Proposal for a Council Decisionon the conclusion by the European Community of the Agreement on the International Dolphin Conservation Programme
Date: 2004-11-30
Institutions: European Commission
Subjects: EU environmental policy, international agreement, marine mammal, protection of animals, ratification of an agreement

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.11.2004 
COM(2004) 764 final 

2004/268 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion by the European Community of the Agreement on the International 
Dolphin Conservation Programme 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

Following  the  Council  Decision  1999/337/EC  of  26  April  1999,  the  European  Community 
signed the Agreement on the International Dolphin Conservation Programme (AIDCP) which 
has  as  its  objectives  the  progressive  reduction  of  incidental  dolphin  mortalities  in  the  tuna 
purse-seine  fishery  in  the  Eastern  Pacific  Ocean  to  levels  approaching  zero,  through  the 
setting of annual limits and the long term sustainability of the tuna stocks in the Agreement 
Area. 

The Council Decision 1999/386/EC of 7 June 1999, authorised the European Community to 
apply  on  a  provisional  basis  the  Agreement  on  the  International  Dolphin  Conservation 
Programme.  The  provisional  application  of  the  AIDCP  was  authorised  in  the  event  that  the 
entry  of  the  European  Community  into  the  Inter-American  Tropical  Tuna  Commission 
(IATTC),  which  has  an  integral  role  in  co-ordinating  the  AIDCP  and  its  implementing 
measures,  would  be  delayed  for  technical  reasons.  The  Council  was  of  the  view  that  the 
signature  and  provisional  application  of  the  AIDCP  were  the  first  stages  of  the  subsequent 
approval by the European Community of the AIDCP. 

For various technical reasons, it has not been possible for the European Community to adhere 
to  the  IATTC.  However,  the  Council  agreed,  on  an  exceptional  basis,  by  Council  Decision 
1999/405/EC  of  10  June  1999,  to  authorise  the  Kingdom  of  Spain  to  accede  to  the  IATTC 
Convention, which it finally did in June 2003 in Antigua, Guatemala. This Decision foresaw 
that Spain would participate in IATTC decisions in line with the Community position and in 
close consultation with the Commission. 

With the accession of Spain to the IATTC in June 2003, the participation of the Community 
in the IATTC has been effectively ensured, in line with the Council Decision of June 1999. 
Given this, it is now appropriate for the Community to take the necessary procedures for it to 
conclude  the  AIDCP  and  fully  assume  its  responsibilities  and  duties  under  that  Agreement. 
Following  the  adoption  of  this  Council  Decision  the  Community  should  deposit  the 
instrument  of  approval  with  the  Government  of  the  United  States  of  America,  which  is  the 
Depository of the AIDCP. 

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2004/268 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion by the European Community of the Agreement on the International 
Dolphin Conservation Programme 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 37  in  conjunction  with  the  first  sentence  of  the  first  subparagraph  of  Article  300(2) 
and the first subparagraph of Article 300(3) thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Parliament2, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

The Community is competent to adopt measures for the conservation and management 
of fishery resources and to enter into agreements with third countries and international 
organisations. 

The Community is a contracting party to the United Nations Convention on the Law of 
the  Sea,  which  requires  all  members  of  the  international  community  to  cooperate  in 
conserving and managing the sea’s living resources. 

The Community is a contracting party to the Agreement on the implementation of the 
provisions of the United Nations Convention on the Law of the Sea of 10 December 
1982  relating  to  the  Conservation  and  Management  of  Straddling  Fish  Stocks  and 
Highly Migratory Fish Stocks. 

The 35th Intergovernmental meeting on the conservation of tunas and dolphins in the 
Eastern  Pacific  Ocean  adopted  in  February  1998  the  Agreement  on  the  International 
Dolphin Conservation Programme. 

The  objectives  of  the  Agreement  include  the  progressive  reduction  of  incidental 
dolphin  mortalities  in  the  tuna  purse-seine  fishery  in  the  Eastern  Pacific  Ocean  to 
levels  approaching  zero,  through  the  setting  of  annual  limits  and  the  long  term 
sustainability of the tuna stocks in the Agreement Area; 

1 
2 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 

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(6) 

(7) 

(8) 

Community  fishermen  fish  tuna  stocks  in  the  Agreement  Area  and  it  is  in  the 
Community’s  interest  to  play  an  effective  role  in  the  implementation  of  the 
Agreement; 

The  Community  signed3  the  Agreement  in  accordance  with  the  Council  Decision  to 
this end. 

Under Article XIV of the Agreement, the Inter-American Tropical Tuna Commission 
(IATTC)  is  to  have  an  integral  role  in  coordinating  the  implementation  of  the 
Agreement and many implementing measures will be adopted within the framework of 
the IATTC;  

(9) 

The  Community  decided  to  apply  provisionally  the  Agreement4  until  completion  of 
the required procedures for its accession to the IATTC. 

(10) 

In  parallel,  the  Kingdom  of  Spain  was  authorised  to  accede  to  the  Convention 
establishing the Inter-American Tropical Tuna Commission on a temporary basis5. 

(11)  The Kingdom of Spain has acceded to the IATTC on June 2003. 

(12)  The official accession of the Community to the IATTC will take place upon entry into 
force  of  the  Convention  for  the  strengthening  of  the  Inter-American  Tropical  Tuna 
Commission  established  by  the  1949  Convention  between  the  United  States  of 
America  and  the  Republic  of  Costa  Rica  (the  Antigua  Convention),  of  which  the 
Community is a signatory6. 

(13)  The  effective  participation  of  the  Community  in  the  work  of  the  IATTC  and 
consequently, to all activities and measures decided under the Agreement, is ensured 
through  the  Kingdom  of  Spain’s  Membership  of  the  IATTC  on  behalf  of  the 
Community, while awaiting the entry into force of the Antigua Convention. 

(14)  Consequently,  the  Community  is  now  in  a  position  to  conclude  the  Agreement  and 
fully  assume  its  duties  and  responsibilities  under  the  both  Agreement  and  the 
Convention establishing the IATTC. 

HAS DECIDED AS FOLLOWS: 

Article 1 

The Agreement on the International Dolphin Conservation Programme is hereby approved on 
behalf of the European Community. 

The text of the Agreement is attached to this Decision. 

3 
4 
5 
6 

OJ L 132, 27.05.1999, p. 1. 
OJ L 147, 12.06.1999, p. 23. 
OJ L 155, 22.06.1999 p. 37. 
OJ L ----------- (Signature of the Antigua Convention – Decision) 

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Article 2 

The  President  of  the  Council  is  hereby  authorised  to  designate  the  persons  empowered  to 
deposit the instrument of approval with the Government of the United States of America as 
Depositary of the Agreement in Accordance with Article XXXII thereof. 

Done at Brussels, 

For the Council 

The President 

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ANNEX 

Agreement on the International Dolphin Conservation Program 

The Parties to this Agreement, 

Preamble 

Aware  that,  in  accordance  with  the  relevant  provisions  of  international  law,  as  reflected  in 
the United Nations Convention on the Law of the Sea (UNCLOS) of 1982, all States have the 
duty to take, or to cooperate with other States in taking, such measures as may be necessary 
for the conservation and management of living marine resources; 

Inspired  by  the  principles  contained  in  the  Rio  Declaration  on  Environment  and 
Development  of  1992,  as  well  as  the  wish  to  implement  the  principles  and  standards  of  the 
Code of Conduct for Responsible Fisheries adopted by the FAO Conference in 1995; 

Stressing  the  political  will  of  the  international  community  to  contribute  to  enhancing  the 
effectiveness of fisheries conservation and management measures, through the Agreement to 
Promote Compliance with International Conservation and Management Measures by Fishing 
Vessels on the High Seas, adopted by the FAO Conference in 1993; 

Taking  note  that  the  50th  General  Assembly  of  the  United  Nations,  pursuant  to  resolution 
A/RES/50/24, adopted the Agreement for the Implementation of the Provisions of the United 
Nations Convention on the Law of the Sea of 10 December 1982 Relating to the Conservation 
and  Management  of  Straddling  Stocks  and  Highly  Migratory  Fish  Stocks  (“the  United 
Nations Agreement on Straddling Fish Stocks and Highly Migratory Fish Stocks”); 

Reaffirming  the  commitments  established  in  the  La  Jolla  Agreement  of  1992  and  in  the 
Declaration of Panama of 1995; 

Emphasizing the goals of eliminating dolphin mortality in the purse-seine tuna fishery in the 
eastern Pacific Ocean and of seeking ecologically sound means of capturing large yellowfin 
tunas not in association with dolphins; 

Considering  the  importance  of  the  tuna  fishery  as  a  source  of  food  and  income  for  the 
populations  of  the  Parties  and  that  conservation  and  management  measures  must  address 
those needs and take into account the economic and social impacts of those measures; 

Recognizing the dramatic reduction of incidental dolphin mortality achieved through the La 
Jolla Agreement; 

Convinced  that  scientific  evidence  demonstrates  that  the  technique  of  fishing  for  tuna  in 
association  with  dolphins,  in  compliance  with  the  regulations  and  procedures  established 
under  the  La  Jolla  Agreement  and  reflected  in  the  Declaration  of  Panama,  has  provided  an 
effective  method  for  the  protection  of  dolphins  and  rational  use  of  tuna  resources  in  the 
eastern Pacific Ocean; 

Reaffirming that multilateral cooperation constitutes the most effective means for achieving 
the objectives of conservation and sustainable use of living marine resources; 

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Committed  to  ensure  the  sustainability  of  tuna  stocks  in  the  eastern  Pacific  Ocean  and  to 
progressively  reduce  the  incidental  dolphin  mortalities  in  the  tuna  fishery  of  the  eastern 
Pacific Ocean to levels approaching zero; to avoid, reduce and minimize the incidental catch 
and  the  discard  of  juvenile  tuna  and  the  incidental  catch  of  non-target  species,  taking  into 
consideration the interrelationship among species in the ecosystem; 

Have agreed as follows: 

For the purposes of this Agreement: 

Article I. Definitions 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

“Tuna”  means  the  species  of  the  suborder  Scombroidei  (Klawe,  1980),  with  the 
exception of the genus Scomber. 

“Dolphins” means species of the family Delphinidae associated with the fishery for 
yellowfin tuna in the Agreement Area. 

“Vessel” means a vessel that fishes for tuna with purse seines. 

“Parties”  means  the  States  or  regional  economic  integration  organizations  which 
have consented to be bound by this Agreement and for which  this Agreement is in 
force. 

“Regional economic integration organization” means a regional economic integration 
organization  to  which  its  member  States  have  transferred  competence  over  matters 
covered by this Agreement, including the authority to make decisions binding on its 
member States in respect of those matters; 

“IATTC” means the Inter-American Tropical Tuna Commission. 

“La  Jolla  Agreement”  means  the  instrument  adopted  at  the  Intergovernmental 
Meeting held in June, 1992. 

“International  Dolphin  Conservation  Program”  means  the  international  program 
established  pursuant  to  this  Agreement  based  on  the  La  Jolla  Agreement,  as 
formalized, modified and enhanced in accordance with the Declaration of Panama. 

“On-Board Observer Program” means the program defined in Annex II. 

“Declaration of Panama” means the Declaration signed in Panama City, Republic of 
Panama, on October 4, 1995. 

11. 

“Director” means the Director of Investigations of the IATTC. 

The objectives of this Agreement are: 

Article II. Objectives 

1. 

To progressively reduce incidental dolphin mortalities in the tuna purse-seine fishery 
in  the  Agreement  Area  to  levels  approaching  zero,  through  the  setting  of  annual 
limits; 

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2. 

3. 

With  the  goal  of  eliminating  dolphin  mortality  in  this  fishery,  to  seek  ecologically 
sound means of capturing large yellowfin tunas not in association with dolphins; and 

To ensure the long-term sustainability of the tuna stocks in the Agreement Area, as 
well as that of the marine resources related to this fishery, taking into consideration 
the interrelationship among species in the ecosystem, with special emphasis on, inter 
alia, avoiding, reducing and minimizing bycatch and discards of juvenile tunas and 
non-target species. 

Article III. Area of Application of the Agreement 

The area of application of this Agreement (“the Agreement Area”) is defined in Annex I. 

Article IV. General Measures 

The Parties shall, within the framework of the IATTC: 

1. 

2. 

Take measures to ensure the conservation of ecosystems as well as conservation and 
management measures to ensure the long-term sustainability of tuna stocks and other 
stocks of living marine resources associated with the tuna purse-seine fishery in the 
Agreement  Area,  based  on  the  best  scientific  evidence  available,  and  apply  the 
precautionary approach, consistent with the relevant provisions of the FAO Code of 
Conduct for Responsible Fisheries and the United Nations Agreement on Straddling 
Fish Stocks and Highly Migratory Fish Stocks. Such measures shall be designed to 
maintain  or  restore  the  biomass  of  harvested  stocks  at  or  above  levels  capable  of 
producing maximum sustainable yield, and with the goal of maintaining or restoring 
the biomass of associated stocks at or above levels capable of producing maximum 
sustainable yield; and, 

Take  measures,  according  to  their  capacities,  to  assess  the  catch  and  bycatch  of 
juvenile  yellowfin  tuna  and  other  stocks  of  living  marine  resources  related  to  the 
purse-seine tuna fishery in the Agreement Area and establish measures in accordance 
with  Article  VI  to,  inter  alia,  avoid,  reduce  and  minimize  the  bycatch  of  juvenile 
yellowfin  tuna  and  bycatch  of  non-target  species,  in  order  to  ensure  long-term 
sustainability  of  all  these  species,  taking  into  consideration  the  interrelationships 
among species in the ecosystem. 

Article V. International Dolphin Conservation Program 

Pursuant  to  the  International  Dolphin  Conservation  Program  and  in  consideration  of  the 
objectives of this Agreement, the Parties shall, inter alia: 

1. 

Limit  total  incidental  dolphin  mortality  in  the  purse-seine  tuna  fishery  in  the 
Agreement Area to no more than five thousand annually, through the adoption and 
implementation of relevant measures, which shall include: 

a. 

The  establishment  of  a  system  that  provides  incentives  to  vessel  captains  to 
continue  to  reduce  incidental  dolphin  mortality,  with  the  goal  of  eliminating 
dolphin mortality in this fishery; 

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b. 

The establishment within the framework of the IATTC of a system of technical 
training and certification for fishing captains and crews on the gear and its use, 
as well as the techniques for the rescue and safety of dolphins; 

c.  Within the framework of the IATTC, the promotion and support of research to 
improve  gear,  equipment,  and  fishing  techniques,  including  those  used  in  the 
fishery for tunas associated with dolphins; 

d. 

e. 

f. 

g. 

h. 

The  establishment  of  an  equitable  system  for  the  assignment  of  dolphin 
mortality limits (DMLs), consistent with the per-year dolphin mortality caps, in 
accordance with Annexes III and IV; 

Requiring  their  respective  vessels  that  have  been  assigned  a  DML,  or  that 
otherwise  operate  in  the  Agreement  Area,  to  comply  with  the  operational 
requirements set forth in Annex VIII; 

The  establishment  of  a  system  for  the  tracking  and  verification  of  tuna 
harvested with and without mortality or serious injury of dolphins, based on the 
elements set forth in Annex IX; 

The  exchange  of  scientific  research  data  collected  by  the  Parties  pursuant  to 
this Agreement on a full and timely basis; and 

The conduct of research for the purpose of seeking ecologically sound means 
of capturing large yellowfin tunas not in association with dolphins; 

Establish per-stock per-year dolphin mortality caps, and review and assess the effects 
of these caps, in accordance with Annex III; and 

Review the measures at a Meeting of the Parties. 

Article VI. Sustainability of Living Marine Resources 

2. 

3. 

Pursuant to Article IV, the Parties commit to develop and implement, within the framework of 
the  IATTC,  measures  to  ensure  the  long-term  sustainability  of  living  marine  resources 
associated with the purse-seine tuna fishery in the Agreement Area, taking into consideration 
the interrelationships among species in the ecosystem. To this end, the Parties shall, inter alia: 

1. 

2. 

3. 

4. 

Develop and implement a program for assessing, monitoring and minimizing bycatch 
of juvenile tuna and non-target species in the Agreement Area; 

To  the  maximum  extent  practicable,  develop  and  require  the  use  of  selective, 
environmentally safe and cost-effective fishing gear and techniques; 

Require that their vessels operating in the Agreement Area release alive incidentally 
caught sea turtles and other threatened or endangered species, to the maximum extent 
practicable; and 

Request the IATTC to initiate investigations to assess whether the fishing capacity of 
vessels  fishing  in  the  Agreement  Area  poses  a  threat  to  the  sustainability  of  tuna 
stocks  and  other  living  marine  resources  associated  with  the  fishery  and,  if  so, 
examine possible measures and recommend their adoption whenever appropriate. 

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Article VII. Implementation at the National Level 

Each Party shall adopt, in accordance with its laws and procedures, the necessary measures to 
ensure the implementation of and compliance with this Agreement including, as appropriate, 
the adoption of relevant laws and regulations. 

Article VIII. Meeting of the Parties 

1. 

2. 

3. 

4. 

5. 

to  consider  matters  pertaining 
The  Parties  shall  meet  periodically 
implementation of this Agreement and to make all decisions relevant thereto.  

to 

the 

The ordinary Meeting of the Parties shall take place at least once a year, preferably in 
conjunction with the IATTC meeting. 

The  Parties  may  also  hold  extraordinary  meetings  when  deemed  necessary.  These 
meetings shall be convened at the request of any Party, provided that such request is 
supported by a majority of the Parties. 

The  Meeting  of  the  Parties  shall  be  held  when  a  quorum  is  present.  Quorum  is 
reached  when  a  majority  of  the  Parties  are  present.  This  rule  shall  also  apply  to 
meetings of subsidiary organs established under this Agreement. 

The  meetings  shall  be  held  in  Spanish  and  English,  and  the  documents  of  the 
Meeting of the Parties shall be produced in both these languages. 

Article IX. Decision Making 

All decisions made by the Parties at meetings convened pursuant to Article VIII shall be by 
consensus. 

Article X. Scientific Advisory Board 

The  functions  of  the  Scientific  Advisory  Board,  established  pursuant  to  the  La  Jolla 
Agreement,  shall  be  those  set  forth  in  Annex  V.  The  Scientific  Advisory  Board  shall  be 
composed and shall operate in accordance with the provisions of Annex V. 

Article XI. National Scientific Advisory Committees 

1. 

2. 

3. 

Each  Party  shall,  in  accordance  with  its  laws  and  procedures,  establish  a  National 
Scientific  Advisory  Committee  (NATSAC)  of  qualified  experts,  operating  in  their 
individual  capacities,  from  the  public  and  private  sectors,  and  from  non-
governmental organizations including, inter alia, qualified scientists. 

The functions of the NATSACs shall be, inter alia, those set forth in Annex VI. 

The  Parties  shall  ensure  that  the  NATSACs  shall  cooperate  through  regular  and 
timely  meetings  in  the  review  of  data  and  the  status  of  stocks,  and  in  the 
development  of  advice  for  achieving  the  objectives  of  this  Agreement.  Such 
meetings  shall  take  place  at  least  once  a  year  in  conjunction  with  the  ordinary 
Meeting of the Parties. 

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Article XII. International Review Panel 

The  functions  of  the  International  Review  Panel  (IRP),  established  pursuant  to  the  La  Jolla 
Agreement,  shall  be  those  set  forth  in  Annex  VII.  The  IRP  shall  be  composed  and  shall 
operate in accordance with the provisions of Annex VII. 

Article XIII. On-Board Observer Programs 

The On-Board Observer Program established pursuant to the La Jolla Agreement shall operate 
in accordance with Annex II. 

Article XIV. Role of the IATTC 

Envisioning that the IATTC shall have an integral role in coordinating the implementation of 
this Agreement, the Parties shall, inter alia, request the IATTC to provide Secretariat support 
and  to  perform  such  other  functions  as  are  set  forth  in  this  Agreement  or  are  agreed  upon 
pursuant to this Agreement. 

Article XV. Financing 

The  Parties  shall  contribute  to  the  expenses  necessary  to  achieve  the  objectives  of  this 
Agreement, through the establishment and collection of vessel fees, the level of which shall 
be determined by the Parties, without prejudice to other voluntary financial contributions. 

1. 

2. 

3. 

4. 

5. 

Article XVI. Compliance 

Each  Party  shall  ensure  with  respect  to  vessels  under  its  jurisdiction  effective 
compliance  with  the  measures  set  forth  in  this  Agreement  or  adopted  pursuant 
thereto.  In  particular,  each  Party  shall  ensure,  through,  inter  alia,  an  annual 
certification  and  inspection  program,  that  vessels  subject  to  its  jurisdiction  comply 
with: 

a. 

b. 

the operational requirements established in Annex VIII; and 

the on-board observer requirements established in Annex II. 

In respect of violations, each Party, taking into consideration the recommendations of 
the IRP, shall apply, consistent with its national laws, sanctions of sufficient gravity 
as to be effective in securing compliance with the provisions of this Agreement and 
of  measures  adopted  pursuant  thereto  and  to  deprive  offenders  of  the  benefits 
accruing  from  their  illegal  activities.  Such  sanctions  shall,  for  serious  offenses, 
include refusal, suspension or withdrawal of the authorization to fish. 

The Parties shall establish incentives for the captains and crews of vessels, with the 
view to enhancing compliance with this Agreement and its objectives. 

The  Parties  shall  adopt  cooperative  measures  to  ensure  compliance  with  this 
Agreement,  building  on  decisions  that  have  been  taken  under  the  La  Jolla 
Agreement. 

Each  Party  shall  promptly  inform  the  IRP  of  enforcement  actions  it  has  taken 
pursuant to this Agreement, and the results thereof. 

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1. 

2. 

1. 

2. 

Article XVII. Transparency 

The  Parties  shall  promote  transparency  in  the  implementation  of  this  Agreement, 
including through public participation, as appropriate. 

Representatives from intergovernmental organizations and representatives from non-
governmental  organizations  concerned  with  matters  relevant  to  the  implementation 
of  this  Agreement  shall  be  afforded  the  opportunity  to  take  part  in  meetings  of  the 
Parties convened pursuant to Article VIII as observers or otherwise, as appropriate, 
in  accordance  with  the  guidelines  and  criteria  set  forth  in  Annex  X.  Such 
intergovernmental  organizations  and  non-governmental  organizations  shall  have 
timely access to relevant information, subject to procedural rules on access to such 
information that the Parties may adopt. 

Article XVIII. Confidentiality 

The Meeting of the Parties shall establish rules of confidentiality for all bodies given 
access to information pursuant to this Agreement. 

Notwithstanding any confidentiality rules which may be adopted in accordance with 
paragraph  1  above,  any  persons  with  access  to  such  confidential  information  may 
disclose such information in connection with legal or administrative proceedings, if 
requested by a competent authority of the Party concerned. 

Article XIX. Cooperation with other Organizations or Arrangements 

The  Parties  shall  cooperate  with  subregional,  regional  and  global  fishery  conservation  and 
management organizations and arrangements with the goal of promoting the achievement of 
the objectives of this Agreement. 

Article XX. Settlement of Disputes 

1. 

2. 

The Parties shall cooperate in order to prevent disputes. Any Party may consult with 
one  or  more  other  Parties  about  any  dispute  related  to  the  interpretation  or 
application of the provisions of this Agreement to reach a solution satisfactory to all 
as quickly as possible. 

If a dispute is not settled through such consultation  within a reasonable period,  the 
Parties  in  question  shall  consult  among  themselves  as  soon  as  possible  in  order  to 
settle  the  dispute  through  any  peaceful  means  they  may  decide  upon  in  accordance 
with international law. 

Article XXI. Rights of States 

No  provision  of  this  Agreement  may  be  interpreted  in  such  a  way  as  to  prejudice  or 
undermine  the  sovereignty,  sovereign  rights  or  jurisdiction  exercised  by  any  State  in 
accordance  with  international  law,  as  well  as  its  position  or  views  with  regard  to  matters 
relating to the law of the sea. 

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Article XXII. Non-Parties 

1. 

2. 

3. 

The  Parties  shall  encourage  all  States  and  regional  economic 
integration 
organizations  referred  to  in  Article  XXIV  of  this  Agreement  that  are  not  Parties  to 
become Parties to this Agreement or to adopt laws and regulations consistent with it. 

The Parties shall cooperate, in accordance with this Agreement and international law, 
to  deter  vessels  flying  the  flags  of  States  that  are  not  Parties  from  carrying  out 
activities that undermine the effectiveness of this Agreement. To this end, the Parties 
shall, inter alia, call to the attention of non-Parties such activities by their vessels. 

The Parties shall exchange information among themselves, either directly or through 
the Director, with respect to activities of vessels flying the flags of non-Parties that 
undermine the effectiveness of this Agreement. 

Article XXIII. Annexes 

The  Annexes  form  an  integral  part  of  this  Agreement  and,  unless  expressly  provided 
otherwise, a reference to this Agreement includes a reference to the Annexes relating thereto. 

Article XXIV. Signature 

This Agreement is open for signature at Washington from May 21, 1998, until May 14, 1999 
by States with a coastline bordering the Agreement Area and by States or regional economic 
integration organizations which are members of the IATTC or whose vessels fish for tuna in 
the Agreement Area while the Agreement is open for signature. 

Article XXV. Ratification, acceptance or approval 

This  Agreement  is  subject  to  ratification,  acceptance  or  approval  by  the  Signatories  in 
accordance with their domestic laws and procedures. 

Article XXVI. Accession 

This Agreement shall remain open to accession by any State or regional economic integration 
organization that meets the requirements in Article XXIV, or is otherwise invited to accede to 
the Agreement on the basis of a decision by the Parties.  

Article XXVII. Entry into Force 

1. 

2. 

This  Agreement  shall  enter  into  force  upon  deposit  of  the  fourth  instrument  of 
ratification, acceptance, approval or accession with the Depositary. 

After  the  date  referred  to  in  paragraph  1,  with  respect  to  each  state  or  regional 
economic integration organization that meets the requirements of Article XXVI, the 
Agreement  will  enter  into  force  for  each  state  or  regional  economic  integration 
organization  upon  deposit  of  its  instrument  of  ratification,  acceptance,  approval  or 
accession. 

Article XXVIII. Reservations 

No reservations may be made to this Agreement. 

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1. 

2. 

1. 

2. 

3. 

Article XXIX. Provisional Application 

This  Agreement  shall  be  applied  provisionally  by  a  State  or  regional  economic 
integration organization which consents to its provisional application by so notifying 
the Depositary in writing. Such provisional application shall become effective from 
the date of receipt of the notification. 

Provisional application by a State or regional economic integration organization shall 
terminate  upon  the  entry  into  force  of  this  Agreement  for  that  State  or  regional 
economic  integration  organization  or  upon  notification  by  that  State  or  regional 
economic  integration  organization  to  the  Depositary  in  writing  of  its  intention  to 
terminate provisional application. 

Article XXX. Amendments 

Any  Party  may  propose  an  amendment  to  this  Agreement  by  providing  to  the 
Depositary  the  text  of  a  proposed  amendment  at  least  sixty  days  in  advance  of  a 
Meeting of the Parties. The Depositary shall provide a copy of this text to all other 
Parties. 

Amendments  to  this  Agreement  that  are  adopted  by  consensus  at  a  Meeting  of  the 
Parties  shall  enter  into  force  on  the  date  on  which  all  Parties  have  deposited 
instruments of ratification, acceptance or approval with the Depositary. 

Unless  the  Parties  decide  otherwise,  the  Annexes  to  this  Agreement  may  be 
amended,  by  consensus,  at  any  Meeting  of  the  Parties.  Unless  otherwise  agreed, 
amendments to an Annex shall enter into force for all Parties upon adoption. 

Article XXXI. Withdrawal 

Any  Party  may  withdraw  at  any  time  after  twelve  months  from  the  date  on  which  this 
Agreement entered into force with respect to that Party by giving written notice of withdrawal 
to the Depositary. The Depositary shall inform the other Parties of the withdrawal within 30 
days of receipt of such notice. The withdrawal shall become effective six months after receipt 
of such notice. 

Article XXXII. Depositary 

The  original  texts  of  this  Agreement  shall  be  deposited  with  the  Government  of  the  United 
States of America, which shall send certified copies thereof to the Signatories and the Parties 
thereto, and  to  the  Secretary General of the United Nations for registration and publication, 
pursuant to Article 102 of the Charter of the United Nations. 

IN WITNESS WHEREOF, the undersigned plenipotentiaries, having been duly authorized by 
their respective Governments, have signed this Agreement.  

DONE AT Washington, D.C., on this twenty first day of May, 1998, in English and Spanish, 
both texts being equally authentic. 

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Annex I 

Agreement Area 

The  Agreement  Area  comprises  the  area  of  the  Pacific  Ocean  bounded  by  the  coastline  of 
North, Central, and South America and by the following lines: 

a. 

The 40°N parallel from the coast of North America to its intersection with the 
150°W meridian; 

b. 

The 150°W meridian to its intersection with the 40°S parallel; 

c.  And the 40°S parallel to its intersection with the coast of South America. 

Annex II 

On-Board Observer Program 

1. 

2. 

The  Parties  shall  maintain  an  On-Board  Observer  Program  in  accordance  with  the 
provisions  of  this  Annex.  As  a  component  of  this  Program,  each  Party  may  also 
maintain its own national observer program, in accordance with the provisions of this 
Annex. 

Each Party shall require its vessels with a carrying capacity greater than 363 metric 
tons  (400  short  tons)  and  that  operate  in  the  Agreement  Area,  to  carry  an  observer 
during each fishing trip in the Agreement Area. At least 50 percent of the observers 
on the vessels of each Party shall be IATTC observers; the remainder may be from 
the  Party’s  national  observer  program,  based  on  criteria  set  forth  in  this  Annex  as 
well as any other criteria established by the Meeting of the Parties. 

3. 

All observers must: 

a. 

b. 

c. 

d. 

have completed the technical training required by the guidelines that the Parties 
establish; 

be  a  national  of  one  of  the  Parties  or  a  member  of  the  scientific  staff  of  the 
IATTC; 

be capable of performing the duties set forth in paragraph 4 of this Annex; and 

be  included  in  a  list  of  observers  maintained  by  the  IATTC  or,  if  part  of  a 
national observer program, by the Party maintaining such program. 

4. 

The duties of the observers shall be, inter alia: 

a. 

b. 

to  gather  all  pertinent  information  on  the  fishing  operations  of  the  vessel  to 
which  the  observer  is  assigned  as  is  necessary  for  implementation  of  this 
Agreement; 

to make available to the captain of the vessel to which the observer is assigned 
all measures established by the Parties pursuant to this Agreement; 

EN 

15 

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c. 

d. 

e. 

to make available to the captain of the vessel to which the observer is assigned 
the record of dolphin mortality of that vessel; 

to prepare reports on information gathered in accordance with this paragraph, 
and provide the vessel captain with the opportunity to include in such reports 
any information the captain might deem to be relevant; 

to provide such reports to the Director or the pertinent national program, to be 
used in accordance with Annex VII, paragraph 1, of this Agreement; and 

f. 

to perform such other functions as agreed by the Parties. 

5. 

The observers shall: 

a. 

b. 

c. 

d. 

except  to  the  extent  required  under  paragraphs  4(d)  and  4(e)  of  this  Annex, 
treat as confidential all information with respect to the fishing operations of the 
vessels  and  of  the  vessel  owners,  and  accept  this  requirement  in  writing  as  a 
condition of appointment as an observer; 

comply with requirements established in the laws and regulations of the Party 
which exercises jurisdiction over the vessel to which the observer is assigned, 
insofar  as  such  requirements  are  not  incompatible  with  the  provisions  of  this 
Annex;  

refrain  from  issuing  or  endorsing  any  certificate  or  other  documentation 
relating to the fishing operations of the vessel, except as may be approved by 
the Parties; and 

respect  the  hierarchy  and  general  rules  of  behavior  which  apply  to  all  vessel 
personnel, provided such rules do not interfere with the duties of the observers 
described in this Annex and with the obligations of vessel personnel set forth in 
paragraph 6 of this Annex. 

6. 

The  responsibilities  of  the  Parties  and  vessel  captains  regarding  observers  shall 
include the following, inter alia: 

a.  Observers  shall  be  allowed  access  to  vessel  personnel  and  to  the  gear  and 

equipment specified in Annex VIII; 

b.  Upon  request,  observers  shall  also  be  allowed  access  to  the  following 
equipment,  if  present  on  the  vessel  to  which  they  are  assigned,  in  order  to 
facilitate the carrying out of their duties set forth in paragraph 4: 

i. 

satellite navigation equipment; 

ii. 

radar display viewing screens when in use; 

iii. 

high-powered binoculars including during the chase and encirclement of 
dolphins  to  facilitate  identification,  except  when  in  use  by  vessel 
personnel; and 

iv. 

electronic means of communication; 

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c.  Observers  shall  have  access  to  the  vessel  working  deck  during  net  and  fish 
retrieval and to any specimen, alive or dead, that is brought aboard the vessel 
during a set in order to collect biological samples in accordance with the On-
Board  Observer  Program  or  as  otherwise  required  by  competent  national 
authorities as part of a national observer program; 

d.  Observers  shall  be  provided  accommodations,  including  lodging,  food,  and 

adequate sanitary facilities equal to those of the crew; 

e.  Observers  shall  be  provided  with  adequate  space  on  the  bridge  or  pilothouse 
for clerical work, as well as space on deck adequate for carrying out observer 
duties; and 

f. 

The Parties shall ensure that captains, crew, and vessel owners do not obstruct, 
intimidate,  interfere  with,  influence,  bribe,  or  attempt  to  bribe  an  observer  in 
the performance of his or her duties. 

7. 

The Parties shall: 

a. 

b. 

ensure  that  any  observers  from  their  respective  national  programs  collect 
information in the same manner as is required for IATTC observers; and 

provide to the Director copies of all raw data collected by observers from their 
respective national programs in a timely manner upon the conclusion of the trip 
during  which  the  data  were  collected,  along  with  summaries  and  reports 
comparable to those provided by IATTC observers. 

In a timely manner after each trip observed by an IATTC observer, the Director, in a 
manner  consistent  with  any  applicable  confidentiality  requirements,  is  requested  to 
provide to the Party under whose jurisdiction the vessel fished, copies of all raw data, 
summaries, and reports pertaining to the trip. 

Notwithstanding  other  provisions  of  this  Annex,  if  the  Director  determines  that  the 
placement  of  an  observer  from  the  On-Board  Observer  Program  is  not  practical,  a 
vessel subject to the jurisdiction of a Party that fishes in the Agreement Area without 
setting on dolphins may use a trained observer from another international program, 
provided such program is approved by the Parties, to collect pertinent information for 
the On-Board Observer Program, and to confirm to the Director that such vessel does 
not set on dolphins. 

No  observer  shall  be  assigned  to  a  vessel  with  a  DML  unless  the  vessel's  fishing 
captain is on the list of qualified captains maintained in accordance with Annex VII, 
paragraph 1(e). 

Observers from the On-Board Observer Program may be assigned to vessels of non-
Parties  at  the  discretion  of  the  Director,  provided  the  vessel  and  the  vessel  captain 
comply with all the requirements of this Annex, and all other applicable requirements 
of  this  Agreement.  The  Director  is  requested  to  inform  the  Parties  of  any  such 
assignment in a timely manner. 

8. 

9. 

10. 

11. 

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17 

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12. 

Fees 

a. 

The  Parties  shall  establish  the  amount  of  the  annual  vessel  fees  to  cover  the 
costs of the On-Board Observer Program.  The fees shall be  calculated  on  the 
basis of the carrying capacity of each vessel or any other standard specified by 
the Parties. 

b.  At the time a Party submits to the Director the list of vessels under Annex IV to 
this  Agreement,  it  shall  also  submit  payment,  in  U.S.  dollars,  for  the  fees 
established under paragraph 11(a) of this Annex, specifying which vessels the 
payment covers. 

c.  No observer shall be assigned to a vessel for which the fees, as required under 

paragraph 11(b) of this Annex, have not been paid. 

13. 

Observer Data 

a.  Observer data shall be the basis to determine if: 

i. 

a vessel has met or exceeded its DML; 

ii. 

a Party has met or exceeded its national DML; or  

iii. 

the fleet has met or exceeded a per-stock, per year dolphin mortality cap. 

b.  Any Party wishing to object to the observer data must provide to the IRP the 

reasons for and the evidence to support such objection; 

c. 

d. 

The  IRP  will  review  the  evidence  provided  by  the  Party  and  provide  a 
recommendation to the Meeting of the Parties for their consideration; 

The Parties will review the evidence and the recommendation of the IRP and 
make a decision as to the merits of the objection and whether the observer data 
should be modified. 

Annex III 

Per-Stock, Per-Year Dolphin Mortality Caps 

1. 

2. 

The  Parties  shall  establish,  at  a  meeting  convened  pursuant  to  Article  VIII  of  this 
Agreement,  a  per-stock,  per-year  dolphin  mortality  cap  for  each  stock  of  dolphins, 
determined  by  the  Meeting  of  the  Parties,  based  on  the  best  available  scientific 
evidence,  of  between  0.2  percent  and  0.1  percent  of  the  Minimum  Estimated 
Abundance  (Nmin)  as  calculated  by  the  U.S.  National  Marine  Fisheries  Service  or 
equivalent  calculation  standard  as  might  be  developed  or  recommended  by  the 
Scientific  Advisory  Board  but  in  no  event  shall  the  total  annual  incidental  dolphin 
mortality exceed five thousand, consistent with the provisions of this Agreement. In 
the year 2001 and thereafter, the per-stock, per-year cap shall be 0.1 percent of Nmin. 

The  Parties  shall  conduct  in  1998,  or  as  soon  as  possible  thereafter,  a  scientific 
review  and  assessment  of  progress  toward  the  year  2001  objective,  and  consider 
recommendations  as  appropriate.  Up  to  the  year  2001,  in  the  event  that  annual 

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3. 

4. 

5. 

I. 

1. 

mortality of 0.2 percent of Nmin is exceeded for any stock of dolphins, all sets on that 
stock and on any mixed schools containing members of that stock shall cease for that 
year. Beginning in the year 2001, in the event that annual mortality of 0.1 percent of 
Nmin is exceeded for any stock of dolphins, all sets on that stock and on any mixed 
schools containing members of that stock shall cease for that year. In the event that 
annual  mortality  of  0.1  percent  of  Nmin  is  exceeded  for  either  eastern  spinner  or 
northeastern spotted dolphin stocks, the Parties shall conduct a scientific review and 
assessment and consider further recommendations. 

For purposes of this Agreement, the Parties shall use the current estimate of absolute 
abundance  for  the  dolphin  stocks  of  the  eastern  Pacific  Ocean  presented  by  Wade 
and  Gerrodette  to  the  International  Whaling  Commission  in  1992,  based  on  U.S. 
National  Marine  Fisheries  Service  research  vessel  data  for  the  period  1986-1990, 
until the Parties agree on an updated set of figures. Such updates could result from 
the analysis of data from future research cruises and indices of abundance and other 
the  IATTC  and  other  scientific 
relevant  scientific  data  from 
organizations. 

the  Parties, 

The Parties shall establish a system, based on real-time observer reporting, to ensure 
effective  implementation  and  compliance  with  the  per-stock,  per-year  dolphin 
mortality cap. 

Within  six  months  of  the  entry  into  force  of  this  Agreement,  the  Parties  shall 
establish a system for the allocation of the per-stock per-year dolphin mortality cap 
for each stock for the ensuing year and years thereafter. This system shall provide for 
the distribution of the mortality limits in Paragraph 1 of this Annex among vessels of 
the  Parties  which  are  eligible  for  Dolphin  Mortality  Limits,  in  accordance  with 
Annex  IV.  When  establishing  this  system,  the  Parties  shall  consider  the  best 
available  scientific  evidence  on  the  distribution  and  abundance  of  the  stocks  in 
question, and other variables which the Meeting of the Parties shall define at a later 
date. 

Annex IV 

Dolphin Mortality Limits (DMLs) 

Assignment of DMLs  

a. 

b. 

Each  Party  shall  provide  to  the  other  Parties,  through  the  Director,  prior  to 
October  1  of  each  year,  a  list  of  vessels  under  its  jurisdiction  of  carrying 
capacity  greater  than  363  metric  tons  (400  short  tons)  that  have  requested  a 
full-year  DML  for  the  following  year,  indicating  those  other  vessels  that  are 
likely to be operating in the Agreement Area in the following year. 

Each  Party  shall  provide  to  the  other  Parties,  through  the  Director,  prior  to 
April 1 of each year, a list of vessels under its jurisdiction of carrying capacity 
greater  than  363  metric  tons  (400  short  tons)  that  have  requested  a  second-
semester DML for that same year.  

2. 

The IRP shall, by November 1 of each year, or later if agreed by the IRP, provide to 
the Parties a list of qualified applicant vessels eligible to receive a full-year DML for 

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the  following  year.  For  second-semester  DMLs,  the  IRP  shall,  by  May  1  of  each 
year, or later if agreed by the IRP, provide to the Parties a list of qualified applicant 
vessels eligible to receive a second-semester DML for that same year.  

3. 

For purposes of this Agreement, a vessel shall be considered qualified if: 

a. 

b. 

c. 

d. 

it has been certified by the relevant national authorities to be in possession of 
all of the dolphin safety gear and equipment required in Annex VIII;  

its  captain  and  crew  have  received  approved  training  in  dolphin  release  and 
rescue techniques comparable to a standard established by the Meeting of the 
Parties;  

it is over 363 metric tons (400 short tons) carrying capacity in size; 

it  has  a  captain  considered  qualified  due  to  his  or  her  prior  record  of 
performance; and 

e. 

the vessel is not deemed to be disqualified under Section II of this Annex. 

A  vessel  shall  not  be  considered  qualified  under  paragraph  2  if,  on  the  date  of  the 
request  pursuant  to  paragraph  1  of  this  Annex,  the  vessel  is  operating  under  the 
jurisdiction of a Party whose applicable laws and regulations prohibit vessels under 
its jurisdiction from fishing for tuna in association with dolphins; nor shall DMLs be 
assigned to any Party in order to provide permits for fishing in the Agreement Area 
to  vessels  flying  the  flag  of  another  State  whose  applicable  laws  and  regulations 
prohibit  vessels  under  its  jurisdiction  from  fishing  for  tuna  in  association  with 
dolphins. 

98  percent,  or  such  other  unreserved  portion  as  the  Parties  might  determine,  of  the 
overall  dolphin  mortality  limit  for  the  fishery  (five  thousand,  or  such  other  lower 
limit  as  the  Parties  might  determine)  shall  be  used  to  calculate  into  an  average 
individual  vessel  DML  (ADML)  and  distributed  among  the  Parties  for  the 
succeeding year, as set forth in paragraph 5 of this Section. 

The  ADML  shall  be  calculated  by  dividing  the  unreserved  portion  of  the  overall 
DML for the fishery established under paragraph 4 by the total number of qualified 
vessels requesting full-year DMLs. The distribution of DMLs among Parties shall be 
determined by multiplying the ADML by the number of qualified vessels requesting 
full-year DMLs and operating under the jurisdiction of each Party.  

The remaining two percent, or such other portion as the Parties might determine, of 
the  overall  DML  for  the  fishery  shall  be  maintained  as  a  separate  Reserve  DML 
Allocation  (RDA),  to  be  managed  at  the  discretion  of  the  Director.  Any  Party  may 
request  that  the  Director  assign  DMLs  from  such  RDA  to  vessels  fishing  under  its 
jurisdiction  which  do  not  normally  fish  for  tuna  in  the  Agreement  Area  but  which 
may, from time to time, desire to participate in the fishery in the Agreement Area on 
a  limited  basis,  provided  that  such  vessels  and  their  captains  and  crews  meet  the 
operational and training requirements set forth in Annex VIII of this Agreement and 
that  the  requirements  set  forth  in  paragraphs  2  and  3,  of  this  Section  are  met.  Any 
accidental mortalities caused by vessels operating in the Agreement Area under the 

4. 

5. 

6. 

7. 

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8. 

9. 

10. 

11. 

12. 

jurisdiction of any of the Parties that have not requested DMLs for their fleet shall 
also be deducted from this RDA. 

No DML shall be assigned to a vessel unless, in the last year that it had a DML prior 
to the year in which it is applying for a DML, at least 5 percent of the total number of 
the sets made by the vessel were on dolphins, and the average catch of yellowfin in 
its  sets  on  dolphins  was  at  least  three  metric  tons  per  set.  Otherwise,  the  vessel 
cannot  receive  a  DML  in  the  following  year,  unless  there  are  reasons  of  force 
majeure, as agreed pursuant to Annex IV of this Agreement, that prevented it from 
complying with these requirements. A vessel applying for a DML for the first time 
shall not be subject to this provision. 

No DML shall be assigned to a vessel which has been determined by the Parties to 
have  engaged  in  a  pattern  of  violations,  as  confirmed  through  enforcement  actions 
taken  against  such  vessel  by  the  Party  under  whose  jurisdiction  it  operates,  which 
diminish the effectiveness of the International Dolphin Conservation Program. 

The  individual  Parties  with  qualified  vessels  that  will  be  fishing  for  tuna  in 
association  with  dolphins  shall  manage  their  DMLs  in  a  responsible  manner, 
provided that no individual vessel shall receive a total annual DML in excess of the 
DML  established  for  1997  by  the  IRP,  and  reported  in  the  Minutes  of  the 
14th Meeting  of  the  IRP,  held  on  February  19-20,  1997,  under  the  La  Jolla 
Agreement.  No  Party  shall  allocate  to  the  total  of  its  qualified  vessels  a  greater 
number of DMLs than those that such Party has been allocated under Sections I and 
III of this Annex. No initial assignment of DMLs may result in any vessel receiving a 
DML in excess of the ADML unless its performance in reducing dolphin mortalities, 
as measured by the IRP based upon the previous two years’ data, is better than the 
average  performance  of  the  international  fleet  as  a  whole.  No  initial  assignment  of 
DMLs may result in any vessel receiving a DML in excess of the ADML if, during 
the previous two years, it has committed any of the infractions identified in Section 
III, paragraph 4 of this Annex, subject to the conditions established pursuant to that 
paragraph. 

Should the total mortalities of the fleet of any Party meet or exceed the total amount 
of DML distributed to it pursuant to this Annex, fishing for tuna in association with 
dolphins shall cease for all vessels operating under the jurisdiction of that Party. 

Each  Party  shall,  no  later  than  February  1  of  each  year,  notify  the  Director  of  the 
initial allocation of its distributed DML among its fleet. No vessel may begin fishing 
for tunas associated with dolphins until the Director receives such notification. 

II. 

Utilization of DMLs 

1. 

Any vessel which is assigned a full-year DML and does not set on dolphins prior to 
April 1 of that year, or which is assigned a second-semester DML and does not set on 
dolphins  by  October  1  of  that  year,  or  which  is  assigned  a  per-trip  DML  from  the 
RDA and does not set on dolphins during that trip, unless as a result of force majeure 
or  extraordinary  circumstances,  as  agreed  by  the  IRP,  shall  lose  its  DML  and  may 
not set on dolphins for the remainder of that year. Notwithstanding the provision in 
Annex VII, paragraph 9, regarding decision making by the IRP, a request by a Party, 
on  behalf  of  any  of  its  vessels,  for  an  exemption  due  to  force  majeure  or 

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extraordinary  circumstances,  shall  be  considered  to  be  agreed  by  the  IRP  unless  a 
majority  of  the  government  members  of  the  IRP  supports  any  objection,  made 
formally  and  with  cause  by  any  other  Party,  to  any  such  request.  All  requests  for 
exemption must be sent to the Secretariat by April 1, and any formal objections must 
be  sent  to  the  Secretariat  by  April  20.  Any  such  vessel  that  loses  its  DML  on  two 
consecutive occasions shall not be eligible to receive a DML for the following year. 

2. 

Within  six  months  following  entry  into  force  of  this  Agreement,  the  IRP,  in 
cooperation with the scientific staff of the IATTC, shall  develop and  recommend a 
system by which to measure DML utilization in order to deter frivolous requests for 
DMLs.  Such  recommended  system  shall  be  presented  for  consideration  by  the 
Meeting of the Parties. 

III.  Use of forfeited or unutilized DMLs 

1. 

2. 

After  April  1  of  each  year,  any  DMLs  which  the  Director  determines  will  not  be 
utilized  pursuant  to  Section  II  or  which  have  otherwise  been  forfeited  shall  be 
reallocated to the Parties consistent with this Section.  

No later than May 1 of each year, the full-year DMLs assigned to those vessels that 
have not utilized them, pursuant to Section II, or have otherwise forfeited them, shall 
be  redistributed  among  the  Parties  by  the  Director,  consistent  with  the  formula 
established pursuant to Section I, paragraph 5, but after first adjusting such formula 
as set forth in subparagraphs (a), (b) and (c) below. Such additional DMLs may be 
reallocated by the individual Parties among qualified vessels under the jurisdiction of 
such Party, subject to limitations and conditions set forth in paragraphs 3, 4, 5, 6 and 
7 of this Section. 

a. 

b. 

c. 

In  performing  the  reallocation,  any  vessels  that  may  have  lost  or  otherwise 
forfeited  DMLs  under  this  paragraph,  and  any  vessels  requesting  second-
semester DMLs after the deadline set forth in Section I, paragraph 1, shall not 
be considered. 

Prior to establishing the number of DMLs available for reallocation under this 
Section,  adjustment  shall  be  made  by  subtracting  from  such  number  any 
observed  dolphin  mortalities  caused  by  those  vessels  that  lost  their  DMLs 
under Section II, paragraph 1. 

Prior to establishing the number of DMLs available for reallocation under this 
Section, the Director shall deduct one third of the ADML calculated pursuant 
to  Section  I,  paragraph  5,  for  allocation  to  each  vessel  requesting  a  second-
semester  DML  prior  to  the  deadline  established  pursuant  to  Section  I, 
paragraph 1. Such second-semester DMLs shall be allocated by the Director to 
the  Parties  proportionately,  based  upon  the  jurisdiction  of  respective  Parties 
over  vessels  covered  under  this  subparagraph.  The  second-semester  DMLs 
assigned  to  such  vessels  by  the  Parties  under  whose  jurisdiction  they  operate 
shall  not  exceed  one-third  of  the  ADML  calculated  pursuant  to  Section  I, 
paragraph 5. Such vessels may not begin setting on dolphins before July 1 of 
that year. 

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3. 

4. 

Any Party may adjust the DMLs of its qualified vessels which meet the criteria set 
forth in Section I, paragraph 2, of this Annex either upward or downward, provided 
that no vessel is assigned an adjusted DML in excess of 50 percent above its initial 
DML,  unless  its  performance  in  successfully  reducing  dolphin  mortalities,  as 
measured  by  the  IRP,  is  in  the  upper  60  percent  of  the  performance  of  the 
international fleet as a whole, as determined by the IRP, based upon the prior year’s 
data.  A  Party  making  such  an  adjustment  shall  so  notify  the  Director  no  later  than 
May 20, and no such adjustment shall take effect until the Director has been notified. 

No  vessel  may  have  its  initial  DML  adjusted  upward  by  any  Party  if  the  IRP  had 
determined, and the Party with jurisdiction over the vessel concurs, that during that 
year or the previous two years:  

a. 

b. 

c. 

d. 

e. 

f. 

g. 

the vessel fished without an observer;  

the vessel set on dolphins without a DML; 

the vessel set on dolphins after reaching its DML;  

the vessel knowingly set on a banned dolphin stock; 

the captain, crew, or the vessel owner committed any of the actions described 
in Annex II, paragraph 6(f) of this Agreement; 

the vessel made a sanctionable night set; or 

the  vessel  used  explosives  during  any  phase  of  a  fishing  operation  involving 
dolphins. 

For infractions described in (a), (b), (c), (d), (f), and (g), a Party will be deemed to 
have provided such concurrence if it does not object to the IRP within six months of 
a referral of a possible violation from the IRP. For the infraction described in (e), a 
Party will be deemed to have provided such concurrence if it does not object to the 
IRP within 12 months of such referral. 

A  notification  by  a  Party  that  the  possible  infraction  is  being  investigated  shall  be 
considered  to  be  an  objection  for  the  purposes  of  this  paragraph,  provided  that  the 
notification is received by the Secretariat prior to the expiration of the relevant 6 or 
12 month period. 

In  such  cases,  a  Party  will  be  deemed  to  have  provided  its  concurrence  to  the 
infraction if that Party does not conclude its investigation and report the final results 
to the IRP within a period of two years from the date on which the possible infraction 
was originally referred to the Party, except as provided in the following paragraph. 

If it is not possible for the Party in question to complete the investigation within this 
two-year  period,  the  Party  shall  provide  an  update  to  the  IRP  of  the  status  of  the 
investigation  and  its  estimated  date  of  completion.  The  Party  shall  provide  such  a 
report at each subsequent meeting of the IRP until the case is resolved. If a report is 
not made, that Party will be deemed to have concurred with the possible infraction. 
The Secretariat shall inform the relevant Party about the cases for which the deadline 
is about to lapse and for which the information needs to be updated. 

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5. 

6. 

7. 

No  vessel  may  be  eligible  to  receive  an  additional  allocation  of  DML  by  a  Party 
unless  it  has  on  board  all  of  the  required  dolphin  safety  gear  and  equipment 
throughout the year; and no such upward allocation may be made for a vessel which 
has  exceeded  its  initial  DML  prior  to  April  1,  unless  due  to  force  majeure  or 
extraordinary circumstances, as agreed by the Meeting of the Parties, in consultation 
with the IRP. 

For  any  vessel  exceeding  its  DML,  as  it  may  be  adjusted  pursuant  to  this  Annex, 
during a given year, the amount of such excess, plus an additional 50 percent of that 
amount,  unless  the  IRP  recommends  otherwise,  shall  be  deducted  from  DMLs 
assigned to that vessel by a Party under whose jurisdiction the vessel operates over 
subsequent years in a manner prescribed by the IRP. 

If at any time a vessel meets or exceeds its DML, as it may be adjusted pursuant to 
this  Annex,  that  vessel  shall  immediately  cease  all  fishing  for  tuna  in  association 
with dolphins. 

IV. 

Implementation 

1. 

2. 

3. 

1. 

The Parties shall ensure that in the implementation  of  the  DML  system  established 
by this Annex, the per-stock, per-year dolphin mortality caps, as specified in Annex 
III, are not exceeded. 

In  cases  involving  unusual  or  extraordinary  circumstances  not  foreseen  in  this 
Annex,  the  Parties,  as  recommended  by  the  IRP,  may  take  such  measures  as  are 
necessary,  consistent  with  the  provisions  of  this  Annex,  in  order  to  implement  the 
DML system. 

If the mortality in any given year increases above levels which the IRP considers to 
be significant, the IRP shall recommend that the Parties hold a meeting to review and 
identify the causes of mortality and formulate options to address such causes. 

Annex V 

Scientific Advisory Board 

The  Parties  shall  maintain  the  Scientific  Advisory  Board  of  technical  specialists 
established  pursuant  to  the  La  Jolla  Agreement  to  assist  the  Director  in  matters 
regarding research to: 

a.  Modify current purse-seine technology to make it less likely to cause dolphin 

mortality; and 

b. 

Seek alternative means of capturing large yellowfin tuna. 

2. 

The functions and responsibilities of the Board shall be to: 

a.  Meet at least once each year; 

b. 

Review plans, proposals, and research programs of the IATTC to seek to meet 
the objectives set forth in paragraph 1 above; 

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c. 

Provide advice to the Director concerning the design, facilitation, and guidance 
of research to achieve the objectives set forth in paragraph 1 above; and 

d.  Assist the Director in locating sources of funding to conduct such research. 

3. 

The  Board  will  consist  of  no  more  than  10  members,  no  more  than  two  of  whom 
shall  be  from  any  one  country,  selected  from  the  international  community  of 
scientists,  fishing  gear  experts,  the  fishing  industry,  and  environmentalists.  The 
members will be proposed by the Director on the basis of their technical expertise, 
and each one will be subject to approval by the Parties. 

Annex VI 

National Scientific Advisory Committees 

1. 

The  functions  of  the  National  Scientific  Advisory  Committees  (NATSACs), 
established in accordance with Article XI of this Agreement, shall be, inter alia, to: 

Receive and review relevant data, including data provided to national authorities by 
the Director; 

Advise  and  recommend  to  their  governments  measures  and  actions  that  should  be 
undertaken  to  conserve  and  manage  stocks  of  living  marine  resources  in  the 
Agreement Area; 

Make  recommendations  to  their  governments  regarding  research  needs,  including 
research  concerning  ecosystems,  the  effects  of  climatic,  environmental  and 
socioeconomic factors, the effects of fishing as well as on measures contemplated in 
this  Agreement,  fishing  techniques  and  practices,  and  gear  technology  research, 
including  the  development  and  use  of  selective  environmentally  safe  and  cost-
effective fishing gear; and the coordination and facilitation of such research; 

Conduct scientific reviews and assessments by the year 1998 or as soon as possible 
thereafter,  regarding  progress  toward  the  year  2001  objective  of  achieving  a  per-
stock,  per-year  cap  of  0.1  percent  Nmin,  and  make  appropriate  recommendations  to 
their  governments  concerning  these  reviews  and  assessments,  as  well  as  additional 
assessments in the year 2001 consistent with this Agreement; 

Ensure  the  regular  and  timely  full  exchange  of  data  among  the  Parties  and  the 
NATSACs  on  catch  of  tuna  and  associated  species  and  bycatch,  including  dolphin 
mortality  data,  for  the  purposes  of  developing  conservation  and  management 
recommendations to their governments as well as recommendations for enforcement 
and scientific research while not violating the confidentiality of business confidential 
data; 

Consult  with  other  experts  as  necessary  for  the  purpose  of  gathering  as  much 
information  as  possible  that  might  be  useful  for  achieving  the  objectives  of  this 
Agreement; and 

Perform such other functions as their respective governments might assign to them. 

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2. 

3. 

Reports  of  the  NATSACs,  including  of  their  cooperative  meetings,  shall  be  made 
available  to  the  Parties  and  the  public,  in  a  manner  consistent  with  any  applicable 
confidentiality requirements. 

The  Director  may  convene,  in  addition  to  the  meetings  pursuant  to  Article  XI, 
paragraph  3,  meetings  with  the  purpose  of  facilitating  consultation  among  the 
NATSACs. 

4. 

The functions of the meetings of the NATSACs shall be to: 

Exchange information; 

5. 

1. 

Review IATTC research to achieve the objectives of this Agreement; and 

Make  recommendations  to  the  Director  concerning  the  future  research  program  to 
achieve the objectives of this Agreement. 

The NATSAC members from any Party who attend the meeting shall be designated 
by that Party. 

Annex VII 

International Review Panel 

In  compliance  with  Article  XII  of  this  Agreement,  the  International  Review  Panel 
(IRP) shall have the following functions: 

a. 

Each  year  compile  a  list  of  the  vessels  that  qualify  for  DMLs  as  agreed  in 
Annex IV; 

b.  Analyze the reports submitted to the IRP, regarding all tuna-fishing trips made 

by vessels covered by this Agreement;  

c. 

d. 

Identify possible infractions, based on the list of possible infractions approved 
by the Meeting of the Parties; 

Inform each Party, through the Director, of possible infractions committed by 
vessels flying its flag or operating under its jurisdiction, and receive from that 
Party information on the actions taken; 

e.  Maintain  an  updated  report  on  the  actions  taken  by  the  Parties  to  provide 
adequate  training  for  fishing  captains,  and  maintain  a  list  of  those  fishing 
to  be  complying  with  established  performance 
captains  determined 
requirements, based on the information provided by each of the Parties; 

f. 

Recommend to the Meeting of the Parties pertinent measures for achieving the 
objectives  of  this  Agreement,  in  particular  those  related  to  the  use  of  gear, 
equipment and fishing techniques, considering improvements in technologies, 
as well as the adoption of appropriate incentives for captains and crews to meet 
the objectives of this Agreement; 

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2. 

3. 

4. 

g. 

Prepare  and  provide  the  Meeting  of  the  Parties  an  annual  report  on  those 
aspects  of  the  operation  of  the  fleet  relating  to  the  implementation  of  this 
Agreement,  including  a  summary  of  possible  infractions  identified  and  the 
actions taken by the Parties; 

h. 

Recommend  to  the  Parties  ways  to  progressively  reduce  dolphin  mortality 
incidental at the fishery in the Agreement Area; and 

i. 

Perform other functions as assigned by the Meeting of the Parties. 

The  IRP  shall  be  made  up  of  representatives  of  the  Parties  (“governmental 
members”),  three  representatives  of  non-governmental  environmental  organizations 
with recognized experience in matters pertaining to this Agreement and with offices 
in  the  territory  of  a  Party,  and  three  representatives  from  the  tuna  industry  that 
operates  under  the  jurisdiction  of  any  of  the  Parties  in  the  Agreement  Area  (“non-
governmental members”). 

The non-governmental members shall have a two-year term of membership, starting 
at the first meeting of the IRP immediately after their election. 

The  non-governmental  members  will  be  elected  in  accordance  with  the  following 
procedure: 

a. 

Prior to the expiration of the term of a non-governmental member, the relevant 
non-governmental organizations may present candidates’ nominations 60 days 
before  the  expiration  of  the  term  to  the  Director.  A  curriculum  vitae  should 
accompany each nomination. The current non-governmental members may be 
nominated for additional periods. 

b.  Once the nominations are received, the Director shall transmit them in writing 
to  the  Parties  within  10  days.  The  Parties  should  send  their  votes  to  the 
Director within 20 days of the transmittal of the nominations by the Director. 
In  this  election,  the  three  nominees  from  each  non-governmental  sector  who 
receive  the  most  votes  shall  be  elected;  the  nominee  who  receives  the  fourth 
largest number of votes shall be designated the alternate member.In the case of 
a tie, the Director should solicit a new vote from the Parties to determine the 
member and the alternate. 

c. 

If a non-governmental position becomes permanently vacant, because of death, 
resignation, or failure to participate in three consecutive meetings of the IRP, 
the alternate shall fill the position for the remainder of that position's term. The 
candidate  who  received  the  fifth  largest  number  of  votes  in  the  elections 
referred to in paragraphs (a) and (b) shall be designated the alternate member. 
If  additional  vacancies  occur,  the  Director  shall  inform  the  relevant  non-
governmental  organizations  so  that  new  candidates  may  be  submitted  for  an 
election process consistent with that described in paragraphs (a) and (b). 

d. 

Each alternate may attend the meetings of the IRP, but shall have no speaking 
rights if all the members of his/her respective sector are present. 

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27 

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5. 

6. 

7. 

8. 

9. 

The  IRP  shall  hold  at  least  three  meetings  a  year,  one  of  which  will  preferably  be 
held on the occasion of the ordinary Meeting of the Parties. 

The  IRP  may  convene  additional  meetings  at  the  request  of  at  least  two  of  the 
Parties, provided that a majority of the Parties support the request.  

The  IRP  meetings  shall  be  chaired  by  a  Presider  elected  by  the  governmental 
members  at  the  beginning  of  each  meeting,  who  shall  decide  on  matters  of  order. 
Any  member  shall  have  the  right  to  ask  that  any  decision  made  by  the  Presider  be 
decided as specified in Paragraph 9 of this Annex. 

The  meetings  shall  be  in  Spanish  and  English,  and  IRP  documents  shall  also  be 
produced in both languages. 

The decisions at the meetings of the IRP shall be adopted by consensus among the 
governmental members. 

10. 

The following criteria shall be applied to attendance at IRP meetings: 

a. 

There shall be no restrictions on the number of persons a Party can include in 
its delegation to an IRP meeting. 

b.  Any IATTC member State or Signatory to this Agreement may be represented 

by an observer. 

c.  Any  State  not  a  member  of  the  IATTC  and  any  State  or  regional  economic 
integration organization not a signatory to this Agreement may be represented 
by  an  observer,  with  prior  notification  to  IRP  governmental  members,  unless 
any governmental member of the IRP objects in writing. 

d. 

e. 

f. 

The Director may invite representatives of intergovernmental organizations as 
observers,  with  prior  notification  to  IRP  members,  unless  any  governmental 
member of the IRP objects in writing. 

In any cases referred to in (c) and (d) above, the Director shall not disclose the 
identity of the objecting Party. 

Each  observer  is  limited  to  two  delegates,  but  may  bring  more  with  the 
approval of two-thirds of the governmental members of the IRP. 

11. 

In  cases  of  urgency,  and  without  prejudice  to  the  provisions  of  paragraph  9  of  this 
Annex,  the  IRP  may  take  decisions  by  correspondence  through  a  vote  of  the 
governmental members, under the following procedures: 

a. 

b. 

The proposal shall be circulated to all members of the IRP, in writing, with all 
pertinent  documentation,  at  least  fourteen  days  before  the  proposed  effective 
date of the resolution, action, or measure; the votes shall be transmitted to the 
Director no less than seven days before the proposed effective date; 

The  proposal  shall  be  considered  urgent  unless  a  simple  majority  of  the 
governmental  members  objects  in  writing;  the  proposal  shall  be  accepted 
unless any governmental member objects in writing; and 

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28 

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c. 

The  Director  shall  circulate  the  proposal  as  well  as  the  accompanying 
documentation,  receive  and  count  the  votes,  and  inform  the  IRP  members  of 
the results of a vote as soon as the voting closes. 

12. 

The Director will carry out the functions of the Secretary, which shall include: 

a.  Assisting in the convening and organization of IRP meetings; 

b. 

c. 

d. 

Presenting  information  required  by  the  IRP  for  carrying  out  its  functions  and 
responsibilities,  including  observer  IRP  forms  and  field  data  forms  providing 
information on the activities of the vessels, dolphin mortality, and the presence, 
condition, and use of the dolphin safety equipment and gear; 

Preparing  minutes  of  all  meetings  and  draft  special  reports  and  documents 
dealing with the activities of the IRP; 

to  each  Party,  for 

its  consideration,  recommendations  and 
Providing 
information  concerning  possible  infractions  identified  by  the  IRP  for  vessels 
under its jurisdiction; 

e.  Distributing to the IRP information received from Parties on the actions taken 

on possible infractions identified by the IRP; 

f. 

g. 

h. 

Publishing the Annual Report of the IRP and making it available to the public, 
in accordance with the instructions given by the Meeting of the Parties; 

Presenting  to  the  members  of  the  IRP  information  received  from  the  Parties 
referred to in Paragraph 1(e) of this Annex; and 

Carrying  out  other  tasks  necessary  for  the  accomplishment  of  the  IRP’s 
functions, as assigned by the Parties. 

13. 

14. 

The  rules  of  procedure  of  the  IRP  may  be  modified  by  the  Meeting  of  the  Parties. 
Modifications may be recommended by the IRP. 

The members of the IRP and any other participants invited to attend IRP meetings as 
observers  shall  treat  all  the  information  presented  at  such  meetings  in  accordance 
with the provisions of confidentiality set forth in Article XVIII of this Agreement. 

Annex VIII 

Operational Requirements For Vessels 

1. 

For the purposes of this Annex: 

a. 

b. 

“Strip” means a section of net that is approximately 6 fathoms deep. 

“Backdown”  means  the  procedure  for  releasing  captured  dolphins  by  shifting 
the  vessel’s  engine(s)  into  reverse  during  net  retrieval,  causing  the  net 
remaining in the water to form a channel, and the corkline at the apex of the 
channel to submerge. 

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29 

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c. 

d. 

“Bunch” means a length of corkline gathered together. 

“Sack-up” means that part of the fishing process when the catch is concentrated 
near the surface for loading aboard the vessel. 

2. 

Dolphin Safety Gear and Equipment Requirements 

A  vessel  with  a  carrying  capacity  of  more  than  363  metric  tons  (400  short  tons) 
operating in the Agreement Area shall: 

a.  Have  a  purse  seine  equipped  with  a  dolphin  safety  panel  (DSP)  with  the 

following characteristics: 

i. 

A  minimum  length  of  180  fathoms  (as  measured  before  installation), 
except that the minimum length of the DSP in nets deeper than 18 strips 
must be determined in a ratio of 10 fathoms in length for each strip of net 
depth.  The  DSP  must  be  installed  so  as  to  cover  the  backdown  channel 
along the corkline, beginning at the outboard end of the last bow bunch 
pulled and continuing to at least two-thirds the distance from the apex of 
the backdown channel to the point where the net is secured at the stern. 
The DSP shall consist of small-mesh webbing not to exceed 1 ¼ inches 
(3.2  cm)  stretched  mesh,  extending  downward  from  the  corkline  to  a 
minimum depth of two strips. 

ii. 

Each end shall be identified with a highly visible marker. 

iii.  Any space between the corks or the corkline and the small mesh shall not 

exceed 1 3/8 inches (3.5 cm) in diameter. 

b.  Have at least three operable speedboats equipped with operable towing bridles 

or posts, and tow lines; 

c.  Have an operable raft suitable for the observation and rescue of dolphins;  

d.  Have at least two operable facemasks suitable for underwater observation; and 

e.  Have  an  operable  long-range  floodlight  with  a  minimum  output  of  140,000 

lumens. 

3. 

Dolphin Protection and Release Requirements and Prohibitions 

A  vessel  with  a  carrying  capacity  of  more  than  363  metric  tons  (400  short  tons) 
operating in the Agreement Area shall: 

a. 

b. 

Perform backdown during every set in which dolphins are captured, until it is 
no longer possible to remove live dolphins from the net by this procedure. At 
least one crewman shall be deployed during backdown to aid in the release of 
dolphins; 

Continue  efforts  to  release  any  live  dolphins  remaining  in  the  net  after 
backdown,  so  that  all  live  dolphins  are  released  prior  to  the  initiation  of  the 
sack-up procedure; 

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30 

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c.  Not sack-up or brail live dolphins; 

d.  Avoid injuring or killing dolphins captured in the course of fishing operations; 

e. 

f. 

Complete backdown no later than thirty minutes after sunset, as determined by 
an  accurate  and  reliable  source  approved  by  the  Parties.  A  set  that  does  not 
meet this requirement is termed a “night set”; 

Not  use  any  type  of  explosive  during  any  phase  of  a  fishing  operation 
involving dolphins (underwater flares are not considered to be explosives); 

g. 

Cease setting on dolphins when its DML has been reached;  

h.  Not intentionally set on dolphins if the vessel does not have a DML; and 

i. 

Perform a periodic net alignment to ensure the proper location of the dolphin 
safety  panel  during  the  backdown  procedure,  based  on  criteria  established  by 
the IRP. 

It  is  emphasized  that  the  above  requirements  should  not  lead  to  crewmen  being 
placed in situations that present unnecessary risks to their personal safety. 

4. 

Exceptions 

a.  A  vessel  without  a  DML  is  exempt  from  the  requirements  of  Paragraph  2  of 
this  Annex  and  from  the  obligation  of  carrying  out  the  backdown  maneuver 
mentioned in Paragraph 3 of this Annex unless the Party with jurisdiction over 
that vessel determines otherwise. 

b.  Any such vessel that captures dolphins accidentally shall attempt to release the 
dolphins,  using  every  means  at  its  disposal,  including  aborting  the  set,  and 
taking  into  consideration  the  requirements  set  forth  in  paragraph  3  of  this 
Annex. 

5. 

Treatment of Observers 

Captains, crew, and other personnel shall comply with their responsibilities regarding 
the presence of observers aboard their vessels, as specified in Annex II, paragraph 6. 

6. 

Vessels under 363 metric tons (400 short tons) 

No vessel with  a carrying  capacity  of  363  metric  tons  (400 short  tons) or less  may 
intentionally set on dolphins. 

Annex IX 

Elements of a Tuna Tracking and Verification Program 

1. 

Pursuant to Article V, paragraph 1(f), the Parties shall establish a program to track 
and verify tuna harvested by vessels in the Agreement Area, based on the following 
elements: 

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a. 

b. 

c. 

d. 

e. 

f. 

the use of weight calculation for the purposes of tracking tuna caught, landed, 
processed and exported; 

additional  measures  to  enhance  current  observer  coverage,  including  the 
establishment  of  criteria  for  training  and  for  improving  monitoring  and 
reporting capabilities and procedures; 

the  designation  of  well  location,  procedures  for  sealing  holds,  procedures  for 
monitoring  and  certifying  both  above  and  below  deck,  or  through  equally 
effective methods; 

the reporting, receipt, and database storage of radio and facsimile transmittals 
from vessels containing information related to the tracking and verification of 
such tuna; 

the  shore-based  verification  and  tracking  of  such  tuna  throughout  the  fishing, 
transshipment, and canning process by means of On-board Observer Program 
trip records ; 

the  use  of  periodic  audits  and  spot  checks  for  caught,  landed,  and  processed 
tuna products; and 

g. 

the provision of timely access to relevant data. 

2. 

Each Party shall implement this program in its respective territory, on vessels subject 
to its jurisdiction and in marine areas with respect to which it exercises sovereignty 
or sovereign rights and jurisdiction. 

Annex X 

Guidelines and Criteria for the Participation of Observers at Meetings of the Parties 

1. 

2. 

3. 

4. 

The Director shall invite to Meetings of the Parties convened pursuant to Article VIII 
intergovernmental  organizations  whose  work  is  relevant  to  the  implementation  of 
this  Agreement,  as  well  as  non-Parties  whose  participation  may  promote 
implementation of this Agreement. 

Non-governmental  organizations  (NGOs)  with  recognized  experience  in  matters 
pertaining  to  this  Agreement  shall  be  eligible  to  participate  as  observers  in  all 
Meetings  of  the  Parties  convened  pursuant  to  Article  VIII  except  meetings  held  in 
executive session or meetings of Heads of Delegation. 

Any  NGO  desiring  to  participate  as  an  observer  in  a  Meeting  of  the  Parties  shall 
notify  the  Director  of  its  desire  to  participate  at  least  50  days  in  advance  of  the 
Meeting. The Director shall notify the Parties of the names of such NGOs at least 45 
days prior to the beginning of the Meeting. 

If  a  Meeting  of  the  Parties  is  held  with  less  than  50  days  notice,  the  Director  shall 
have greater flexibility concerning the timing of the sending of the invitations. 

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5. 

An  NGO  desiring  to  participate  as  an  observer  may  do  so  unless  a  majority  of  the 
Parties formally objects for cause in writing at least 30 days prior to the beginning of 
the meeting in question. 

6. 

Any participating observer may: 

a. 

attend meetings, subject to paragraph 2 of this Annex, but not vote; 

b.  make oral statements during the meetings upon the invitation of the chairman; 

c. 

d. 

distribute documents at the meeting, with the approval of the chairman; and 

engage in other activities, as appropriate and as approved by the chairman. 

7. 

8. 

9. 

The Director may require NGO observers to pay reasonable fees, and to cover costs 
attributable to their attendance (e.g. copying expenses). 

All observers admitted to a Meeting of the Parties shall be sent or otherwise provided 
the  same  documentation  generally  available  to  Parties,  except  documentation 
containing business-confidential data. 

All  observers  admitted  to  a  Meeting  of  the  Parties  shall  comply  with  all  rules  and 
procedures applicable to other participants in the meeting. 

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LEGISLATIVE FINANCIAL STATEMENT 

Policy area(s): External aspects of certain Community policies 

Activit(y/ies): Community participation in regional fisheries organisations 

TITLE  OF  ACTION: APPROVAL  BY  THE EUROPEAN COMMUNITY  OF  THE AGREEMENT  ON  THE 

INTERNATIONAL DOLPHIN CONSERVATION PROGRAMME 

1. 

BUDGET LINE(S) + HEADING(S) 

11 03 02 / B78001: Contributions to international organisations 

11 03 03 / B78002: Preparatory work for new international fisheries organisations and 

other non-compulsory contributions to international organisations. 

2. 

2.1 

2.2 

2.3 

(a) 

OVERALL FIGURES 

Total allocation for action (Part B): open-ended action 

Period of application: from 2005 onwards 

Overall multiannual estimate of expenditure: This action  does not  entail obligatory 

spending other than the costs inherent to human resources (see point 5.2). 

Schedule of commitment appropriations/payment appropriations (financial intervention) 
(see point 6.1.1) 

EUR million (to three decimal places) 

Year 
[n] 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

[n+5 
and 
subs. 
years] 

Total 

Commitments 

Payments 

(b) 

Technical and administrative assistance and support expenditure(see point 6.1.2) 

Commitments 

Payments 

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Subtotal a+b 

Commitments 

Payments 

(c) 

Overall  financial  impact  of  human  resources  and  other  administrative  expenditure 

(see points 7.2 and 7.3) 

Commitments/ payments  0.324 

0.324 

0.324 

0.324 

0.324 

0.324 

1.944 

TOTAL a+b+c 

Commitments 

0.324 

0.324 

0.324 

0.324 

0.324 

0.324 

1.944 

Payments 

0.324 

0.324 

0.324 

0.324 

0.324 

0.324 

1.944 

2.4 

Compatibility with financial programming and financial perspective 

X 

Proposal is compatible with existing financial programming. 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 

perspective. 

(cid:133) 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 

Agreement. 

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35 

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2.5 

Financial impact on revenue 

Proposal  has  no  financial  implications  (involves  technical  aspects  regarding 

X 
implementation of a measure) 

OR 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

(NB  All  details  and  observations  relating  to  the  method  of  calculating  the  effect  on 
revenue should be shown in a separate annex.) 

(EUR million to one decimal place) 

Budget line 

Revenue 

Prior to
action 
[Year 
n-1] 

[Yea
r n] 

Situation following action 

[n+1] [n+2] [n+3

[n+4]  [n+5] 

] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

(Please specify each budget line involved, adding the appropriate number of rows to 
the table if there is an effect on more than one budget line.) 

3. 

BUDGET CHARACTERISTICS 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Non Comp. 

Diff. 

NO 

NO  

NO 

Heading in 
financial 
perspective 

No            

4. 

LEGAL BASIS 

Article 37 of the Treaty, in conjunction with the first sentence of the first subparagraph 
of Article 300(2) and the first subparagraph of Article 300(3) 

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5. 

DESCRIPTION AND GROUNDS 

5.1 

Need for Community intervention 

5.1.1  Objectives pursued 

Under the common fisheries policy the Community has exclusive competence over the 
external  aspects  of  fisheries  policy.  It  therefore  has  to  satisfy  the  obligations  deriving 
from  the  international  law  of  the  sea  as  regards  cooperation  on  the  conservation  and 
management of fishery resources on the high seas. This involves participation as a full 
member in regional fisheries organisations, where these exist and cover areas in which 
the Community has fishing interests. The purpose of this measure is therefore to ensure 
the  Community’s  participation  to  the  work  carried  out  under  the  Agreement  on  the 
International Dolphin Conservation Programme. 

5.1.2  Measures taken in connection with ex ante evaluation 

The  Community  has  fishing  interests  in  the  Eastern  Pacific  Ocean.  Community 
fishermen are involved in fishing in the Agreement Area for highly migratory species. 
The Community has played an active part in the implementation of the Agreement since 
its adoption. It was  decided by  the Council in 1999 that the Community should apply 
this Agreement provisionally pending its accession to the sister organisation, the Inter-
American Tropical Tuna Commission. 

Since Spain has been accepted as a member of IATTC and will participate in the work 
pertaining to IATTC itself and to the AIDCP, the Community should now approve, and 
thus formalise its full membership to, the Agreement. 

5.2 

Actions envisaged and budget intervention arrangements 

The AIDCP does not have an autonomous secretariat or budget. The implementation of 
the  AIDCP,  including  all  co-operative  work  and  decision-making  on  the  Dolphin 
Conservation  Programme  activities,  is  ensured  through  the  secretariat  of  the  Inter-
American Tropical Tuna Commission and the financing of all activities is made through 
the IATTC budget. 

Consequently, the Community’s conclusion of the AIDCP does not entail, in itself, any 
new compulsory expenditure. The EC’s financial contribution to the work of the AIDCP 
will be made as  part of its contribution to  the IATTC budget, when the  Community’s 
accession  takes  place  (procedures  in  this  respect  are  still  underway).  At  this  time, 
Spain’s  membership  to  IATTC  on  behalf  of  the  Community  carries  the  obligation  for 
this Member State to satisfy the relevant membership contribution to the IATTC budget. 
Once the EC’s accession procedures are completed, Spain will withdraw from IATTC 
and  the  EC  will  become  Member  under  exclusive  competence,  assuming  all  financial 
obligations derived from that membership. 

Therefore, the financial aspects involved in the legislative proposal herewith are those 
relating to the human resources allocated to the management of the AIDCP and IATTC 
files, as detailed in section 2.3.c) above and section 7.3 below. 

EN 

37 

   EN 

 
Incidentally, the Community may decide to provide voluntary contributions to specific 
projects  and  activities  financed  on  the  basis  of  voluntary  contributions  of  AIDCP 
members. These contributions would be made from Budget line B7 – 8002 / 11 03 03, 
as other similar financial interventions planned each year for different RFO activities. 

5.3 

Methods of implementation 

The  Commission  is  solely  responsible  for  implementing  the  AIDCP  Agreement,  and 
will do so through its officials. 

6. 

FINANCIAL IMPACT 

No compulsory financial contribution foreseen. See also section 5.2 above. 

6.1 

Total financial impact on Part B (over the entire programming period) 

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6.1.1 

Financial intervention 

Commitments (in EUR million to three decimal places) 

Breakdown 

[Year 
n] 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

Total 

[n+5 
and 
subs. 
years] 

Action 1 

Action 2 

etc. 

TOTAL 

6.1.2 

Technical  and  administrative  assistance,  support  expenditure  and  IT  expenditure 
(commitment appropriations) 

[Year 
n] 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

Total 

[n+5 
and 
subs. 
years] 

1) Technical and 
administrative assistance 
a) Technical assistance 
offices 

b) Other technical and 
administrative assistance: 

- intra muros: 

- extra muros: 

of which for construction 
and maintenance of 
computerised management 
systems 

Subtotal 1 

2) Support expenditure: 

a) Studies 

b) Meetings of experts 

c) Information and 
publications 

Subtotal 2 

TOTAL 

EN 

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6.2 

Calculation of costs by measure envisaged in Part B (over the entire programming 
period)7 

Breakdown  

Commitments (in EUR million to three decimal places) 

Type  
of outputs 
(projects, files ) 

Number of 
outputs 

Average unit 
cost 

(total for years 
1…n)  

Total cost 

(total for years 
1…n)  

1 

2 

3 

4=(2X3) 

Action 1 

- Measure 1 

- Measure 2  

Action 2 

- Measure 1 

- Measure 2 

- Measure 3 

etc. 

TOTAL COST 

7. 

IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE 

7.1 

Impact on human resources 

Types of post 

Staff to be assigned to management of the 
action using existing and/or additional 
resources 

Total 

Description of tasks deriving from the 
action 

Number of 
temporary posts 

Officials 
temporary staff 

or 

A 
B 
C 

Other human resources 

Total 

Number of 
permanent posts 
1 A 
1 B 
1 C 

-- 

3 

These human resources reflect the 
members of the Unit FISH/B-2 in 
charge of, and involved in, the IATTC 
and AIDCP dossiers. 

7 

For further information, see separate explanatory note. 

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40 

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7.2 

Overall financial impact of human resources 

Type of human resources 

Amount (EUR) 

Method of calculation *  

Officials 
Temporary staff 

Other human resources 

324.000 

3 x EUR 108 000 (unit cost) 

(specify budget line) 

Total  324.000 

The amounts are total expenditure for twelve months. 

7.3 

Other administrative expenditure deriving from the action 

Budget line 
(number and heading) 

Overall allocation (Title A7) 

A0701 – Missions 

A07030 – Meetings 
A07031 – Compulsory committees 1 
A07032 – Non-compulsory committees 1 

A07040 – Conferences 

A0705 – Studies and consultations 

Other expenditure (specify) 

Information systems (A-5001/A-4300) 

Other expenditure - Part A (specify) 

Amount (EUR) 

Method of calculation 

105 000 

0 

0 

0 

0 

0 

The amounts are total expenditure for twelve months. 

Total  105 000 

1 Specify the type of committee and the group to which it belongs. 

I. 

II. 

III. 

Annual total (7.2 + 7.3) 

Duration of action 

Total cost of action (I x II) 

EUR 

unspec-
ified 

EUR 

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8. 

FOLLOW-UP AND EVALUATION 

8.1 

Follow-up arrangements 

Each  year,  when  the  IATTC  budget  is  adopted,  the  Commission  may  examine,  verify 
and  comment  on  the  draft  budget  submitted  by  the  IATTC  Secretariat,  including  the 
expenditure  pertaining  to  AIDCP-related  activities.  The  execution  of  these  budgets  is 
also scrutinised every year by the Contracting Parties. The budget is to be adopted by 
consensus of the Contracting Parties. 

8.2 

Arrangements and schedule for the planned evaluation 

The  IATTC  budget  is  subject  to  external  audit  and  scrutiny  by  Contracting  Parties  on 
the basis of the annual reports prepared by the Secretariat. These arrangements apply to 
all expenditure relating to AIDCP activities. 

9. 

ANTI-FRAUD MEASURES 

See 8.2 on external audit of the IATTC budget. 

In  addition,  the  European  Commission  negotiates  audit  clauses  with  international 
organisations in respect of the implementation of certain schemes/projects part-financed 
by  the  European  Community.  These  clauses  enable  the  Commission  to  verify  the 
implementation of the operations for which it is providing part-financing by means of 
both documentary checks and inspections on the ground. 

EN 

42 

   EN