Fair Trade USA Capture Fisheries Standard Draft Version 1.0

Fair Trade USA Capture Fisheries Standard Draft Version 1.0 www.fairtradeusa.org 2014 Fair Trade USA. All rights reserved.

Contents Introduction... 3 1. Structural Requirements (STR)... 8 1.1. The Market Access Partner (MAP)... 8 1.2. The Fisher Association(s) (FA)... 9 1.3. The Fair Trade Committee (FTC)... 10 2. Empowerment (EM)... 11 2.1. Development and Management of the Fair Trade Plan (DM)... 11 2.2. Inclusive Participation, Transparency and Financial Accountability (PTA)... 11 3. Economic Development (ED)... 14 3.1. Fair Trade Payments and Premium (FTP)... 14 3.2. Conditions of Employment (CE)... 14 4. Social Responsibility (SR)... 16 4.1. Non-Discrimination (ND)... 16 4.2. Freedom from Forced Labor and Human Trafficking (FL)... 17 4.3. Protection of Children and Young Persons (PC)... 17 4.4. Freedom of Association (FA)... 18 4.5. Occupational Health and Safety (OH)... 18 5. Resource Management (RM)... 20 5.1. Information to Support Resource Management (IN)... 20 5.2. Overfished Status (OF)... 20 5.3. Biodiversity Protection (BD)... 21 5.4. Fisheries Management (FM)... 21 5.5. Waste Management (WM)... 22 6. Trade Requirements (TR)... 22 6.1. Basic Requirements (BR)... 22 6.2. Product Sourcing (PS)... 22 6.3. Physical Product Traceability (PT)... 22 6.4. Traceability through documentation (TD)... 23 1

6.5. Agreements (AG)... 23 6.6. Contract Suspension (CS)... 24 6.7. Decertification (DC)... 25 6.8. Use of Fair Trade Trademark (FTT)... 25 Appendix: Definitions of key terms... 26 2

Introduction Purpose and Structure This Fair Trade USA Capture Fishery Standard contains the requirements for participation of small-scale fishers in Fair Trade certification as members of a cooperative or through their partnership with an aggregator, exporter, processor, or supporting organization. For simplicity we refer henceforth to those cooperatives or partner organizations as Market Access Partners, or MAPs. The MAP is the Fair Trade certificate holder. It is a legally constituted body that: Keeps a register of fishers participating in the Fair Trade program and on whose behalf it holds the certificate. Ensures that registered fishers or cooperative members adhere to the requirements of the Fair Trade standards. Assists fishers to access Fair Trade markets via the certification process. Facilitates the empowerment of fishers via capacity building and the transfer of responsibility for meeting certification requirements over time. At the time of certification, fishers not already in cooperatives partner with the MAP to form one or several democratically-run Fisher Associations. The Fisher Association represents the views of fishers on any matters affecting their fishery, including: The requirements of the Fair Trade Standards Any laws and regulations controlling the fishery General welfare of the fishers and dependents Fishery-related infrastructure The fishers must also form an inclusive and participatory Fair Trade Committee. This Committee is responsible for deciding on the use of the Fair Trade Premium, which is an extra payment made by one supply chain actor (usually an importer or retailer) to be used to improve the livelihoods of fishers, their workers, and their communities. If the Fisher Association is already democratically controlled by smallscale fishers, then it may serve as the Fair Trade Committee. Goal and Objective The Fair Trade Capture Fisheries Standard was developed in order to provide access to the Fair Trade market for the many small-scale fishers and their communities that rely on fishing for livelihoods. Fair Trade USA aims to provide the opportunity for fishers to demonstrate the core elements of Fair Trade in their practices, while helping them to partner with a Fair Trade Certified Market Access Partner to commercialize their product. The standard is structured along the core Fair Trade USA principles that represent the main organizational objectives of: 3

1. Empowerment: Our vision is that by implementing this standard, fishers are able to build individual and collective assets and effectively represent themselves. We see this as occurring in two primary ways: Through the process of electing a Fair Trade Committee, developing a Fair Trade Plan and making decisions on how to spend the Fair Trade Premium, fishers develop skills necessary to effectively negotiate with those (such as the Market Access Partner) who have an influence on the processing and marketing of their products. By creating a Fisher Association to represent fishers, they can then participate in a comanagement approach to fisheries. Co-management is a highly participatory approach that shares responsibility for the management of fishery resources between government and other key stakeholders. 2. Economic Development: The Fair Trade Capture Fisheries Standard aims to increase the income of fishers by ensuring a transparent and stable trading relationship with the Market Access Partner and by requiring payment of Fair Trade Premium on every Fair Trade certified product sale. The standard establishes wage requirements for workers employed by the MAP or the fishers, in order to increase their income. 3. Social Responsibility: The standard protects the rights of those involved in the fishery. Fishers may choose to use Fair Trade Premiums to provide greater access to, or improved quality of, healthcare and education. For fishers and their employees, health and safety measures are established in order to avoid work-related injuries. 4. Environmental Stewardship: Independent fishers adopt responsible fishing practices and protect biodiversity. The Market Access Partner or cooperative supports fish harvesters, through their representative body, to work with government and other stakeholders to improve fishery management. Community Development premiums can be used to provide better information on the state of fish resources and mitigate the impacts of fishing. Standard Scope The unit of certification for the standard is defined as: 1. Groups of mainly small-scale fishers. The fishers belong to a Fisher Association and have organized and elected a Fair Trade Committee of fisher representatives. 2. The practices of individual fishers when they are fishing for those species (stock) covered by the certificate, including the vessels and gear that they use, the fishing grounds (habitat and associated species) and legal management framework. 3. The operations of the Market Access Partner as they relate to the species (stock) taken by the fishers covered by the certificate, including workers in processing facilities if the MAP is a processor. 4. Workers on boats employed by the Market Access Partner and/or the individual registered fishers. 5. Fisheries which do not pose an imminent threat to any Endangered, Threatened, or Protected Species and which do not use gear that causes severe harm to benthic habitat. (Key terms are defined in the Appendix to this standard and also the Compliance Criteria). 4

Continuous Improvement The Fair Trade USA Capture Fisheries Standard takes a continuous improvement approach to development through the standard, by differentiating between minimum criteria and progress criteria. Minimum criteria are assessed during the first certification audit and represent minimum practices in empowerment, social responsibility, economic development, and environmental responsibility. These criteria are met prior to initial certification. Progress criteria are fulfilled after the first, third, or sixth year of certification and represent continuous development towards increased social empowerment and economic development as well as best practices in environmental stewardship. Details on which year requirements must be met are listed in the compliance criteria. An annual onsite audit will be conducted to ensure compliance and progress. Implementation In addition to this standard document, we have developed compliance criteria. Certification decisions for Fair Trade are made by third party certifiers approved by Fair Trade USA, based on compliance with these criteria as established in onsite audits. Some criteria are identified as major requirements. Non compliance with a major requirement may result in a decision to suspend the certification contract until compliance has been ensured, or even deny certification in the program, depending on the severity and extent of the Non Conformity. Fair Trade certification requires supply chain traceability. In order to use the Fair Trade logo and claim, all entities involved in the production, processing, manufacturing, and handling of the product need to be certified by or registered with Fair Trade USA. Individual fishers are required to keep trip logs, and landing sites must record detailed information about catch and payments. Finally, in recognition of the fact that most fisheries are publicly-owned resources (even if the right to harvest may be privately or communally held), the Resource Management section of the fishery assessment and related elements of both the Corrective Action Plan and the annual audits are made publicly accessible for the scrutiny of interested parties. Any such public reports shall be modified to protect the identity of any indentify individual workers or fishers who participated in the audit. Additional information on implementation, e.g. program prerequisites, a step-by-step description of the certification process, information on certification fees, and a procedure for complaints, appeals and disputes can be found in the Fair Trade USA Certification Manual on the Fair Trade USA website. Standards Development Fair Trade USA began researching the feasibility of certifying wild capture fisheries in 2011, and has developed the Draft Capture Fishery Standard based on consultation with experts and review of other standards and their compliance criteria, including the Marine Stewardship Council, Fair Fish, Friend of the Sea and two standards created by Global Trust. Additionally, this standard follows the FAO Code of 5

Conduct for Responsible Fisheries, the FAO Guidelines for the Ecolabelling of Fish and Fishery Products from Marine Capture Fisheries, and the following International Labour Organization (ILO) conventions: 29 Forced Labor 87 Freedom of Association and Protection of the Right to Organize 98 Right to Organize and Collective Bargaining 100 Equal Remuneration 103 Maternity Protection 105 Abolition of Forced Labor 111 Discrimination 138 Minimum Age 155 Occupational Safety and Health Convention 158 Termination of Employment 169 Indigenous and Tribal Peoples 182 Worst forms of child labor 188 Work in Fishing This standard requires legal compliance with national law and local legislation as a minimum, but not necessarily sufficient, baseline requirement. This Fair Trade USA Capture Fisheries Standard Draft Version 1.0 is available for public comment and stakeholder review between March 28 th and May 28 th, 2014. Stakeholder comments should be sent to: fisheries@fairtradeusa.org. Fair Trade USA is actively reaching out to fishers, industry partners, NGOs and advocacy groups to seek their input. Fair Trade USA will review and incorporate feedback into the standard, with the help of technical experts. If necessary, further rounds of feedback may be necessary before a final version can be approved. A list of stakeholders providing feedback, a summary of the feedback, and how it was addressed in the final version will be made public on the Fair Trade USA Standards website. Certificates will be valid for three years, with renewal of certificates occurring in the fourth year of the audit cycle provided that annual audit criteria are met. Certificates are effective from the date of the certification decision. Entities that were audited against the Draft Version 1.0 of the Standard will be audited against the final Version 1.0 of the Standard at the next audit. Premium Requirements In addition to the requirements in this standard, a Fair Trade Premium will also be set by Fair Trade USA. The exact amount remains to be determined, but 30% of the Fair Trade Premium must be allocated to projects intended to help the fishery comply with the Resource Management section of this standard. 6

Terminology For definitions of terms used in this and other Fair Trade USA Standards please see the Fair Trade USA Standards Glossary, available on the Fair Trade USA Standards Website. Some key terms are also defined in the Appendix to this standard. 7

1. Structural Requirements (STR) 1.1. The Market Access Partner (MAP) STR-MAP 1 Corporate social responsibility and the empowerment of the registered fishers is an integral part of the MAP s written mission or policy statement(s). The MAP can demonstrate its implementation with concrete evidence. STR-MAP 2 At least half of the registered fishers are small-scale fishers. The Market Access Partner keeps a record of the registered fishers. STR-MAP 3 If the Market Access Partner is dependent on outside project-based funding for the Fair Trade project, then it has a clear strategy to ensure continuity of the project once the funding has ended. STR-MAP 4 The Market Access Partner identifies requirements at risk of non-compliance within the Conditions of Employment and Social Responsibility sections of this standard. STR-MAP 5 An Internal Control System (ICS) has been designed and implemented. The ICS monitors the implementation of practices mandated by the Conditions of Employment and Social Responsibility sections of this Standard, and incorporates the risk assessment described in STR- MAP 4. STR- MAP 6 The registered fishers have basic knowledge of the Fair Trade concept and have indicated their commitment to participating in Fair Trade and to cooperating with the Market Access Partner. STR-MAP 7 The Market Access Partner, the registered fishers, and subcontracted entities facilitate both announced and/or unannounced Fair Trade audits carried out by Fair Trade USA approved certifiers. 8

STR-MAP 8 The Market Access Partner has appointed a contact person for all certification matters. This person ensures that the certification body is kept up to date on the scope of the certificate, the list of registered fishers, and important information such as all locations where Fair Trade product is handled. STR-MAP 9 The Market Access Partner has appointed a Fair Trade Officer responsible for all measures directed at social empowerment and economic development of the registered fishers, as well as the implementation of training and activities required by Fair Trade Standards and the necessary communication among all parties. STR-MAP 10 The Market Access Partner has conducted or financed a written needs assessment using surveys/input from fishers as the primary data, and identifying the social, economic and environmental development needs of the registered fishers, workers, fishing community and the environment, as expressed by those fishers. The needs assessment analyzes how Fair Trade may help to address those needs. STR-MAP 11 The Market Access Partner ensures that any existing fisher-run organization with a demonstrable record of active involvement in the welfare of the registered fishers and the fishery is invited to any major discussions about Fair Trade certification. STR-MAP 12 The Market Access Partner involves the Fisher Association in any response to Corrective Actions required by the Certification Body that relate to the management of the fishery. STR-MAP 13 The Market Access Partner presents knowledge of how international conventions and relevant laws pertain to vessels used by registered fishers. 1.2. The Fisher Association(s) (FA) Note: Where the MAP is already a fisher-managed organization, for instance a cooperative, the MAP is considered the Fisher Association and must also follow the requirements in this section. STR-FA 1 The registered fishers form one or more Fisher Associations prior to initial certification in order to ensure fisher input into decision-making about changes in the management of the fishery. 9

STR-FA 2 Fisher Associations are represented by a leadership team (i.e. board of directors), which is chosen in free, fair and transparent elections. STR-FA 3 The Fisher Association keeps a record of its members, and has written rules that determine who can become a member. STR-FA 4 The Fisher Association holds a General Assembly at least once a year. STR-FA 5 All major decisions of the Fisher Association(s) are discussed and approved by the General Assembly according to a free, fair and transparent voting procedure. 1.3. The Fair Trade Committee (FTC) Note: If the Fisher Association is democratically controlled and a majority of its members are registered fishers, the Fisher Association can directly perform all of the functions of the Fair Trade Committee. STR-FTC 1 The registered fishers establish one or more Fair Trade Committee(s) prior to initial certification in order to make democratic and transparent decisions about Fair Trade issues, including use of the Fair Trade Premium. STR-FTC 2 The Fair Trade Committee is chosen in free, fair and transparent elections. The composition of the Fair Trade Committee reflects the composition of the registered fishers. STR-FTC 3 The Fair Trade Committee holds a General Assembly at least once a year. STR-FTC 4 All major decisions of the Fair Trade Committee are discussed and approved by the General Assembly according to a free, fair and transparent voting procedure. 10

2. Empowerment (EM) 2.1. Development and Management of the Fair Trade Plan (DM) EM-DM 1 The Market Access Partner and the Fair Trade Committee together develop a written Fair Trade Plan, based on the needs assessment described in STR-MAP 10, with the objective of meeting the needs of the registered fishers, workers, community and/or environment. The Fair Trade Plan includes activities, objectives, timelines, and budget, as well as training and capacitybuilding measures for the registered fishers to take on responsibility for premium receipt and accounting. All of the registered fishers are able to make suggestions for the Fair Trade Plan. EM-DM 2 Where there are workers employed by the registered fishers or the MAP, the Fair Trade Plan includes at least one project or activity intended to benefit workers. EM-DM 3 The Fair Trade Plan is approved by the General Assembly of the Fair Trade Committee before it is implemented, and is updated annually. There is documentation tracking the progress of the Fair Trade Plan and updates. EM-DM 4 The Fair Trade Committee takes over responsibility for the Fair Trade Plan progress reports. EM-DM 5 The Market Access Partner supports the Fair Trade Committee and registered fishers in implementation of the Fair Trade Plan. If the timelines and objectives in the Fair Trade Plan are not met, the Market Access Partner is responsible for contracting a third party to support the Fair Trade Committee. EM-DM 6 If the Fisher Association wants to take on additional responsibilities for the production and commercialization of the product (i.e. compliance with requirements within this Standard, Internal Control System administration, product sales on behalf of their members) and wants to become directly certified against the Capture Fisheries Standard independent of the Market Access Partner, the Market Access Partner does not prevent this development. 2.2. Inclusive Participation, Transparency and Financial Accountability (PTA) EM-PTA 1 The Fair Trade Committee makes decisions on use of the Fair Trade Premium in an independent manner. The Market Access Partner commits to this in writing. 11

EM-PTA 2 There is an established communication and feedback system in place among the Market Access Partner, the Fisher Association, the Fair Trade Committee, and the registered fishers. The communication system should include information on: Fair Trade Sales Fair Trade Premium Issues and concerns of the registered fishers Planned and implemented responses to any Corrective Action Requests EM-PTA 3 Where a significant number of permanent workers are employed by the registered fishers or the MAP, workers are invited to the General Assembly of the Fair Trade Committee in order to observe and participate in the discussion of topics that relate to them. EM-PTA 4 The minutes of the Fair Trade Committee meetings clearly record all decisions made, as well as the consultation with registered fishers that took place prior to decision-making. The minutes of the meeting are signed by all members of the Fair Trade Committee. EM-PTA 5 The minutes of the General Assembly of the Fair Trade Committee clearly record all decisions made. The minutes are signed by the leadership of the Fair Trade Committee and at least one of the registered fishers. There is a list of participants in the General Assembly included in the minutes. EM-PTA 6 In addition to the premium account and Fair Trade Plan, the Fair Trade Committee presents any other annual reports, budgets and accounts to the General Assembly of the Fisher Association for approval. EM-PTA 7 Within the Fisher Association, at least one person or committee is responsible for managing the administration and book keeping. EM-PTA 8 The MAP, in collaboration with the Fair Trade Committee, develops a Premium Use Report annually. This report and audited accounts of the use of premium funds are provided to the Fair Trade Committee, registered fishers and their permanent workers, and the Fisher Association(s) annually or upon request at any time. 12

EM-PTA 9 Fair Trade plans and reports are accessible to registered fishers, their permanent workers, and any Fisher Association(s). EM-PTA 10 All Fisher Association records, books, and documentation are accessible to its members. EM-PTA 11 If the Fair Trade Committee does not have capacity to open its own bank account and manage the Fair Trade Premium in a democratic and transparent manner: The Fair Trade Committee appoints a trustee (the Market Access Partner, a bank, credit union or NGO) of the Fair Trade Premium funds. The trustee sets up a separate bank account so that it can receive the Fair Trade Premium on behalf of the registered fishers. At least one member of the Fair Trade Committee is a joint signatory of the Fair Trade Premium account. EM-PTA 12 An external financial audit shall be conducted in years when high Fair Trade Premium volumes are generated or spent. EM-PTA 13 Regular administrative and organizational capacity-building trainings are carried out with the Fair Trade Committee representatives. This ensures that they are able to take over management of the Fair Trade Premium in a democratic and transparent manner. EM-PTA 14 The Fair Trade Committee has a bank account with more than one signatory. EM-PTA 15 The Market Access Partner/Fisher Association takes measures to improve the registered fishers understanding of the annual reports and accounts, and to increase knowledge of financial management, pricing and international market mechanisms. EM-PTA 16 The Market Access Partner, in collaboration with the Fair Trade Committee, creates an accounting system that accurately tracks the expenses and budget in the Fair Trade Plan, and identifies the distribution of Fair Trade Premiums in a transparent manner. EM-PTA 17 The Market Access Partner provides training to the Fair Trade Committee on the management of the Fair Trade Premium accounting system. 13

EM-PTA 18 The Fair Trade Committee takes on responsibility for maintaining the accounting system. 3. Economic Development (ED) 3.1. Fair Trade Payments and Premium (FTP) ED-FTP 1 The correct amount of Fair Trade Premium is paid to the Fair Trade Committee. ED-FTP 2 New Fair Trade Premiums apply from the date of their announcement. However, existing contracts must be honored at the existing Fair Trade Premium already agreed on. ED-FTP 3 If the registered fishers are paid as a share of the catch, the share system and working conditions on board are agreed to in writing among all parties involved. The agreed working conditions are in line with national legislation as well as the 'Conditions of Employment' and 'Social Responsibility' sections of this standard. ED-FTP 4 If the registered fishers are charged for inputs or services, they are only charged a normal market price. These prices are declared in a transparent manner. 3.2. Conditions of Employment (CE) (This section is applicable to all workers employed by the registered fishers and by the MAP. As defined in the Fair Trade Glossary, workers include all permanent, temporary, and part-time employees and are distinct from fishers in that they are earning a wage rather than a share of the catch. Some exemptions are included for fishers and operations that do not employ a significant number of workers. The certification body will define what constitutes a significant number of workers depending on various factors.) ED-CE 1 Conditions of employment, and in particular salaries, are in line with or exceeding the highest of: sector regulations, Collective Bargaining Agreements (CBAs) which are in place for an employer, the regional average minimum wage, and legal minimum wages for similar occupations. The employer specifies wages for all functions. 14

ED-CE 2 Payments are made to workers directly and on time, according to an appropriate payment schedule that is monthly or bi-weekly. The payment schedule has been communicated to workers. In-kind payments are not allowed, except in regions where they are legally permissible and agreed to by workers. Where the agreed in-kind payment is in fish, species used as payment may not be overfished as defined in the 'Resource Management' section of this standard. ED-CE 3 The employer complies with local law regarding the provision of health insurance and social security benefits, including pension and disability insurance, maternity leave and vacation time to workers. In cases where permanent workers are not entitled to health insurance benefits, the employer provides the equivalent benefits in the form of private health insurance or comparable health services. ED-CE 4 Where an elected workers organization exists, management has made best efforts to negotiate the conditions of work with the workers organization. ED-CE 5 Where a significant number of workers are employed, all permanent workers have a legally binding written contract of employment describing conditions of employment and including a job description. The contract is signed by the worker and employer. ED-CE 6 All positions that are of a regular nature are staffed with permanent workers, and legal obligations are not avoided through the excessive use of time-limited employment contracts. ED-CE 7 The employer and worker representatives meet to discuss how they can improve wages and productivity in mutually beneficial ways, including generating ideas for how to move towards living wages over time. 15

4. Social Responsibility (SR) 4.1. Non-Discrimination (ND) This section is applicable to registered fishers and workers employed by the registered fishers and the MAP. SR-ND 1 There is no discrimination against registered fishers or potential new program participants, particularly on the basis of race, color, sex, gender, sexual orientation, disability, marital status, family obligations, age, religion, political opinion, language, property, nationality, ethnicity or social origin, or any other condition that could give rise to discrimination in relation to: participation, rules for program participation, voting rights, the right to be elected, access to markets, access to training, technical support or any other benefits that the program offers. There is no discrimination against workers, particularly on the basis of race, color, sex, gender, sexual orientation, disability, marital status, family obligations, age, religion, political opinion, membership of unions or other workers representative bodies, national extraction or social origin, or any other condition that could give rise to discrimination in: recruitment, promotion, access to training, remuneration, allocation of work, termination of employment, retirement or other activities. SR-ND 2 The Market Access Partner identifies registered fishers who come from disadvantaged/minority groups according to, for example, gender, age, or income. SR-ND 3 The Market Access Partner has developed a program to improve the social and economic position of registered fishers who come from disadvantaged/minority groups. SR-ND 4 The Market Access Partner, or employer, and the registered fishers do not engage in, support or tolerate the use of corporal punishment, mental or physical coercion, or verbal abuse, or any other form of harassment. SR-ND 5 The Market Access Partner, or employer, does not engage in, support, or tolerate behavior, including gestures, language, and physical contact, that is sexually intimidating, abusive or exploitative. 16

4.2. Freedom from Forced Labor and Human Trafficking (FL) This section is applicable to registered fishers and workers employed by the registered fishers and the MAP. SR-FL 1 Forced labor, including bonded or involuntary prison labor and human trafficking, does not occur. SR-FL 2 A worker's employment is not conditional on the employment of his or her spouse. Spouses are not required to work. 4.3. Protection of Children and Young Persons (PC) This section is applicable to registered fishers and workers employed by the registered fishers and the MAP. SR-PC 1 Children below the age of 15 (or below the working age defined by national law, if higher) are not employed. Children aged 15 or over (or of the working age defined by national law, if higher) may be employed for work in production facilities and light work during school holidays. The minimum age for employment on fishing vessels is 16 or as defined in law, if higher. SR-PC 2 The children of registered fishers below the age of 15 (or below the working age defined by national law, if higher) may work with their relatives provided that: The work does not jeopardize schooling and is within reasonable time limits after school or during holidays. The work does not jeopardize the child s social, moral or physical development and does not constitute a hazard to the child s health. The minimum age for a child helping his or her family on fishing vessels is 12. Their relatives provide supervision and guidance. SR-PC 3 Workers under the age of 18 have working conditions that are modified in consideration of their age and physiological needs. SR-PC 4 The minimum age of admission to any type of work which by its nature or the circumstances under which it is carried out is likely to jeopardize the health, safety, or morals of young people, 17

is 18 years (or the age of legal adulthood as defined by national law, if higher). This includes night work. 4.4. Freedom of Association (FA) This section is applicable to workers employed by the MAP and by registered fishers. Registered fishers who employ a significant workforce on their boats must comply with all of these criteria, while fishers and operations that do not employ a significant number of workers are exempt from these criteria. The certification body will define what constitutes a significant number of workers depending on various factors. SR-FA 1 The employer recognizes in writing and in practice the right of all workers to establish and join workers organizations of their own choosing, and to collectively negotiate their working conditions. SR-FA 2 The employer does not interfere with the right to freedom of association by attempting to influence or obstruct workers organizations. SR-FA 3 Neither workers nor their representatives are discriminated against or suffer other repercussions because of freely exercising their right to organize or because of their membership or participation in legal activities in their workers organization. SR-FA 4 The employer ensures that all workers are provided with information from an independent source on their right to freedom of association and the options available for workers to organize. 4.5. Occupational Health and Safety (OH) This section is applicable to: Registered fishers, Workers employed by the registered fishers, and Workers employed by the MAP as they relate to the species (stock) taken by the fishers covered under the certificate, including workers in processing facilities if the MAP is a processor. Note: some exemptions are included for fishers and operations that do not employ a significant number of workers. The certification body will define what constitutes a significant number of workers depending on various factors, including any legal regulations. 18

SR-OH 1 Work processes, workplaces (including fishing vessels), machinery and equipment as well as worker transportation are as safe as possible and any inherent risk to health is minimized by adequate control. SR-OH 2 A written Health and Safety policy is in place and covers all of the items mentioned above. SR-OH 3 The following persons are not allowed to be engaged in any potentially hazardous work: persons younger than 18 years, pregnant or nursing women, persons with incapacitating mental conditions, persons with chronic, hepatic or renal diseases, and persons with respiratory diseases. SR-OH 4 The employer ensures alternative work for employees in the case that a change of work is necessary to comply with requirement SR-OH 3. SR-OH 5 Fishers and workers have access to adequate emergency first aid equipment and appropriately trained first aid staff to meet all reasonably foreseeable emergency first aid situations. SR-OH 6 The employer provides medical care for all workplace injuries and illnesses and pays for recovery to any work-related illnesses or injuries. SR-OH 7 All workers must have access to potable water and clean sanitary facilities. SR-OH 8 A Health and Safety Officer is nominated to be in charge of occupational health and safety matters. SR-OH 9 Workers and fishers engaged in any potentially hazardous work are adequately trained and informed of the specific risks to mental, reproductive and/or neurological health. SR-OH 10 Workers are provided with adequate personal protective equipment of good quality and in good condition at the employer s expense. Workers must always use such equipment and never take it to their homes without approval. 19

5. Resource Management (RM) 5.1. Information to Support Resource Management (IN) RM-IN 1 The Market Access Partner (MAP) has developed communication tools relevant to all annual Retained Species (landings) and Bycatch Species (discarded species), habitat, and other necessary topics to facilitate common understanding among the MAP, registered fishers, and other stakeholders. RM-IN 2 The registered fishers have a system in place (for example, a logbook) to collect data necessary to comply with this standard, including information on fishing trips and catch (Retained and Bycatch species). RM-IN 3 There are landings data which reflect the composition of Retained Species. RM-IN 4 Systems are in place to control the quality of catch, landings, and fishing trip information. RM-IN 5 The MAP and Fisher Association have developed and implemented a plan for meeting the Resource Management section of this standard, including progress requirements over time. 5.2. Overfished Status (OF) RM-OF 1 All Retained species are assessed. Major Main Retained and Main Retained species are not overfished, as defined by a peer-reviewed and tested stock assessment method. If a species is at risk of being overfished, a rebuilding strategy must be in place. RM-OF 2 All Bycatch Species are assessed. The fishery does not pose a high overfishing risk to any species that fall under the Main Bycatch category. 20

5.3. Biodiversity Protection (BD) RM-BD 1 The Major Main Retained, Main Retained, and Main Bycatch species categories do not include any Endangered, Threatened, or Protected (ETP) species. RM-BD 2 The fishing gear used does not cause severe harm to benthic habitat. RM-BD 3 The Fisher Association has considered conducting ecosystem modeling by identifying metrics that can be used as warning signs of changes occurring in the ecosystem (even if the reason for such changes is not known). RM-BD 4 The Fisher Association has developed a plan for monitoring the local ecosystems. 5.4. Fisheries Management (FM) RM-FM 1 The fishery has a functional Fishery Management Plan in place that includes appropriate reference points and management actions. RM-FM 2 Vessels used by registered fishers are legally registered and licensed. RM-FM 3 The MAP and Fisher Association support the monitoring and reporting of illegal fishing activity to the relevant authorities. Registered fishers do not participate in illegal fishing in any form. RM-FM 4 The Fisher Association is actively involved in the management of the fishery, according to a comanagement agreement. RM-FM 5 There is a procedure for resolving conflicts among fisher groups, the Fisher Association, and the legally responsible agency over the management of the fishery and the use of the fish resources. 21

5.5. Waste Management (WM) (This section is applicable only for processing, and only when the MAP is processing the fish) ES-WM 1 Hazardous waste is handled safely as per applicable laws and regulations. ES-WM 2 Where there is major risk of harm or contamination to humans and/or the environment from waste while processing, the MAP, and if applicable the Fisher Association, implement(s) a Waste Management Plan to minimize or eliminate the risk. 6. Trade Requirements (TR) 6.1. Basic Requirements (BR) TR-BR 1 The Market Access Partner reports to Fair Trade USA on its Fair Trade transactions, according to the frequency determined by Fair Trade USA. 6.2. Product Sourcing (PS) TR-PS 1 When fishers first become certified through the Market Access Partner, the Market Access Partner can sell the fish that it has in stock as Fair Trade, but product that was fished before the date of initial audit may not be sold as Fair Trade. TR-PS 2 At least half of the volume of certified fish must come from small-scale fishers as defined in the Fair Trade USA Standards Glossary. 6.3. Physical Product Traceability (PT) TR-PT 1 Only products sourced from registered fishers are sold as Fair Trade, and products that were produced by registered fishers are not mixed with products that were not. TR-PT 2 Fair Trade products are marked clearly so that they can be identified as Fair Trade certified at all stages (i.e. storage, transport, processing, packaging, labeling, handling and sale). 22

6.4. Traceability through documentation (TD) TR-TD 1 The Market Access Partner puts in writing the product flow from the registered fishermen to the buyer. TR-TD 2 The Market Access Partner keeps records of products sourced from the registered fishers as part of the Fair Trade Plan. Records indicate the name of the individual fisher, date of purchase, product name, volume and the price received by the member. Records include the signature of the registered fisher, verifying accuracy; the registered fishers receive a copy of the record. TR-TD 3 The Market Access Partner supports the Fisher Association in creating and maintaining this record-keeping system. TR-TD 4 When product is sold as Fair Trade, it is clearly indicated in the sales documents (e.g. invoices, contracts, bill of lading, and delivery notes) that the product is Fair Trade Certified. TR-TD 5 The Market Access Partner keeps records of all Fair Trade sales. These records include: The volume sold. The name of the buyer. The date of the transaction. A reference to Fair Trade A reference to purchase documentation that allows the certification body to link these records with the corresponding sales documentation. TR-TD 6 If Fair Trade products are processed, there are records that specify the amount of product before and after processing. 6.5. Agreements (AG) TR-AG 1 The Market Access Partner signs registration agreements with each individual registered fisher. The registration agreement defines the responsibilities of the fisher and the Market Access Partner in the Fair Trade program and the general terms of trade, including any share-catch arrangements. 23

TR-AG 2 The registration agreement is written in a language that the registered fishers understand. TR-AG 3 The Market Access Partner ensures that the registered fishers know and understand the terms of the registration agreement and the Fair Trade conditions. TR-AG 4 The registration agreement between the Market Access Partner and the registered fishers does not restrict any registered fisher from selling to other buyers. The purchase of certified products is not dependent on the purchase of non-certified products. TR-AG 5 A sourcing plan summarizing expectations regarding volumes to be sourced in the next 6 to 12 months is shared with the Fair Trade Committee and Fisher Association. TR-AG 6 Where legally permissible, the Fisher Association negotiates an agreement on terms of trade for the duration of one harvest period on behalf of all registered fishers. TR-AG 7 When the Market Access Partner provides credit or pre-finance, the interest rate and conditions attached to the offer are agreed upon in advance with the registered fishers. In cases where an interest rate is charged, it is not higher than the cost of borrowing. TR-AG 8 All elements of contracts with Fair Trade buyers are fulfilled at the conditions agreed in the contract, unless changes to the contract are mutually agreed upon between the seller and the buyer in writing. 6.6. Contract Suspension (CS) TR-CS 1 When a producer or its buyer is suspended: within 6 months, the contracts that have already been signed are fulfilled, and new contracts are only signed with the organization s existing trade partners (those who have entered into commercial transactions in the previous 12 months). 24

6.7. Decertification (DC) TR-DC 1 An organization must stop selling Fair Trade products from the date of its decertification, even if it has signed Fair Trade contracts that are yet to be fulfilled. TR-DC 2 Fair Trade Certified products may not be sold to decertified operators from the date of decertification. In such cases, contracts that have not yet been shipped shall not be classified as Fair Trade contracts. 6.8. Use of Fair Trade Trademark (FTT) TR-FTT 1 Finished products: Only licensed partners of Fair Trade USA may use the Fair Trade Certified certification mark on finished products. Organizations that are certified to sell Fair Trade certified products may use the Fair Trade certification mark in promotional materials (such as brochures, websites or wholesale packaging). Use of the certification mark is in accordance with the Fair Trade USA Label Use Guide, and all finished products have prior approval by Fair Trade USA. 25

Appendix: Definitions of key terms Note: many important terms, for instance Needs Assessment and General Assembly, are already defined in the FTUSA Standards Glossary, available here: http://fairtradeusa.org/sites/all/files/wysiwyg/filemanager/ftusa_glossary_102412.pdf. The following definitions will be included in the FTUSA Standards Glossary once the feedback and comment period for the Capture Fisheries Standard is complete and the final definitions have been decided. Bycatch Species Organisms that have been taken incidentally and are not retained (usually because they have no commercial value) (MSC, 2013). Catch-Per-Unit-Effort (CPUE) The quantity of fish caught (in number or in weight) with one standard unit of fishing effort; e.g. number of fish taken per 1,000 hooks per day, or weight of fish, in tons, taken per hour of trawling. CPUE is often considered an index of fish biomass (or abundance). Sometimes referred to as catch rate. CPUE may be used as a measure of economic efficiency of fishing as well as an index of fish abundance. Also called: catch per effort, fishing success, availability. (NOAA, 2006) CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora. http://www.cites.org/ Co-management A partnership arrangement in which government, the community of fishers, external agents (nongovernmental organizations, research institutions), and sometimes other fisheries and coastal resource stakeholders (boat owners, fish traders, credit agencies or money lenders, tourism industry, etc.) share the responsibility and authority for decision-making over the management of a fishery. Co-management ideally results in power-sharing in the exercise of resource management between a government and a community or organization of stakeholders, and can offer benefits of "more appropriate, more efficient and more equitable management" than the conventional state-centered approach. (Berkes et al., 2001) Common Science An approach based on common sense and simple fishery science that provides common ground for all stakeholders to contribute in a meaningful way to fisheries co-management. Common science: i) Addresses common property issues in fisheries management ii) Uses common sense to guide practical action drives by objectives iii) Uses scientific knowledge to compliment, not substitute, ordinary knowledge 26

iv) Is based on situationally-appropriate fishery science, using simple methods v) Uses common language rather than scientific jargon in communication vi) Uses stakeholders common interests as the basis for negotiation or consensus vii) Incorporates common or ordinary ecological and other fishery knowledge of fishers viii) Aims for benefits to the common good of the public, rather than partisan interests ix) Is accessible by the common person in order to inform participation x) Applies analytical principles of science (social, ecological, political, economic, etc.) (McConney, 1998) Endangered, Threatened, and Protected (ETP) Species Species recognized by national legislation and/or binding international agreements to which the jurisdictions controlling the fishery under assessment are party. Species listed under Appendix I of CITES shall be considered ETP species for the purposes of the MSC assessment, unless it can be shown that the particular stock of the CITES listed species impacted by the fishery under assessment is not endangered (MSC, 2013). Enhanced Fishery A fishery where there is human intervention in the lifecycle of the fish, including artificial spawning, habitat enhancement, and/or feeding of fish prior to harvest. Fish Any species or sub species of aquatic (marine, freshwater and estuarine) animal but not including mammals, seabirds or reptiles. Fisher A person (male or female) who takes part in fishing conducted from a fishing vessel, a floating or fixed platform, or from shore. They are distinct from workers in that they are usually not paid a wage, but rather a share of the catch. Does not include fish processors or traders (FAO, 1998). Fishery (Synonym: Capture Fishery) A unit determined by an authority or other entity that is engaged in raising and/or harvesting fish. Typically, the unit is defined in terms of some or all of the following: people involved, species or type of fish, area of water or seabed, method of fishing, class of boats and purpose of the activities (MSC, 2013). Fishery Improvement Project (FIP) A fishery improvement project is a multi-stakeholder effort to improve a fishery. The projects utilize the power of the private sector to incentivize positive changes toward sustainability in the fishery. Participants may vary depending on the nature of the fishery and the improvement project, and may include stakeholders such as producers, nongovernmental organizations, fishery managers, government and members of the fishery s supply chain. The ultimate goal of a fishery improvement 27

project is to perform at a level consistent with an unconditional pass of the MSC standard. (Conservation Alliance, 2013). Fishery Management Plan An integrated process of information gathering, analysis, planning, consultation, decision-making, allocation of resources and formulation and implementation, with enforcement as necessary, of regulations or rules which govern fisheries activities in order to ensure the continued productivity of the resources and the accomplishment of other fisheries objectives (FAO, 2002). Fishing Any activity, other than scientific research conducted by a scientific research vessel, that involves the catching, taking, or harvesting of fish; or any attempt to do so; or any activity that can reasonably be expected to result in the catching, taking, or harvesting of fish and any operations at sea in support of it (NOAA, 2006). Fishing Effort The amount of fishing gear of a specific type used on the fishing grounds over a given unit of time (for example, hours trawled per day, number of hooks set per day, or number of hauls of a beach seine per day) (NOAA, 2006). Fishing Vessel (or Vessel) Any ship or boat, of any nature whatsoever, irrespective of the form of ownership, used or intended to be used for the purpose of commercial fishing. Fish Stock The living resources in the community or population from which catches are taken in a fishery. Use of the term fish stock implies that the particular population is a biological distinct unit. In a particular fishery, the fish stock may be one or several species of finfish or other aquatic organisms (MSC, 2013). Grey Literature Information produced on all levels of government, academics, business and industry in electronic and print formats not controlled by commercial publishing i.e. cannot be found easily through conventional channels such as publishers. It is frequently original and usually recent. (MSC, 2013) Habitat The chemical and bio-physical environment, including biogenic structures, where a species normally lives or occurs. Harvest Control Rules A set of well-defined rules that can be used for determining annual fish catch quotas or effort regulations. Harvest Control Rules describe how harvest is intended to be controlled by 28