ISSF Participating Company Compliance Audit Checklist Version 1: 18 March 2015

Transcription

1 ISSF Participating Company Compliance Audit Checklist Version 1: 18 March 2015 Tri Marine The following information is based on data provided by the company; it has been independently audited for completeness and accuracy (Pursuant to stated ISSF guidelines): Final Compliance Report (as of March 20 th, 2015 for activities in 2014) General Information Company Name Company Address Contact Information (Name, Phone, ) Auditor Name Tri Marine NE 8 th Street, Suite 1888 Bellevue, WA Matthew Owens mowens@trimarinegroup.com Jonathan Curto jcurto@trimarinegroup.com Chris Spring, Phil Bratten, Erika Zollett, Erin Wilson Audit Start Date March 20, 2015 Audit End Date June 4, 2015 Time zone(s) for coordinating remote audit conference call Language requirements for remote audit conference call Tri Marine: US Pacific Standard Time (PST) English MRAG Americas ISSF PC Compliance Audit Checklist 1

2 Summary of Non-conformances Res. Grade Description Closed Out? (Y/N + Date) Minor Several minor non-conformities related to RFMO data submission. See section in report Y, 5/31/ B C.4, Minor Minor Vessels listed had a red X for skipper training on the PVR table: Miry Ann D, Panofi Master, Panofi Pathfinder, and Panofi Volunteer. There were numerous occasions in which transshipments were reported in the quarterly reports, but no information was provided on the carrier, or the location of transshipment N Following the results of this audit, all minor noncompliance issues have been recitified. F/V Miry Ann D, Panofi Master, Panofi Pathfinder, and Panofi Volunteer are now fully compliant with all ISSF resolutions on the PVR. Y, 5/31/15 Audit objective Audit criteria Audit outcomes Purpose of this document Other relevant documentation Audit purpose The purpose of this audit is to validate participating company compliance with all ISSF conservation measures and commitments in place for the year of activity being audited. The PC compliance audits cover all conservation measures and commitments as defined in the ISSF Participating Company Compliance: Audit Policy Document and Standard Operating Procedures, Version 2015/1. The auditing serves as an assessment of conformance by PCs. Any significant gaps in conformance and where corrective actions may be necessary will be specified. Timelines for remediation will be prescribed by MRAG in the audit report, however any sanctions or other actions will be at the discretion of ISSF. Depending on the nature of the non-conformance and the required corrective action, a follow up audit may be required. auditors will follow this checklist for conducting ISSF PC Compliance audits. The completed and approved copy of this checklist will serve as the audit report for each participating company. ISSF Participating Company Compliance: Audit Policy Document and Standard Operating Procedures, Version 2015/1 MRAG Americas ISSF PC Compliance Audit Checklist 2

3 Nonconformances Grading MRAG Americas procedures Responses (CARs) Conformance with ISSF Commitments Non-conformances must be raised against specific ISSF conservation measures or commitments. The severity of the non-conformance and in particular whether this jeopardizes the integrity of the ISSF program determines which non-conformances are raised. MRAG Americas defines audit findings as follows: Conformance - the PC can provide evidence of compliance with a particular conservation measure or commitment Observations - the PC is currently in compliance but there is a high risk that non-conformance could occur inadvertently without implementing preventative actions Minor Non-conformance the PC does not comply with a particular conservation measure or commitment, but this does not compromise the integrity of the ISSF initiatives Major Non-conformance the PC does not comply with a particular conservation measure or commitment and this compromises the integrity of the ISSF initiatives MRAG Americas procedures for handling non-conformances for PCs are as follows: MRAG Americas substantiates conformance through documented evidence. Where a company cannot provide documented evidence of conformance with a conservation measure or commitment, a nonconformance must be issued. non-conformances must be graded either major or minor. In the case of a non-conformance, ISSF may require a Response (CAR). The corrective actions must be in place and evidence of addressing the condition must supplied to MRAG or ISSF within an agreed timescale or a follow up audit may be required. To rectify non-conformances, the PC may be given the opportunity to provide a CAR. The nature of the CAR is at the discretion of the PC. MRAG Americas does not advise on what specific corrective action the PC may take, but will assess whether the CAR is expected to address the non-conformance. MRAG Americas will also not provide advice with respect to any sanction that might be applied to a PC resulting from identified non-conformances. Such action will be at the discretion of the ISSF. MRAG Americas ISSF PC Compliance Audit Checklist 3

4 RFMO Data Support [Participating companies] to provide data within their control to the trfmo scientific bodies [in accordance with "Best Practices for RFMO Data Submission"]. oads/?did=492 Auditor checks that information has been sent by companies to RFMO. During annual audit, auditor checks that data submission is done in accordance with best practices. Minor is on file from Freddie Lai in which he confirms having sent quarterly reports to RFMOs 1)The quarterly reports for IATTC (Seafman) had numerous occurrences in which no information was provided on transshipments, for example, no carrier name, no location of transshipment, no date of transshipment. 2)In Q3 (IATTC) report there appears to be an error in the transshipment of fish from the Koo s 108, San Nanumea, Jin Hui No 1, and Ocean Breeze to the Hua Jian 107 as the location of transshipment and location of unloading to the processor are both shown as Manta. 3) The IMO number for Cap Tino B was incorrect in all IATTC reports 1) By Q2 2015, TriMarine will ensure that complete information is provided for transshipments 2) By Q2 2015, TriMarine will ensure that transshipment location and unloading location are correctly reported in the quarterly reports 3)By Q2, 2015 TriMarine will put controls in place to ensure that IMO numbers are reviewed prior MRAG Americas ISSF PC Compliance Audit Checklist 4

5 4)In the IATTC Q4 report, the New Takatsuki was identified as a fishing vessel. The Sea-Web data base indicates that it is a refrigerated cargo ship 5)In the WCPFC Cape Fleet reports, the carrier IMO and Carrier flag were not listed to submission of reports 4) Beginning in Q2 2015, TriMarine will ensure that controls are in place to review the accuracy of fishing vessel information that is reported in the quarterly reports. 5)By Q TriMarine will ensure that carrier IMO and Carrier flag are included in the information for transshipments MRAG Americas ISSF PC Compliance Audit Checklist 5

6 Traceability Credibly trace tuna products, from capture to plate. The traceability procedure will record the name and flag of catcher and transshipping vessels, fish species, ocean of capture corresponding to tuna Regional Fisheries Management Organization area, fishing trip dates, fishing gear employed, date the company took ownership of the fish and each species by weight Withdrawal if IUU Found Warrant that tuna products are in compliance with ISSF Conservation Resolution [14-04], IUU Fishing, and upon discovery of a violation of ISSF Conservation Resolution [14-04], the company will withdraw the product from the marketplace. Auditor will review recent mock recalls, if available, and select a sample of can codes or sales invoices by label and destination from which the company will conduct traceability exercises. If the company produces cans from loins, or sells loins as a finished good, these products must be included in the assessment. Auditor reviews company recall procedure for presence of IUU policy, then reviews company purchases and compares to RFMO IUU lists. Company initiates market withdrawal of IUU products. N/A The company demonstrated a traceability system that tracks products by item code and lot number to fishing vessels. Cans and loins were viewed during the exercise. Company cross references RFMO lists at the time of purchasing and provided a detailed recall plan. No withdrawals due to IUU occurred in Authorized RFMO List Processors, traders, importers, transporters and others involved in the seafood industry [shall] refrain in transactions in tuna by vessels that are not on the authorized vessel record of the RFMO governing the ocean area in which the tuna was caught, at the time of the fishing trip, so long as the vessel is of a size subject to listing in the RFMO authorized vessel record. Auditor reviews company system to ensure that purchases are from properly listed vessels. Traceability exercises, reviewing RFMO vessel records and checking ocean areas where vessels are fishing verifies the system. Obs. The company mistakenly sent a WCPFC purchase from the F/V Koo s 108 to IATTC. Supporting documentation was provided which verified the origin. MRAG Americas ISSF PC Compliance Audit Checklist 6

7 IMO UVI Processors, traders, importers, transporters and others involved in the seafood industry refrain from transactions in tuna caught By vessels of a size subject to listing in the RFMO authorized vessel record and capable of being registered by IMO, that have not registered with IMO and thus have not received an IMO number unique vessel identifier number by May 31, (NOTE: Due to slow processing of some requests for IMO numbers, this deadline will be extended until August 1, 2011, for vessels that can demonstrate that their application for an IMO number is pending as of May 31, 2011) Large-Scale Pelagic Driftnets Processors, traders, importers, transporters and others involved in the seafood industry [shall] refrain from transactions in tuna caught by large-scale pelagic driftnets Auditor reviews company system to ensure vessel purchases meet this criteria. A sample of non-pvr purchases will be reviewed to assess whether the company system is adequate to ensure that non-pvr vessels meet this requirement. Auditor reviews quarterly report by gear type, and identifies any use of large-scale driftnets. This is done by first identifying vessels using gill nets, then following up on the size of the net. Maximum net size is 2.5 km. Obs. vessels viewed during the traceability exercise had valid IMO numbers. The company works with several small purse seine vessels which are currently being assigned UVI numbers by ISSF. fishing vessels reported in all the quarterly RFMO reports were either Purse rs or Pole & Line vessels. No gill nets were used. MRAG reviews RFMO compliance committee reports for any indication of vessels using largescale pelagic driftnets. MRAG reviewed compliance committee reports and found no instances of large-scale pelagic drift nets being used. MRAG Americas ISSF PC Compliance Audit Checklist 7

8 11-04 RFMO Participation Policy for Prohibition of Shark Finning Processors, traders, importers, transporters and others involved in the seafood industry conduct transactions only with those vessels that are flagged to a member or cooperating nonmember of the relevant RFMO (governing the area where the fishing activity occurs), or have applied with the RFMO for such status, effective December 31, ISSF-participating companies establish and publish policies prohibiting shark finning. Auditor checks quarterly data sent by the company to the RFMO to ensure that all vessels meet this requirement. Auditor reviews company website for published policy. vessels viewed during review of RFMO quarterly reports and traceability exercises were properly listed. com/resources/papers/ Tri_Marine-Condemns- Shark-Finning.pdf No Transactions with Vessels that Carry Out Shark Finning [Participating companies shall] not conduct transactions with vessels that carry out shark finning. Per After a period of 2 years from the date of the conclusion of the investigation, processors, traders, importers, transporters and others involved in the seafood industry can resume transactions with those vessels identified in paragraph 4, provided there are no further incidents. Auditor reviews company system for ensuring no transactions with vessels that practice shark finning. The company system is verified by checking purchases against data gathered throughout the year of RFMO compliance reports, media sources, etc. purchases are accompanied by a Captain s Statement which declares no shark finning. Review of RFMO compliance reports, etc. did not identify any instances of shark finning in comparison to company purchases. MRAG Americas ISSF PC Compliance Audit Checklist 8

9 No Transactions with Companies that Do Not Have a Public Policy Against Shark Finning [Participating companies shall not conduct transactions] with companies that do not have a public policy prohibiting shark finning. Auditor reviews company procedure for ensuring that all tuna purchases have come from a company that has a public policy prohibiting shark finning. For flag stages that do have an absolute shark finning prohibition, auditor will review all publicly available material to ensure no shark finning has taken place. Traceability exercises by transaction or can code to PVR vessels or proof of compliance verifies the system. Company maintains anti-shark finning policies with all suppliers Register Controlled Purse Vessels on PVR Register all controlled purse seine vessels on the ISSF Proactive Vessel Register (PVR) and thereafter maintain such registry indefinitely. Purse Auditor will obtain list of controlled vessels from company and compare to PVR. Information may also come from industry and media sources. Cape Breton Cape Cod Cape Elizabeth III Cape Ferrat Cape Finisterre Cape Hatteras Cape Horn Cape May cape San Lucas Captain Vincent Gann NFD Boats: Solomon Emerald Solomon Jade Solomon Opal Solomon Pearl Solomon Ruby vessels are on PVR MRAG Americas ISSF PC Compliance Audit Checklist 9

10 PVR Statement of Support Reporting % of PVR Purchases Each Participating Company will develop and publish its individual plan for prioritizing and increasing purchases of tuna from vessels on the PVR. [Each Participating Company will] report the percentage of annual purchases from PVR vessels. Purse Auditor reviews company statement on website to ensure it contains all required elements. Auditor assesses accuracy of statement by reviewing quarterly RFMO data submission. roup.com/resources/pa pers/trimarine_pvr_p olicy.pdf egroup.com/resource s/papers/trimarine_ PVR_policy.pdf Website reports 71% Auditor calculate PVR percentage as follows: IATTC (Seafman) Q1-89.8%; Q2-90.4% Q3-94.1; Q4-85.1% ICCAT (Saupiquet) Q1-100%; Q2-100% Q3-100%; Q4-100% WCPFC (NFD) Q1-93.7%; Q2-93.3% Q3-93.2%; Q4-96.8% WCPFC (Cape Fleet) Q1-100%; Q2-100% Q3-100%; Q4-100% MRAG Americas ISSF PC Compliance Audit Checklist 10

11 14-03.C.3.1 Observers 100% observer coverage (human or electronic if proven to be effective) of purse seine vessels. Exemptions may be made for large-scale purse seine vessels in the Pacific Ocean fishing in latitudes higher than 20 N/S in cases where the catch (retained and discarded; target and nontarget) is adequately sampled and reported to the RFMO. Such exemptions shall be based on a detailed report that will be reviewed and approved by the ISSF Board and announced publicly through the ISSF Web Site B.2 Skipper Training purse seine vessel skippers participate in annual training (which will be facilitated with internet-based tools) on best practices for purse seine school and FAD fishing, bycatch reduction and shark / turtle handling. Large Purse Purse Auditor assesses company system for observer coverage of controlled vessels, data submission to RFMOs and committee meetings, compliance reports, etc. For non- PVR vessel purchases, the PC provides details of agreement with observer provider for 100% coverage. If RFMO requires 100% observer coverage, no further evidence is required. Verify that the company has purchased tuna only from vessels with skippers that have completed ISSF training. Auditor checks PVR and ISSF list of skippers who have attended Skippers Workshops or have certified that they read the online guidebook; or the PC provides evidence of skipper training, including records or training completed. Minor The company provided statements or other evidence of observer coverage for relevant vessels. The following vessels suppled TriMarine with fish in Q1 and although they are registered on the PVR, they had a red X for skipper training on the PVR table: Miry Ann D, Panofi Master, Panofi Pathfinder, and Panofi Volunteer. By the end of Q2 2015, TriMarine will ensure that the skippers of these fishing vessels obtain ISSF skipper training MRAG Americas ISSF PC Compliance Audit Checklist 11

12 14-03.C C.4, Unique Vessel Identifier (UVI) No Transshipment purse seine vessels must have a UVI number regardless of RFMO vessel registry listing requirements such as size and fishing area. No transshipments at sea, whether high seas, EEZ, territorial seas or archipelagic waters, [unless exempt per (archipelagic waters of PNG).] Purse Purse Auditor reviews company method to ensure that all vessel purchases meet this criteria. A sample of non- PVR purchases will be reviewed to assess whether the company system is adequate to ensure that non-pvr vessels also meet this requirement. Auditor reviews data submission for relevant RFMO, transshipment documents and RFMO compliance committee and commission reports to verify that tuna purchased has not undergone unauthorized transshipment. As part of the traceability exercise, the auditor will request documentation (e.g., bills of lading) for an appropriate sample of reported in-port transshipments confirming that all sampled transshipments reported were made in ports, subject to the limited exception for vessels fishing in the archipelagic waters of Papua New Guinea. Obs. Minor The company has applied to ISSF for UVIs for several small-scale Indonesian purse seine vessels. There were numerous occasions in which transshipments were reported in the quarterly reports, but no information was provided on the carrier, or the location of transshipment transshipments viewed during the traceability exercise occurred in port. By Q2 2015, Trimarine will strengthen its review of transshipment information and ensure that the quarterly reports are complete with regard to all required information MRAG Americas ISSF PC Compliance Audit Checklist 12

13 14-03.D Full Retention of Tunas purse seine caught tuna (skipjack, yellowfin and bigeye), except those unfit for human consumption, retained onboard ( unfit for human consumption will follow the definition adopted by WCPFC CMM ) No IUU Processors, traders, importers, transporters and others involved in the seafood industry [shall] refrain from transactions in tuna caught by harvesting vessel(s) or transported by transshipment vessel(s) on the IUU Vessel List of any trfmo Capacity Adopt the conservation measure that processors, traders, importers, transporters and others involved in the seafood industry beginning January 1, 2013, refrain from transactions in skipjack, bigeye and yellowfin tuna caught by large scale purse seine vessels that are not actively fishing for tuna as of December 31, 2012, except under the provisions in Purse Large Purse Verify that the company sources tuna from vessels that practice full retention of tunas. Auditor checks PVR. For vessels not listed on the PVR company provides evidence of vessel policy regarding full retention of tunas for vessels from which it purchases tuna. Auditor checks quarterly data sent by the company to the RFMO for the presence of IUU listed vessels. The auditor views the company purchasing system to prevent IUU fish. This will also be assessed during traceability exercises to verify that products do not originate from IUU vessels and by reviewing compliance committee reports, commission reports, etc. The auditor reviews a list of company purchases to assess whether the source vessels are listed on the ISSF Record of Large- Scale Purse Vessels. If source vessels do not appear in either record, the company must provide evidence with as below. Minor The following vessels supplied Trimarine with fish in Q1 and although they are registered on the PVR, they had a red X for tuna retention on the PVR table: Panofi Master, Panofi Pathfinder, and Panofi Volunteer MRAG reviewed all fishing vessels reported on all Quarterly reports for 2014 and did not find any that were listed as IUU vessels The company crossreferences RFMO lists at the time of purchase. No IUU found during traceability exercises. IATTC-ALL QTRS: VESSEL Cap. Tino B, # IMO # listed doesn t match but would be small PS By Q2 2015, Trimarine will ensure that these fishing vessels provide ISSF with evidence of full retention. MRAG Americas ISSF PC Compliance Audit Checklist 13

14 Capacity - Fishing Before December 31, Capacity - Under Contract Before December 31, 2012 with Construction Completed by June 30, 2015 ISSF will update its Record of large-scale purse seine vessels [if] the addition of a large-scale purse seine vessel that was under contract for construction on or before December 31, 2012 with construction completed by June 30, ISSF will update its Record of large-scale purse seine vessels [as the result of] a change in the name, flag, or registration number of a vessel already on the ISSF Record Large Purse Large Purse ISSF reviews evidence provided by company to determine whether vessel is eligible to be listed in the ISSF Record ISSF reviews evidence provided by company to determine whether vessel is eligible to be listed in the ISSF Record N/A N/A MRAG Americas ISSF PC Compliance Audit Checklist 14

15 Capacity - Change in Name, Flag or Registration Number The addition of a new large-scale purse seine vessel that is built as a replacement for a vessel already on the Record that has sunk, has been scrapped or otherwise permanently transferred out of the tropical tuna fishery. The addition of the new vessel will only be permitted only if: the new vessel replaces a vessel on the ISSF Record and its fish hold volume is less than or equal to that of the older vessel that was on the ISSF Record; or the new vessel replaces 1.2 times (or more) of the aggregated fish hold volume of more than one vessel already on the ISSF Record. The request for the addition of a new vessel must either come from the owner of the older vessel, or from a new owner designated by the owner of the older vessel. Large Purse ISSF reviews evidence provided by company to determine whether vessel is eligible to be listed in the ISSF Record N/A MRAG Americas ISSF PC Compliance Audit Checklist 15

16 Capacity - Vessel Replacement ISSA Compliance Policy CEO Certificate of Compliance Vessels on the Record that are refurbished in such a way that their fish hold volume increases will be removed from the Record unless the increased volume of the vessel after refurbishment is replacing 1.2 times (or more) of the aggregated fish hold volume of more than one vessel already on the ISSF Record. ISSA shall require an annual statement of compliance by each Member certifying (a) compliance with ISSF conservation measures, (b) maintenance of adequate records supporting such compliance, (c) training of staff responsible for compliance and keeping current on changing enforcement matters (e.g. RFMO IUU lists). The certification must be signed by the managing director of the Member and shall be submitted retrospectively for each calendar year on or before January 31 of each year. Large Purse N/A ISSF reviews evidence provided by company to determine whether vessel is eligible to be listed in the ISSF Record ISSF checks to see that all PCs have submitted certificates in accordance with the ISSA Compliance Policy. N/A MRAG Americas ISSF PC Compliance Audit Checklist 16