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This document was developed by an Expert Review Group based on outcomes from three Virtual
Expert Workshops on Best Practices in Compliance in RFMOs, convened by The Pew Charitable Trusts,
in collaboration with the International Seafood Sustainability Foundation (ISSF), with the support of a
Steering Committee. The document examines the compliance processes of the RFMOs and makes several recommendations for their strengthening.

A group of Chinese-linked distant-water squid fishing vessels have been identified regularly transmitting over MMSIs in the 150 series (not assigned to any country) and engaging in complex behaviour involving regular name changes over AIS, sharing of names and MMSIs between vessels and transmission of multiple MMSIs from individual vessels. Whilst this behaviour alone does not constitute IUU, it does make it extremely challenging to monitor the number of individual vessels and the activities of these vessels using AIS and confirm their identities - a matter of concern for RFMOs, coastal States and port States that the vessels interact with during their operations. The Joint Analytical Cell (JAC) consulted with China on the issues identified in the report and the results of this informative dialogue are captured in the final report.

The 2009 Port State Measures Agreement (PSMA) was the first legally binding international instrument to
empower port States to deny foreign vessels suspected of having engaged in illegal, unreported and unregulated (IUU) fishing from using their ports and to land catches. This paper builds upon previous work analyzing 2020 AIS data to rank fishing ports globally and assessing evolving port State risk and port States performance in PSMA implementation.

The assessment of the implementation of, and compliance with, agreed obligations is a key component of the internationally accepted fisheries governance regime. To fulfill the objectives of the tuna RFMOs, participants must implement and comply with a range of RFMO obligations. All the tuna RFMOs have recognized a need for a structured process to assess the implementation of, and compliance with, obligations and have adopted compliance assessment processes. Compliance assessment processes provide a framework to assess implementation and compliance in a structured and consistent way and may identify trends in compliance over time. Compliance assessment processes seek to improve the performance of an RFMO and to support participants to better meet their obligations.

Following the FAO's in-depth study "Transshipment: A closer look," this report captures contributions from the ground that aim to provide voluntary guidelines for the regulation, monitoring, and control of transshipment that are in fact robust, future-proof, and operationally achievable. The study recommends looking at seven key areas that would enable relevant authorities to minimize the risk of IUU-caught seafood entering the market and to ensure compliance with national and regional legal frameworks.

The performance of an RFMO can be compromised if members do not comply effectively with the CMMs they have created for themselves. Building on past work to analyze and support improved RFMO compliance mechanisms, in 2020, The Pew Charitable Trusts, in collaboration with the International Seafood Sustainability Foundation (ISSF) and other stakeholders, convened an Expert Workshop on Best Practices in Compliance in RFMOs to help identify challenges in RFMO compliance review mechanisms and suggest solutions for addressing these challenges. This report covers the range of ideas presented at the Workshop.

This paper reports on the Second Virtual Expert Workshop on Best Practices in Compliance in RFMOs convened in March 2021 by The PEW Charitable Trust and the International Seafood Sustainability Foundation. The second Workshop focused on the issue of transparency, which was regarded by participants at the first Workshop as a potential driver of improved quality of information, better data exchange internal to RFMOs and among States and RFMOs, stronger verification mechanisms and increased external confidence in RFMO compliance processes.
This report outlines the challenges and potential solutions when considering transparency across the various facets, roles and functions in RFMOs and, in particular, compliance review and assessment processes.

The Committee on Fisheries (COFI) of the Food and Agriculture Organization of the United Nations (FAO) requested an in-depth study of transshipment to develop international guidelines based on best practices. The FAO fisheries operations and technology branch took up the assignment and began its work in 2019. The team conducted a global study to shed light on current regulations, practices, and control of transshipment to assess the status quo. The study was finalized in 2020 and provides the most comprehensive foundation (based on a risk-based approach) for the development of international guidelines on transshipment, highlighting areas of persistent and emerging concern.

This report analyzed the movements of carrier vessels operating in the Western and Central Pacific Fisheries Commission (WCPFC) Convention area in 2016. Through analysis of AIS data, the report identified carrier vessel voyage patterns and quantity, carrier vessels' flag state patterns, the spatial distribution of potential transshipment on the high seas, and the port visit locations by carrier and flag states. The report also found that many carrier vessels did not transponder on AIS, leading to significant gaps in data on unreported transshipment events. Ultimately, the WCPFC’s management of transshipment in its Convention area is compromised by a lack of reported information on transshipment, coupled with non-compliance with reporting requirements and non-standardized reporting responses by CCMs on carrier vessels and their activities.

Transshipment at sea is a practice where refrigerated cargo vessels, also known as reefers, meet with fishing boats to exchange catch, fresh water, food and crew. Transshipment can greatly extend the time a vessel can spend at sea fishing. However, it compromises the transparency pertaining to environmental and social sustainability within the seafood industry as catch, both legal and illegal, from several fishing vessels are mixed onboard the reefer. Satellite-based AIS data and published data on the distribution of tuna was used to map tuna presence, spawning areas, and diversity. This study aims to connect transshipment vessels and distribution patterns of seven tuna species by correlating tuna distribution and spawning grounds with reefer activity.

This report reviews the transshipment measures of the five tuna RFMOs plus SEAFO and CCAMLR. Although each tuna RFMO generally prohibits at-sea transshipment except for large-scale longline fishing vessels with 100% observer coverage on the carrier vessels, the report discusses the relationship with other MCS measures leaves multiple gaps and shortfalls. Through the analysis of non-tuna RFMO transshipment measures in critical comparison, the report gives detailed recommendations to improve and strengthen tuna RFMO transshipment regulations.

The Environmental Justice Foundation (EJF) has found that many Western coastal countries in Africa have been unable to control and monitor transshipment at sea. These coastal countries have insufficient resources to inspect vessels before transshipment and instead rely on onboard observers monitoring for illegal activity, who have multiple shortcomings. With 37% of West African catch coming from IUU fishing, this activity puts marine management at risk and poses severe threats to the livelihoods of coastal countries' citizens. The EJF proposes banning transshipment at sea for these coastal countries, requiring them to work with the international community and improve their monitoring and control systems.

This paper highlights the use of transhipment activities to hide IUU fishing. Transshipment allows fishing vessels to stay at sea; sometimes for years at a time and has been linked to transnational crime and human rights violations. The Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing (PSMA) is a binding international treaty of the United Nations’ (UN) Food and Agriculture Organization (FAO).
With growing participation in the PSMA AIS data can be utilised to better inform the decision making process and implementation. This paper discusses the methodology and application of AIS which offers reliable and accessible information regarding port visits that has previously been difficult to obtain.

The international community has sought to limit or ban-transshipment at sea due to the difficulty it poses in monitoring IUU fishing and controlling its effects. The WCPFC has banned purse seine vessels operating within the WCPFC Convention Area; however, for longliners and other vessels, the WCPFC merely encourages them to conduct transshipment at sea to the extent practicable. Despite proper infrastructure at port, a precedent of other vessels conducting transshipment at port, and insignificant costs, CCMs have used the "impracticability" test to continue transshipping at sea. This paper proposes replacing the "impracticability" test with bright-line rules to put an end to CCMs' patterns of transshipment at sea.

In this research study, Global Fishing Watch uses AIS information to identify where transshipment can be happening and who is doing it. About 42 percent of potential rendezvous (what is identified through AIS data to track transshipments) occur on the high seas, with the rest happening within the EEZs of different nations–especially Russia. It is concerning, however, that those areas with higher levels of reported IUU fishing correlate with areas of high potential rendezvous. With such a high level of transshipments occurring on high seas, the global community could not only benefit from using AIS data to identify illegal transshipments but must also cooperate to address lax oversight and control. This revised report improves on the methodology of the earlier finding in February 2017.

In a study commissioned by the Pacific Islands Foreign Fisheries Agency (FFA), transshipment and purse seine vessels are analyzed concerning the benefits accrued to Pacific Island Countries (PICs). The study finds that transshipment at port has not brought increased revenue in the past 18 years (as of the time of writing.) As gross revenues have not increased, neither have transshipment fees; PICs could benefit from standardizing fees not only to increase revenues but also because these fees help support monitoring and fisheries management efforts. High seas longline transshipment is there to stay for PICs, it makes financial viability possible for the fishing industry, but PICs must continuously monitor where transshipment is happening, and what benefits are accrued.

This report reviews the transshipment measures of the five tuna RFMOs plus SEAFO and CCAMLR. Although each tuna RFMO generally prohibits at-sea transshipment except for large-scale longline fishing vessels with 100% observer coverage on the carrier vessels, their relationship, the report finds, with other MCS measures leaves multiple gaps and shortfalls. Through the analysis of non-tuna RFMO transshipment measures in critical comparison to the many shortfalls found with existing measures in tuna RFMOs, the report gives detailed recommendations to improve and strengthen tuna RFMO transshipment regulations.

The Committee on Fisheries (COFI) undertook a global report on transshipment activities including the state of transshipment regulations and practices, guidance on specific control mechanisms for transshipment, and the state of independent monitoring and control over transshipment. The COFI held a workshop to overlook their report and the Global Stakeholder Survey responses they received from 91 States. The workshop concluded, among various other findings, that transshipment threatens the marine environment and human rights abuses without effective monitoring and control. However, the practice is an important cost-effective fishing operation and does not in itself pose a threat to what was previously discussed–further research must be done to see the extent of illicit transshipment operations.

RFMOs have the role of managing fisheries on the high seas. However, they have been under scrutiny before in their conservation of fish and monitoring and enforcing legislation. With transshipment at high seas becoming an increasingly salient issue, strong RFMO enforcement is ever more needed. This study examined all RFMOs' regulations and gave them a score on stringency. While RFMOs have not become less stringent since the late 1990s, the study concludes that a moratorium on transshipment at sea is needed to alleviate the lack of comprehensive monitoring, control, and surveillance.

This 2019 report discusses the need for Observer reporting of transshipments to provide data to the tRFMOs that is independent and reliable from both the carrier vessel and the fishing vessel. The report highlights the issues surrounding Observer reporting in the WCPF Convention Area and the responsibilities of all stakeholders including the tRFMOs, the flag States and the coastal States in relation to monitoring vessels who transship on the high seas.