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RECALLING the Recommendation by ICCAT on Establishing Statistical Document Program for Swordfish, Bigeye Tuna and Other Species Managed by ICCAT adopted by the Commission in 2000 in which the full implementation of the program was required by 1 January 2002, or as soon as possible thereafter;
TAKING INTO ACCOUNT the efforts to maintain and rebuild Atlantic swordfish, consistent with the objectives of the Convention;
RECOGNIZING that the Statistical Document Program is an effective tool to assist the Commission's effort for the elimination of IUU fishing operations;
FURTHER RECOGNIZING the Resolution by ICCAT Concerning an Action Plan to Ensure the Effectiveness of the Conservation Program for Atlantic Swordfish adopted by the Commission in 1995, and recalling the 1999 Recommendation by ICCAT establishing trade measures pursuant to this Resolution;
AWARE that it is important to improve the reliability of statistical information on catches of Atlantic swordfish and that the availability of trade data would greatly assist in reducing such uncertainty;
RECOGNIZING that a considerable number of vessels fishing for Atlantic swordfish are registered to nations that are not members of ICCAT;
TAKING INTO ACCOUNT the significant efforts that have been undertaken by Contracting Parties to address the problems created by catches of Atlantic swordfish by non-contracting parties, entities, and fishing entities;
CONSIDERING that some of the non-contracting parties, entities, and fishing entities have great difficulty in providing information on the catches of their flag vessels;
ALSO BEING AWARE that this program may be adapted to the specific regulations established by ICCAT Contracting Parties, as w ell as in the framework of regional economic organizations;
RECOGNIZING the work of the Food and Agriculture Organization (FAO) with respect to statistical document programs, which could impact the programs of the Commission;
The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:
1Contracting Parties shall require that all swordfish, when imported into the territory of a Contracting Party be accompanied by an ICCAT Swordfish Statistical Document (Attachment 2) that meets the requirenrents described in Attachment 1 or an ICCAT Swordfish Re-export Certificate1(Attachment 4) that meets the requirements described in Attachment 3. The Commission and the Contracting Parties importing swordfish shall contact all the exporting countries to inform them of this program, particularly differentiation of treatnent between catches of swordfish in the Convention Area and those outside of it, in advance of implementation of the program.1Note from the Secretariat: The ICCAT Swordfish Statistical Document and accompanying instructions were adopted under the Recommendations by ICCAT Concerning the Amendment of the Forms of the ICCAT Bluefin/Bigeye/Swordfish Statistical Documents [Ref. 03-19], and replace those originally adopted.
2(1) The ICCAT Swordfish Statistical Document must be validated by a government official, or other authorized individual or institution, of the flag state of the vessel that harvested the swordfish, or, if the vessel is operatirrg under a charter arrangement, by a government official or other authorized individual of the exporting state; (2) the ICCAT Swordfish Re-Export Certificate must be validated by a government official, or other authorized individual or institution, of the state that re-exported the swordfish; and (3) the substitutional measure described in paragraphs A-D of the Resolution by ICCAT Concerning Validation by a Government Official of the Bluefin Tuna Statistical Document, adopted by the Commission in 1993, may be applied to the above requirements for both validations in the Swordfish Statistical Document Program. The substitutional measure should also apply mutatis mutandis, to chartering arrangements as provided in section (1) of this paragraph.
3Each Contracting Party shall provide to the Executive Secretary sample forms of its statistical document and re-export certificate required with swordfish imports, and information on validation in the format specified in Attachment 6 and inform him of any change in a timely fashion.
4Contracting Parties that import or export swordfish shall compile the data collected through the Program.
5Contracting Parties that import swordfish shall report the data collected by the Program to the Executive Secretary each year by April 1 for the period of July 1 through December 31 of the preceding year and October 1 for the period of January 1 through June 30 of the current year, which shall be circulated to all the contracting parties by the Executive Secretary. The formats of the reports are attached, as in Attachment
6Contracting Parties that export swordfish shall examine export data upon receiving the import data in Paragraph 5 above from the Executive Secretary, and report the results to the Commission in their National Reports2.2Note from the Secretariat: Based on a Commission decision in 2004, these reports are now called Annual Reports. Please see the Revised Guidelines for the Preparation of Annual Reports [Ref. 12-13].
7Contracting Parties should exchange copies of statistical documents and re-export certificates to facilitate the examination mentioned in paragraph 6 consistent with domestic laws and regulations.
8The Commission shall request Cooperating non-Contracting Parties, Entities, and Fishing Entities to take the measures described in the above paragraphs.
9The Executive Secretary shall request all non-Contracting Parties, Entities, and Fishing Entities fishing for and exporting swordfish to Contracting Parties to provide information on validation in the format specified in Attachment 6 and to inform him in a timely fashion of any changes to the information provided.
10The Executive Secretary shall maintain and update information specified in paragraphs 3 and 9 and provide it to all the Contracting Parties, and promptly circulate any changes.
11The Commission shall request non-Contracting Parties, Entities, and Fishing Entities that import swordfish to cooperate in the implementation of the Program and to provide to the Commission data obtained from such implementation in the format specified in Attachment 5 on an annual basis by October 15 for the previous calendar year.
12Implementation of this program shall be in conformity with relevant international obligations.
13The provisions of the Recommendation by ICCAT on Validation of the Bluefin Tuna Statistical Document by the European Community, adopted by the Commission in 1998, shall apply to the Swordfish Statistical Document Program for swordfish caught by vessels that fly the flag of a Member State of the European Community.
14Notwithstanding the provisions of Article VIII, paragraph 2 of the Convention, the Contracting Parties shal implement this recommendation as soon as possible, but not later than January 1, 2003 in accordance with the regulatory procedures of each Contracting Party.
Attachment 1Requirements concerning the ICCAT Swordfish Statistical Document
1The sample form of the ICCAT Swordfish Statistical Document shall be as in Attachment 2.
2Customs or other appropriate government officials will request and inspect all import documentation including the ICCAT Swordfish Statistical Document for all swordfish in the shipment. Those officials may also inspect the content of each shipment to verify the information on the document.
3Only complete and valid documents will guarantee that shipments of swordfish will be allowed to enter the territory of Contracting Parties.
4Shipments of swordfish that are accompanied by improperly documented Swordfish Statistical Documents (i.e., improperly documented means that the Swordfish Statistical Document is either missing from the shipment, incomplete, invalid or falsified) will be considered illegitimate shipments of swordfish, that are contrary to ICCAT conservation efforts, and their entry into the territory of a Contracting Party will be suspended (PENDING RECEIPT OF A PROPERLY COMPLETED DOCUMENT) or subject to administrative or other sanction.
5The import of fish parts other than the meat, i.e., head, eyes, roe, guts, tails may be allowed without the document.
Attachment 2
DOCUMENT NUMBERICCAT SWORDFISH STATISTICAL DOCUMENT
EXPORT SECTION:1. FLAG COUNTRY/ENTITY/FISHING ENTITY
2. DESCRIPTION OF VESSEL (if applicable)Vessel NameRegistration NumberLOA (m)ICCAT Record No. (if applicable)
3. POINT OF EXPORT:CITY, STATE OR PROVINCECOUNTRY/ENTITY/FISHING ENTITY
4. AREA OF CATCH (Check one of the following)(a)North Atlantic(b)South Atlantic(c)Mediterranean(d)Pacific(e)Indian* In case of (d) or (e) is checked, the items 5 and 6 below do not need to be filled out.
5. DESCRIPTION OF FISH
Product TypeaTime of HarvestGear Code bNet Weight
F/FR RD/GG/DR/FL/OT (mm/yy)(kg)
a F=Fresh. FR=Frozen, RD=Round, GG=Gilled & Gutted, DR=Dressed, FL=Fillet, ST=Steak, OT=Others (Describe the type of product: ______________________________)a When tire Gear Code is OT, describe the type of gear: ________________)
6. EXPORTER CERTIFICATION: For export to countries tliat have adopted the ICCAT alternative minimum size for swordfish the exporter must certify that the listed Atlantic swordfish are greater than 15 kg(331b.) or if pieces, the pieces were derived from a swordfish weighing >15kg.I certify tliat tlie above infonnation is complete, tnie and correct to the best of my knowledge and belief.NameAddressSignatureDateLicense # (if applicable)
7. GOVERNMENT VALIDATION:I validate that the above infonnation is complete, true and correct to the best of my knowledge and belief.Total weight of the shipment: ____kgName & TitleSignatureDateGovernment Seal
IMPORT SECTION8. IMPORTER CERTIFICATION:I certify that the above information is complete, true and correct to the best of my knowledge and belief.Importer Certification (Intermediate Country/Entity/Fishing Entity)NameAddressSignatureDateLicense # (if applicable)Importer Certification (Intermediate Country/Entity/Fishing Entity)NameAddressSignatureDateLicense # (if applicable)Importer Certification (Final Destination of Shipment)NameAddressSignatureDateLicense # (if applicable)Final Point of Import: City ____ State/Province ____ Country/Entity/Fishing Entity
SWO Form: 2003
NOTE: IF A LANGUAGE OTHER THAN ENGLISH ISUSED IN COMPLETING THIS FORM, PLEASE ADD THE ENGLISH TRANSLATION ON THIS DOCUMENT.
ICCAT Swordfish Statistical Document Instruction Sheet
Pursuant to the 2001 ICCAT recommendation, swordfish imported into the territory of a Contracting Party or upon first entry into a regional economic organization must be accompanied by an ICCAT Swordfish Statistical Document (SWD) beginning January 1, 2003. Swordfish dealers who export or import swordfish from all ocean areas will be required to complete the appropriate sections of the SWD. Only complete and valid documents will guarantee that shipments of swordfish will be allowed to enter the customs territory of Contracting Parties (e.g., Japan, Canada, U.S., Spain, etc.). Improperly documented swordfish shipments (i.e., the SWD is either missing from the shipment, incomplete, invalid or falsified) will be considered illegitimate and contrary to ICCAT conservation efforts. Entry of improperly documented swordfish will be suspended (PENDING RECEIPT OF A PROPERLY COMPLETED DOCUMENT) into the customs territory of a Contracting Party or subject to administrative or other sanctions.
Please use the instructions below as a guide to complete the sections that apply to Exporters, Importers, and Government Validation. If a language other than English is used for description, please add an English translation either on the SWD or on a separate paper. Note: if a swordfish product is exported directly from the harvesting Country/Entity/Fishing Entity to a Contracting Party, without going through an intermediate Country/Entity/Fishing Entity, all fish can be identified on one document. However, if the swordfish product is exported through an intermediate Country/Entity/Fishing Entity (i.e., a Country/Entity/Fishing Entity other than the Country/Entity/Fishing Entity which is the final destination of the product), separate documents must be prepared for fish destined for different final destinations, or only one fish may be identified on a document to cope with any possible separation in an intermediate Country/Entity/Fishing Entity. Import of swordfish parts other than meat (i.e., heads, eyes, roe, guts, tails) may be allowed entry without an accompanying SWD.
DOCUMENT NUMBER:This block is for the issuing Country/Entity/Fishing Entity to designate a country coded Document Number.
(1) - FLAG COUNTRY/ENTITY/FISHING ENTITY -Fill in the name of the Country/Entity/Fishing Entity of the vessel that harvested the swordfish in the shipment and issued this Document. According to the ICCAT Recommendation, only the flag state of the vessel that harvested the swordfish in the shipment, or, if the vessel is operating under a chartering arrangement, the exporting state, can issue this Document.
(2) - DESCRIPTION OF VESSEL (if applicable):Fill in the name, registration number, length overall (LOA) and ICCAT Record number of the vessel that harvested the swordfish in the shipment.
(3) - POINT OF EXPORT -Identify the City and State or Province, and country/entity/fishing entity from which the swordfish was exported.
(4) - AREA OF CATCH -Check the area of catch. (In case of (d) or (e) checked, items 4 and 5 need not be completed).
(5) - DESCRIPTION OF FISH -The exporter must provide, to the highest degree of accuracy, the following information. (NOTE: One row should describe one product type.) (1) Product type: Identify the type of product being shipped as either FRESH or FROZEN, and in ROUND, GILLED AND GUTTED, DRESSED, FILLET or OTHER form. For OTHER, describe the type of products in the shipment; (2) Time of Harvest: Fill in the time of harvest (month and year) of the swordfish in the shipment; (3) Gear Code: Identify the gear type which was used to harvest the swordfish using the listed codes; (5) Net weight: Net product weight in kilograms.
(6) - EXPORTER CERTIFICATION -The person or company exporting the swordfish shipment must provide his/her name, signature, address, date the shipment was exported, and dealer license number (if applicable). For countries that have adopted the ICCAT alternative minimum size for swordfish the exporter must certify that the listed Atlantic swordfish are greater than 15 kg (33 lb.) or if pieces, the pieces were derived from a swordfish weighing >15 kg.
(7) - GOVERNMENT VALIDATION -Fill in name and full title of the official signing the SWD. The official must be employed by a competent authority of the flag state government of the vessel that harvested the swordfish appearing on the SWD or other individual or institution authorized by the flag state or if the vessel is operating under a charter arrangement, by a government official or other authorized individual or institution of the exporting state. Net weight must also be certified and recorded The substitutional measure described in paragraphs A-D of the Resolution by ICCAT concerning Validation by a Government Official of the Bluefin Tuna Statistical Document [93-2], adopted by the Commission in 1993, may be applied to the above requirements for the validations in this Swordfish Statistical Document Program.
(8) - IMPORTER CERTIFICATION -The person or company that imports swordfish must provide their name, signature, address, date the swordfish was imported, license number (if applicable) and final point of import. This includes imports into intermediate countries, entities or fishing entities. For fresh and chilled products, signature of the importer may be substituted by person of a custom clearance company when the authority of signature is properly accredited to the company
GEAR CODEGEAR TYPE
BBBaitboat
GILLGillnet
HANDHandline
HARPHarpoon
LLLongline
MWTMid-water trawl
PSPurse seine
RRRod and reel
SPHLSport handline
SPORSport fisheries, unclassified
SURFSurface fisheries, unclassified
TLTended line
TRAPTrap
TROLTroll
UNCLUnspecified methods
OTOther type: Describe the type of gear
Original completed document must accompany exported shipment. Retain a copy for your records. The origina (imports) or a copy (exports) must be postmarked and mailed, or faxed, within 24 hours of import or export to: XXXX
Attachment 3Requirements Concerning the ICCAT Swordfish Re-export Certificate
1The sample form of the ICCAT Swordfish Tuna Re-export Certificate shall be as in Attachment 4.
2Customs or other appropriate government officials will request and inspect all import documentation including the ICCAT Swordfish Re-export Certificate for all swordfish in the shipment. Those officials may also inspect the content of each shipment to verify the information on the document.
3Only complete and valid documents will guarantee that shipments of swordfish will be allowed to enter the territory of Contracting Parties.
4A Contracting Party shall be free to validate ICCAT Swordfish Re-export Certificates for swordfish imported by that Contracting Party, to which ICCAT Swordfish Statistical Documents or ICCAT Swordfish Re-export Certificates are attached. ICCAT Swordfish Re-export Certificates shall be validated by government organizations, persons authorized by a government organization, or by recognized institutions which are accredited by a Contracting Party’s government to validate the ICCAT Swordfish Statistical Document. A copy of the original Swordfish Statistical Document accompanying the imported swordfish must be attached to an ICCAT Swordfish Re-export Certificate. The copy of the original Swordfish Statistical Document so attached must be verified by that government organization or by that recognized institution accredited by a government which validated the ICCAT Swordfish Statistical Document. When re-exported swordfish is again re-exported, all copies of documents, including a verified copy of a Statistical Document and Re-export Certificate which accompanied that swordfish upon importation, must be attached to a new Re-export Certificate to be validated by a re-exporting Contracting Party. All copies of the Documents to be attached to that new Re-export Certificate must be also be verified by a government organization or a recognized institution accredited by a government which validated the ICCAT Swordfish Statistical Document, or by persons authorized by a government organization.
5Shipments of swordfish that are accompanied by improperly documented Swordfish Re-export Certificate (improperly documented means that the Swordfish Re-export Certificate is either missing from the shipment, incomplete, invalid or falsified) will be considered illegitimate shipments of swordfish, that are contrary to ICCAT conservation efforts, and their entry will be suspended (PENDING RECEIPT OF A PROPERLY COMPLETED DOCUMENT) into the territory of a Contracting Party or subject to administrative or other sanction.
6ICCAT Contracting Parties that validate Re-export Certificates in accordance with the procedure set forth in paragraph 4 shall require from the re-exporting swordfish dealer necessary documents (e.g., written sales contracts) which are to certify that the swordfish to be re-exported corresponds to the imported swordfish. Contracting Parties which validate Re-export Certificates shall provide flag states and importing states with evidence of this correspondence upon their request.
7The import of fish parts other than the meat, i.e., head, eyes, roe, guts, tails may be allowed without the document.
Attachment 4
DOCUMENT NUMBERICCAT SWORDFISH RE-EXPORT CERTIFICATE
RE-EXPORT SECTION:1. RE-EXPORTING COUNTRY/ENTITY/FISHING ENTITY
2. POINT OF RE-EXPORT
3. DESCRIPTION OF IMPORTED FISH
Product Type (*)Net Weight(Kg)Flag country/ Entity/ Fishing entityDate of Import
F/FRRD/GG/DR/FL/ST/OT
4. DESCRIPTION OF FISH FOR RE-EXPORT
Product Type (*)Net Weight(Kg)
F/FRRD/GG/DR/FL/ST/OT
* F=FRESH, FR=Frozen, RD=Round, GG=Gilled and Gutted, DR=Dressed, ST=Steak, FL=Fillet OT=Other(Describe the type of product)
5. RE-EXPORTER CERTIFICATION: For export to countries/entities or fishing entities that have adopted the ICCAT alternative minimum size for swordfish, the exporter must certify that the listed Atlantic swordfish are greater than 15 kg (33 lb.) or if pieces, the pieces were derived from a swordfish weighing >15 kg.I certify that above information is complete, true and correct to the best of my knowledge and belief.NameCompany NameAddressSignatureDateLicense # (if applicable)
6. GOVERNMENT VALIDATION: I validate that above information is complete, true and correct to the best of my knowledge and belief.Name & TitleOrganizationSignatureDate
IMPORT SECTION:7. IMPORT CERTIFICATION: I certify that above information is complete, true and correct to the best of my knowledge and belief.I certify that the above information is complete, true and correct to the best of my knowledge and belief.Importer Certification (Intermediate Country/Entity/Fishing Entity)NameAddressSignatureDateLicense #(if applicable)Importer Certification (Intermediate Country/Entity/Fishing Entity)NameAddressSignatureDateLicense #(if applicable)Importer Certification (Intermediate Country/Entity/Fishing Entity)NameAddressSignatureDateLicense #(if applicable)Final Point of ImportCityState/ ProvinceCountry/ Entity/ Fishing Entity
SWOSD Re-Export Certificate: 2001
NOTE: IF A LANGUAGE OTHER THAN ENGLISH IS USED IN COMPLETING THIS FORM, PLEASE ADD THE ENGLISH TRANSLATION ON THIS DOCUMENT.
ICCAT Swordfish Re-export Certificate Instruction Sheet
DOCUMENT NUMBER:Block for the issuing Country/Entity/Fishing Entity to designate a Country/Entity/Fishing Entity coded document number.
(1) - RE-EXPORTING COUNTRY/ENTITY/FISHING ENTITYFill in the name of the Country/Entity/Fishing Entity which re-exports the swordfish in the shipment and issued this Certificate. According to the ICCAT Recommendation, only the re-exporting Country/Entity/Fishing Entity can issue this Certificate.
(2) - POINT OF RE-EXPORTIdentify the City/State Province and Country/Entity/Fishing Entity from which the swordfish was re-exported.
(3) - DESCRIPTION OF IMPORTED FISHThe exporter must provide, to the highest degree of accuracy, the following information: NOTE: One row should describe one product type. (1) Product type: Identify the type of product being shipped as either FRESH or FROZEN, and in ROUND, GILLED AND GUTTED, DRESSED, STEAK, FILLET or OTHER form. For OTHER, describe the type of products in the shipment. (2) Net weight: Net product weight in kilograms. (3) Flag Country/Entity/Fishing Entity: the name of the Country/Entity/Fishing Entity of the vessel that harvested the swordfish in the shipment. (4) Date of import: Imported date.
(4) - DESCRIPTION OF FISH FOR RE-EXPORTThe exported must provide, to the highest degree of accuracy, the following information: NOTE: One row should describe one product type. (1) Product type: Identify the type of product being shipped as either FRESH or FROZEN, and in ROUND, GILLED AND GUTTED, DRESSED, STEAK, FILLET or OTHER form. For OTHER, describe the type of products in the shipment. (2) Net weight: Net product weight in kilograms.
(5) - RE-EXPORTER CERTIFICATIONThe person or company re-exporting the swordfish shipment must provide his/her name, company name address, signature, date the shipment was re-exported, and re-exporter’s license number (if applicable).
(6) - GOVERNMENT VALIDATIONFill in the name and full title of the official signing the Certificate. The official must be in the employment of the competent government authority of the re-exporting Country/Entity/Fishing Entity appearing on the Certificate, or a person or institution authorized to validate such certificates by the competent government authority. The substitutional measure described in paragraphs A-D of the Resolution by ICCAT Concerning Validation by a Government Official of the Bluefin Statistical Document, adopted by the Commission in 1993 may be applied to the above requirements for the validations in this Swordfish Statistical Document Program.
(7) - IMPORTER CERTIFICATIONThe person or company that imports swordfish must provide his/her name, company name, address, signature, date the swordfish was imported, license number (if applicable) and re-exported final point of import. This includes imports into intermediate Countries/Entities/Fishing Entities. For fresh and chilled products, the signature of the importer may be substituted by a person of a customs clearance company when the authority for signature is properly accredited to it by the importer.
RETURN A COPY OF THE COMPLETED CERTIFICATE TO:(the name of the office of the competent authority of the re-exporting Country/Entity/Fishing Entity).
Attachment 5
Report of the ICCAT Swordfish Statistical DocumentPeriod ____________ (Month) to ____________ (Month), ______(Year) IMPORT COUNTRY/ENTITY/FISHING ENTITY ______
Flag Country/Entity/ Fishing EntityArea CodeGear CodePoint of ExportProduct TypeProductWt.(Kg)
F/FR RD/GG/DR/ST/FL/OT
SWOSD Biannual Report Form: 2001
GEAR CODEGEAR TYPE
BBBaitboat
GILLGillnet
HANDHandline
HARPHarpoon
LLLongline
MWTMid-water trawl
PSPurse seine
RRRod & reel
SPHLSport handline
SPORSport fisheries unclassified
SURFSurface fisheries unclassified
TLTended line
TRAPTrap
TROLTroll
UNCLUnspecified methods
OTHOther type (Indicate the type of gear):
Product type
FFresh
FRFrozen
RDRound
GGGilled & gutted
DRDressed
FLFillet
STSteak
OTOther form, describe the type of products in the shipment
Area Code
NATNorth Atlantic
SATSouth Atlantic
MEDMediterranean
PACPacific Ocean
IDIndian Ocean
Report of the ICCAT Swordfish Re-export CertificatePeriod ____________ (Month) to ____________ (Month), ______(Year) IMPORT COUNTRY/ENTITY/FISHING ENTITY ______
Flag Country/ Entity/Fishing Entity Re-export Country/ Entity/ Fishing Entity Point of Re-exportProduct TypeProductWt.(Kg)
F/FR RD/GG/DR/ST/FL/OT
SWOSD Biannual Re-Export Certificate Report Form: 2001
Product type
FFresh
FRFrozen
RDRound
GGGilled & gutted
DRDressed
STSteak
FLFillet
OTOther form, describe the type of products in the shipment
Attachment 6Information on Validation of ICCAT Statistical Documens
1Flag ________________________________
2Statistical Document (Bluefin, Bigeye, Swordfish, All): __________
3Government/Authority organization(s) accredited to validate Statistical Documents
Organization NameOrganization AddressSample Seal
NOTE: For each organization, attach a list with the names, titles and addresses of the individuals authorized to validate Documents.
4Other institutions accredited by the government/authority to validate Statistical Documents
Organization NameOrganization AddressSample Seal
Validation Information Form: 2001NOTE: For each organization, attach a list with the names, titles and addresses of the individuals authorized to validate Documents.
Instructions: Contracting Parties, non-Contracting Parties, Entities, Fishing Entities having vessels that harvest species whose international trade must be accompanied by ICCAT Statistical Documents are requested to submit the information on this sheet to the Executive Secretary of ICCAT1, and to ensure that any changes to the above are also transmitted to the Executive Secretary on a timely fashion.1ICCAT: c/Corazón de María, 8 (6th floor), Madrid, Spain 28002.