooked, as requiredfor comprehensive EAF.

To meet this Supplementary Component the standard must require
management objectives addressing a range of specific ecosystem
topics (non-target species, habitat, food web, etc.) that have beendeveloped through a comprehensive and integrated economic,
social and environmental analysis.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2.The ecosystem approach tofisheries (2003).
1.3; 1.4.4
The key wording is taken from 1.3 of the EAF Guidelines: Making EAF operational. The aim of [the EAF] guidelines
is to translate the high-level policy goals into action by: identifying broad objectives relevant to the fishery (or area) inquestion;• further breaking these objectives down into smaller priority issues and subissues that can be addressed bymanagement measures;• setting operational objectives;• developing indicators and reference points;• developing decision rules on how the management measures are to be applied; and• monitoring and evaluating performance.
It is not possible to be prescriptive on these sub-issues because they will obviously vary among fisheries. However, it
is important to consider all the economic, social, and environmental aspects of fisheries so that an important issue or
sub-issue is not overlooked.
Paragraph 1.4.4 states that (inter alia) the shift to EAF will entail the recognition of the wider economic, social andcultural benefits that can be derived from fisheries resources and the ecosystems in which they occur. The identificationof the various direct and indirect uses and users of these resources and ecosystems is a necessary first step toattain a good understanding of the full range of potential benefits. While many of these benefits may be amenable
to quantitative assessments, some are not, and their value can be described only in qualitative terms. Multi-criteria
decision-making techniques may be applied to create aggregate indices that encapsulate both quantitative andqualitative ecological, economic, social and cultural considerations.
andThe consideration of a broader range of ecosystem goods and services necessarily implies the need of addressing
a wider range of trade-offs between different uses, non-uses, and user groups. In view of the higher complexity of
EAF and limited ability to predict changes in the future flow of ecosystem goods and services, valuation has to takeuncertainties and risks explicitly into account.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.09 The standard requires the existence ofmanagement objectives that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement activities
if applicable, on the structure, processes andfunction of aquatic ecosystems that are likely tobe irreversible or very slowly reversible.

This Supplementary Component covers the need for the standard
to require objectives addressing a range of specific topics (nontarget species, habitat, food web, etc.). These are required at the
Essential Component level, but this Supplementary Component
reinforces and goes beyond those specific, individual Components
by requiring that they are not dealt with in isolation but as part of acomprehensive economic, social and environmental analysis.

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D.2 0902

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the ecosystem
issues associated with the fishery of which
the unit of certification is part are prioritised
through a risk assessment and that operational
objectives, indicators and reference points areset for all those issues that are assessed as
being most important and feasible to address.

To meet this Supplementary Component, the Standard requires
operational objectives, indicators and reference points to be
developed from broad management objectives for the ecosystem
issues that are most important and feasible to address. Prioritising
the ecosystem issues should involve three basic steps:• identify issues, at a practical level, relevant to the fishery undereach of the broad objectives;•p rioritize the issues based on the risk they pose; and•d evelop operational objectives for priority issues, and asnecessary, a process for monitoring some lower priority issues.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
4.1.4.2(ii)Copied from 4.1.4 Setting objectives: 4.1.4.2 Developing operational objectives from broad objectives: (ii) Rank theissues of the EAF Guidelines.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.09 The standard requires the existence ofmanagement objectives that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement activities
if applicable, on the structure, processes andfunction of aquatic ecosystems that are likely tobe irreversible or very slowly reversible.

Many issues, often at very different scales of relevance, are likely
to arise in identifying the EAF issues in a fishery or ecosystem. The
second stage is to prioritize the issues that occur at the bottom of
the tree structure to identify those for which detailed operational
objectives, indicators and reference points will be developed.
One practical approach is to conduct a risk assessment. Risk
assessments can be qualitative and opinion-based, or highly
quantitative and data-based. The appropriate level will depend on
the circumstances, but should always include the best possible
practices given the information available to conduct and document
at least a qualitative risk assessment and capacity evaluation.

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D.2 0903

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard recognizes that scientificuncertainty coupled with natural variability
may make it difficult to set realistic reference
points for some ecosystem properties. In suchcases, indicators and associated reference
points should be based on parameters thatcan be measured or estimated with acceptablecertainty; and that the property is known to bemodified or could be modified by the fisheryand therefore that it can be influenced bycontrols on the fishery. If it is not appropriate to
set a target reference point, then at least a limit
reference point should be set.

This Supplementary Component is linked to D.2.09.02. The
recognition that scientific uncertainty coupled with natural variability
may make it difficult to set realistic reference points for someecosystem properties is part of the prioritisation described for that
Supplementary Component. This Supplementary Component
requires the standard to focus on parameters that can be measured
or estimated with acceptable certainty and properties of theecosystem that are known to be modified or could be modified by
the fishery. Limit reference points must be required at a minimum.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
4.1.4.3
Paragraph 4.1.4.3 states that In EAF, the setting of target reference points may be more problematic than in TROM,
especially in relation to less specific ecosystem properties. For example, it is clear that a meaningful target could be set
for the amount of benthic habitat to be protected, but that it would be more difficult to set a target for the energy flow
through a particular part of one trophic level. The difficulty arises from uncertainty about ecosystem processes, andthe extremely dynamic and naturally variable nature of ecosystems. For practical purposes the indicator should be an
ecosystem property that is thought to be modified by the fishery, so that at least there is a controllable fishery impact
for which a target level of change is identified. If it is not appropriate to set a target reference point, then at least a limit
reference point should be set ... lack of scientific certainty should not prevent the selection of indicators and reference
points that are considered important, or the clear explanation of a basis for selection.

RELATED ESSENTIAL COMPONENTRATIONALE

D.2.09 The standard requires the existence ofmanagement objectives that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement activities
if applicable, on the structure, processes andfunction of aquatic ecosystems that are likely tobe irreversible or very slowly reversible.

This Supplementary Component is linked to D.2.09.02. It requires
the standard to focus on parameters that can be measured or
estimated with acceptable certainty and properties of the ecosystemthat are known to be modified or could be modified by the fishery.
Limit reference points must be required at a minimum.

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D.3 0101

DOCUMENTED MANAGEMENT APPROACH

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the documented
management approaches or othermanagement framework covering the unit ofcertification and the stock under consideration
includes the provision of advice that
contributes to the attainment of objectives forthe management of bycatch and reductionof discards in the fishery of which the Unit ofCertification is a part.

This Supplementary Component is seeking to ensure that the
documented management approach or other management
framework for the fishery of which the Unit of Certification is a part
specifically includes management of bycatch and reduction of
discards.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
3.1.1
Paragraph 3.1.1 refers to the need for States and other entities exercising jurisdiction over fishing operations to receive
advice from the competent fisheries management authority, to enable them to contribute to the attainment of theirobjectives for the management of bycatch and reduction of discards

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.01 The standard requires the existenceof documented management approaches
or other management framework covering
the unit of certification and the stock underconsideration, including management
measures consistent with achieving
management objectives for the stock underconsideration.

There is a cumulative element to this in that it is asking for the
management organization or arrangement to advise on the
management of bycatch and reduction of discards in the fisheryof which the Unit of Certification is a part, not just the Unit ofCertification itself. This addresses the concern that several Units ofCertification might have an adverse impact in the aggregate, but
might not individually.

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DOCUMENTED MANAGEMENT APPROACH

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires the incorporation of
bycatch management planning into broader
fisheries management plans, providing thefishery of which the unit of certification is part
requires bycatch management action. This
planning should include objectives, strategies,
standards and measures directed at managing
bycatch and reducing discards.

This Supplementary Component is looking for an integration of
bycatch management planning within broader fisheries management
plans.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.3
Paragraph 4.1.3 States and RFMO/As should, based on the assessments and identification referred to in paragraph4.1.2 of these Guidelines, undertake bycatch management planning for all fisheries that require bycatch management
action. This planning should include objectives, strategies, standards and measures directed at managing bycatch andreducing discards. Bycatch management planning should be incorporated into broader fisheries management plans.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.01 The standard requires the existenceof documented management approaches
or other management framework covering
the unit of certification and the stock underconsideration, including management
measures consistent with achieving
management objectives for the stock underconsideration.

This is a step up from the Essential Component in that it requires
the incorporation of bycatch management planning into broader
fisheries management plans.

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DOCUMENTED MANAGEMENT APPROACH

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard for the management system
requires the existence of a current and regularly
updated Fishery Management Plan (FMP),
incorporating management objectives andmanagement measures to achieve thoseobjectives, for the stock under considerationand pertinent aspects of the ecosystem effectsof fishing.

A Fishery Management Plan is required. This Supplementary
Component relates to the process by which that plan is maintained.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. No. 4. Fisheries management. Rome, FAO. 1997.
4.1 (ii)
Section 4.1 deals with formulating Management Plans to reflect selected objectives and constraints. Under paragraph
4.1 (ii) it is suggested that management plans reflecting the management objectives should be drawn-up for all
fisheries. These management plans will then serve as a reference and information source for the management authority
and all interest groups, summarizing the current state of knowledge on the resource, its environment and the fishery,
and reflecting all the decisions and actions agreed upon during the course of consultations between the management
authority and the interest groups. Ensuring plans are developed and implemented for all fisheries helps to avoidplanned management measures on one fishery creating unforeseen problems and externalities in a neighbouring
fishery for which no plan is available.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.01 The standard requires the existenceof documented management approaches
or other management framework covering
the unit of certification and the stock underconsideration, including management
measures consistent with achieving
management objectives for the stock underconsideration.

This Supplementary Component requires the production of a Fishery
Management Plan as an essential component of the management
system.

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D.3 0401

DECISION RULES

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that management
measures specify the actions to be taken in
the event that the status of the DSF stock in
the high seas under consideration drops below
levels consistent with achieving management
objectives that allow for the restoration of
the stock to such levels within a reasonable
time frame. The standard requires specificmanagement and operational precautionary
actions before and after the establishment
regional management arrangements andduring the development phase of a fishery as
well as once it established.

This Supplementary Component is seeking decision rules
specifically applicable to DSF stocks on the high seas.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
61 to 65; 71; 75 to77; 81 to 83
Paragraphs 61 to 65, 71, 75 to 77and 81 to 83 require specific management and operational precautionary actions
before and after the establishment regional management arrangements and during the development phase of a fisheryas well as once it is established.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.04 The standard requires thatmanagement measures specify the actions
to be taken in the event that the status of
the stock under consideration drops below
levels consistent with achieving management
objectives that allow for the restoration of
the stock to such levels within a reasonable
time frame. This requirement also pertains to
species introductions or translocations thathave occurred historically and which havebecome established as part of the natural
ecosystem.

This Supplementary Component is seeking decision rules
specifically applicable to DSF stocks on the high seas.

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D.3 06

01

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

Where species subject to bycatch and/or
discarding in the Unit of Certification are taken
in both areas under national jurisdiction andadjacent areas beyond national jurisdiction, thestandard requires that states and RFMOs/As
collaborate in assessing bycatch and discard
issues throughout the entire range of the
bycatch species of concern where applicable.

This is addressing the specific case where bycatch and/or discarding
in the Unit of Certification is occurring in both areas under national
jurisdiction and adjacent areas beyond national jurisdiction. In thiscase, the standard must require that the relevant management
authorities (i.e. the coastal state or states and RFMO/As) collaborate
in assessing bycatch and discard issues throughout the entire
distribution range of the species of concern where applicable.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
3.5.2; 3.2.6; 6.3
Paragraph 3.5.2 States should strengthen and build the capacity of RFMOs/As in order to manage bycatch andreduce discards, incorporating the relevant principles and norms of international law and international instruments into
the mandates of these organizations or arrangements.
Paragraph 3.2.6 When a species is taken in both areas under national jurisdiction and adjacent areas beyond national
jurisdiction, actions taken in relation to the management of bycatch and reduction of discards for that species would be
more effective if they are compatible across these areas.
Paragraph 6.3 States and RFMO/As should collaborate in assessing bycatch and discard issues throughout the entire
distribution range of the species of concern where applicable.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

This is a step up from the Essential Component in that it requiresthat states and RFMOs/As collaborate in assessing bycatch anddiscard issues throughout the entire range of the bycatch species.

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02

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires a review of theeffectiveness of existing initiatives that address
bycatch and discard problems in ensuringthat non-target stocks (i.e. stocks/species
in the catch that are other than the stock
under consideration) are not threatened withrecruitment overfishing or other impacts thatare likely to be irreversible or very slowly
reversible.

The bycatch and discard problems referred to in this Supplementary
Component would be identified through a risk assessment to
identify the specific nature and extent of bycatch and discard
problems in the fishery as a basis for prioritization and planning.
This could be undertaken, for example, as part of the analysis of
the effects of the unit of certification, including any enhancement
activities, on ecosystem structure, processes and function, as per
Essential Component D.5.07. The existing initiatives that address
the bycatch and discard problems would include the management
measures designed to achieve management objectives (see D.2.07)
referred to in the parent Essential Component D.3.06.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2
Paragraph 4.1.2 states that States and RFMO/As should identify and assess fisheries where bycatch and discards
occur and specify the requirements for management actions. Such assessments should, where feasible, include, interalia:(i) information on the type(s) of fishing conducted or considered, including the vessels and gear types, fishing areas,levels of fishing effort, duration of fishing as well as the target and bycatch species and their sizes, and in particularthreatened, endangeredor protected species;(ii) a risk assessment to identify the specific nature and extent of bycatch and discard problems in the fishery as a basis
for prioritization and planning;(iii) a review of the effectiveness of existing initiatives to address the bycatch and discard problems identified in the risk
assessment;(iv) a review of the potential effectiveness of alternative methods to address the bycatch and discard problems
identified in the risk assessment;(v) a
 n assessment of the impacts of bycatch management and discard reduction measures on fishing operations
and, in the case of States, on livelihoods to ascertain the potential effects of their implementation and the support
necessary to facilitate their uptake;(vi) a review of the systems for the regular monitoring of the effectiveness of measures for bycatch management andreduction of discards, assessed against the management goals; and(vii) a regular assessment of plans and management measures for adjustment, as appropriate.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires thatmanagement measures are designed toachieve management objectives (see D.2.07)
seeking to ensure that non-target catches anddiscards by the unit of certification of stocks
other than the stock under consideration andany associated culture and enhancement
activity do not threaten those non-target stocks
with recruitment overfishing or other impacts
that are likely to be irreversible or very slowly
reversible.

This is a step up from the Essential Component in that a reviewof the effectiveness of existing initiatives to address problems
identified in the risk assessment of bycatch and discards is required.
It addresses primarily sub-paragraph (iii) of paragraph 4.1.2.
Other parts of paragraph 4.1.2 are taken up in Supplementary
Components D.3.06.03, D.3.06.04 and D.3.07.04.

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NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires a review of the potential
effectiveness of alternative methods that
address the bycatch and discard problems
identified in the risk assessment (seeD.5.07.01).

This Supplementary Component considers the potential
effectiveness of alternative methods that address the bycatch anddiscard problems. It is a companion Supplementary Component to
D.3.06.02, which addresses the effectiveness of existing initiatives.
The risk assessment is required under D.5.07.01.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2
4.1.2 States and RFMO/As should identify and assess fisheries where bycatch and discards occur and specify therequirements for management actions. Such assessments should, where feasible, include, inter alia:(iv) a review of the potential effectiveness of alternative methods to address the bycatch and discard problems
identified in the risk assessment

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires thatmanagement measures are designed toachieve management objectives (see D.2.07)
seeking to ensure that non-target catches anddiscards by the unit of certification of stocks
other than the stock under consideration andany associated culture and enhancement
activity do not threaten those non-target stocks
with recruitment overfishing or other impacts
that are likely to be irreversible or very slowly
reversible.

This is a step up from the Essential Component in that a reviewof the potential effectiveness of alternative methods to address
problems identified in the risk assessment of bycatch and discards
is required.

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NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires an assessment of the
impacts of bycatch management and discard
reduction measures on fishing operations
and, in the case of States, on livelihoods
to ascertain the potential effects of theirimplementation and the support necessary tofacilitate their uptake.

This is related to Supplementary Component D.3.06.02. It
addresses the issue of uptake of initiatives (measures) that address
bycatch and discard problems, and is hence related to theireffectiveness.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2
4.1.2 States and RFMO/As should identify and assess fisheries where bycatch and discards occur and specify therequirements for management actions. Such assessments should, where feasible, include, inter alia:(v) a
 n assessment of the impacts of bycatch management and discard reduction measures on fishing operations
and, in the case of States, on livelihoods to ascertain the potential effects of their implementation and the support
necessary to facilitate their uptake;

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

This is a step up from the Essential Component in that it requires
an assessment of the impacts of bycatch management and discard
reduction measures on livelihoods and hence consideration of theuptake of these measures.

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D.3 0605

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that management
measures are designed to achieve
management objectives (see D.2.07.02)
seeking to ensure that non-target stocks (i.e.
stocks/species in the catch that are otherthan the stock under consideration) are notthreatened with recruitment overfishing or otherimpacts that are likely to be irreversible or very
slowly reversible.

This Supplementary Component requires that management
measures for non-target species (i.e. stocks/species in the catchthat are other than the stock under consideration) consider the
impacts of all fishing on those stocks/species of all activities thatmight give rise to recruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible over their entire areasof distribution.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2 (i); 4.1.3; 6.3; 7.7.4
Paragraph 4.1.2(i): States and RFMO/As should identify and assess fisheries where bycatch and discards occur andspecify the requirements for management actions. Such assessments should, where feasible, include, inter alia: (i)information on the type(s) of fishing conducted or considered, including the vessels and gear types, fishing areas,levels of fishing effort, duration of fishing as well as the target and bycatch species and their sizes, and in particularthreatened, endangered or protected species.
Paragraph 4.1.3 requires bycatch management planning for all fisheries that require bycatch management action. This
planning should include objectives, strategies, standards and measures directed at managing bycatch and reducing
discards. Bycatch management planning should be incorporated into broader fisheries management plans.
Paragraph 6.3: States and RFMO/As should collaborate in assessing bycatch and discard issues throughout the entire
distribution range of the species of concern where applicable.
Paragraph 7.7.4: When setting a quota for a species that can be taken both as a target as well as a bycatch in various
fisheries, it is necessary to ensure that quotas for the species as targeted catch and as bycatch are accounted forwithin an overall limit.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

The parent Essential Component seeks to ensure that non-target
catches and discards by the unit of certification of stocks otherthan the stock under consideration and any associated culture
and enhancement activity do not threaten those non-target stocks
with recruitment overfishing or other impacts that are likely to beirreversible or very slowly reversible. This Supplementary Component
expands on the Essential Component by requiring consideration of
the effects of all fishing (not just that of the unit of certification) on
stocks other than the stock under consideration.

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NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the management system
to consider, as part of a fisheries management
plan, the establishment of no-discard regimes,
wherever applicable, and individual and fleetwide limits on bycatch in those fisheries wherebycatch is unavoidable. When setting a quota
for a species that can be taken both as atarget as well as a bycatch in various fisheries,
it is necessary to ensure that quotas for the
species as targeted catch and as bycatch areaccounted for within an overall limit. Where
information on the bycatch populations islimited, bycatch limits and quotas should be set
in accordance with the precautionary approach.

This Supplementary Component refers to several specific bycatch
management and discard reduction measures that the standard
would need the fishery to consider.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
7.7.1; 7.7.4; 7.7.5
7.7.1 States and RFMO/As, as part of a fisheries management plan, should consider the establishment of no-discard
regimes, wherever applicable, and individual and fleet-wide limits on bycatch in those fisheries where bycatch isunavoidable.
7.7.4 When setting a quota for a species that can be taken both as a target as well as a bycatch in various fisheries, itis necessary to ensure that quotas for the species as targeted catch and as bycatch are accounted for within an overall
limit.
7.7.5 Where information on the bycatch populations is limited, bycatch limits and quotas should be set in accordancewith the precautionary approach.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

This is a step up from the Essential Component in that it requiresconsideration of several specific bycatch management and discard
reduction measures.

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D.3 06

07

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the management
approaches, strategies and plans that are used
to regulate fishing are developed in the broader
context of an EAF and that they constitute a
coherent mix of approaches that takes accountof the interdependencies and functioning of
the ecosystem, minimizing cumulative negative
impacts and, as far as possible, enhancing
ecosystem health and integrity. The EAF
management plan should include a description
or descriptions of how the mix of management
measures has been designed to take into
account the interdependencies and minimize
negative impacts.

This Supplemental Component is looking for the standard to require
bycatch management and discard reduction measures to beestablished as part of an overall integrated approach in the context
of EAF. An EAF management plan is required (see 3.11.02).

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
3,1
Chapter 3. Management measures and approaches 3.1 Introduction of the EAF Guidelines:
The measures available to managers to adopt an EAF will, at least in the short term, be an extension of thoseconventionally used in TROM [conventional target-resource oriented management]. Thus the range of input and output
controls and technical measures (including spatial measures) used to regulate fishing mortality remain highly relevant;but these controls will need to be considered in a broader context. This means recognizing that the range of measureschosen should not only address a series of target species concerns, but should also enhance ecosystem healthand integrity. Managers should consider as far as possible a coherent mix of approaches that takes account of theinterdependencies and functioning of the ecosystem. Apart from managing the direct effects of fishing activity, fishery
managers will need to be aware of other measures that are available for managing populations (e.g. restocking andculling). Similarly, habitats may be modified to enhance the populations of target species or to restore degraded areas.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.06 The standard requires that management
measures are designed to achieve management
objectives (see D.2.07) seeking to ensure that
non-target catches and discards by the unitof certification of stocks other than the stock
under consideration and any associated culture
and enhancement activity do not threaten those
non-target stocks with recruitment overfishing orother impacts that are likely to be irreversible orvery slowly reversible.

This is a step up from the Essential Component in that it requires
bycatch management and discard reduction measures to beestablished as part of an overall integrated approach in the context
of EAF.

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01

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that management
measures incorporate best practices for
bycatch management and reduction of
discards.

The FAO International Guidelines on Bycatch Management andReduction of Discards, paragraph 4.1.4 sets out best practices
for bycatch management and reduction of discards. These
best practices are required, where applicable, to meet thisSupplementary Component.
See also Responsible fish utilization. FAO Technical Guidelines for
Responsible Fisheries. No. 7. Rome, FAO. 1998. 33p 108, 112

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.4
Paragraph 4.1.4: States and RFMO/As should ensure that bycatch management planning includes best practices for
bycatch management and reduction of discards developed in cooperation with relevant stakeholders. Inter alia:(iv) w
 here bycatch and discard problems need to be addressed, the development of measures to meet theseobjectives, tailored to the characteristics of each fishery, while seeking to increase the compatibility and consistency
between the different management measures applied to the same stock or in the same fishery, to:(a) m inimize potential bycatch through spatial and/or temporal measures;(b) m inimize bycatch through the modifications of fishing gears and practices;(c) m aximize the live release of bycatch while ensuring the safety of the fishing crew;(d) reduce discards; and/or(e) u tilize the bycatch to the extent possible that continues to be taken under these measures in a manner that is
consistent with the Code.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.07 The standard requires the existenceof management measures that minimize
unwanted catch and discards, whereappropriate, and reduce post-released
mortality where incidental catch is unavoidable.

This is a step up from the Essential Component in that it requires
bycatch management and discard reduction measures to beestablished as part of an overall integrated approach in the context
of EAF.

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02

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that regulatory
measures do not provide incentives which may
undermine bycatch management and discard
reduction measures.

Regulatory measures that undermine bycatch management anddiscard reduction measures might be, for example, those that reduce
the level of uptake, or otherwise create an incentive to discard.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
7.9.1
Paragraph 7.9.1 States and RFMO/As should seek to eliminate or adjust regulatory measures that provide incentives
which may undermine bycatch management and discard reduction measures.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.07 The standard requires the existence ofmanagement measures that minimize unwanted
catch and discards, where appropriate, andreduce post-released mortality where incidental
catch is unavoidable.

This is a step up from the Essential Component in that it specificallyrequires an absence of measures that may undermine bycatch
management and discard reduction measures.

D.3 07

03

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the adoption of
measures to minimize mortalities as a result of
pre-catch losses and ghost fishing.

Examples of measures to minimize mortalities as a result of precatch losses and ghost fishing include gear modifications thatenable undersized fish and/or non-target species to escape thefishing gear unharmed and measures to reduce gear loss, or ensurethat lost gear does not continue to result in mortality.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
8,1
Paragraph 8.1 States and RFMO/As should consider measures to address the impact of pre-catch losses and ghost
fishing on living aquatic resources. Possible actions to assess and mitigate such impacts include, inter alia:(i) a dopting objectives in fisheries management policies and plans to minimize mortalities as a result of pre-catch losses
and ghost fishing;

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.07 The standard requires the existenceof management measures that minimize
unwanted catch and discards, whereappropriate, and reduce post-released
mortality where incidental catch is unavoidable.

This is a step up from the Essential Component in that it specificallyrequires measures to minimize mortalities as a result of pre-catch
losses and ghost fishing.

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D.3 0801

ENDANGERED SPECIESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures, where appropriate,
to reduce interactions with particularly
vulnerable bycatch (e.g. juveniles and rare,endangered, threatened or protected species)
through identifying and establishing areas
where the use of all or certain gears is limited
or prohibited, based on the best scientificevidence available and consistent withinternational law.

To meet this Supplementary Component, the standard must require
management measures, where necessary, to reduce interactions
with particularly vulnerable bycatch. The Supplementary Component
provides examples of categories of bycatch that are particularly
vulnerable. The measures envisaged are areas where use of certain
gears is limited or prohibited. Endangered and threatened aredescribed in the Glossary. “Protected” refers generally to any plantor animal that a government declares by law to warrant protection;
most protected species are considered either threatened or
endangered. A species that is recognised by national legislation,affording it legal protection due to its population decline in the wild.
The decline could be as a result of human or other causes.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
7.6.1
Paragraph 7.6.1 States and RFMO/As should consider measures to reduce interactions with particularly vulnerable
bycatch (e.g. juveniles and rare, endangered, threatened or protected species) through identifying and establishingareas where the use of all or certain gears is limited or prohibited, based on the best available scientific information andconsistent with international law.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.08 The standard requires the existence ofmanagement measures, as necessary, designed
to achieve the management objectives (D.2.08)
that seek to ensure that endangered species
are protected from adverse impacts resulting
from interactions with the unit of certification
and any associated culture or enhancement
activity, including recruitment overfishing or otherimpacts that are likely to be irreversible or very
slowly reversible.

The Essential Component aims to protect endangered species
from adverse impacts. This Supplementary Component builds on
this, requiring management measures, where necessary, to reduce
interactions with particularly vulnerable bycatch.

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HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofmanagement measures designed to achieving
management objectives (D.2.07.01) that seek
to prevent significant adverse impacts of theunit of certification on VMEs.

This Supplementary Component is related to D.2.09.01 which
establishes the requirement for management objectives specificallyfor preventing significant adverse impacts of the unit of certification
on VMEs. This Supplementary Component establishes therequirement for management measures to meet the management
objectives for preventing significant adverse impacts of the unitof certification on VMEs. The FAO International Guidelines for theManagement of Deep Sea Fisheries in the High Seas provide detailon what is regarded as a VME and what is a significant adverse
impact in this context. This document also provides an extensive listof management measures that could be applied.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
63; 65; 74; 81 to 83
Paragraph 63. Until a functioning regulatory framework is developed to prevent significant adverse impacts on VMEs
and to ensure the long-term sustainability of DSFs, conservation and management measures should include, at aminimum:i. closing of areas to DSFs where VMEs are known or likely to occur, based on the best available scientific andtechnical information;ii. refraining from expanding the level or spatial extent of effort of vessels involved in DSFs;
iii. reducing the effort in specific fisheries, as necessary, to the nominal levels needed to provide information forassessing the fishery and obtaining relevant habitat and ecosystem information.
Such interim measures are without prejudice to future allocations and participatory rights in the fishery, in accordancewith international law.
Paragraph 65. Precautionary conservation and management measures, including catch and effort controls, areessential during the exploratory phase of a DSF, and should be a major component of the management of anestablished DSF. They should include measures to manage the impact of the fishery on low-productivity species, nontarget species and sensitive habitat features. Implementation of a precautionary approach to sustainable exploitation of
DSFs should include the following measures:i. precautionary effort limits, particularly where reliable assessments of sustainable exploitation rates of target and main
bycatch species are not available;ii. p recautionary measures, including precautionary spatial catch limits where appropriate, to prevent serial depletion of
low productivity stocks;
iii. regular review of appropriate indices of stock status and revision downwards of the limits listed above whensignificant declines are detected;
iv. measures to prevent significant adverse impacts on vulnerable marine ecosystems; andv. comprehensive monitoring of all fishing effort, capture of all species and interactions with VMEs.

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Paragraph 74. If after assessing all available scientific and technical information, the presence of VMEs or the likelihoodthat individual DSFs activities would cause significant adverse impacts on VMEs cannot be adequately determined,
States should only authorize individual DSFs activities to proceed in accordance with:i. precautionary conservation and management measures to prevent significant adverse impacts as described inparagraph 65;
ii. a protocol for encounters with VMEs consistent with paragraphs 67 to 69; andiii. m easures, including ongoing scientific research, monitoring and data collection, to reduce uncertainty.
Paragraph 81. States and RFMO/As should establish a transparent system for regular monitoring of the implementationof fishery management plans as well as conservation and management measures. Using information obtained fromsuch a system, together with the best available scientific and technical information, the effectiveness of such plans
and measures should be reviewed and assessed for the purpose of making adjustments as necessary. This adaptive
management should form an integral part of the management plans for DSFs.
Paragraph 82. States and RFMO/As should regularly review the accumulating scientific information on deep-sea fishstocks, known or likely location of VMEs and the impacts of DSFs on VMEs and the marine biodiversity that theseecosystems contain. Where important uncertainties are identified, practical measures to reduce them should be
pursued.
Paragraph 83. States and RFMO/As should ensure regular and independent reviews of the data and impact
assessments, as well as the effectiveness of conservation and management measures for DSFs and other issues, as
appropriate.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.09 The standard requires the existenceof management measures, as necessary,
designed to achieve the management
objectives (D.2.09) seeking to avoid, minimize
or mitigate impacts of the unit of certification
on essential habitats for the “stock underconsideration” and on habitats that are highly
vulnerable to damage by the fishing gear of
the unit of certification. In assessing fishery
impacts, the Standard requires considerationof the full spatial range of the relevant habitat,
not just that part of the spatial range that is
potentially affected by fishing.

The parent Essential Component does not exclude impacts on
VMEs, but nor are they explicitly included. This Supplementary
Component also seeks prevention of significant adverse impacts on
VMEs rather than to avoid, minimize or mitigate impacts on habitat.

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D.3

11

01

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that fisheries
management approaches, plans and strategies
are an integral part of integrated coastalmanagement, and/or ocean management for
oceanic fisheries, and that there are safeguards
in place to protect the fisheries ecosystems
from adverse effects stemming from activities
in other sectors.

This Supplemental Component is looking for fisheries
management to be integrated within broader coastal and/or
oceanic management, with the aim of protecting ecosystems
on which fisheries rely from the impacts of non-fishing activities.
The expectation should be that the fishery managers ensure thatthey are recognized as important stakeholders in the process of
integrated coastal management so that they can safeguard thefunction of the habitats that support fisheries ecosystems fromadverse effects stemming from activities in other sectors.
It is understood that there are many issues that concern fishery
managers that are nevertheless generally within the competenceof other agencies outside of the fishery management system.
These may be highly relevant in an EAF context; they include
such issues as the impact associated with human activities
on land and sea leading to habitat destruction, eutrophication,
contaminants, CO2 emissions, litter, accidental introduction of
exotic species through ballast water, etc. While fishery managers
cannot be expected to control these issues, in the context of thisSupplemental Component they should be expected to be proactive
to ensure that the appropriate authorities include all those involved
in fisheries as important stakeholders in management planning anddecision-making.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2.The ecosystem approach tofisheries (2003).
3.5
Abridged from 3.5 Other considerations of the EAF Guidelines (see also 3. Management measures and approaches
3.1 Introduction)
Many of the problems facing fisheries management in an EAF context fall outside the direct control of fisheries
managers. [Paragraph 3.5 provides examples]. Fisheries managers need to ensure that they are recognized asimportant stakeholders in the process of integrated coastal management so that they can safeguard the function of thehabitats that support fisheries ecosystems from adverse effects stemming from activities in other sectors.
Extract from Section 3.1: While population and habitat manipulation may lie partly within the remit of fishery
management bodies, there are many other issues, generally within the competence of other agencies that concern
fisheries managers. These may be highly relevant in an EAF context; they include such issues as the impact associatedwith human activities on land and sea leading to habitat destruction, eutrophication, contaminants, CO2 emissions,litter, accidental introduction of exotic species through ballast water, etc. Fishery managers should be proactive inthese circumstances to ensure that the appropriate authorities include all those involved in fisheries as important
stakeholders in management planning and decision-making.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.11 The standard requires the existenceof management measures, as necessary,
designed to achieve the management
objectives (D.2.09) that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement
activities, on the structure, processes andfunctions of aquatic ecosystems that are likely
to be irreversible or very slowly reversible.

The parent Essential Component addresses adverse impacts of
the unit of certification on the ecosystem. This Supplementary
Component requires that fisheries management approaches, plans
and strategies are a part of integrated coastal management, and/or ocean management, with the aim of protecting ecosystems on
which fisheries rely from the impacts of non-fishing activities.

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11

02

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the development andmaintenance of an EAF Management Plan
through a series of iterative steps that include:
defining the initial scope; gathering backgroundinformation and analysis; setting objectives(broad objectives as well as operational
objectives along with their associatedindictors and performance measures); andthe formulation of rules, and monitoring,assessment and review.

An EAF Management Plan is required. This Supplementary
Component relates to the process by which that plan is developed
and maintained.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
4.1
Chapter 4.1 provides guidelines for the process to be followed to develop and revise management plans within EAF.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.11 The standard requires the existenceof management measures, as necessary,
designed to achieve the management
objectives (D.2.09) that seek to minimize
adverse impacts of the unit of certification,
including any associated enhancement
activities, on the structure, processes andfunctions of aquatic ecosystems that are likely
to be irreversible or very slowly reversible.

The difference between the parent Essential Component and thisSupplementary Component is the way in which EAF is implemented.
The specificity in this Supplementary Component is intended tolead to a stronger EAF management approach under an EAFManagement Plan.

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u FISHERY MANAGEMENT DOCUMENTATION
D.3

13

01

CONTINUOUS REVIEWGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a regular assessment
through periodic review of plans andmanagement measures addressing bycatch,
reduction of discards and reduction of
post-released mortality to ensure that they
continue to meet goals and objectives and for
adjustment, as appropriate.

To meet this Supplemental Component, the standard must require
review of all plans relating to bycatch management and discard
reduction measures.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2; 7.2
Paragraph 4.1.2 States and RFMO/As should identify and assess fisheries where bycatch and discards occur andspecify the requirements for management actions. Such assessments should, where feasible, include, inter alia:(vii) a regular assessment of plans and management measures for adjustment, as appropriate.
Paragraph 7.2 Management measures should be periodically reviewed to ensure that they continue to meet goals andobjectives.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.13 The standard requires that the efficacy
of management measures and their possible
interactions is kept under continuous review,
taking into account the multipurpose nature of
the use patterns in inland and marine waters.

This is a step up from the Essential Component in that it specificallyrequires periodic review of the efficacy of management measuresthat minimize unwanted catch and discards and adjustment as
necessary.

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02

CONTINUOUS REVIEWGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a review of the systems
for the regular monitoring of the effectivenessof management measures for bycatch
management and reduction of discards,
assessed against the management objectives.

To meet this Supplementary Component, the standard must require
review of the systems for the regular monitoring of the effectivenessof management measures for bycatch management and reductionof discards. This review must be relative to the management
objectives for bycatch management and reduction of discards.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2
Paragraph 4.1.2 States and RFMO/As should identify and assess fisheries where bycatch and discards occur andspecify the requirements for management actions. Such assessments should, where feasible, include, inter alia:(vi) a review of the systems for the regular monitoring of the effectiveness of measures for bycatch management andreduction of discards, assessed against the management goals.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.13 The standard requires that the efficacy
of management measures and their possible
interactions is kept under continuous review,
taking into account the multipurpose nature of
the use patterns in inland and marine waters.

This adds specificity to the parent Essential Component, focussing
specifically on the review of systems for the regular monitoring of theeffectiveness of management measures for bycatch management
and reduction of discards.

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13

03

CONTINUOUS REVIEWGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the EAF Management
Plan includes the specification of regular reviewsin which the success of the management
measures in attaining the objectives in the EAFManagement Plan is appraised. This should
include short-term, for example annual, reviewsof achievement of operational objectives as well
as longer-term reviews of progress in achieving
broader policy objectives.

To meet this Supplementary Component, the standard must
require an EAF Management Plan (D.3.11.02), and this plan must
include specification of regular reviews to assess the efficacy of the
management measures.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2.The ecosystem approach to fisheries(2003).
4.1.6
Abridged from 4.1.6 Monitoring, assessment and review process of the EAF Guidelines
The EAF management plan should include the specification of regular reviews in which the success of the management
measures in attaining the objectives is appraised. …Such review should be carried out under guidance from, and making
regular reports to, a designated stakeholder group. Both short-term and long-term reviews should be conducted. Shortterm reviews, for example as part of an annual cycle, should make assessments of species abundance and productivity
in the case of targeted resources, assessments of impacts of the fishery for other broader ecological aspects and socialand economic assessments. …In turn, because of the linkages between these and the higher-level goals, an evaluationof whether the longer-term broader objectives are being achieved should also be provided.

RELATED ESSENTIAL COMPONENTRATIONALE

D.3.13 The standard requires that the efficacy
of management measures and their possible
interactions is kept under continuous review,
taking into account the multipurpose nature of
the use patterns in inland and marine waters.

This Supplementary Component establishes the need for a review ofthe measures contained in the EAF. It therefore builds on the review
process in the parent Essential Component and also adds detail to
the EAF Management Plan required in Supplementary Component
D.3.11.03.

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Data and Information
GSSI Supplementary Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.4

01

01

TARGET STOCK STATUS

GSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable andcurrent data and/or other information about
the state and trends of the DSF stock in thehigh seas under consideration in accordancewith applicable international standards andpractices. Data collection programmes
developed by States and competent RFMO/As
should cover all stages of fishery development
and should include, as far as practicable, dataon historical stages of the fishery or on past
fisheries in the area.

There are particular challenges with the collection and maintenanceof adequate, reliable and current data and/or other information on
fisheries on DSF stocks in the high seas. To meet this Supplemental
Component the standard must require the fishery to acknowledge
and explain these challenges with respect to DSF and datacollection and maintenance to cover all stages of DSF development,in accordance with applicable international standards and practices.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
31 to 39
Paragraphs 31 to 39. Data collection programmes developed by States and competent RFMO/As should cover all
stages of fishery development and should include, as far as practicable, data on historical stages of the fishery or on
past fisheries in the area.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.01 The standard requires the collection
and maintenance of adequate, reliable andcurrent data and/or other information about
the state and trends of the stock underconsideration in accordance with applicableinternational standards and practices.

This Supplementary Component addresses the particular challenges
regarding the collection and maintenance of adequate, reliable andcurrent data and/or other information on fisheries on DSF stocks in
the high seas.

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GSSI Supplementary Components for Fisheries Certification Standardsu ECOSYSTEM EFFECTS OF FISHING
D.4 0201

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the management
system collects and analyses data necessary toensure that all operational objectives, indicatorsand reference points required for implementationof EAF can be assessed and monitored.

This Supplementary Component creates a blanket requirement forthe data and analyses necessary to determine the extent to which
operational objectives for implementing EAF have been met.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2.The ecosystem approach to fisheries(2003).
2.2
From 2.2 Developing management plans:
The FAO EAF Guidelines provide some examples of data requirements in Annex 4 but otherwise do not give muchattention to elaborating on collection and maintenance of data specifically for EAF. The underlying principles are clear,
however: EAF will require a broadening of data, analyses and information provision. ‘The guidelines stress the need totranslate policy goals and broad fishery objectives into operational objectives in order to implement EAF. The process also
needs to be informed by the best available scientific advice so that, firstly, all the issues relevant to a particular fishery havebeen covered and secondly, that all alternative objectives, indicators and reference points can be assessed.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.02 The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about the effects of
the unit of certification, including any associatedenhancement activities, on ecosystem structure,processes and function in accordance withapplicable international standards and practice.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation about the effects of fishing on the ecosystem. This
Supplementary Component is more specific in requiring data andinformation covering the achievement of all operational objectives for
implementing EAF.

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D.4 0202

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the management system
to ensure that available traditional, fisher andcommunity knowledge about the ecosystemand the fishery of which the unit of certification
is part is collected and validated to contributeto implementation and monitoring of EAF.
Further, information about the local situation
should be complemented by information from
ecologically similar situations elsewhere.

Under this Supplemental Component the standard must require thecollection of traditional fisher and community knowledge to support
implementation of EAF. This applies particularly to countries where
information is not already available in reports and statistics.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
2
Section 2 Ecosystem approach to fisheries data and information requirements and use:
However, it is important to stress that immediate action should be based, as much as possible, on data andinformation that already exist. In some countries, much of the information will already be available in reports
and statistics from various research institutes, agencies and ministries. In others, EAF will have to be based oncomparatively fewer data. However, in these cases there is often extensive traditional knowledge about the ecosystemand the fishery, which can be extremely useful if collected and validated from interviews with local fishermen andother stakeholders. In all cases, information about the local situation should be complemented by information from
ecologically similar situations elsewhere.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.02 The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about the effects of
the unit of certification, including any associatedenhancement activities, on ecosystem structure,processes and function in accordance withapplicable international standards and practice.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation about the effects of fishing on the ecosystem. This
Supplementary Component is more specific in requiring thecollection of traditional, fisher and community knowledge to support
implementation of EAF.

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D.4 0301

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires, where necessary, alevel and scope of observer programs sufficient
to provide quantitative estimates of total catch,discards, and incidental takes of living aquatic
resources.

This Supplemental Component identifies observer programs as animportant means to provide quantitative estimates of total catch,discards, and incidental takes of living aquatic resources. To meetthis Supplemental Component the standard would need to explicitly
state that, where necessary, a suitable level and scope of observer
programs is needed for this purpose.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
5.1.3
Paragraph 5.1.3 Where necessary, States and RFMO/As should strive to achieve a level and scope of observer programs
sufficient to provide quantitative estimates of total catch, discards, and incidental takes of living aquatic resources.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.03 The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information on non-target
catches and discards in the unit of certification.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation on non-target catches and discards in the unit ofcertification. This Supplementary Component is more specific in
explicitly requiring observer programs to collect data on total catch,discards, and incidental takes.

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2

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires that where information
is insufficient to conduct a risk assessment to
identify the specific nature and extent of bycatchand discard problems in the fishery of which
the unit of certification is part (see D.5.07.01),
additional research should be conducted on
the biology of species taken as bycatch, theperformance of fishing gears and mitigation
measures and the social and economic
consequences of measures and techniques tomanage bycatch and reduce discard mortality.

This Supplementary Component lists a range of topics for additional
research that should be conducted in the event that there isinsufficient information to conduct a risk assessment to identify thenature and extent of bycatch and discard problems in the fishery.
This is related to Supplementary Component D.3.06.02 whichmakes reference (in the Guidance to Auditors) to this same risk
assessment. The risk assessment is required under D.5.07.01. To
meet this Supplementary Component, the standard would need torequire this research to be undertaken, or for there to be sufficient
information already available for the risk assessment.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
6.1
Paragraph 6.1 States and, as appropriate, RFMOs should conduct and promote research that is essential for planningon bycatch management and the reduction of discards. Where information is insufficient to conduct the types of risk
assessment and other analyses referred to in sections 4 and 5 of these Guidelines, additional research should be
conducted on the biology of species taken as bycatch, the performance of fishing gears and mitigation measures andthe social and economic consequences of measures and techniques to manage bycatch and reduce discard mortality.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.03 The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information on non-target
catches and discards in the unit of certification.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation on non-target catches and discards in the unit ofcertification. This Supplementary Component is more specific inrequiring research on a range of named topics to fill gaps should thedata be insufficient to undertake a risk assessment to identify thenature and extent of bycatch and discard problems in the fishery.

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D.4 0303

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The Standard requires that the management
system implements data collection proceduresand protocols appropriate to the scale andtype of fishery and taking into account theresults of a risk assessment (see D.5.07.01),
including the use of observers, standardized
logbooks and vessel position monitoring
systems to ensure effective monitoring of
non-target catches and discards in the unit ofcertification, including catch handling on board
the fishing vessel and landings at ports.

While D.4.03.02 requires research (where necessary) to enable theundertaking of a risk assessment to identify the nature and extent
of bycatch and discard problems in the fishery, this Supplementary
Component requires data collection to ensure effective monitoringof non-target catches and discards in the unit of certification taking
into account the results of the risk assessment. The risk assessment
is the same one as referred to in the Guidance to Auditors for
Supplementary Component D.3.06.02 and required under
Supplemental Component D.5.07.01.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
5.1.1; 9.1; 5.1.3
Paragraph 5.1.1 As part of bycatch management planning, States and RFMO/As should, to the extent possible andtaking into account the scale and type of the fisheries:(ii) implement data collection procedures and protocols appropriate to the scale and type of fishery and taking into
account the results of the risk assessment referred to in paragraph 4.1.2 of these Guidelines, including the use ofobservers, standardized logbooks and vessel position monitoring systems;
Paragraph 9.1 States and RFMO/As should, where appropriate and to the extent possible:(i) require reporting of all relevant information related to bycatch and discards; and(ii) u ndertake MCS of all relevant fishing operations, including catch handling on board the fishing vessel and landings
at ports.
Paragraph 5.1.3 Where necessary, States and RFMO/As should strive to achieve a level and scope of observer programs
sufficient to provide quantitative estimates of total catch, discards, and incidental takes of living aquatic resources.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.03 The standard requires the collection
and maintenance of adequate, reliable andcurrent data and/or other information on
non-target catches and discards in the unit ofcertification.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation on non-target catches and discards in the unit ofcertification. This Supplementary Component requires collectionof data to ensure effective monitoring of non-target catches anddiscards in the unit of certification taking into account the results of
the risk assessment.

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D.4 0501

HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that there is knowledge
within the fishery management system of theessential habitats for the DSF stock in the highseas under consideration and VMEs that arehighly vulnerable to damage by the fishinggear of the unit of certification. This includes
knowledge of the full spatial range of therelevant habitat, not just that part of the spatial
range that is potentially affected by fishing.

This Supplementary Component is similar to its parent Essential
Component, except it is specific to DSF stocks in the high seas
and VMEs. These might be expected to be covered by the parent
Essential Component by default, but the Supplementary Component
requires an explicit recognition that DSF stocks in the high seas
and VMEs represent a special case, and carry with them particularchallenges with respect to collection and maintenance of data.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
18 (ii); 42 to 46
Paragraph 18 (ii) established that the spatial extent of the impact relative to the availability of the habitat type affectedshould be considered when determining the scale and significance of an impact. Paragraphs 42 to 46 set criteria for
identifying VMEs.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.05 The standard requires that there isknowledge within the fishery management
system of the essential habitats for the stock
under consideration and habitats that arehighly vulnerable to damage by the fishinggear of the unit of certification. This includes
knowledge of the full spatial range of therelevant habitat, not just that part of the spatial
range that is potentially affected by fishing.

This Supplementary Component provides an expansion of its parent
Essential Component by establishing an explicit recognition that DSF
stocks in the high seas and VMEs represent a special case, andcarry with them particular challenges with respect to collection andmaintenance of data.

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D.4 0502

HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the collection andmaintenance of adequate, reliable and current
data and/or other information about theeffects of the unit of certification on VMEs inaccordance with standards and practices in
the FAO Guidelines on Deep-sea Fisheries inthe High Seas.

The focus of this Supplementary Component is on the collection ofdata about the effects of the unit of certification on VMEs. To meetthis Supplementary Component, the standard would need to take
into consideration the standards and practices in the FAO Guidelines
on Deep-sea Fisheries in the High Seas.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
47 to 53
Paragraphs 47 to 53 set specific data requirements for preventing significant adverse impacts on VMEs.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.05 The standard requires that there isknowledge within the fishery management
system of the essential habitats for the stock
under consideration and habitats that arehighly vulnerable to damage by the fishinggear of the unit of certification. This includes
knowledge of the full spatial range of therelevant habitat, not just that part of the spatial
range that is potentially affected by fishing.

This Supplementary Component provides an expansion of its parent
Essential Component in terms of requiring a current data on the effectsof the unit of certification on VMEs.

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D.4 0503

HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires, where appropriate,mapping of seabed habitats, distributions andranges of species taken as bycatch, in particularrare, endangered, threatened or protected
species, to ascertain where species taken as
bycatch might overlap with fishing effort.

This Supplementary Component requires mapping of distributions ofranges of species taken as bycatch, including what can be inferredfrom habitat mapping, to assess the likely overlap with fishing effort.
This is a particular type of analysis that can fill gaps in bycatch
data taken directly from the fishery. To meet this Supplementary
Component, the standard would need to specifically require such amapping approach to assessing bycatch.
Endangered and threatened are described in the Glossary.
“Protected” refers generally to any plant or animal that a government
declares by law to warrant protection; most protected species
are considered either threatened or endangered. A species that isrecognised by national legislation, affording it legal protection due toits population decline in the wild. The decline could be as a result of
human or other causes.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
6.5
Paragraph 6.5 In support of management measures to mitigate bycatch and discard problems, States and RFMO/As
should, where appropriate, map seabed habitats, distributions and ranges of species taken as bycatch, in particularrare, endangered, threatened or protected species, to ascertain where species taken as bycatch might overlap withfishing effort.

RELATED ESSENTIAL COMPONENTRATIONALE

D.4.05 The standard requires that there isknowledge within the fishery management
system of the essential habitats for the stock
under consideration and habitats that arehighly vulnerable to damage by the fishinggear of the unit of certification. This includes
knowledge of the full spatial range of therelevant habitat, not just that part of the spatial
range that is potentially affected by fishing.

The parent Essential Component specifies the collection andmaintenance of adequate, reliable and current data and/or otherinformation on non-target catches and discards in the unit ofcertification. This Supplementary Component requires mapping of
distributions of ranges of species taken as bycatch, including what
can be inferred from habitat mapping, to assess the likely overlap withfishing effort. This is a particular type of analysis that can fill gaps in
bycatch data taken directly from the fishery.

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GSSI Supplementary Components for Fisheries Certification Standardsu STOCK UNDER CONSIDERATION
D.5 01

01

STOCK ASSESSMENTGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires management decisions
by the fishery management organization or
arrangement (D.1.02) to be based on anassessment of the current status and trendsof the DSF stock in the high seas underconsideration, using adequate, reliable andcurrent data and/or other information. In lightof data limitations regarding many deep-sea
species, lower cost or innovative methods
based on simpler forms of monitoring andassessment need to be developed. Suchtechniques should quantify uncertainty in stock
assessments, including that resulting from suchdata limitations and simplified approaches.

This Supplementary Component is similar to its parent Essential
Component, except it is specific to the assessment of DSF stocks in
the high seas. These might be expected to be covered by the parent
Essential Component by default, but the Supplementary Component
requires an explicit recognition that DSF stocks in the high seas
represent a special case, and carry with them particular challenges
with respect to undertaking assessments in data limited situations.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
40; 41
Paragraph 40 Appropriate monitoring and assessment techniques are needed to reliably determine the status ofstocks of low-productivity species which possess the characteristics described in paragraph 13 of these Guidelines. In
light of data limitations regarding many deep-sea species, lower cost or innovative methods based on simpler forms ofmonitoring and assessment need to be developed. Such techniques should quantify uncertainty in stock assessments,
including that resulting from such data limitations and simplified approaches.
Paragraph 41 States and RFMO/As should, as appropriate, collaborate in assessing deep-sea stocks throughout theirrange of distribution.

RELATED ESSENTIAL COMPONENTRATIONALE

D.5.01 The standard requires management
decisions by the fishery management
organization or arrangement (D.1.02) to be
based on an assessment of the current status
and trends of the stock under consideration,using adequate, reliable and current data and/or other information. Other information may
include generic evidence based on similarstocks, when specific information on thestock under consideration is not available,
providing there is low risk to the stock
under consideration in accordance with thePrecautionary Approach.

This Supplementary Component provides an expansion of its parent
Essential Component by establishing an explicit recognition that
DSF stocks in the high seas represent a special case, and carry withthem particular challenges with respect to stock assessment.

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D.5 06

01

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires a risk assessment
to identify the specific nature and extent of
bycatch and discard problems in the fishery ofwhich the unit of certification is part as a basis
for prioritization and planning.

The parent Essential Component requires an analysis of the effects of theunit of certification, including any enhancement activities, on ecosystem
structure, processes and function. This Supplementary Component
focuses on the requirement for a risk assessment to identify the specificnature and extent of bycatch and discard problems in the fishery.
Several other Supplementary Components make reference to this risk
assessment, and either require data collection activity based on its results(D.4.03.03), or additional research to make it possible (D.4.03.02).

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.2
Paragraph 4.1.2 States and RFMO/As should identify and assess fisheries where bycatch and discards occur andspecify the requirements for management actions. Such assessments should, where feasible, include, inter alia:(ii) a risk assessment to identify the specific nature and extent of bycatch and discard problems in the fishery as a basis
for prioritization and planning;

RELATED ESSENTIAL COMPONENTRATIONALE

D.5.06 The standard requires an assessmentof the extent to which non-target catches anddiscards by the unit of certification of stocks
other than the stock under consideration andany associated culture and enhancement
activities threaten those non-target stocks withrecruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

This Supplementary Component expands on its parent Essential
Component by requiring a risk assessment specifically to identify the
specific nature and extent of bycatch and discard problems in thefishery.

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02

NON-TARGET CATCHESGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the management
system addresses in fisheries management
planning all significant sources of fishingmortality in the fishery of which the unit ofcertification is part and that such planning isbased on an ecosystem approach to fisheries.

The parent Essential Component requires an analysis of the effectsof the unit of certification, including any enhancement activities, on
ecosystem structure, processes and function. This Supplementary
Component focuses on the requirement to address all significant
sources of fishing mortality.

REFERENCE
FAO International Guidelines on Bycatch Management and Reduction of Discards (adopted in 2010)
4.1.1
Paragraph 4.1.1 States and RFMO/As should ensure that all significant sources of fishing mortality in a fishery are
addressed in fisheries management planning and that such planning is based on an ecosystem approach to fisheries
and is consistent with the CCRF.

RELATED ESSENTIAL COMPONENTRATIONALE

D.5.06 The standard requires an assessmentof the extent to which non-target catches anddiscards by the unit of certification of stocks
other than the stock under consideration andany associated culture and enhancement
activities threaten those non-target stocks withrecruitment overfishing or other impacts that arelikely to be irreversible or very slowly reversible.

This Supplementary Component expands on its parent Essential
Component by requiring fisheries management planning to address
all significant sources of fishing mortality in the fishery of which theunit of certification is part and that such planning is based on an
ecosystem approach to fisheries.

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Stock and Ecosystem Status and OutcomesGSSI Supplementary Components for Fisheries Certification Standards
D.6 0701

HABITATGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.09.01) that seek
to prevent significant adverse impacts of theunit of certification on VMEs.

This Supplementary Component is related to D.2.09.01 andD.3.09.01 which establish the requirement for management objectives
and management measures, respectively, specifically for preventing
significant adverse impacts of the unit of certification on VMEs. This
Supplementary Component establishes the requirement for outcome
indicators to demonstrate when the objectives have been achieved.
The FAO International Guidelines for the Management of Deep Sea
Fisheries in the High Seas provide detail on what is regarded as a
VME and what is a significant adverse impact in this context.

REFERENCE
FAO International Guidelines for the Management of Deep Sea Fisheries in the High Seas (adopted 2008)
63; 65; 74; 81 to 83
Paragraph 63. Until a functioning regulatory framework is developed to prevent significant adverse impacts on VMEs andto ensure the long-term sustainability of DSFs, conservation and management measures should include, at a minimum:i. closing of areas to DSFs where VMEs are known or likely to occur, based on the best available scientific and technicalinformation;ii. refraining from expanding the level or spatial extent of effort of vessels involved in DSFs;
iii. reducing the effort in specific fisheries, as necessary, to the nominal levels needed to provide information for assessing
the fishery and obtaining relevant habitat and ecosystem information.
Such interim measures are without prejudice to future allocations and participatory rights in the fishery, in accordancewith international law.
Paragraph 65. Precautionary conservation and management measures, including catch and effort controls, are essential
during the exploratory phase of a DSF, and should be a major component of the management of an established DSF.
They should include measures to manage the impact of the fishery on low-productivity species, non-target species andsensitive habitat features. Implementation of a precautionary approach to sustainable exploitation of DSFs should include
the following measures:i. precautionary effort limits, particularly where reliable assessments of sustainable exploitation rates of target and main
bycatch species are not available;ii. precautionary measures, including precautionary spatial catch limits where appropriate, to prevent serial depletion of
low productivity stocks;
iii. regular review of appropriate indices of stock status and revision downwards of the limits listed above when significant
declines are detected;[CLICK INTO THE CELL TO VIEW FULL TEXT]
iv. measures to prevent significant adverse impacts on vulnerable marine ecosystems; andv. comprehensive monitoring of all fishing effort, capture of all species and interactions with VMEs.
Paragraph 74. If after assessing all available scientific and technical information, the presence of VMEs or the likelihoodthat individual DSFs activities would cause significant adverse impacts on VMEs cannot be adequately determined,
States should only authorize individual DSFs activities to proceed in accordance with:i. precautionary conservation and management measures to prevent significant adverse impacts as described inparagraph 65;
ii. a protocol for encounters with VMEs consistent with paragraphs 67 to 69; andiii. measures, including ongoing scientific research, monitoring and data collection, to reduce uncertainty

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D.6

SUPPLEMENTARYCOMPONENTS

Stock and Ecosystem Status and OutcomesGSSI Supplementary Components for Fisheries Certification Standards
Paragraph 81. States and RFMO/As should establish a transparent system for regular monitoring of the implementationof fishery management plans as well as conservation and management measures. Using information obtained fromsuch a system, together with the best available scientific and technical information, the effectiveness of such plans
and measures should be reviewed and assessed for the purpose of making adjustments as necessary. This adaptive
management should form an integral part of the management plans for DSFs.
Paragraph 82. States and RFMO/As should regularly review the accumulating scientific information on deep-sea fishstocks, known or likely location of VMEs and the impacts of DSFs on VMEs and the marine biodiversity that theseecosystems contain. Where important uncertainties are identified, practical measures to reduce them should be pursued.
Paragraph 83. States and RFMO/As should ensure regular and independent reviews of the data and impact assessments,
as well as the effectiveness of conservation and management measures for DSFs and other issues, as appropriate.

RELATED ESSENTIAL COMPONENTRATIONALE

D.6.07 The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.09) for avoiding,minimizing or mitigating the impacts of theunit of certification on essential habitats for the“stock under consideration” and on habitatsthat are highly vulnerable to damage by thefishing gear of the unit of certification.

The parent Essential Component does not explicitly exclude impacts
on VMEs, but nor are they explicitly included. This Supplementary
Component also seeks outcome indicators for the prevention ofsignificant adverse impacts rather than to avoid, minimize or mitigate
impacts.

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D.6

SUPPLEMENTARYCOMPONENTS

Stock and Ecosystem Status and OutcomesGSSI Supplementary Components for Fisheries Certification Standards
D.6 0901

ECOSYSTEM STRUCTURE, PROCESSES AND FUNCTIONGSSI SUPPLEMENTARY COMPONENTGUIDANCE

The standard requires that the management
system implements EAF in a manner thatstrives to ensure that the impact of fisheries on
the ecosystem is limited to the extent possible
and that ecological relationships between
harvested, dependent and associated species
are maintained so as to avoid jeopardizing theoptions for future generations to benefit fromthe full range of goods and services provided
by the ecosystem.

This Supplementary Component implies outcomes with respect
to the ecosystem that go beyond those in the parent Essential
Component. The outcome indicators required to meet thisSupplementary Component would be consistent with achieving
the principles in Section 1 of the FAO Technical Guidelines
for Responsible Fisheries. 4. Fisheries management. 4.2. The
ecosystem approach to fisheries.

REFERENCEFAO Technical Guidelines for Responsible Fisheries. 4. Fisheries management. 4.2. The ecosystem approach tofisheries (2003).
1
Section 1 Introduction: The desired outcomes from EAF will vary from case to case but they should all be consistent
with the purpose and principles of an ecosystem approach to fisheries as outlined in the FAO EAF Guidelines. The
purpose of EAF is given as “to plan, develop and manage fisheries in a manner that addresses the multiple needs anddesires of societies, without jeopardizing the options for future generations to benefit from the full range of goods andservices provided by marine ecosystem.”
The principles listed in the Guidelines are:• fisheries should be managed to limit their impact on the ecosystem to the extent possible;• ecological relationships between harvested, dependent and associated species should be maintained;• management measures should be compatible across the entire distribution of the resource (across jurisdictions andmanagement plans);• the precautionary approach should be applied because the knowledge on ecosystems is incomplete; and• governance should ensure both human and ecosystem well-being and equity.

RELATED ESSENTIAL COMPONENTRATIONALE

D.6.09 The standard requires the existence ofoutcome indicator(s) consistent with achieving
management objectives (D.2.09) that seek
to minimize adverse impacts of the unit ofcertification, including any enhancement
activities, on the structure, processes andfunction of aquatic ecosystems that are likely
to be irreversible or very slowly reversible. Any
modifications to the habitat for enhancing thestock under consideration must be reversible
and not cause serious or irreversible harm to
the natural ecosystem’s structure, processes
and function.

This Supplementary Component implies outcomes with respect to theecosystem that go beyond those in the parent Essential Component.

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GLOBAL
BENCHMARK TOOL

Glossary

285

GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCEA B C D
Accreditationl l

A process by which an authoritative body gives formal
recognition of the competence of a certification bodyto provide certification services against an international
standard.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary ofTerms.

Accreditation bodyl l

An agency having jurisdiction to formally recognise
the competence of a certification body to provide
certification services.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Accreditation
remediation
procedurel l

A process which is in place to specify how certification
bodies are required to address non-compliances.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

System that has its own rules of procedure andmanagement for carrying out accreditation.

FAO (2011) Technical Guidelines for
Aquaculture Certification Paragraph12.

Accreditation system l l(ISO Guide 2, 17.1)
Adverse Impactl The term “adverse impacts” is used in the FAO
Ecolabelling Guidelines in a general sense (e.g. “adverse
impacts of the fishery on the ecosystem”) but also inthe specific context of dependent predators, where it
is qualified as “severe adverse impacts”. The severity ofadverse impacts is related to their potential reversibility.
Severe adverse impacts can be regarded as those thatare likely to be irreversible or very slowly reversible (seeseparate entry in this Glossary).

GSSI;
FAO International Guidelines for theManagement of Deep Sea Fisheries
in the High Seas (adopted 2008)

The term “significant adverse impacts” (note:“significant” not “severe”) is used in the FAO DeepSea Guidelines with respect to Vulnerable Marine
Ecosystems (VMEs). Significant adverse impacts
are those that compromise ecosystem integrity (i.e.
ecosystem structure or function) in a manner that: (i)impairs the ability of affected populations to replace
themselves; (ii) degrades the long-term natural
productivity of habitats; or (iii) causes, on more than atemporary basis, significant loss of species richness,habitat or community types. Impacts should be
evaluated individually, in combination and cumulatively.
When determining the scale and significance of an
impact, the following six factors should be considered:i.	the intensity or severity of the impact at the specificsite being affected;ii.	the spatial extent of the impact relative to theavailability of the habitat type affected;
iii.	the sensitivity/vulnerability of the ecosystem to theimpact;iv.	the ability of an ecosystem to recover from harm,and the rate of such recovery;i.	the extent to which ecosystem functions may bealtered by the impact; and(continued on
next page)ii.	the timing and duration of the impact relative to theperiod in which a species needs the habitat during
one or more of its lifehistory stages.

While terms are not limited to a specific section, the color coding indicates in which section the term is used most.

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SECTION

DEFINITIONREFERENCEA B C D
Adverse Impactl The term “significant negative impacts” (note: “negative”(continued fromprevious page)rather than “adverse” )is used in the FAO Ecolabelling
Guidelines only in relation to enhanced fisheries. Thiswas specifically intended to be different from “severe
adverse impacts” on dependent predators (see above).
The FAO consultation that resulted in the drafting of theInland Guidelines considered that avoidance of only
“severe adverse impacts” only would not be consistent
with a management obligation to manage enhancement
in ways that would not impact the productivity andabundance of the natural reproductive stock componentof the stock under consideration, hence the term
“significant negative impacts” was used to capture morethan just “severe adverse impacts”.

Agreementl l

An arrangement between parties as to the proposedcourse of action.

GSSI

Alignmentl l

An arrangement in having similar relative positions.

GSSI

The area of sea-bed or volume of the receiving water
body in which competent authority allow the use of
specific Environmental Quality Standards (EQSs) for
aquaculture, without irreversibly compromising the basic
environmental services provided by the ecosystem.

General Fisheries Commission for
The Mediterranean.

Allowable Zone of
Effect (AZE)l

The utility of AZE is to define the boundary of impactof responsible aquaculture activities in order to permit
the free and safe use of marine space for the otherstakeholders outside the AZE. The use of AZE gives
some responsibility to farms for good practices.
Antimicrobiallwww.faosipam.org/GfcmWebSite/
CAQ/WGSC/2011/SHoCMed_AZE/
GFCM-CAQ-WGSC-2011SHoCMed_AZE-Report.pdf

A naturally occurring, semi-synthetic or synthetic
substance that at in vivo concentrations exhibits
antimicrobial activity (kill or inhibit the growth of microorganisms). Parasiticides, anthelmintics and substancesclassed as disinfectants or antiseptics are excluded
from this definition. (Adapted from OIE)OIE Aquatic Animal Health
Code (www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm)

Appeall l

A request by a scheme owner for reconsideration ofa decision made by the GSSI Steering Board, GSSI
employee or person contracted to GSSI. (adaptedfrom GFSI)

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Applicationl l

A document confirming a scheme owner’s intention toseek recognition by the GSSI for a scope of recognition.

GSSI

The farming of aquatic organisms including fish,
molluscs, crustaceans and aquatic plants. Farming
implies some sort of intervention in the rearing process
to enhance production, such as regular stocking,feeding, protection from predators, etc. Farming also
implies individual or corporate ownership of the stock
being cultivated, the planning, development andoperation of aquaculture systems, sites, facilities andpractices, and the production and transport.

FAO (2010) Technical Consultationon the Technical Guidelines on
Aquaculture Certification. Rome,
FAO, Page 2

AquaculturelWhile terms are not limited to a specific section, the color coding indicates in which section the term is used most.

287

GSSI

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SECTION

DEFINITIONREFERENCEA B C D
Aquaculture
byproductsl

See fishery byproducts; the primary difference being a)aquaculture byproducts must be from the processing
waste of aquacultured fish and crustaceans that weredestined for human consumptions, and b) can be ofboth marine and freshwater aquaculture origin.

GSSI

Aquaculture facilityl

The physical site where aquatic animals are grownout to market size. Usually the unit of certification foraquaculture standards.

GSSI

Aquatic animal
health professionall

A person who, for the purposes of the Aquatic Code, isauthorised by the Competent Authority to carry out theactions identified in Prudent Use of Antibiotics sectionof the OIE Aquatic Animal Health Code 2014 (or latest
version) including identifying, preventing and treating
aquatic animal diseases, as well as the promotion ofsound animal husbandry methods, hygiene procedures,vaccination and other alternative strategies to minimise
the need for antimicrobial use in aquatic animals. They
are authorised to prescribe veterinary medicines should
only prescribe, dispense or administer a specific courseof treatment with an antimicrobial agent for aquatic
animals under their care.

OIE Aquatic Animal Health
Code www.oie.int/index.
php?id=171&L=0&htmfile=chapitre_
antibio_resp_prudent_use.htm(Adapted from the OIE Aquatic Animal Health Code.
2014).
Aquatic animalsl

All life stages (including eggs and gametes) of fish,
molluscs, crustaceans and amphibians originating fromaquaculture establishments or removed from the wild,
for farming purposes, for release into the environment,
for human consumption or for ornamental purposes.

OIE Aquatic Animal Health
Code www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm

Area management
system (AMS)lA contractual or legally enforceable agreement forshared activities by aquaculture establishments (andpossibly other polluting industries) within a defined area
or zone. The AMS boundary must be defined to meetthe objectives of the AMS. Alternative terms include
zonal management agreement, area managementagreements, single bay management.

GSSIl Area of distribution is defined (by CITES) as the area

Area of distribution(of a species orstock)

Arrangement

contained within the shortest continuous imaginary
boundary which can be drawn to encompass all the
known, inferred or projected sites of occurrence,
excluding cases of vagrancy (though inferring andprojecting area of occurrence should be undertaken
carefully, and in a precautionary manner) . The area
should, however, exclude significant areas where
the species does not occur, and account should betaken of discontinuities or disjunctions in the spatial
distribution of species. For migratory species, the areaof distribution is the smallest area essential at any stage
for the survival of that species (e.g. colonial nestingsites, feeding sites for migratory taxa, etc.).

l l

A cooperative mechanism established by two or
more parties be they governmental, private or nongovernmental entities.

CITES (1994): Criteria for amendmentof Appendices I and II. Conference
Resolution 9.24 Adopted at the
9th Conference of the Parties, Fort
Lauderdale (USA).

GSSIWhile terms are not limited to a specific section, the color coding indicates in which section the term is used most.

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GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCE

The act of judging or deciding the amount, value,
quality, or importance of something, or the judgment or
decision that is made.

Cambridge dictionaries online

A systematic and functionally independent examination
to determine whether activities and related resultscomply with a conforming scheme.

FAO (2011) Technical Guidelines for
Aquaculture Certification Paragraph
12.

A B C D
Assessment

Audit

l l

l l

http://dictionary.cambridge.org(Codex Alimentarius, Principles for
Food Import and Export Certification
and Inspection, CAC/GL 20)
Auditorl l

A person qualified to carry out audits for or on behalf ofa certification body.

GSSI

Balanceddecision-makingl l

A decision making process which ensures proportionate
representation of interested parties in the standard
development, revision and approval process.

GSSI

Balancedparticipationl l

The participation by proportionate representation ofinterested parties in the standard development, revision
and approval process.

GSSIBenchmarkcommitteel l

A team of technical experts who have been appointed
by GSSI to undertake the benchmarking process of aseafood certification scheme applying for recognition.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Benchmarkcommittee memberl l

A person who has the required qualifications andexperience and has undergone selection for themembership of a Benchmark Committee.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Benchmark processl l

A mechanism by which a seafood certification scheme
can be objectively assessed, against a series ofdefined requirements laid down in the GSSI Framework
Document, to determine if formal recognition by the
GSSI Steering Board can be gained.

GSSIBest scientificevidence availablel (1) The “best scientific evidence available” isrequired by UNCLOS as the basis for management
decision-making, including for the application of the
precautionary approach.
In the context of the GSSI Benchmark, the “bestscientific evidence available” can include traditional,
fisher or community knowledge, provided its validity
can be objectively verified. Objective verification ofvalidity implies that the knowledge has been collected
and analysed though a systematic, objective andwell-designed process , and is not simply hearsay.
Publication of results in the peer-reviewed literature
could be one form of objective verification.

(continued on
next page)(1) GSSI(2) Sullivan et. al. (2006) Defining and
Implementing Best Available Sciencefor Fisheries and Environmental
Science, Policy, and Management
Fisheries Vol 31, No 9 September
2006(3) NRC (2004) Improving the Useof the “Best Scientific Information
Available” Standard, National
Academies Press

What is actually the best scientific evidence available
in any given fishery or for any given stock underconsideration will vary between fisheries and stocks andwill also vary over time and information levels fluctuate.
What is important, therefore, is that the management
system is designed in such a way that the mechanism
by which it commissions science and solicits scientificadvice results in it receiving the best scientific evidence

While terms are not limited to a specific section, the color coding indicates in which section the term is used most.

289

GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCEA B C DBest scientificevidence available(continued fromprevious page)l available. Achieving the best scientific evidence available
requires inter alia:– questions to be clearly stated,– scientific investigation to be well designed, and– results to be analysed logically, documented clearly,
and subjected to peer review.
Even science that has been developed through an
open, transparent, and well-communicated process
may not be fully adequate for addressing management
issues. Scientists must often rely on incomplete
information in offering their best expert advice.
(2) To adequately implement the best available science,
it is essential that policymakers clearly articulate thepurpose of regulations and laws, clearly specify whois responsible for interpreting and enforcing them,endeavour to identify and reduce conflicts of interest,
and recognize differences in the knowledge base andvalues of scientists, managers, and other stakeholders.
(3) Scientific information includes, but is not limited
to, factual input, data, models, analyses, technicalinformation, or scientific assessments. Scientificinformation includes data compiled directly fromsurveys or sampling programs, and models that aremathematical representations of reality constructedwith primary data. The complexity of the model
should not be the defining characteristic of its value;
the data requirements and assumptions associatedwith a model should be commensurate with theresolution and accuracy of the available primarydata. Scientific information includes established andemergent scientific information. Established scienceis scientific knowledge derived and verified througha standard scientific process that tends to be agreed
upon often without controversy. Emergent science isrelatively new knowledge that is still evolving and being
verified, therefore, may potentially be uncertain andcontroversial. Emergent science should be consideredmore thoroughly, and scientists should be attentive toeffective communication of emerging science.
Science is a dynamic process, and new scientificfindings constantly advance the state of knowledge.
Best scientific information is, therefore, not static andideally entails developing and following a researchplan with the following elements: Clear statementof objectives; conceptual model that provides theframework for interpreting results, making predictions,or testing hypotheses; study design with an explicit andstandardized method of collecting data; documentationof methods, results, and conclusions; peer review, as
appropriate; and communication of findings.

(continued on
next page)

Criteria to consider when evaluating best scientificinformation are relevance, inclusiveness, objectivity,transparency and openness, timeliness, verification andvalidation, and peer review, as appropriate.

While terms are not limited to a specific section, the color coding indicates in which section the term is used most.

290

GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCEA B C Dl i.	Relevance. Scientific information should be

Best scientificevidence available

pertinent to the current questions or issues underconsideration and should be representative of thefishery being managed. In addition to the informationcollected directly about the fishery being managed,
relevant information may be available about the same
species in other areas, or about related species. For
example, use of proxies may be necessary in datapoor situations. Analysis of related stocks or species
may be a useful tool for inferring the likely traits ofstocks for which stock-specific data are unavailable
or are not sufficient to produce reliable estimates.
Also, if management measures similar to those being
considered have been introduced in other regions
and resulted in particular behavioral responses fromparticipants or business decisions from industry, suchsocial and economic information may be relevant.

(continued fromprevious page)ii.	Inclusiveness. Three aspects of inclusiveness should
be considered when developing and evaluating best
scientific information:a.	The relevant range of scientific disciplines
should be consulted to encompass the scope of
potential impacts of the management decision.
b.	Alternative scientific points of view should be
acknowledged and addressed openly when
there is a diversity of scientific thought.
c.	Relevant local and traditional knowledge (e.g.,fishermen’s empirical knowledge about the
behavior and distribution of fish stocks) should
be obtained, where appropriate, and consideredwhen evaluating the BSIA.
iii.	Objectivity. Scientific information should be
accurate, with a known degree of precision, without
addressable bias, and presented in an accurate,
clear, complete, and balanced manner. Scientificprocesses should be free of undue nonscientificinfluences and considerations.
iv.	Transparency and openness. There should bebroad public and stakeholder access to the fisheryconservation and management process, including
access to the scientific information upon which theprocess and management measures are based.
Public comment should be solicited at appropriate
times during the review of scientific information.
Communication with the public should be structured
to foster understanding of the scientific process.
Better management
practice(s) (bmp(s)lManagement practices aimed at improving the quantity,
safety and quality of products taking into consideration
animal health and welfare, food safety, environmental
and socio-economical sustainability. BMP
implementation is generally voluntary. The term “better”
is preferred rather than “best” because aquaculture
practices are continuously improving (today’s ‘best’ istomorrow’s ‘norm’).

FAO. (2010) Technical Consultationon the Technical Guidelines on
Aquaculture Certification. Rome,
FAO, Page 4

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GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCEA B C D
BiosecuritylA set of management and physical measures designed
to reduce the risk of introduction, establishment andspread of pathogenic agents to, from and within an
aquatic animal population.

OIE Aquatic Animal Health
Code (www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm)

Broodstockl

Sexually mature specimens of both sexes kept for the
purpose of controlled reproduction (independent of
whether a first or subsequent generation is produced)
as well as younger specimens destined to be used forthe same purpose.

FAO Term Portal

Broodstock facilityl

The physical site where broodstock are held. This
could be part of a hatchery or a separate facility only forbroodstock.

GSSI

CCRF

l l l l FAO Code of Conduct for Responsible Fisheries

Central focal pointl l

A person, location or address that is put in place toensure standards-related enquiries and for submissionof comments are gathered.

GSSI

Certificationl l

Procedure by which certification body or entity gives
written or equivalent assurance that a product,
process or service conforms to specified requirements.
Certification may be, as appropriate, based on a rangeof audit activities that may include continuous audit in
the production chain.

FAO (2011) Technical Guidelines for
Aquaculture Certification Paragraph
12. (Modified from ISO Guide 2,
15.1.2; Principles for Food Import andExport Certification and Inspection,
CAC/GL 20; Ecolabelling Guidelines)

Certification bodyl l

A provider of certification services, accredited to do soby an accreditation body.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 135

Certification
decisionl l

The granting, continuing , expanding the scopeof, reducing the scope of, suspending, restoring,
withdrawing or refusing of certification by acertification body.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 135(Seafood)
Certification Schemel l

An organisation in the seafood sector, which is
responsible for the processes, systems, procedures andactivities related to standard setting, accreditation andimplementation of certification.

Adapted from FAO (2011) Technical
Guidelines for Aquaculture
Certification Paragraph 12. (Adaptedfrom the Report of the First
Expert Workshop on Aquaculture
Certification held in Bangkok,
Thailand. March 2007)

Chain of custodyl l

The set of measures that verify that a certified productoriginates from a certified aquaculture production chain,
and is not mixed with non-certified products. Chain ofcustody verification measures should cover the tracking/traceability of the product all along the production,
processing, distribution and marketing chain, thetracking of documentation, and the quantity concerned.

FAO. (2005a) Guidelines for the
Ecolabelling of Fish and Fishery
Products from Marine Capture
Fisheries. Rome, FAO, Page 90

In food technology: any substance either natural orsynthetic, which can affect live fish, its pathogens,water, equipment used for production or at land within
the aquaculture establishment. Includes antifoulant
treatments used on nets in marine cage aquaculture.

FAO/WHO Codex Alimentarius
Commission (2004) Code of Practicefor Fish and Fishery Products.
Aquaculture. (ftp://ftp.fao.org/codex/
alinorm04/al04_18e.pdf)

ChemicalslFAO(1995)

While terms are not limited to a specific section, the color coding indicates in which section the term is used most.

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GSSI

GLOSSARYTERM

SECTION

DEFINITIONREFERENCE

The demonstrated ability to apply knowledge and skills
to achieve intended results.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 135

Means the Veterinary Authority or other Governmental
Authority of a country having the responsibility
and competence for ensuring or supervising theimplementation of animal health and welfare measures,international veterinary certification and other standards
and recommendations in the OIE Aquatic Animal Health
Code in the region. Adapted from the OIE.

OIE Aquatic Animal HealthCode. (www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm)

Expression of dissatisfaction, other than appeal (6.4), by
any person or organization to a conformity assessment
body (2.5) or accreditation body (2.6), relating to theactivities of that body, where a response is expected

ISO/IEC 17000:2004

A B C D
Competencel lCompetent authority

Complaint

l

l l

6.5

Conflict of interestl lWhere either a Certification Body or an individual is in aposition of trust requiring them to exercise judgement
on behalf of others and also have interests or obligations(whether financial or otherwise) of the sort that mightinterfere with the exercise of that judgment.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 135

Conformity
assessment

l lDemonstration that specified requirements (3.1) relating
to a product (3.3), process, system, person or body are
fulfilled.

ISO/IEC 17000:2005

A defined and documented program by which
the Scheme Owner monitors the performanceof Accreditation Bodies, Certification Bodies andparticipating organisations against defined criteria.

GSSI

General agreement, characterised by the absenceof sustained opposition to substantial issues by any
important concerned party and by a process thatinvolves seeking to take into account the views of allparties concerned and to reconcile any conflicting
arguments. Consensus need not imply unanimity.
(adapted from ISO)

ISO/IEC Guide 2:2004.

Means a documented work plan designed to ensurethat all needed actions, requirements and resources
are provided in order to eradicate or bring under control
outbreaks of specified diseases of aquatic animals.

OIE Aquatic Animal Health
Code (http://www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm)

An action to eliminate the cause of a detected nonconformity or other undesirable matters.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Concept comprising not only the production facilities but
also a description of the husbandry practices applied.

GSSI

Conformity
assessment
program
Consensus

l lContingency plan

Corrective action
Culture practices

l

l l
l

2.1

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Data (information):adequate, reliable,
current(continued fromprevious page)l (1) Data are facts that result from measurements orobservations.
(2) In the context of the GSSI Benchmark, assessmentof the adequacy of data for different purposes would
generally be part of an assessment against thecertification standard. Adequate, reliable and current
data and/or other information are those which are fit for
purpose and commensurate with the development anddelivery of the best scientific evidence available. This
may include traditional, fisher or community knowledge,
provided that their validity can be objectively verified.

(1) FAO (1998): Guidelines for theroutine collection of capture fisherydata. FAO Fish. Tech. Pap, 382:
113 p.
(2) GSSI(3) FAO (2014) The FAO Statistics
Quality Assurance Framework.
http://www.fao.org/docrep/019/
i3664e/i3664e.pdf

Applicable international standards and practices forfisheries data and statistics include the output of theCoordinating Working Party on Fishery Statistics(CWP): http://www.fao.org/fishery/cwp/en and the FAO
Guidelines for the routine collection of capture fisherydata (1998) FAO Fisheries Technical Paper. No. 382.
The adequacy of data relates primarily to the quantity
and type of data collected (including sampling coverage)
and depends crucially on the nature of the systems
being monitored and purposes to which the data arebeing put. Some analysis of the precision resulting
from sampling coverage would normally be part of anassessment of adequacy.
The reliability of data relates to the quality of the datacollected, and also the level and representativeness ofsampling coverage. Inadequate sampling can lead tohigh uncertainty and hence poor reliability, however,high sampling coverage does not necessarily mean
the data collected are of high quality and hence
reliable. Bias can result from a poorly designed survey
plan (e.g. if the gear and seasons of a fishery are notwell sampled). Reliability depends on the design andexecution of an effective data collection program.
The currency of data relates to how recently thedata were collected relative to the application of theconclusions that are being drawn from them. Catchdata generally need to be of the highest currency inorder for management to function effectively (e.g. toclose fisheries when catch limits are reached) and forassessments to provide a reliable estimate of current
stock size. A survey conducted several years in thepast for assessing abundance of a short lived species
with highly variable stock size may not be regarded as
current. Data from surveys of longer lived species withless variability may have greater longevity for drawing
conclusions about current abundance.

(continued on
next page)(3) The FAO has recently developed the Quality
Assurance Framework for the FAO Statistics system(FAO SQAF). It consists of a quality framework and amechanism to ensure the compliance of FAO statistics
to the quality framework itself. The document includes
the FAO SQAF definition of Quality, including accuracy,
reliability and comparability.

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Data (information):adequate, reliable,
current(continued fromprevious page)l FAO SQAF definition of Quality
Quality is a multi-faceted and subjective concept.
The International Organisation for Standardization(ISO) defines quality as “the totality of features andcharacteristics of a product or service that bears on its
ability to satisfy stated or implied needs” (ISO No 8402;
1986, 3.1).
The most important quality characteristics depend onuser perspectives, needs and priorities, which varyacross groups of users. For this reason the major
challenge is to achieve a compromise among the needsof the various possible users (current and potential) inorder to produce and disseminate statistical outputs
that satisfy the most important needs given constraints
concerning available resources.
Taking stock of the work already done by several
international organizations3 (Eurostat, ECB, IMF andOECD) in this area, the definition of quality in statistics,
which has been tailored to the FAO framework,
encompasses five quality dimensions, as described
below.
FAO defines quality in statistics as the degree towhich its statistical outputs fulfill requirements and thefollowing quality dimensions are taken into account:• Relevance - degree to which statistics meet thecurrent and potential user needs.
•	Accuracy and Reliability – refers to the closenessof estimates, to the true values that statistics wereintended to measure.
•	Reliability – refers to the closeness of the initial
estimates to the subsequent or final estimates.
•	Timeliness – the speed of dissemination of statistical
outputs – i.e. the lapse of time between the endof a reference period (or a reference date) and thedissemination of the statistical outputs.
•	Punctuality – refers to the possible time lag existing
between the actual delivery date of statistical
outputs and the target date when they shouldhave been delivered, for instance, with reference todates announced in an official release calendar or
previously agreed among partners.
•	Coherence – the adequacy of the statistical outputs
to be meaningfully combined in different ways andfor various uses.
•	Comparability – refers to the extent to which
differences between different geographical areas,
non-geographical domains, or over time, can be
attributed to differences between the true values ofthe statistical characteristics.

(continued on
next page)•	Accessibility – defined as the ease, the set of
conditions and the modalities by which users canobtain data.

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DEFINITIONREFERENCEA B C Dl •	Clarity – refers to the availability of adequate

Data (information):adequate, reliable,
current

documentation: whether data are accompanied withappropriate metadata, illustrations such as graphs
and maps, whether information on their quality arealso available (including limitation in use), and theextent to which additional assistance is provided.

(continued fromprevious page)l (1) Data-limited fishery – A fishery where limited data are

Data limited fisheryavailable to inform management, e.g. fisheries for species
where baseline biological data such as size at maturity,
fishing mortality and growth rates are unknown.
(2) Data limited fisheries are those fisheries where stock
assessments are not feasible, yet they provide continuingyields for fisheries.
(3) Data limited fisheries assessment:•	Inputs – Approximate catches, some life history
information•	Outputs – Incomplete, imprecise status and some
MRPs; often as broad probability distributions,with no clear answer(4) The extracts above (1) to (4) refer only to biological
data-limitations and stock assessment. The FAO EAF
Guidelines highlight that data-limitation on the humanand governance dimensions is also a constraint tomanagement. The FAO EAF Guidelines use the term
“data-poor” rather than “data limited” and, while they
provide no definition, the text provides an indicationof what is meant by the term; e.g. on Page 57: “thedevelopment of measures and decision rules should
ideally be underpinned by rigorous data analyses,
including modelling the dynamics of the system or
sub-system. However, as stressed throughout (the EAF)
guidelines, a lack of this capacity does not preclude thegeneral approach. Even in data-poor situations, the best
available information should be objectively analysed andconsidered. In such cases, an extrapolation based on
better studied areas can be used to provide guidance on
operational objectives and associated decision rules.”● A species within the food chain (e.g. a predator) which

Dependent
predators
Desktop review
Detection Limit

depends heavily on another (e.g. a prey species) for its
maintenance.

● ●●(1) South Africa Department ofPrimary Industries.
(2) Sea Fish Authority http://
www.seafish.org/responsiblesourcing/conserving-fish-stocks/
data-limited-fisheries(3) MacCall, A. NMFS / SWFSC Santa
Cruz, CA http://www.fgc.ca.gov/
meetings/subcommittees/
052510mrcpresentation
MacCallDataPoor.pdf(4) FAO Technical Guidelines for
Responsible Fisheries. 4. Fisheries
management. 4.2.The ecosystemapproach to fisheries (2003).

FAO Term Portal (fisheries): www.fao.
org/faoterm

An assessment carried out on documentation awayfrom the location of the organisation being assessed.

GSSI

Detection limit – is the lowest quantity of aquatic
animals that can be distinguished from the stock withina stated confidence limit (often the limit of the counting
equipment or method used).

GSSI

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Discards● (1) Discard – To release or return fish to the sea, dead or
alive, whether or not such fish are brought fully on board
a fishing vessel.
(2) Discarded Catch – That portion of the catch returnedto the sea as a result of economic, legal, or personalconsiderations.

Ecosystem(structure, processes
and function)● The FAO EAF Guidelines refer to ‘structure, processes
and function’ in Section 4.1.4.1 and ‘ecosystem structureand functions’ in the Executive Summary. The threeterms structure, processes and function are distinct
and different, however, common usage suggests that interms of the ecosystems features covered under theseterms, ‘structure, processes and function’ is generally
regarded to be the same as ‘structure and function’and the latter is not intended to exclude processes.
This is because ecosystem processes are often listed
under the heading of ecosystem functions, as in thedescription below:
Ecosystem: An organizational unit consisting of anaggregation of plants, animals (including humans) andmicroorganisms, along with non-living components ofthe environment.

(1) CCRF Technical Guide 4 Fisheries
management(2) Alverson, D.L.; Freeberg, M.H.;
Pope, J.G.; Murawski, S.A. A global
assessment of fisheries bycatch anddiscards. FAO Fisheries TechnicalPaper. No. 339. Rome, FAO. 1994.
233p.
FAO Technical Guidelines for
Responsible Fisheries. The
ecosystem approach to fisheries. No.
4, Suppl. 2. Rome, FAO. 2003. 112 p.

Ecosystem Function: An intrinsic ecosystemcharacteristic related to the set of conditions andprocesses whereby an ecosystem maintains its
integrity (such as primary productivity, food chain,biogeochemical cycles). Ecosystem functions include
such processes as decomposition, production, nutrient
cycling, and fluxes of nutrients and energy.
Ecosystem Structure: Pattern of the interrelationsof organisms in time and in spatial arrangements.
Attributes related to the instantaneous physical stateof an ecosystem; examples include species population
density, species richness or evenness, and standing
crop biomass.
Ecosystem effectsof fishing(continued on
next page)● (1) “Ecosystem effects of fishing” is used as a Topic
within the Fisheries component of the GSSI Benchmark
Tool. It is an expression intended to cover all of thedirect and indirect impacts of fishing operations onaquatic ecosystems. In the GSSI Benchmark Tool it isfurther broken down into five Elements:• Non-target catches,•

Endangered species;•

Dependent predators;•

Habitat; and•Ecosystem structure, processes and function(1) GSSI(2) FAO Term Portal (fisheries)
www.fao.org/faoterm

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Ecosystem effectsof fishing(continued fromprevious page)

Endangered(Threatened withextinction)● Measuring, understanding and managing the ecosystemeffects of fishing are part of the implementation of theecosystem approach to fisheries (EAF).
(2) “Ecosystem Approach” is described in the FAO
Term Portal (fisheries) as a strategy for the integrated
management of land, water, and living resourcesthat promotes conservation and sustainable use inan equitable way. It is based on the application of
appropriate scientific methodologies focused onlevels of biological organization which encompass theessential processes, functions and interactions amongorganisms and their environment. It recognizes thathumans, with their cultural diversity, are an integral
component of ecosystems. The term is usually used in
the form of “ecosystem approach to…” as for instancein the ecosystem approach to fisheries (EAF) or inecosystem approach to environmental protection(Gonzalez 1996). In general, the approach is taken
as requiring: (1) definition and scientific descriptionof the ecosystem in terms of scale, extent, structure,functioning; (2) assessment of its state in terms ofhealth or integrity as defined by what is acceptable tosociety; (3) assessment of threats; and (4) maintenance,
protection, mitigation, rehabilitation, etc., using (5)adaptive management strategies.

● (1) Endangered Species is used as an Element within
the GSSI Benchmark Tool and is explained below. The
related term “Threatened” appears in the text of two
Indicators as an example of bycatch species that are
particularly vulnerable. The phrase “threatened…withserious risk of extinction” appears in the FAO Guidelines
for the Ecolabelling of Fish and Fishery Products from
Marine Capture Fisheries (paragraph 31.1).
(2) Endangered: Taxa in danger of extinction and whose
survival is unlikely if causal factors continue operating.
Included are taxa whose numbers have been drasticallyreduced to a critical level or whole habitats have beenso drastically impaired that they are deemed to be in
immediate danger of extinction. Also included are thosethat possibly are already extinct, in so far as they definitely
have not been seen in the wild in the past 50 years.

(continued on
next page(1) GSSI(2) IUCN (1994): IUCN Red
List Categories. IUCN Species
Survival Commission. The World
Conservation Union.
(3) CITES (1994): Criteria for
amendment of Appendices I and II.
Conference Resolution 9.24 Adopted
at the 9th Conference of the Parties,
Fort Lauderdale (USA).

(3) Threatened with extinction: A category of organisms
listed in CITES Annex 1. The vulnerability of a species
to threats of extinction depends on its population
demographics, biological characteristics, such as bodysize, trophic level, life cycle, breeding structure or social
structure requirements for successful reproduction,and vulnerability due to aggregating habits, naturalfluctuations in population size (dimensions of time andmagnitude) , residency/migratory patterns. This makes
it impossible to give numerical values for population sizeor area of distribution that are applicable to all taxa.

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DEFINITIONREFERENCEA B C D● “Protected” refers generally to any plant or animal that a

Endangered(Threatened withextinction)

government declares by law to warrant protection; mostprotected species are considered either threatened or
endangered. A species that is recognised by national
legislation, affording it legal protection due to its
population decline in the wild. The decline could be as aresult of human or other causes.

(continued fromprevious page)

Endangered●

Endangered species for Section “C” are expected to
be defined in the Standard, with reference to general
national listings (e.g., Red Data Books) or global listingorganizations such as CITES (Appendix 1), IUCN Red
List (Categories Critically Endangered (CR), Endangered(EN), Vulnerable (VU)).

GSSI

See www.iucnredlist.org and www.cities.org for more
information.

● Fisheries that are supported by activities aimed at

Enhanced fisheries

supplementing or sustaining the recruitment of one
or more aquatic organisms and raising the total
production or the production of selected elementsof a fishery beyond a level which is sustainable bynatural processes. Enhancement may entail stocking
with material originating from aquaculture installations,translocations from the wild and habitat modification.

● See Enhanced Fisheries

Enhancement
activities
Environmental
impact assessment(EIA)

Environmental
impacts

FAO Technical Guidelines for
Responsible Fisheries. Inland
fisheries. No. 6. Rome, FAO. 1997.
36p.

●

● ●

A set of activities designed to identify and predict the
impacts of a proposed action on the biogeophysicalenvironment and on man’s health and wellbeing, andto interpret and communicate information about the
impacts, including mitigation measures that are likely
to eliminate the risks. In many countries, organizations
planning new projects are required by law to conduct
EIA. Usually it is carried out by three parties, thedeveloper, the public authorities and the planning
authorities.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

A result of activity which has influence upon or changes
the environment.

GSSI

Scialabba, N. (ed.) (1998) Integrated
coastal area management andagriculture, forestry and fisheries.
FAO Guidelines: 256p. Rome, FAO,
Environment and Natural Resources
Service. http://www.fao.org/docrep/
W8440e/W8440e00.htm

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An Environmental Quality Standard is a value, generally
defined by regulation, which specifies the maximum
permissible concentration of a potentially hazardous
chemical in an environmental sample, generally of air orwater. (Sometimes also known as an ambient standard.)

Joint Group of Experts on the
Scientific Aspects of Marine
Environmental Protection (GESAMP)A B C D
Environmental
Quality Standard●

Environmental Quality Standards (EQSs) for marine,
freshwaters and sediments have been developed andalthough there are no global values many countries havetheir own standards which are used to assess pollution
levels in the aquatic environment. EQS values vary fromcountry to country and are often incomplete. Metal
speciation directly impacts on toxicity but this is often
ignored. Despite these omissions they are neverthelessinvaluable in the interpretation of monitoring data. EQS
are not available for many parts of the world. In theabsence of regional standards it is still preferable tocompare values obtained against an EQS to assess theextent of pollution and potential for ecological damage.
Escapes●

A term used to describe specimens of cultured species,
which escape from the rearing system into the ambientenvironment. There are potential impacts throughinterbreeding with wild conspecifics and throughdisease transfer. Also termed escapee.

● (1) Habitat for a fish is the environment in which it lives,

Essential habitat(essential fish
habitat)including everything that surrounds and affects its
life: e.g., water quality; bottom; vegetation; associatedspecies (including food supplies).

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)(1) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) Magnuson Stevens FisheryConservation and Management Act.

(2) Essential fish habitat (EFH) is those waters andsubstrate necessary to fish for spawning, breeding,feeding, or growth to maturity.”
Evaluation●

An examination of production facilities or services inorder to verify that they conform to requirements.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Exotic species●

Species not native to a particular area, which may posea risk to endemic species.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

A person appointed by GSSI who has demonstrable
specific knowledge and expertise with respect to thesubject at hand.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Expert● ●FAO● ● ● ● Food and Agriculture Organization of the United Nations

FAO

Feed

●

Fodder intended for the aquatic animal in aquaculture
establishments, in any form and of any composition.
Adapted from FAO, 2010.

FAO (2010) Technical Consultationon the Technical Guidelines on
Aquaculture Certification. Rome,
FAO, page 2

Feed additives●

Chemicals other than nutrients for fish that are approved
for addition to their feed.

Codex Alimentarius Commission
Code of Practice for Fishery and
Fishery Products, First Edition, 2009.
(http://www.codexalimentarius.net/
web/publications.jsp?lang=en)

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A component, part or constituent of any combination
or mixture making up a feed, including feed additives,
whether or not it has a nutritional value in the animal’s
diet. Ingredients may be of terrestrial or aquatic, plantor animal origin and may be organic or inorganic
substances.

OIE Aquatic Animal Health
Code (www.oie.int/index.
php?id=171&L=0&htmfile=glossaire.
htm)

An audit carried out at the location of a participatingorganisation.

GSSI

A calculation to determine the ratio of wild harvested
marine ingredients used per unit mass of farmed aquatic
animal, usually on a wet weight basis. Alternative terms
include forage fish dependency ratio, or forage fish
equivalency ratio.

GSSI

A B C D
Feed ingredients

Field audit
Fish in fish out ratio

●

● ●
●

● The living resources in the community or population

Fish stockfrom which catches are taken in a fishery. Use of
the term fish stock usually implies that the particular
population is more or less isolated from other stocksof the same species and hence self-sustaining. In aparticular fishery, the fish stock may be one or several
species of fish but here is also intended to includecommercial invertebrates and plants.
Fisheries
management
organisation or
arrangement● Institution responsible for fisheries management,

Fisheryl A unit determined by an authority or other entity that isincluding the formulation of the rules that govern fishingactivities. The fishery management organization, andits subsidiary bodies, may also be responsible for all
ancillary services, such as the collection of information,
its analysis, stock assessment, monitoring, control andsurveillance (MCS), consultation with interested parties,
application and/or determination of the rules of accessto the fishery, and resource allocation. Also called:
Fishery management arrangement.
engaged in raising and/or harvesting fish. Typically, theunit is defined in terms of some or all of the following:people involved, species or type of fish, area of water orseabed, method of fishing, class of boats and purposeof the activities.

Fishery Byproduct(continued on
next page)●

A byproduct is a useful and marketable product that is
not the primary product being produced. A marketableby‐product is from a process that can technicallynot be avoided. This includes materials that may be
traditionally defined as waste such as industrial scrapthat is subsequently used as a raw material in a different
manufacturing process.

FAO (1997): Fisheries management.
FAO Technical Guidelines for
Responsible Fisheries, 4: 82 p.)(FAO (1997): Fisheries management.
FAO Technical Guidelines for
Responsible Fisheries, 4: 82 p.

FAO Term Portal (fisheries): www.fao.
org/faoterm

Adapted from IFFO Marine Ingredients
Organisation.

Fishery byproducts refers to commodities that are
manufactured from fish, including shellfish, andcrustaceans in a form that is different than conventional
foods and which are intended for human consumption(either directly or as a food ingredient). They include but

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Fishery Byproduct●(continued fromprevious page)are not limited to: by‐products derived from fish, including
fish cartilage, fish oils, and fish proteins; and byproducts
derived from the carapaces of crustaceans; but do notinclude marine plants or marine plant products.
In addition, a whole fish which is rejected on an intrinsic
quality ground e.g. does not meet the specification for
Human Consumption due to physical damage or thequality is substandard. These whole fish shall in thesecases be classified as a byproduct from the humanconsumption fishery, and can be used for fishmeal andfish oil production. A whole catch of fish that is rejectedby a fish processing factory on economic grounds is notconsidered to be a fish by‐product.
Adapted from IFFO Marine Ingredients Organisation.

● A mathematical expression of the part of the total rate

Fishing mortalityof deaths of fish due to fishing. Fishing mortality is often
expressed as a rate that indicates the percentage of the
population caught in a year.

FAO Term Portal (fisheries)
www.fao.org/faoterm
Modified from Commonwealth ofAustralia (1997): http://www.brs.gov.
au/fish/gloss.html

Fit for purpose●(Of an institution, facility, etc.) well equipped or well
suited for its a designated role or purpose.

Oxford English Dictionary

Genetic drift●

Random changes in gene frequency caused by small
effective population size, e.g. sampling error (shipmentof fish from one station to another; broodstock
selection). The ultimate effect of genetic drift is the lossof genetic variance. Genetic drift is inversely related toeffective breeding number.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

Genetically modified
organism (GMO)●

An organism that has been transformed by the insertionof one or amore transgenes.

ICES (2004) Code of Practice on
the Introductions and Transfers ofmarine Organisms. http://www.
ices.dk/reports/general/2004/
icescop2004.pdf)

Grandfathered In●

A clause creating an exemption based on
circumstances previously existing. A relevant
aquaculture example includes historical conversionof mangrove forest into shrimp ponds and whereStandards may prohibit aquaculture facilities fromcertification or require that restoration of losses occur
prior to certification if the initial conversion occurred
after the Ramsar Convention of 1999 but offering an
exemption to facilities where mangrove loss occurred
before the Ramsar agreement took place. Also termed a“grandfather clause”.

Merriam-Webster Dictionary.

GSSI● ● ● ● Global Sustainable Seafood Initiative

GSSI

GSSI Essential
Component● ● ● ● Criteria grounded in the CCRF and the FAO Guidelines,

GSSI

which a seafood certification scheme needs to meet tobe recognised by GSSI.

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DEFINITIONREFERENCEA B C DGSSI Supplementary
Component● ● ● ● Criteria grounded in the CCRF and related FAO

GSSI

documents, ISO normative standards and ISEAL
codes. They show a seafood certification scheme’s
diverse approach and help stakeholders understandwhere differences exist. A seafood certification scheme
does not need to meet them for GSSI Recognition.

Habitat●

A specific place with its environmental conditions
occupied by and covering the requirements of anorganism, a population or a community.

Odum, E.P. (1959) Fundamentals in
ecology. 2nd Edition, Philadelphia,
Saunders Co: Page 53.

Hatchery●A facility used for the artificial and controlled breeding,hatching and rearing of aquatic organisms, on acommercial or experimental basis, through their early life
stages. A hatchery is usually closely associated with anursery facility where the cultured organism is grown tothe appropriate size before being released to the wild oran ongrowing structure. Adapted from FAO.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

The actual and perceived presence of objectivity.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Impartiality● ●Inbreeding●

Mating or crossing of individuals more closely related
than average pairs in the population.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

Inbreeding
depression●

Declines in growth rate, fecundity, etc. and an increasein the percentage of deformed/abnormal fish that occur
when inbreeding reaches certain levels.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

Independence● ●A state of being free from outside control and not
subject to another’s authority.

GSSI

Independent Expert● ●A competent trained person, appointed by GSSI, who
is assigned to manage the benchmarking process for a
specific scheme application.

GSSIInternal audit● ●Internal audits, sometimes called first-party audits, areconducted by, or on behalf of, the organization itself for
management review and other internal purposes, andmay form the basis for an organization’s self-declarationof conformity. In many cases, particularly in smallerorganizations, independence can be demonstrated
by the freedom from responsibility for the activity
being audited.

ISO 19011:2002

An evaluation, undertaken on a regular basis byrepresentatives of a company's management, toassess the suitability, adequacy and effectiveness ofthe company's management system and to identify
improvement opportunities. The evaluation shall also
be used to identify and assess any changes needed topolicy, objectives, resource needs and improvement toproduct or services.

GSSI

Of a fish species: intentional or accidental transportand release by humans into an environment beyond its
present range.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

Internal review

Introduction● ●●3.1, Note 1

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● Species or races of fish and other aquatic organisms

Introductions

that are intentionally or accidentally transported andreleased by humans into an aquatic environment
outside their natural range set by biogeographic
barriers.
Invasive Species●

An non-native or introduced species (i.e., one thatis not native to the region it’s been farmed in) thatcauses negative impact to economic, environmental,socio-political or cultural values due to prolific growthand unmanaged population. Potential negativeenvironmental impacts include habitat conversion/damage, outcompeting native populations for food or
habitats, and predation on native species.

FAO (2012) Technical Guidelines for
Responsible Fisheries. Recreational
fisheries. No. 13. 176 pp.

Adapted from FAO Term Portal –Aquaculture. (www.fao.org/faoterm/en/)

For additional information see the Invasive Species
Specialist Group website (www.issg.org/).
Irreversible or very
slowly reversible● (1) Irreversibility is the quality of being impossible ordifficult to return to, or to restore to, a former condition(see also Reasonable time frame (for restorationof stocks).
(2) Examples of slowly reversible or irreversible effectsof fishing are recruitment overfishing (reduced age
structure with consequences to the quality of spawning),
genetic modification, changed ecological role such as
in food-web dynamics, and excessive depletion of very
long-lived organisms.
(3) Serious or Irreversible Harm: Impacts thatcompromise ecosystems integrity (i.e. ecosystem
structure or function) in a manner that:i.	impairs the ability of affected populations to replace
themselves;ii.	degrades the long-term natural productivity ofhabitats; oriii.	causes, on more than a temporary basis, significant
loss of species richness, habitat or community types.

(continued on
next page)(4) “The 1980 Convention for the Conservation of
Antarctic Marine Living Resources (CCAMLR) is usuallyconsidered a precursor of the ecosystem approach tofisheries. Its provisions require that any harvesting andassociated activities must be conducted in accordancewith the following principles of conservation: (i) preventionof decrease in the size of any harvested population tolevels below those which ensure its stable recruitment,
and for this purpose, size should not be allowed to fall
below a level close to that which ensures the greatest
net annual increment; (ii) maintenance of the ecologicalrelationships between harvested, dependent and related
populations of Antarctic marine living resources and therestoration of depleted populations to the levels defined in(i) above; and (iii) prevention of changes or minimization(1) Alcamo, J. et al. (2003) Ecosystemand human well-being. A framework
for assessment. Millennium
Ecosystem Assessment. Island
Press, 245 p.
(2) Sainsbury, K. (2008) Best Practice
Reference Points for Australian
Fisheries. Report to AFMA
(3) Fisheries and Oceans Canada
Ecological Risk Assessment
Framework (ERAF) for Coldwater
Corals and Sponge DominatedCommunities. Sustainable Fisheries
Framework (SFF): Policy to Manage
the Impacts of Fishing on Sensitive
Benthic Areas http://www.dfo-mpo.
gc.ca/fm-gp/peches-fisheries/fishren-peche/sff-cpd/risk-ecolo-risqueeng.pdf(4) FAO Technical Guidelines for
Responsible Fisheries. 4. Fisheries
management. 4.2.The ecosystemapproach to fisheries (2003) Annex 1.
Institutional foundation to theecosystem approach to fisheries

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DEFINITIONREFERENCEA B C D● of the risk of changes in the marine ecosystem which

Irreversible or very
slowly reversible

are not potentially reversible over two or three decades,taking into account the state of available knowledge ofthe direct and indirect impact of harvesting, the effect of
the introduction of alien species, the effects of associatedactivities on the marine ecosystem and of the effects ofenvironmental changes, with the aim of making possible
the sustained conservation of Antarctic marine living
resources.

(continued fromprevious page)

ISEAL Alliance● ●Global membership association for sustainability
standards

ISEAL

Key performanceindicators● ●A series of criteria which are quantifiable measurements,
agreed to beforehand, that reflect the critical successfactors of an organization.

Crandall, W.J. (2010) Revenue
Administration: Performance
Measurement in Tax Administration;
IMF● A species within the food chain (e.g. a prey species)

Key prey species

which is depended upon heavily for its maintenance byanother (e.g. a predator species). A species within thefood chain (e.g. a prey species) which is depended uponheavily for its maintenance by another (e.g. a predator
species).
Legal entity
Legal framework(effective)● ●Any entity recognized by the law, including both juristic
and natural persons.

● A legal framework is defined as a broad system ofrules that governs and regulates decision making,agreements, laws etc. It includes a set of rules,
procedural steps, or test, often established throughprecedent in the common law, through which
judgments can be determined in a given legal case.

Adapted from ‘Dependent Species’as defined in the FAO Term Portal(this being the corollary).

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms.
Compilation of dictionary definitions
with added context for fisheries.

In a fisheries context this can be regarded as theframework of legal instruments required for the exerciseof responsible fisheries and to formulate and implement
appropriate measures. An “effective” legal framework
can be regarded as one that enables outcomes for thefishery consistent with the requirements of the CCRF.
Likely (likelihood)● Likelihood, (see Table 1 from the IPCC reportreferenced), provides calibrated language for describing
quantified uncertainty. It can be used to express a
probabilistic estimate of the occurrence of a single event
or of an outcome (e.g., a climate parameter, observed
trend, or projected change lying in a given range).
Likelihood may be based on statistical or modelling
analyses, elicitation of expert views, or other quantitative
analyses. The categories defined in Table 1 (see report)
can be considered to have “fuzzy” boundaries. A
statement that an outcome is “likely” means that theprobability of this outcome can range from ≥66% (fuzzy
boundaries implied) to 100% probability. May also
be determined according to expert judgment and/or
plausible argument.

Guidance Note for Lead Authorsof the IPCC Fifth Assessment
Report on Consistent Treatment ofUncertainties. IPCC Cross-Working
Group Meeting on Consistent
Treatment of Uncertainties Jasper
Ridge, CA, USA 6-7 July 2010

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The process of adaptation by a Scheme Owner ofstandards or rules for direct application at the nationalor regional level.

GSSI

A B C D
Local applicability● ●Management
measures● Specific controls applied in a fishery to contributeManagement
objectives● (1) A formally established, more or less quantitative

to achieving the objectives, including input controls(fishing effort limitations), output controls (catch quotas),
technical measures (gear regulations, closed areas andtime closures), and socio-economic incentives (accessand use rights).
target that is actively sought and provides a direction for
management action.
(2) According to the Fishery Manager’s Guidebook:“the term ‘objective’ is used to mean the object of anaction, or what is intended to be achieved. Describing
an objective will typically require a more precise
description of the desired end point than for a goal.
An objective must include explicit statements against
which progress can be measured and it is helpful tothink in terms of SMART objectives, that is, objectives
should be Specific, Measurable, Achievable, Relevant
and Time-bound. A goal may therefore be, for example,
to harvest a particular stock sustainably. One of theobjectives necessary to achieve this goal could be toensure that fishing mortality does not lead to a reductionin the biomass of the stock below the biomass capableof producing maximum sustainable yield.”● The framework of processes and procedures used toManagement system

ensure that an organization can fulfil all tasks required toachieve its objectives.
(1) Element used to refer to a Management Systemdomain element. It contains the domain elements
such as Management authority, Jurisdiction, Fishery
Management Unit, which altogether enable positive
Referencing of a Management System.

FAO Technical Guidelines for
Responsible Fisheries. Fisheries
management. 4. Marine protectedareas and fisheries. No. 4, Suppl. 4.
Rome, FAO. 2011. 198p.
(1) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) A fishery manager’s guidebook/ edited by Kevern L. Cochraneand Serge M. Garcia — 2nd ed.
2009 Published by The Food andAgriculture Organization of the United
Nations and Blackwell Publishing.

(1) FAO FIRMS data dictionary.
FIRMS Technical Working Group
Meeting First Session Rome, Italy,
05-08 December 2005 ftp://ftp.fao.
org/Fi/DOCUMENT/FIGIS_FIRMS/
TWG1/4a_e.pdf

Includes, but is not restricted to, agencies or entities
involved in the management of the fishery, the legislative
framework within which the fishery is undertaken,
the management measures implemented and theprocesses and procedures that enable the collectivefunctioning of the various components.
Marine feed
ingredients●

Feed ingredients derived from marine aquaticorganisms, such as fish, crustaceans, and algae.

GSSI

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DEFINITIONREFERENCEA B C D● (1) The highest theoretical equilibrium yield that can be

Maximumsustainable yield(MSY)

continuously taken (on average) from a stock under
existing (average) environmental conditions without
affecting significantly the reproduction process. Also
referred to sometimes as potential yield.
(2) It is estimated from surplus production models(e.g. Schaefer model) and other methods. In practice,
however, MSY, and the level of effort needed to reachit are difficult to assess. Referred to in UNCLOS, it is an
essential fisheries management benchmark but it is also
only one of the possible Management reference points,
considered also as an international minimum standard forstock rebuilding strategies (i.e. stocks should be rebuilt toa level of biomass which could produce at least MSY).

Monitoring
Monitoring,surveillance, control
and enforcement(effective andsuitable)● ●A planned sequence of observations or measurements
to assess compliance with requirements.

● MCS: Monitoring, control, and surveillance. Activities
undertaken by the fishery enforcement system to ensurecompliance with fishery regulations. “Enforcement”
refers generally to the enforcement of rules andregulations, and can be regarded as part of theoverarching term “MCS”.
(1)–	Monitoring – The continuous requirement for themeasurement of fishing effort characteristics andresource yields.
–	Control – The regulatory conditions under which
the exploitation of the resource may be conducted.
This is generally considered to include the juridical
component.

(1) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) Indicators for sustainable
development of marine capture
fisheries. FAO Technical Guidelines
for Responsible Fisheries. No. 8.
Rome, FAO. 1999. 68p.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms(1) Flewwelling, P. (1995) An
introduction to monitoring, control
and surveillance for capture fisheries.
FAO Fisheries Technical Paper No.
338. Rome, FAO. 1995. 217 p(2) Flewwelling, P.; Cullinan, C.;
Balton, D.; Sautter, R.P.; Reynolds,
J.E. Recent trends in monitoring,
control and surveillance systems
for capture fisheries. FAO Fisheries
Technical Paper. No. 415. Rome,
FAO. 2002. 200p

–	Surveillance – The degree and types of observations
required to maintain compliance with the regulatory
controls imposed on fishing activities.

(continued on
next page)The qualifiers “effective and suitable” need some
explanation. With respect to “effective”, below there is arelevant extract from Flewwelling et al (2002). “Suitable”
is not included in the FAO Guidelines for Marine Capture
Fisheries, but was introduced in the drafting of the
Guidelines for Inland Capture Fisheries. The importantelement here is that the MCS is appropriate (suitable)
to the scale and intensity of the fishery. Hence what issuitable from the perspective of a large scale industrial
fishery would not necessarily be the same as for a small
scale fishery.

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DEFINITIONREFERENCEA B C D● (2) Extract from Flewwelling et al (2002):

Monitoring,surveillance, control
and enforcement(effective andsuitable)

Some view arrests as the only relevant indication of
the effectiveness of MCS efforts. The real indicator for
MCS is the level of compliance, and this is governed bymany factors, e.g. the number of fishers; the number ofvessels; effort and area coverage of patrols; results ofpatrols, increase in voluntary compliance, etc.

(continued fromprevious page)

Effective MCS involves a two-pronged, parallel approach.
The preventive approach is to encourage “voluntarycompliance” through understanding and support for the
management strategies and this includes:a)	enhancement of community/fisher awareness andunderstanding of management practices and MCS
through seminars, public awareness and information,
education, and communication campaigns;b)	participatory management development to promoteownership of the management regime and input
into the regulatory/control aspect of management(laws and regulations) in preparation for acceptanceby the fishers of their joint “stewardship” role for the
management of their fisheries in partnership withgovernment;c)	peer pressure towards voluntary compliance andsupport for the management regime;d)	the institution of accurate and verifiable datacollection regimes; ande)	surveillance and verification for compliance.
The parallel approach of deterrent/enforcement MCS
is necessary to ensure compliance by fishers who
resist the regulatory regime to the detriment of boththe fishery and the economic returns to their fellow
fishers. Deterrent and enforcement include inspection,
investigation, prevention and court proceedings
to enforce the law. Voluntary compliance will fail if
stakeholders see non-compliant fishers successfully
evading the law and receiving economic returns fromtheir illegal activity, at the expense of the fishers whocomply with all requirements.
Mono-sex●

The selection or rearing of a single sex of a given
species in an aquaculture unit in order to avoid
uncontrolled reproduction or to obtain higher yields.
Commonly used with salmonids and tilapias in which
there is a dichotomy between the growth of the twosexes that is activated after the onset of sexual maturity.

FAO Term Portal – Aquaculture.
(www.fao.org/faoterm/en/)

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Certification covering multi-site organisations including
several sites and where sampling of these sites may
be used by a certification body in its conformity
assessment work.

GSSI

A B C D
Multi-site
certification● ●The scope of certification covers the actual products
and processes as defined in the normative documents
describing the scheme in question.
Every site covered by this certification is mentioned on
the main certificate documentation and every site is
entitled to get its own sub-certificate.
Multi-siteorganisation

An organisation having an identified central office, but notnecessarily the headquarters of the organisation at which
certain activities are planned, controlled and managed
and a network of local offices or branches or sites atwhich such activities are fully or partially carried out.

● ●● The survival of fish stocks that are not enhanced

Natural reproductive
stock component ofenhanced stocks

Non-conformity

depends entirely on their natural reproductive
component. Stocks that are enhanced may have anatural reproductive component that contributes to the
production of new generations.

● ●

GSSI

FAO (2011) Guidelines for the
Ecolabelling of Fish and Fishery
Products from Inland Capture
Fisheries. 106pp. Paragraph 26.

A deviation of product or process from specified
requirements, or the absence of, or failure to implement
and maintain, one or more required management systemelements, or a situation which would, on the basis ofavailable objective evidence, raise significant doubt as tothe conformity of what the auditee is supplying.

GSSI

Non-EstablishedSpecies●

An introduced (non-native) species that do not currently
have breeding populations in the wild.

GSSI

Non-Native Species●

See Introduction

GSSI● 1) Species for which the gear is not specifically set,Non-target catch(stock)although they may have immediate commercial value
and be a desirable component of the catch.
(2) In the context of fishery certification, the target catchis the catch of stock under consideration by the unitof certification – i.e. the fish that are being assessed
for certification and ecolabelling. Anything other than
this catch is non-target catch. Hence there may be
species for which the gear is set, but that are not being
assessed as a target species for certification. In thiscase these species are non-target catch, even though
they may be a target for the fishery according to theOECD definition above

Normative
documents
Nutrient Load

● ●●(1) OECD (1996), Synthesis report forthe study on the economic aspectsof the management of marine living
resources. AGR/FI(96)12(2) GSSI

A document to which reference is made in the standard
in such a way as to make it indispensable for theapplication of the standard.

European Committee forStandardization

The nutrient load refers to the total amount of waste
nitrogen or phosphorus released as a result of
production of the aquatic animal. Examples include“tons of nitrogen per ton of production”.

GSSI

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An audit carried out at the office or designated centresof an applicant.

GSSI

A B C D
Office audit● ●Offsetting●

Counteract (something) by having an opposing force oreffect. A relevant aquaculture example is the restorationof a specific area of mangrove forest to replace thoseconverted during the construction of a shrimp pond,
and may apply to restoring the actual area converted on
the farm or restoring an area of similar size or ecologicalvalue in a different region.

Oxford English Dictionary

OIE●

World Organization for Animal Health

OIE

Operational●

In or ready for use.

Oxford English Dictionary

A group of people or other legal entity( ies) that is
responsible for ensuring that products and processes
meet and, if applicable, continue to meet therequirements on which the certification is based.

GSSI

Organisation

Overfished● ●● A stock is considered “overfished” when exploited
beyond an explicit limit beyond which its abundanceis considered “too low” to ensure safe reproduction.
In many fisheries fora the term is used when biomasshas been estimated to be below a limit biologicalreference point that is used as the signpost defining an“overfished condition”.

Overfishing(including
recruitment
overfishing)● Overfishing – A generic term used to refer to the stateof a stock subject to a level of fishing effort or fishingmortality such that a reduction of effort would, in themedium term, lead to an increase in the total catch.
Often referred to as overexploitation and equated tobiological overfishing, it results from a combination of
growth overfishing and recruitment overfishing andoccurs often together with ecosystem overfishing andeconomic overfishing.

FAO Term Portal (fisheries)
www.fao.org/faoterm
Mace, P.M. 1998. The status of
ICCAT species relative to optimum
yield and overfishing criteria recently
proposed in the United States,
also with consideration of the
precautionary approach. ICCATSCRS/97/074
FAO Term Portal (fisheries)
www.fao.org/faoterm
Garcia, S.M. (Comp.). 2009. Glossary.
In Cochrane, K. and S.M. Garcia.
(Eds). A fishery managers’ handbook.
FAO and Wiley-Blackwell:473-505.

Recruitment Overfishing – A situation in which the rate offishing is (or has been) such that annual recruitment to the
exploitable stock has become significantly reduced. The
situation is characterized by a greatly reduced spawning
stock, a decreasing proportion of older fish in the catch,and generally very low recruitment year after year.
Growth Overfishing – Occurs when too many small fish
are being harvested too early, through excessive fishingeffort and poor selectivity (e.g. too small mesh sizes)
and the fish are not given enough time to grow to thesize at which the maximum yield-per-recruit from thestock would be obtained. A reduction of fishing mortality
on juveniles, or their outright protection, would lead toan increase in yield from the fishery.

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● Participatory is defined in the Merriam-Webster

Participatory(fisherymanagement)

Dictionary as characterized by or involving participation;
especially: providing the opportunity for individual
participation.
(1) A participatory approach to fisheries management
requires there to be an opportunity for all interested
and affected parties to be involved in the management
process. This does not mean that stakeholders are
required to have specific decision rights in the fishery,
but there should be a consultation process that regularly
seeks and accepts relevant information, including
traditional, fisher or community knowledge and there isa transparent mechanism by which the management
system demonstrates consideration of the information
obtained. Consultation processes must be inclusive andprovide opportunities for interested and effected parties
to be involved. A participatory approach further requiresthat all major stakeholders have been identified andthat the functions, roles and responsibilities of the key
organisations and individuals involved in the management
process are explicitly defined and well understood.

(1) GSSI(2) Glossary in Cochrane, K.L. and
S.M. Garcia (eds). 2009. A Fishery
Manager’s Guidebook, 2nd Edition.
FAO and Wiley-Blackwell Publishers.
518pp.

(2) Participatory management. Any form of management
involving a degree of stakeholder participation.
Co-management is a specifi c form of participatory
management in which there is a sharing of decisionmaking power between the state and the stakeholders.
Pest●

Animals, generally rodents or insects, that may
contaminate feed or chemicals used or stored on theaquaculture facility. This is separate from predators.

GSSI

Pollution●

The introduction by man, directly or indirectly, of
substances, or energy into the aquatic environment,
including estuaries, which results or is likely to resultin such deleterious effects as harm to living resources
and aquatic life, hazards to human health, hindrance toaquatic activities, including fishing and other legitimate
uses of the aquatic environment and unacceptable
impairment of local water quality. Adapted from theUnited Nations Convention on the Law of the Sea (1982).

Adapted from the United Nations
Convention on the Law of the Sea(1982).

Polyploidy●

An organism with more than two sets of chromosomes.
Sometimes used in aquaculture to create seed withmore desirable traits, such as faster growth rates, than
the same species with a normal set of chromosomes.
In Section C, polyploidy is required to result in sterility
due to the abnormal number of chromosomes.
Examples include triploid (organisms with three sets ofchromosomes).

GSSI

Precautionary
approach(Aquaculture)●

A set of agreed measures and actions, including future
courses of action that ensures prudent foresight andreduces or avoids risk to the resource, the environment,
and the people, to the extent possible, taking into
account existing uncertainties and the potential
consequences of being wrong.

GSSI

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● The precautionary approach involves the application ofPrecautionary
approach to fisheries
management

prudent foresight, taking account of the uncertainties
in fisheries systems and the need to take action withincomplete knowledge. It requires, inter alia:i	consideration of the needs of future generations
and avoidance of changes that are not potentiallyreversible;

FAO. 1996. Precautionary Approach
to Capture Fisheries and Species
Introductions. FAO Technical
Guidelines for Responsible Fisheries,
2: 54 p.

ii	prior identification of undesirable outcomes andof measures that will avoid them or correct them
promptly;iii	that any necessary corrective measures are initiatedwithout delay, and that they should achieve their
purpose promptly, on a timescale not exceeding twoor three decades;iv	that where the likely impact of resource use isuncertain, priority should be given to conserving the
productive capacity of the resource;v	that harvesting and processing capacity should becommensurate with estimated sustainable levelsof resource, and that increases in capacity should
be further contained when resource productivity ishighly uncertain;vi	all fishing activities must have prior management
authorization and be subject to periodic review;
vii	an established legal and institutional framework forfishery management, within which management
plans that implement the above points are institutedfor each fishery, andviii	appropriate placement of the burden of proof byadhering to the requirements above (FAO, 1996,
para 6).
Prepackaged● ●Prepackaged means packaged or made up in advancein a container, ready for offer to the consumer, or forcatering purposes.

Labelling of Prepackaged Foods(CODEX STAN 1-1985)

Process● ●A set of interrelated or interacting activities which resultin an outcome.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 137

Production system●

Concept identified by what is being cultured, giving also
hints on how this is done, and possibly the aquaculture
milieu in which it takes place, such as for example landbased trout culture, suspended rope culture of mussel,
intensive eel culture, pond culture of Nile tilapia andintensive catfish raceway culture.

FAO Term Portal – Aquaculture(www.fao.org/faoterm/en/)

Production unit●

An individual tank, cage, or pond holding a single batchof aquatic animals.

GSSI

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Obtainable by any person, without unreasonablebarriers of access.

ISEAL (2014) Impacts Code v2

A B C D
Publicly available● ●NOTE – Information that is published on anorganisation’s website and can be found through abasic and quick search is considered to be publicly
available. ‘Available on request’ is not the same as
publicly available.
Quarantine●(1) The facility and/or process by which live organisms
and of their accompanying organisms can be held or
reared in isolation from the surrounding environment.
(2) Maintenance of a group of aquatic animals in isolation
with no direct or indirect contact with other aquatic
animals, in order to undergo observation for a specified
length of time and, if appropriate, testing and treatment,
including proper treatment of the effluent waters.

● The time period for ending overfishing and rebuilding

Reasonable
time frames(for restoration of
overfished stocks)

Re-benchmarking

Recovery rate

Reference point(limit)(continued on
next page)

an overfished stock should be as short as possible,
taking into account the status and biology of theoverfished stock, the needs of fishing communities,
recommendations by international organizations
exercising jurisdiction over the overfished stock, andthe interaction of the overfished stock within the marine
ecosystem. In any event is should not exceed 10 years,
except in cases where the biology of the stock, otherenvironmental conditions, or management measures
under an applicable international agreement dictate
otherwise.

● ●●(1) ICES Code of Practice on the
Introductions and Transfers of marine
Organisms 2004. http://www.ices.dk/
reports/general/2004/icescop2004.
pdf(2) (OIE Aquatic Animal health Code
http://www.oie.int/eng/normes/fcode/
en_glossaire.htm#sous-chapitre-2)
Magnuson-Stevens FisheryConservation and Management Act;
104-297 (e) REBUILDING

The process of benchmarking a scheme that waspreviously recognised by the GSSI and that is seeking
renewed recognition.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 137

The percentage of the number of aquatic animals
recovered at harvest divided by the number stocked.
Intended as an indicator of mortality, incorporate both
known and unknown losses.

GSSI● (1) Reference Point: An estimated value derived froman agreed scientific procedure and/or model, whichcorresponds to a specific state of the resource andof the fishery, and that can be used as a guide forfisheries management. Reference points may be general(applicable to many stocks) or stock-specific.
(2) Limit Reference Point (LRP) indicates the limit beyond
which the state of a fishery and/or a resource is notconsidered desirable. Fishery development should be
stopped before reaching it. If an LRP is inadvertently
reached, management action should severely curtailor stop fishery development, as appropriate, andcorrective action should be taken. Stock rehabilitation
programmes should consider an LRP as a veryminimum rebuilding target to be reached before therebuilding measures are relaxed or the fishery is
re-opened.

(1) Garcia S.M. (1996). The
precautionary approach tofisheries and its implications forfishery research, technology andmanagement: An updated review.
FAO Fish. Tech. Paper, 350.2: 1-76
(2) + (3) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) Fish Stock Assessment Manual,
FAO Fisheries Technical Paper 393,
Fisheries Department, FAO, 2000.
(3) Garcia S.M. (1996). The
precautionary approach tofisheries and its implications forfishery research, technology andmanagement: An updated review.
FAO Fish. Tech. Paper, 350.2: 1-76

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Reference point(limit)(continued fromprevious page)l (3) LRP indicates the limit beyond which the stateof a fishery and / or a resource is not considereddesirable. Fishery development should be stopped
before reaching it. If a LRP is inadvertently reached,management action should severely curtail orstop fishery development, as appropriate, andcorrective action should be taken. Stock rehabilitation
programmes should consider and LRP as a veryminimum rebuilding target to be reached before therebuilding measures are relaxed or the fishery is reopened”. If a LRP is well established, the probability
to reach inadvertently is very low and indeed below aformally agreed level.
(3) Indicates that the state of a fishery and / or aresource is approaching a target reference point (TRP)or a limit reference point (LRP), and that a certain typeof action (usually agreed beforehand) needs to betaken. Fairly similar to a LRP in their utility, the ThRp
specific purpose is to provide an early warning, reducing
further the risk the the LRP or TRP are inadvertently
passed due to uncertainty in the available information
or inherent inertia of the management and industry
systems. Adding precaution to the management set-up,
they might be necessary only for resources or situations
involving particularly high risk.

Reference point(target)● (1) Reference Point: An estimated value derived froman agreed scientific procedure and/or model, whichcorresponds to a specific state of the resource andof the fishery, and that can be used as a guide forfisheries management. Reference points may be general(applicable to many stocks) or stock-specific.
(2) Corresponds to a state of a fishery and / or aresource which is considered desirable. Management
action, whether during a fishery development or astock rebuilding process should aim at bringing andmaintaining the fishery system at this level. In mostcases a TRP will be expressed in a desired level of
output for the fishery (e.g. in terms of catch) or of fishingeffort or capacity and will be reflected as an explicit
management objective for the fishery.

Regional fisheries
management
organization (RFMO)● Regional Fisheries Management Organizations (RFMOs)
have a management mandate and play a unique role infacilitating international cooperation for the conservationand management of fish stocks. These organizations
present the only realistic means of governing fish stocks
that occur either as straddling or shared stocks between
zones of national jurisdiction or between these zones
and the high seas, or exclusively on the high seas.
RFMOs adopt fisheries conservation and management
measures that are binding on their members.

(1) Garcia S.M. (1997) Indicatorsfor sustainable development infisheries. In: FAO (1997). Land Quality
indicators and their use in sustainableagriculture and rural development:
131-162.
(2) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) Fish Stock Assessment Manual,
FAO Fisheries Technical Paper 393,
Fisheries Department, FAO, 2000.
(2) Garcia S.M. (1996) The
precautionary approach tofisheries and its implications forfishery research, technology andmanagement: An updated review.
FAO Fish. Tech. Paper, 350.2: 1-76
FAO Fisheries websites: www.fao/
fishery/topic/16800/en
andwww.fao/fishery/topic/16810/en

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A document containing the names of experts selectedby GSSI, who may carry out benchmarking activities on
their behalf.

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A B C D
Register ofbenchmarkcommittee members● ●● Resilience is the capacity of a system to absorb

Resilience

disturbance and reorganize while undergoing change,
so as to still retain essentially the same function,
structure, identity and feedbacks of regulation
mechanisms.
Review● ●Risk assessment

Risk based
programme
Safety Data Sheet
(SDS)

●

● ●
●

FAO Technical Guidelines for
Responsible Fisheries. Fisheries
management. 4. Marine protectedareas and fisheries. No. 4, Suppl. 4.
Rome, FAO. 2011. 198p.

Verification of the suitability, adequacy and effectivenessof selection and determination activities, and theresults of these activities, with regard to fulfilment ofspecified requirements (3.1) by an object of conformity
assessment.

ISO/IEC 17000:2004, 5.1

The evaluation of the likelihood of entry, establishment
or spread of a pest or disease within the territory of
an importing Member according to the sanitary or
phytosanitary measures which might be applied, andof the associated potential biological and economic
consequences; or the evaluation of the potential foradverse effects on human or animal health arisingfrom the presence of additives, contaminants, toxins
or disease-causing organisms in food, beverages orfeedstuffs.

WTO (1995) The WTO Agreementon the Application of Sanitary andPhytosanitary Measures (SPS
Agreement)

A documented programme developed by a competentperson(s) based on risk assessment principles.

GSSI

Generally expected to conform to the Global
Harmonized System (GHS). The (Material) Safety Data
Sheet (SDS) provides comprehensive information for use
in workplace chemical management. Employers andworkers use the SDS as sources of information about
hazards and to obtain advice on safety precautions.
The SDS is product related and, usually, is not able
to provide information that is specific for any given
workplace where the product may be used. However,the SDS information enables the employer to develop an
active program of worker protection measures, including
training, which is specific to the individual workplace
and to consider any measures that may be necessary
to protect the environment. Information in a SDS
also provides a source of information for other target
audiences such as those involved with the transportof dangerous goods, emergency responders, poison
centers, those involved with the professional use ofpesticides and consumers.

Occupational Safety & HealthAdministration. United States
Department of Labor,

See www.osha.gov/dsg/hazcom/ghs.html#4.8,
particularly section 4.8 for more details.
Saline Water●

Saline water is defined as >0.7 electrical conductivity (dS/m) and > 500mg/l salt concentration.

The use of saline waters for crop
production – FAO irrigation anddrainage paper 48 1992.

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For waters: the increase in salinity of fresh surface andgroundwater supplies. A result of saltwater intrusion
by pumping of seawater boreholes and wells, and thebuilding of inland seawater ponds structures. Can have aserious effect on local agriculture, especially paddy fields.

FAO Term Portal – Aquaculture (www.
fao.org/faoterm/en/)

A B C D
Salinization

Seafood
Certification Scheme●

See Certification Scheme.

● ●

Seed

●

Meaning eggs, spawn, offspring, progeny or brood of
the aquatic organism (including aquatic plants) being
cultured. At this infantile stage, seed may also bereferred to or known as fry, larvae, postlarvae, spat,
and fingerlings. They may originate from two principal
sources: from captive breeding programmes (e.g.,hatcheries) or caught from the wild.

Adapted from FAO Term Portal –Aquaculture (www.fao.org/faoterm/en/)Scheme Owner● ●An organisation, which is responsible for thedevelopment, management and maintenance of acertification scheme.

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Scope

● ●

The extent of the area or subject matter that a scheme
applies to or to which it is relevant

GSSI

Senior management● ●A person or persons who have the authority andaccountability to develop, implement or amendorganisational policies and procedures

GSSI

Sensitive is used in terms of habitat and/or biodiversitythat are of biological, ecological values which areconsidered outstandingly significant or criticallyimportant, at the local, national, regional or global level.
Adapted from the High Conservation Value Network.

High Conservation Value Area
Network www.hcvnetwork.org

Sensitive habitat/biodiversity●

Relevant examples in aquaculture include, but are
not limited to include mangrove and wetland forests,
supported by the Ramsar Convention , International
Union for Conservation of Nature (IUCN) listed species
and Protected Areas, High Conservation Value areas
defined by the High Conservation Value Area Network,
the Convention on International Trade in Endangered
Species of Wild Fauna and Flora.
Site

● ●

A permanent location where an organisation carries out
work or activity’

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Small scale fisheries● (1) Small-scale fisheries are social units with porous
boundaries that individual fishers can cross. In fact,
fishers can unconsciously or deliberately blur theboundaries between the various fisheries.
(2) Small-scale fisheries represent a diverse anddynamic subsector, often characterized by seasonal
migration. The precise characteristics of the subsector
vary depending on the location; indeed, smallscale fisheries tend to be strongly anchored in local
communities, reflecting often historic links to adjacent
fishery resources, traditions and values, and supportingsocial cohesion. For many small-scale fishers andfish workers, fisheries represent a way of life and thesubsector embodies a diverse and cultural richness
thatis of global significance. Many small-scale fishers,
fish workers and their communities – including
vulnerable and marginalized groups – are directly
dependent on access to fishery resources and land.
Tenure rights to land in the coastal/waterfront area are
critical for ensuring and facilitating access to the fishery,for accessory activities (including processing andmarketing), and for housing and other livelihood support.
The health of aquatic ecosystems and associatedbiodiversity are a fundamental basis for their livelihoods
and for the subsector’s capacity to contribute to overall
well-being.

1) Wilson, D. C. and Delaney, A.E.
(2005) Scientific knowledge andparticipation in the governanceof fisheries in the North Sea. In:
Participation in fisheries governance,
Gray, T.S. (Ed.). Review: Methods
and Technologies in Fish Biology and
Fisheries, 4. Springer. Netherlands:
319-341(2) FAO (2014) Voluntary Guidelines
for Securing Sustainable Small-Scale
Fisheries in the Context of Food
Security and Poverty Eradication.
Preface(3) (2014) FAO Voluntary Guidelines
for Securing Sustainable Small-Scale
Fisheries in the Context of Food
Security and Poverty Eradication.
Paragraph 2.4(3) These Guidelines recognize the great diversityof small-scale fisheries and that there is no single,
agreed definition of the subsector. Accordingly, theGuidelines do not prescribe a standard definition ofsmall-scale fisheries nor do they prescribe how the
Guidelines should be applied in a national context.
These Guidelines are especially relevant to subsistencesmall-scale fisheries and vulnerable fisheries people.
To ensure transparency and accountability in theapplication of the Guidelines, it is important to ascertain
which activities and operators are considered smallscale, and to identify vulnerable and marginalizedgroups needing greater attention. This should beundertaken at a regional, subregional or national level
and according to the particular context in which they
are to be applied. States should ensure that such
identification and application are guided by meaningful
and substantive participatory, consultative, multileveland objective-oriented processes so that the voicesof both men and women are heard. All parties should
support and participate, as appropriate and relevant, insuch processes.

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Stakeholder● ●An individual or group of individuals, whether atinstitutional or personal level, who has an interest or claimthat has the potential of being impacted by or having an
impact on a given activity. This interest or claim can bestated or implied and direct or indirect. Stakeholders andstakeholder groups can be at the household, community,
local, regional, national, or international levels.

ISO 26000, Working Draft 3 (Rev),
definition 3.17.

Standard● ●Document approved by a recognized organization or
arrangement, that provides, for common and repeateduse, rules, guidelines or characteristics for products
or related processes and production methods, withwhich compliance is not mandatory under international
trade rules. It may also include or deal exclusively withterminology, symbols, packaging, marking or labelling
requirements as they apply to a product, process or
production method.

WTO (1995) Technical Barriers to
Trade agreement, Annex 1,2

Steering Board
Liaison● ●An appointed member of GSSI’s Steering Board
assigned to support and monitor the Benchmark
Process on behalf of the Steering Board.

GSSI

Being infertile

FAO Term Portal – Aquaculture (www.
fao.org/faoterm/en/)

Sterile●Stock● See Fish Stock

Stock assessment● The process of collecting and analysing biological andstatistical information to determine the changes in theabundance of fishery stocks in response to fishing, and,to the extent possible, to predict future trends of stock
abundance. Stock assessments are based on resource
surveys; knowledge of the habitat requirements,
life history, and behaviour of the species; the use ofenvironmental indices to determine impacts on stocks;
and catch statistics. Stock assessments are used as abasis to assess and specify the present and probablefuture condition of a fishery.

Stock structure andcomposition● The structure of a particular stock, in terms of its size or

Stock underconsideration● The “stock under consideration” exploited by the unit

age composition or in terms of its species composition(for a multispecies stock) or its separate genetic
structure.
of certification may be one or more biological stocks
as specified by the stakeholders for certification. The
certification applies only to products derived from the“stock under consideration”. In assessing compliancewith certification standards, the impacts on the “stock
under consideration” of all the fisheries utilizing that“stock under consideration” over its entire area of
distribution are to be considered.

FAO Term Portal (fisheries
www.fao.org/faoterm

Adapted from FAO Term Portal(fisheries)
www.fao.org/faoterm
FAO (2009) Guidelines for the
Ecolabelling of Fish and Fishery
Products from Marine Capture
Fisheries, revision 1

See also “Unit of Certification”

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Subcontracting● ●A firm, company or individual carrying out a process on
products on the behalf of the site audited and is undercontract to do so.

GSSI

Supplier● ●An organisation supplying food, feed or a service.

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Surveillance● ●Follow‐up audit(s) to assess compliance with thespecific requirements of a scheme’s standard and toverify the validity of an issued certificate.

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Number of fish alive after a specified time interval,
divided by the initial number. Usually on a yearly basis orfor the rearing period.

FAO Term Portal – Aquaculture(www.fao.org/faoterm/en/)

The process by which a scheme is temporarily notrecognised by GSSI.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms
Page 138● Fishery regulations and/or controls are being regularly

FAO International Plan of Action toPrevent, Deter and Eliminate Illegal,
Unreported and Unregulated Fishing.
http://www.fao.org/docrep/003/
y1224e/y1224e00.htm

Survival rate

Suspension●● ●Systematic
non-complianceand repeatedly violated to an extent that threatens theeffective implementation of the management strategy(see Management Measures). Non-compliance isclosely related to the commonly used term illegal,
unreported and unregulated (IUU) fishing.
See also “Monitoring, surveillance, control andenforcement (effective and suitable)”

Tamper-proof(packaging)● ●Made so that one is able to see if anything has beenchanged, opened, removed, or damaged.

Cambridge dictionaries

Third party● ●A person or body that is independent of the organizationor person that provides the object of conformity
assessment.

(ISO/IEC 17000, 2004, Definition 2.4)

Procedure by which an accredited external,
independent, certification body which is not involved instandards setting or has any other conflict of interest,
analyzes the performance of involved parties, andreports on compliance. This is in contrast to first party
certification (by which a single company or stakeholder
group develops its own standards, analyzes its own
performance, and reports on its compliance andsecond party certification (by which an industry or tradeassociation or NGO develops standards, analyzes
the performance of involved parties, and reports oncompliance).

Adapted from the Report of the First
Expert Workshop on Aquaculture
Certification held in Bangkok,
Thailand. March 2007

The ability to follow the movement of a productof fisheries or aquaculture or inputs such as feedand seed, through specified stage(s) of production,
processing, transport and distribution. (Adapted for
GSSI)

FAO (2011) Technical Guidelines for
Aquaculture Certification. Paragraph
12.

The movement of individuals of a species or populationof an aquatic organism from one location to anotherwithin its present range.

FAO (1998) Codes of practiceand manual of procedures forconsideration of introductions andtransfers of marine and freshwaterorganisms

Third party
certification

Traceability

Transfer

●

● ●

●

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A defined period of time by which an organisation shallcomply to a series of requirements or standard.

GSSI

Small fish species, damaged catch and juvenile fish
are sometimes referred to as ‘trash fish’ because of its
low market value. Usually part of a (shrimp) trawler’s
bycatch. Often it is discarded at sea although anincreasing proportion is used as human food or as feedin aquaculture and livestock feed.

FAO Term Portal – Aquaculture (www.
fao.org/faoterm/en/)

A B C D
Transition period forcompliance● ●Trash fish●

● The “unit of certification” is the fishery for which

Unit of certification(Fisheries)

ecolabelling certification is sought, as specified by
the stakeholders who are seeking certification. The
certification could encompass: the whole fishery, wherea fishery refers to the activity of one particular geartype or method leading to the harvest of one or more
species; a sub-component of a fishery, for example
a national fleet fishing a shared stock; or several
fisheries operating on the same resources. The “stock
under consideration” exploited by this fishery (unit ofcertification) may be one or more biological stocks
as specified by the stakeholders for certification. The
certification applies only to products derived from the“stock under consideration”. In assessing compliancewith certification standards, the impacts on the “stock
under consideration” of all the fisheries utilizing that“stock under consideration” over its entire area of
distribution are to be considered.

(1) FAO (2009) Guidelines for the
Ecolabelling of Fish and Fishery
Products from Marine Capture
Fisheries, Revision 1.
(2) FAO Term Portal (fisheries)
www.fao.org/faoterm(2) The “unit of certification” is the fishery for which
ecolabelling certification is called for. The certification
could encompass: the whole fishery, where a fisheryrefers to the activity of one particular gear-type or
method leading to the harvest of one or more species; a
sub-component of a fishery, for example a national fleet
fishing a shared stock; or several fisheries operating on
the same resources. The certification applies only to
products derived from the “stock under consideration”
In assessing compliance with certification standards,
the impacts on the “stock under consideration” of all thefisheries utilizing that stock or stocks over their entire
area of distribution are to be considered.
Unit of certification(Aquaculture)●

The scale or extent of the aquaculture operation(s)assessed and monitored for compliance. The unit ofcertification could consist of a single farm, production
unit or other aquaculture facility. The certification unit
could also consist of a group or cluster of farms thatshould be assessed and monitored collectively.

FAO Technical Guidelines for
Aquaculture Certification (2011)

Unscheduled audit● ●Audits planned within a defined programme, but without
the allocation of a specified programme date.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Validation● ●An activity to obtain evidence that a requirement is
controlled effectively.

GFSI (2013) Guidance Document
Version 6.3 Part IV: Glossary of Terms

Verification● ●A confirmation, through the review of objective evidence
that requirements have been fulfilled.

GFSI (2013) Guidance Document
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Veterinarian●

See Aquatic Animal Health Professional

Veterinary drugs●

Definitions of veterinary drugs vary from source-tosource. In this document veterinary drugs as considered
to include antimicrobials, antibacterials, therapeutants,
antibiotics, and veterinary medicinal products, if misused,
can result in food safety implications, including residues,
as well environmental implications, such as the spread ofresistance to treatments in pathogenic organisms.

GSSI

Water quality criteria●

Specific levels of water quality desired for identified
uses, including drinking, recreation, farming,
aquaculture production, propagation of other aquatic
life, and agricultural and industrial processes.

FAO Term Portal – Aquaculture(www.fao.org/faoterm/en/)Wet-fish●Unprocessed, uncooked whole or chopped fish.
Sometimes referred to as trash fish.

GSSI

Whole fish●

These are marine feed ingredients (e.g., algae,
crustaceans, and fish) harvested specifically for
rendering into fishmeal and fish oil (as opposed to thoseprimarily destined for human consumption. The term
does not include aquaculture or fishery byproducts.

GSSI

A defined series of activities to be carried out within adefined time period.

GSSIWork program● ●While terms are not limited to a specific section, the color coding indicates in which section the term is used most.

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secretariat@ourgssi.org

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