FAO ISSN 2070-7010 FISHERIES AND AQUACULTURE TECHNICAL PAPER 661 Transshipment: a closer look An in-depth study in support of the development of international guidelines Cover illustration: ©FAO/Lorenzo Catena FAO FISHERIES AND Transshipment: a closer look AQUACULTURE TECHNICAL An in-depth study in support PAPER of the development of international guidelines 661 by Alicia Mosteiro Cabanelas1 Fisheries Officer, FAO Glenn D. Quelch1 Consultant, FAO Kristín Von Kistowski1 Consultant, FAO Mark Young2 Executive Director, IMCS Giuliano Carrara1 Fisheries Officer, FAO Adelaida Rey Aneiros1 Consultant, FAO Ramón Franquesa Artés1 Consultant, FAO Stefán Ásmundsson1 Consultant, FAO Blaise Kuemlangan3 Chief, Development Law Service, FAO Matthew Camilleri1 Head, Fishing Operations and Technology Branch, FAO FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2020 1 Fishing Operations and Technology Branch, Fisheries - Natural Resources and Sustainable Production, Food and Agriculture Organization of the United Nations (FAO), Rome, Italy 2 International Monitoring, Control and Surveillance Network, Washington, D.C., United States of America 3 Development Law Service, Legal Office, Food and Agriculture Organization of the United Nations (FAO), Rome, Italy Required citation: Mosteiro Cabanelas, A. (ed.), Quelch, G.D., Von Kistowski, K., Young, M., Carrara, G., Rey Aneiros, A., Franquesa Artés, R., Ásmundsson, S., Kuemlangan, B. and Camilleri, M. 2020. Transshipment: a closer look – An in-depth study in support of the development of international guidelines. FAO Fisheries and Aquaculture Technical Paper No. 661. Rome, FAO. https://doi.org/10.4060/cb2339en The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. 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Users wishing to reuse material from this work that is attributed to a third party, such as tables, figures or images, are responsible for determining whether permission is needed for that reuse and for obtaining permission from the copyright holder. The risk of claims resulting from infringement of any third-party- owned component in the work rests solely with the user. Sales, rights and licensing. FAO information products are available on the FAO website (www.fao.org/ publications) and can be purchased through [email protected]. Requests for commercial use should be submitted via: www.fao.org/contact-us/licence-request. Queries regarding rights and licensing should be submitted to: [email protected]. iii Preparation of this document At its Thirty-second Session (Rome, Italy, 11–15 July 2016), the FAO Committee on Fisheries (COFI) encouraged FAO to initiate work on transshipment in the context of IUU fishing. In 2017, FAO initiated this work with a global review of transshipment regulations, practices and control mechanisms. The study, qualitative in nature, shed some light on the variety of transshipment practices, the coverage of transshipment regulations and the need to reinforce control of transshipment. The study was presented to the Thirty-third Session of COFI (Rome, Italy, 9–13 July 2018), which expressed further concern about transshipment activities, calling for an in-depth study to support the development of guidelines on best practices to regulate, monitor and control transshipment. The study was planned and conceptualized during the second quarter of 2019; a study team was convened, and the general concept, scope and work plan decided upon. Work commenced in the third quarter of 2019 and continued until the end of the year. Regular coordination meetings were held in Rome, during which the study team evaluated progress towards milestones, fine-tuning the study planning as appropriate. Fieldwork and background research were completed at the end of 2019. The drafting and preparation of the report began early in 2020. The intention is for this report to form the basis of discussions towards the development iv Abstract Ongoing concerns have been expressed by the international community regarding the risks that transshipment could facilitate the introduction of illegal, unreported or unregulated (IUU) fish or fish products into the seafood supply chain. Owing to such concerns, the Committee on Fisheries (COFI) of the Food and Agriculture Organization of the United Nations (FAO) requested that the subject be studied in-depth for the possible development of international guidelines on transshipment, based on best practice. The FAO fisheries operations and technology branch (NFIO, formerly FIAO) took up this request and formulated a study team to take the work forward. The study methodology was designed around five core elements: field visits, aiming to ensure a broad geographical balance; a global survey, pitched at FAO Members, regional fisheries management organizations (RFMOs), non-governmental organizations (NGOs) and industry stakeholders; specific case studies looking at tuna and squid fisheries; bilateral discussions with a broad range of RFMOs and due reference to published literature on the subject of transshipment and associated activities. Six months were spent applying the methodology, after which the results were collated and analysed, and the draft report prepared. The widespread and diverse nature of transshipment as a practice is striking. It occurs in all kinds of fisheries ranging from small-scale artisanal activities taking place in coastal areas, to large-scale industrial activity taking place on the high seas far from shore. Most operators would argue that transshipment activity is essential to their operations; unsurprisingly this is largely driven by economic factors. The study naturally gravitated towards a focus on risk. Its main line of enquiry focused on the extent to which the risks identified were mitigated by existing managerial arrangements, and what levels of residual risk remained. The implementation of existing measures was identified as a challenge. The study concludes with a discussion centred on identifying those managerial elements which could form the foundation for a discussion on the development of international guidelines based on best practice. v Contents Preparation of this document iii Abstract iv Acknowledgements ix Abbreviations and acronyms xi Executive summary xiii 1. Background 1 2. Methodology and approach 3 3. Findings 5 3.1 2019 Global transshipment survey 5 3.1.1 FAO Members 5 3.1.2 Regional Fisheries Management Organizations (RFMOs) 13 3.1.3 Non-Governmental Organizations (NGOs) 19 3.1.4 Industry stakeholders 22 3.2 Field missions 22 3.3 RFMO management and risk mitigation 41 3.4 Case studies 50 3.4.1 Tuna 50 3.4.1 Squid 59 3.5 Types of transshipment 66 4. Discussion 79 4.1 Occurrences and hotspots 79 4.2 Overview of drivers 89 4.2.1 Economics 90 4.2.2 Avoidance of control measures 97 4.2.3 Other drivers 102 4.3 Risks and impacts 103 5. Recommendations 109 5.1 Key elements for consideration in the development of 109 Global Guidelines 5.2 Areas of emerging and persistent concern 113 References 117 Annex I - 2019 Global Survey Questions 123 vi Tables 1. Percentage of reporting States reported to be applying management measures 11 2. Percentage of States implementing MCS Measures on transshipment operations 12 in 2017 3. Number of transshipment events and tonnage transshipped in different 14 location in 2017 4. Definition of terms included in the regulatory framework of reporting RFMOs 17 5. Availability of publicly searchable lists of vessels authorized to transship at sea 17 6. Requirements for notifications and authorizations to transship at sea 17 7. Responses to non-compliance 18 8. MCS measures used to control transshipment operations in 2017 18 9. Regions, countries and Ports visited during the fact-finding field missions 22 10. Authorities and stakeholders consulted in the port of Manta, Ecuador 23 11. Reefer arrivals by month in the port of Manta, Ecuador, based on limited 23 datasets for 2017 and 2019 and more comprehensive data for 2018 12.