1. Tuna Data Workshop 24 – 28 April 2017 SPC, Noumea
Compliance Monitoring Scheme & WCFPC Reporting Obligation: AR Pt1 Addendum
Tuna Data Workshop
24 – 28 April 2017
SPC, Noumea

2. CMM 2015-07: CMS Purpose 1. … The CMS is designed to:
assess CCMs’ compliance with their obligations;
(ii) identify areas in which technical assistance or capacity building may be needed to assist CCMs to attain compliance;
(iii) identify aspects of conservation and management measures which may require refinement or amendment for effective implementation;
(iv) respond to non-compliance through remedial options that include a range of possible responses that take account of the reason for and degree of non-compliance, and include cooperative capacity-building initiatives and, in case of serious non-compliance, such penalties and other actions as may be necessary and appropriate to promote compliance with CMMs and other Commission obligations;1 and
(v) monitor and resolve outstanding instances of non-compliance.

3. CMS process Capacity Development Plan: CMM 2015-07 para 5
Status Report: CMM para 8
New status in Annex 1 CMM : Capacity Assistance needed; Flag State Investigation
Capacity Assistance Need
5. Notwithstanding paragraph 3, where a SIDS or Participating Territory, or Indonesia or the Philippines cannot meet a particular obligation that is being assessed, due to a lack of capacity2, that CCM shall provide a Capacity Development Plan to the Secretariat with their draft Compliance Monitoring Report (dCMR), that:
(i) clearly identifies and explains what is preventing that CCM from meeting that obligation;
(ii) identifies the capacity building assistance needed to allow that CCM to meet that obligation;
(iii) estimates the costs and/or technical resources associated with such assistance, including, if possible, funding and technical assistance sources where necessary;
(iv) sets out an anticipated timeframe in which, if the identified assistance needs are provided, that CCM will be able to meet that obligation.
The CCM may work together with the Secretariat to draft the Capacity Development Plan. This plan shall be attached to that CCM’s comments to the dCMR.
Investigation Status Report
8. Where a CCM cannot complete an investigation prior to TCC, that CCM shall provide a Status Report to the Secretariat with the dCMR, that:
(i) describes the steps that have been taken to commence the investigation;
(ii) describes the process that CCM will take to complete the investigation, within their relevant national processes and laws;
(iii) describes, to the extent possible, actions proposed to be taken in relation to the alleged violation;
(iv) sets out an anticipated timeframe in the Status Report
The CCM may work together with the Secretariat to draft the Status Report. This report shall be attached to that CCM’s comments to the dCMR.

4. CMS process: important dates
MTU Audit Inspections; Online Compliance Case File system
Annual Reports
1 July:
AR Pt2
Fish/Did not fish
(AU, CK, FM, FJ, KI, MH, NZ, PF, PG,SB, TO, TV, VU)
10 July:
AR Pt1
Draft CMR (dCMR))
3 Aug:
dCMR to each CCM
30 Aug:
Responses to dCMR from CCMs
12 Sept:
dCMR to all CCMs
27 Sept – 3 Oct:
TCC 13
Other data sources - ROP, RFV, CMM reporting…
+ Capacity Dev. Plan
+ Status Report
Green box: due date for CCMs
Orange: due date for Secretariat
Blue: meeting
Fish/did not fish report relevant to: AU, CK, FSM, FJ, KI, MH, NZ, PNG, SB, TO, TV, VU (12 FFA members) – sent out to relevant CCMs in 1st wk of March
The template is completed by using the drop down selection which provides the choice of "Fished" or "Not Fished" status for each individual vessel.  For your ease of reference, paragraph 9 of CMM vessels says: the indication of "Fished" in this report means, it is a vessel that appeared in a CCMs record of fishing vessels at any time during the preceding calendar year and which "fished for highly migratory fish stocks in the Convention Area beyond its area of national jurisdiction.“
MTU audit inspection list + online compliance case file system – case file system is updated as information become available
Capacity Development Plan: CMM para 5
Status Report: CMM para 8
New status in Annex 1 CMM : Capacity Assistance needed; Flag State Investigation
Capacity Assistance Need
5. Notwithstanding paragraph 3, where a SIDS or Participating Territory, or Indonesia or the Philippines cannot meet a particular obligation that is being assessed, due to a lack of capacity2, that CCM shall provide a Capacity Development Plan to the Secretariat with their draft Compliance Monitoring Report (dCMR), that:
(i) clearly identifies and explains what is preventing that CCM from meeting that obligation;
(ii) identifies the capacity building assistance needed to allow that CCM to meet that obligation;
(iii) estimates the costs and/or technical resources associated with such assistance, including, if possible, funding and technical assistance sources where necessary;
(iv) sets out an anticipated timeframe in which, if the identified assistance needs are provided, that CCM will be able to meet that obligation.
The CCM may work together with the Secretariat to draft the Capacity Development Plan. This plan shall be attached to that CCM’s comments to the dCMR.
Investigation Status Report
8. Where a CCM cannot complete an investigation prior to TCC, that CCM shall provide a Status Report to the Secretariat with the dCMR, that:
(i) describes the steps that have been taken to commence the investigation;
(ii) describes the process that CCM will take to complete the investigation, within their relevant national processes and laws;
(iii) describes, to the extent possible, actions proposed to be taken in relation to the alleged violation;
(iv) sets out an anticipated timeframe in the Status Report
The CCM may work together with the Secretariat to draft the Status Report. This report shall be attached to that CCM’s comments to the dCMR.
Provisional CMR
(pCMR)
3 Nov:
CCMs add. info relating to pCMR
2 – 8 Dec:
WCPFC 14
Final CMR
(fCMR)

5. Conservation & Management Measures (CMMs)
Species specific CMMs
Compliance CMMs
Other CMMs
TT CMM [ ]
HS FAD closures & catch retention
TRP for SKJ
Harvest strategy approach
NP ALB
MLS in SW Pacific
Swordfish
NP MLS
SP ALB
PBT [ ]
Marking and Identification of FVs
UVI
RFV
RFV SSPs
IUU List
Vessels without Nationality
Charter [ ] 
Monitor landings of PS-ers at ports
EHSP [ ]
HS Daily C&E reporting
ROP
ROP
(N20N)
Protection of ROP observers
Transhipment
WCPFC VMS
HSBI
HS Driftnet fishing
Prohibit fishing on data buoys
CNM
CMS
Resolution on CMMs
Criteria for consideration of CMMs
Special requirements of SIDS
Key:
Red: AR Pt1
Italics: AR Pt2
Underline: CMR
Those that are shaded eg ROP are not in AR Pt2/CMR\
By-catch:
Sea Turtles; Cetaceans; OCS; Seabirds
& Sharks; Whale Sharks; Silky Sharks;
+ Convention Articles
+ Scientific Data to be provided
Full list of CMMs in force + other obligations to be assessed in the CMS review process
The Commission adopted the updated list of obligations to be assessed by the CMS (Attachment I) (WCPFC13 para 158)

6. AR Pt 1 Addendum & CMR Brief description CMM AR Pt1 Addendum
(CMM para)
Other para in CMR
NP ALB 4
2, 3
S/Marlin in SW Pacific
SWO 8
1,2, 3
Transhipment 11
13, 29, 34, 35
Sharks
6, 9, 12
Cetaceans
Oceanic whitetip 3
Whale sharks 6
1, 3
Seabirds 9
Silky Sharks
SP ALB 1
Observer coverage
WCPFC11
para 484(b)
assess in Att K Ann C 06
The Commission adopted the updated list of obligations to be assessed by the CMS (Attachment I) (WCPFC13 para 158) – in green
# means the CMM wasn’t assess last year
In red – means that there are alleged infringments related to these CMMs in the online Case File System
Issues from last year:
sec vii – for TV, VU, FJ (late submission of report)
(vii) – CCMs to check and update case file system
Att K Ann C 06 – 5% OBS coverage – FSM, TV & VU assessed as PNC (perhaps this is one of those obligations where CCMs may submit a CDP)
– KI, PG, VU – had issues with this one – report to be submitted with AR Pt1 so will talk more on this at TDW
– KI, VU were PNC
a (iii) & (iv) – KI, VU had issues – VU to check CCM portal for transhipment gaps in 2016
Green: obligations that will be assessed in the CMS process
Red: alleged infringements in the online Compliance Case File system
Blue: supporting documentations in CCM portal (VU)

7. Annual Report Part 1 Addendum
Symbol
Title
SC-01
Annual Report to the Commission, Part 1 [Information on Fisheries Research and Statistics] (revised to reflection decision as at WCPFC13)
Symbol: SC-01
Title: Annual Report to the Commission, Part 1 …

8. NP Albacore & Striped Marlin
CMM
In 2016, did you have flagged vessels that operated in the applicable area?
Did your vessels catch these species?
CMM
4. All CCMs shall report annually to the WCPFC Commission all catches of albacore north of the equator and all fishing effort north of the equator in fisheries directed at albacore. The reports for both catch and fishing effort shall be made by gear type. Catches shall be reported in terms of weight. Fishing effort shall be reported in terms of the most relevant measures for a given gear type, including at a minimum for all gear types, the number of vessel-days fished.1
footnote 1: The first such report shall be due on April 30th, 2006 and shall cover calendar year Small Island Developing States will make their best efforts to comply with this first reporting deadline.
*Note: WCPFC10 clarified that this reporting responsibility lies with the flag State.
CMM
4. In accordance with paragraph 1, CCMs shall provide information to the Commission, by 1 July 2007, on the number of their vessels that have fished for striped marlin in the Convention area south of 15°S, during the period 2000 – 2004, and in doing so, nominate the maximum number of vessels that shall continue to be permitted to fish for striped marlin in the area south of 15°S. CCMs shall report annually to the Commission the catch levels of their fishing vessels that have taken striped marlin as a bycatch as well as the number and catch levels of vessels fishing for striped marlin in the Convention Area south of 15°S.
Note:
In 2016, did you have flagged (chartered) vessels that operated in the relevant CMM area of application? And did your vessels catch this species?
If YES to both questions – then the reporting provisions of these CMMs would be applicable
Star – indicate obligation is assessed this year in the CMS review process
CMM

9. Swordfish
CMM
8. CCMs shall report to the Commission the total number of vessels that fished for swordfish and the total catch of swordfish for the following:
a. vessels flying their flag anywhere in the Convention Area south of 20°S other than vessels operating under charter, lease or other similar mechanism as part of the domestic fishery of another CCM;
b. vessels operating under charter, lease or other similar mechanism as part of their domestic fishery south of 20°S; and does this refer to vessels only notified under charter scheme?
c. any other vessels fishing within their waters south of 20°S.
This information shall be provided in Part 1of each CCM’s annual report.
*Note: WCPFC11 confirmed a common understanding that “total catch” in this reporting requirement refers to both targeted and bycatch catches of swordfish.
Note:
In 2015, did you have flagged (chartered) vessels that operated in the relevant CMM area of application? And did your vessels catch this species?
If YES to both questions – then the reporting provisions of these CMMs would be applicable
CMM
1. In 2016, did you have flagged vessels that operated in this area?
2. Did your vessels catch swordfish?

10. Remember: Guidelines in Annex II
Transhipment
CMM
1. In 2016, did you have flagged vessels that transshipped? (in port, in EEZ areas or in high seas)
2. If YES, this reporting requirement is applicable
Remember: Guidelines in Annex II
CMM CCMs shall report on all transhipment activities covered by this Measure (including transhipment activities that occur in ports or EEZs) as part of their Annual Report in accordance with the guidelines at Annex II. In doing so, CCMs shall take all reasonable steps to validate and where possible, correct information received from vessels undertaking transhipment using all available information such as catch and effort data, position data, observer reports and port monitoring data
Specific fields to be reported on as listed in Annex II of CMM Emphasize the need to report on all fields in Annex II (this is where most have problems in previous years)
Historically, this is one of the obligations most CCMs were non-compliant with - (3 CCMs from FFA group were non-compliant/PNC with this last year)
Note para 2: The provisions of this Measure shall apply to all transhipment in the Convention Area of all highly migratory fish stocks covered by the Convention. CCMs that tranship outside the Convention Area highly migratory fish stocks covered by the Convention taken in the Convention Area shall provide the information related to those activities, as required in paragraphs 10, 11 and 12. Highly migratory fish stocks covered by the Convention shall not be transhipped at sea by purse seine vessels outside the Convention Area consistent with paragraph 25 of this measure.

11. Bycatch CMM 2012-04 Whale Sharks CMM 2011-04 Oceanic Whitetip
CMM Cetaceans
CMM Whale Sharks
CMM Oceanic Whitetip
CMM Seabirds
(there is a prescribed template – Annex II)
Reporting requirements for these CMMs are not area specific - for Convention Area
Relevant para:
CMM para 4
CMM para 3 *
CMM para 6
CMM para 9: In 2015, did you have flagged vessels that fished? If YES – this reporting provision would be applicable (there is a prescribed template attached to the CMM, as Annex II)
CMM para para 3 *effective 1 July 2014
CMM CCMs shall annually provide to the Commission, in Part 1 of their annual reports, all available information on interactions with seabirds reported or collected by observers, including mitigation used, observed and reported species specific seabird bycatch rates and numbers, to enable the Scientific Committee to estimate seabird mortality in all fisheries to which the WCPFC Convention applies. See Annex 2 for Part 1 reporting template guideline. Alternatively, statistically rigorous estimates of speciesspecific seabird interaction rates (for longline, interactions per 1,000 hooks) and total numbers should be reported.
Reporting for CMMs on Cetaceans, OCS, Silky Sharks, Whale Sharks
The CMM requires that CCMs ensure their vessels report instances of fishery interactions with species of special interest.
Did your flagged vessels report instances of any interactions with species of special interest (as specified in relevant CMMs)?
If YES, then a report is expected which meets the requirement of the CMM?
If NO, you may like to check the ROP observer reported information, because this may suggest that reporting was incomplete by your vessels?
CMM Silky Sharks
Another source of information: Observer reports

12. South Pacific Albacore
CMM
4. CCMs shall report annually to the Commission the annual catch levels taken by each of their fishing vessels that has taken South Pacific albacore, as well as the number of vessels actively fishing for South Pacific albacore, in the Convention area south of 20°S. Catch by vessel shall be reported according to the following species groups: albacore tuna, bigeye tuna, yellowfin tuna, swordfish, other billfish, and sharks. Initially this information will be provided for the period and then updated annually. CCMs are encouraged to provide data from periods prior to these dates.
Note in practice, this is implemented through the reporting in AR Pt 1
Note:
In 2016, did you have flagged vessels that operated in the relevant CMM area of application? And did your vessels catch this species?
If YES to both questions – then the reporting provisions of these CMMs would be applicable
CMM
In 2016, did you have flagged vessels that operated in this area?
2. Did your vessels catch albacore?

13. Other decisions – LL Coverage
CCMs are expected to include in Annual Report Part 1 their reported longline observer coverage for the previous calendar year (WCPFC 11 para 484 (b)
Sample format
In 2016, did you have flagged vessels that operate in the high seas of the Convention Area or in more than one EEZ?
If YES, this reporting requirement is applicable
WCPFC Circular (also see paragraphs 483 – 486 of WCPFC11 Summary Report)
Include in Annual Report Part 1 longline observer coverage for the 2016 calendar year

14. Reminder
Confirm if you have nothing to report eg. “there was no seabird interaction”
Some reporting requirements are area specific eg. SP ALB – S 20 S
Some reporting requirements have reporting guidelines/templates eg. transhipment, seabird
Report on what you are ask to report on – refer to language of CMM - see
Suggested checklist
Annual Report Part 1 due 10 July 2017
To: and

15. Charter Notification Scheme: CMM 2016-05
Chartering CCM notify ED 15days, or in any case, within 72 hours before commencement of fishing, of any vessel to be identified as chartered
ED immediately notify the flag State
Chartering CCM notify ED & Flag State of any change in info to para 2
Chartering CCM to report annually to the ED catch and effort of chartered vessels in the previous year

16. Thank you