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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.

This report presents the first study to use automatic identification system (AIS) data to examine the risks of unregulated fishing to ocean health. It also addresses the challenges faced by decision makers and regional management bodies to tackle unregulated fishing on the high seas of the Indian Ocean within the context of a failure to date to sustainably manage this global commons. The study discusses two institutional features that contribute to unregulated fishing on the high seas of the Indian Ocean: the gaps in spatial areas of competence and the gaps between the groups of species covered by regional fisheries management organisations (RFMOs).

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.

The TCN convened its 3rd Workshop in Bangkok, Thailand, from 22 to 24 February 2019. The Workshop focused on procedures to assess compliance in tuna RFMOs and gathered, among others, the officers responsible for compliance of the five tuna RFMOs and all Chairs of the Compliance Committees of these RFMOs.

Recognizing that an RFMOs' performance can be compromised due to not complying with conservation and management measures, the Pew Charitable Trusts, in collaboration with the International Seafood
Sustainability Foundation held a virtual workshop in 2020. Convening nearly 30 experts associated with RFMOs, the workshop identified important drivers of compliance, with the challenges involved in each and potential solutions.

Following their first virtual workshop in 2020, the Pew Charitable Trusts, in collaboration with the International Seafood Sustainability Foundation, held a virtual workshop in 2021. This workshop specifically covered the issue of transparency in RFMOs, an issue that experts identified in the last workshop as a driver toward improving RFMOs' compliance and assessment processes. Transparency is multifaceted, with experts recognizing that transparency can look different based on the situation (external vs. internal component), the parties involved, the sensitivity of data, and many other factors. But ultimately, the workshop identified the importance of transparency in RFMOs and gave detailed solutions for how to reach said goal.

The Tuna Compliance Network (TCN) was established to facilitate communication and cooperation between officers responsible for compliance and experts in Monitoring, Control, and Surveillance. Implementing Conservation and Management Measures, specifically for highly migratory species like Tuna, can be challenging for RFMOs; however, as an informal network, TCN provides a unique opportunity for the exchange of information to take place between tuna RFMOs.

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.

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 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 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 builds on the literature that the ISSF has conducted on analyzing tuna RFMOs transshipment regulations(See 2014-2018 reports). 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.

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.

The Western and Central Pacific Fisheries Commission (WCPFC) manages fishing activity in the Western and Central Pacific Oceans, one of the largest areas in the world and one of the most valuable fisheries in the world. However, their ability to enforce transshipment rules to prevent IUU fishing is severely lacking due to insufficient funds and resources, specifically when it comes to onboard observers. The observers have failed at monitoring the activities of both the fishing vessel and carrier vessel during transshipment and reporting that information for independent verification. By adopting rules already in use by other t-RFMOs, the WCPF can significantly improve its current transshipment regime.

Agreed on by leading NGOs engaged in global tuna sustainability, the best practices outlined ensure that at-sea transshipment is well-managed and transparent. The best practices come in three facets: management best practices, data reporting best practices, and monitoring best practices. The policies include 100 percent observer coverage either human or electronic for all at-sea transshipment events, require information on all at-sea transshipment events to be shared with the relevant RFMO, prohibit vessels from acting as both a fishing vessel and carrier vessel on the same trip and a multitude of other policies that fisheries can work towards implementing.

The inadequate regulatory control and monitoring of transshipment, especially at sea, create gaps that enable illicit activity. Recognizing this inadequacy and its consequences, the Pew Charitable Trusts calls for a ban on transshipment until best practices are implemented. They outline multiple best practices across three categories, reporting, monitoring, and data-sharing. By implementing these practices, all parties can be assured that adequate guidelines are in place to make transshipment a more effective and safe practice, not contributing to IUU fishing.

The number of reported high-seas transshipment events in the Indian Ocean Tuna Commission (IOTC) Convention Area has increased by over 94% between 2014 and 2018. This growth in transshipment activity has not been met with equal management and monitoring regulations. The Commission implemented Resolution 18-06 requiring that all transshipments occur in port but allows large-scale tuna fishing vessels (LSTVs) to transship at sea if they are authorized by their flag CPC and comply with other specific requirements. However, this paper analyzes transshipment operations reported to have occurred within the IOTC Convention Area and finds that the resolution has flaws and that high-seas transshipment is increasing with insufficient monitoring and compliance. All of these problems are given a recommendation on how to address them.

The Western and Central Pacific Fisheries Commission (WCPFC) has seen a staggering growth in transshipment activity within its Convention Area. Using publicly available information on transshipment
operations within the WCPFC, the WCPFC provides an analysis of transshipment and recognizes the need for additional management rules on transshipment within its Convention Area. Their analysis shows flaws in managing transshipment events and sharing and reporting data between other RFMOs and within their own carrier observers. Implementation of the best practices developed by the Pew Charitable Trusts could be a solution to this issue.

FISH-i Africa has identified an increasing number of squid vessels operating in the Northwest Indian Ocean (NWIO). The problem is that these squid fisheries are unregulated because the Indian Ocean Tuna Commission (the region's RFMO) only has a mandate over tuna and tuna-like species. These fisheries are deliberately fishing on the high seas outside countries' EEZ zones to bypass national jurisdiction. The report gives a detailed account of the activity and characteristics of this emerging squid fishery and provides sound reasoning for immediate management frameworks to protect the region and the species.