APPENDIX G: GUIDELINES FOR THE CASE STUDIES

Purpose

Three countries have been selected as case studies for the Consultation. These countries are Cook Islands, Cyprus and Panama.^[244]

The purpose of the case studies is to:

· Highlight policies, legislation and methodologies employed in the three countries with respect to the registration of vessels, in particular fishing vessels;

· Explain what measures countries have in place, following registration, to meet flag State responsibilities and thus effectively exercise jurisdiction and control in administrative, technical and social matters over ships flying their respective flags;

· Discuss the problems that countries face in dealing with non-compliant flag vessels, and

· Outline the measures/sanctions imposed on vessels that infringe the terms of registrations and fishing authorizations.

Structure of the case studies

It would be most helpful if the three case studies are structured under the following headings.

Title

Abstract

There should be a short abstract (maximum 250 words) which provides a summary of the case study.

Introduction

Policy

This section should address the following questions:

· What is the general policy of the case study country for granting of nationality to vessels, for registration of vessels in its territory and for the right to fly its flag? Is there a specific policy concerning the registration of fishing vessels?

· How is policy on the registration of fishing vessels determined (e.g. which agencies of government participate in determining policy)?

· What is/are the goal/s of policy? Is it primarily one of revenue raising?

· Are domestically owned fishing vessels subject to different treatment than foreign owned fishing vessels?

· Are fishing vessels subject to different registration systems depending on whether they are operating in TW, EEZ or on the high seas?

· Are fisheries considerations and flag State responsibilities taken into account in determining policy?

· Are there periodic policy reviews?

Registration

This section should focus on the following issues:

· Location of the register and when it was established.

· Agency (e.g. an authority, ministry, private company etc) responsible for the operation of the registry.

· Linkages between the registry administrator and ministries of government (e.g. Fisheries Ministry, Finance Ministry, Ministry of Foreign Affairs etc.); if consultations/ collaboration takes place, with what frequency and at what level?

· Description of fees, levies and taxation in case of registration.

· Amount of revenue generated by the operation of the registry and the proportion accruing from fishing vessels?

· Number and details of fishing vessels registered.

· Advantages gained by fishing vessels in entering the registry.

· List of relevant laws and regulations governing registration of vessels in general and summary of specific legislation governing fishing vessels, with attached copies or excerpts of such laws and regulations (as annexes).

Procedure for the registration of fishing vessels

This section should deal with the following points:

· What is the definition of 'fishing vessel?' Are support vessels included in the definition?

· How can applications for registration be made (e.g. by letter, e-mail, fax etc.)?

· Steps a vessel owner must take in order to apply for registration (conditions to be met, documentation and technical certificates to required, other information to that must be provided).

· Is there a different procedure for registration of vessels, i.e. inscription on a register and granting of the flag, and for entering fishing vessels in a specific record of fishing vessels?

· Are there any fishing-related criteria for registration, such as fishing licences, authorizations, etc.?

· What investigations are undertaken to assess whether the vessel should be registered? In particular, are any checks made to determine whether a fishing vessel has been operating in an unauthorized manner or is on a so-called 'black list' of fishing vessels, or to determine a vessel's flag history or de-registration from other records?

· How long does it normally take to obtain registration?

· What are the conditions and causes (e.g. punitive measures) for de-registration, deletion from the records, loss of nationality?

· Is there a procedure for provisional registration? Duration? Conditions? When is it likely to be confirmed?

· Sample copies of registration form and flag documents that are issued (as annexes).

Exercise of flag State control over fishing vessels

· Are there any discernable trends in the ownership, type of vessel or fishing activities of the fishing vessels seeking registration?

· Are there criteria for the type of fishing vessel to be registered?

· Are there any circumstances under which a fishing vessel will not be granted a registration?

· Are there any restrictions on the operation of the vessel, once registered, such as area requirements, reporting routines, etc.?

· Is there any communication with/participation in coastal States arrangements or regional fishery bodies that have jurisdiction or a mandate over the area where vessels have fished/may be fishing?

· Summary of any laws and regulations relating to the exercise of flag State control over fishing vessels, with attached list (as annexes).

· If so, are there any MCS or enforcement activities?

· Accountability of vessel owners, operators, or representatives of fishing vessels?

· Description of initiatives that have been or can be taken by Government in case of non-compliant flag vessels, non compliance with technical measures, social measures, fisheries management measures?

Fishing authorizations

· control on type of fisheries and scale of fishing vessels for which registration is requested?

· Are any checks made to determine whether a fishing vessel seeking registration has an authorization by a coastal State or a regional fishery body to fish in the area where it intends to operate?

· specific sanctions imposed on fishing vessels that infringe the terms of registration and fishing authorizations.

Format and presentation

Case studies should be prepared in Word format and be provided to the Secretary of the Consultation electronically.

Each case study author will be invited to make a presentation of his/her study during the Expert Consultation. It is proposed that, in addition to a prepared paper to be distributed electronically to Experts prior to the Consultation, authors also prepare a PowerPoint presentation to facilitate delivery during the Consultation.

Length

The case study should be concise and not exceed 20 pages in length, excluding annex material (lists and summaries of laws and regulations, sample registration forms, etc.).

Submission

Each author is requested to provide his/her case study to the Secretariat of the Expert Consultation by 30 August 2003 at the latest. As soon as the studies are received they will be placed on the Expert Consultation website.

Consultation Secretariat/Contact persons

For further information please see http://www.fao.org/fi/meetings/ or contact: