Compliance Monitoring Scheme Intersessional Working Group 2020 - 2023
During WCPFC16, “the Commission agreed to establish a Compliance Monitoring Scheme (CMS) Intersessional Working Group under the leadership of the Vice-Chair of TCC”. It was further agreed that the CMS Intersessional Working Group (CMS IWG) would work virtually to undertake the CMS future work plan, as outlined in section IX of CMM 2019-06 (WCPFC16 Summary Report, paragraph 563).
As a reminder, at WCPFC17 the Commission prioritized the following four items for consideration by the CMS IWG in 2021 and 2022 (WCPFC Summary Report, paragraph 377):
The Commission noted in paragraph 129 of the TCC16 Summary Report that TCC16 had affirmed the importance of all the future work called for in section IX of CMM 2019-06 and supported the prioritisation of four streams of intersessional work for the CMS IWG in 2020/21 and recognised that some elements may extend until 2022:
- the development of a risk-based assessment framework to inform compliance assessments and ensure obligations are meeting the objectives of the Commission;
- the development of audit points to clarify the Commission obligations assessed under the CMS, as well as a checklist to be used by proponents of any proposal to include a list of potential audit points for the consideration of the Commission;
- the development of a process for TCC to consider the aggregated tables alongside the draft CMR (paragraph 33 and 34 of CMM 2019-06); and
- the development of guidance on the participation of observers in the CMS process as outlined in CMM 2019-06.
The task of the CMS IWG was initially to progress each of these four elements in 2021 and 2022. The Commission at WCPFC18 extended the work of the CMS IWG to 2022/23.
On 6 April 2023, a draft terms of reference for the development of corrective actions was circulated for review and comment by the CMS-IWG (Circular 2023/31)
The updated TCC workplan 2022 - 2024 as endorsed by the Commission at WCPFC19, anticipates additional CMS-IWG related activities being progressed during 2023. On 4 May 2023, a Circular was issued by the TCC Vice-Chair/CMS-IWG Chair providing updates on the priority tasks to enhance the Compliance Monitoring Scheme in 2023 (Circular 2023/38).
|Symbol||Title||Files||Date of Issue|
Commencing the CMS-IWG work on Corrective Actions
Comments and Feedback are requested by Friday May 5 2023, to the WCPFC Lead on Corrective Actions, with cc to the TCC Vice Chair and Compliance Manager
|(321.05 KB)||6 Apr 2023|
Compliance Monitoring Scheme Intersessional Working Group – Following up on the priority tasks to enhance the Compliance Monitoring Scheme in 2023
Comments and Feedback on the proposed 2023 work for CMS-IWG are requested by Monday May 29 2023, to the TCC Vice-Chair/CMS-IWG Chair, with cc to the Compliance Manager
|(137.82 KB)||4 May 2023|
|Circ 2023-64||CMS-IWG Outstanding Audit Points||(1.06 MB) (273.21 KB)||16 Aug 2023|
Updates on the Progress in the Development of Corrective Actions and Proposed Way Forward
TCC Vice Chair and CMS-IWG Lead on Corrective Actions
|(413.78 KB)||12 Sep 2023|
Update on Outstanding Audit Points
CMS-IWG Lead on Audit Points
|(260.92 KB)||15 Sep 2023|
|Circ 2023-78 and Circ 2023-74||Updates on Corrective Action - September 2023||(1.15 MB) (291.23 KB)||26 Sep 2023|
In March 2022, the Secretariat advised of the launch of the new online Compliance Case File System (Circ 2022-16 (391.59 KB)). The minimum requirements of the CCFS, discussions at TCC17 and taskings through WCPFC18's approval of the TCC Workplan 2022 - 2024 which includes trialing a messaging tool to track observer report requests, have formed the basis for the new CCFS. The aim remains to enhance and improve the ease of use of the system. For CCM's information a more detailed document was included as Attachment 1 in Circular 2022-16 'Update on Progress to Implement Proposed Online Compliance Case File System Enhancements' summarises relevant TCC and Commission decisions, and Secretariat actions in response to these taskings.
On 31 May 2022, an updated workplan for the CMS-IWG was circulated which considered CCMs comments received on a version of the workplan that was issued in April 2022 (CMS-IWG Chairs Communication: CMS-IWG updated workplan 2022-2024 and updates on AP, RBAF and CCFS enhancements (493.79 KB)). The updated workplan took into consideration the amendments to CMM 2021-03 and was developed in consultation with the Secretariat and the respective leads on the development of a risk based assessment framework and the development of audit points. The objective of the workplan is to develop a clear timeline of the anticipated work of the CMS IWG in order to complete the tasks included in the CMS future work plan, as outlined in Section IX of CMM 2021-03.
Also circulated on 31 May 2022 was a paper providing draft Audit Points (AP_May2022 (1.37 MB364.06 KB)), and a Risk Based Assessment Framework Discussion Paper with a supporting spreadsheet file (RBAF_May2022_rev11July (505.76 KB758.63 KB80.99 KB)). Views from IWG participants on the options to progress the Audit Points work are to be submitted to the CMS IWG Chair and the Audit Points lead by Wednesday 15 June 2022. Any responses to the Chairs letter and feedback on the enclosed papers are requested by Friday 22 July 2022 to the CMS-IWG Chair (cc: the lead on the development of a risk based assessment framework, the lead on the development of audit points, and Compliance Manager)
In respect of the CMS Future Work tasks, WCPFC19 expressed its sincere appreciation to the CMS -IWG Lead on Risk Based Assessment Framework (RBAF), Ms Heather Ward (New Zealand) and the CMS-IWG Lead on Audit Points, Ms Rhea Moss-Christian (Republic of Marshall Islands). The RBAF was endorsed as a useful tool that CCMs may use to guide their consideration of future lists of obligations for review through the CMS WCPFC19-2022-CMS-RBAF (769.26 KB94.33 KB). A set of audit points were adopted for the Compliance Monitoring Scheme and an audit points checklist for proposed new or amended obligations was also endorsed. WCPFC19 agreed to prioritize work on the remaining audit points in 2023 and endorsed the proposed approach from the TCC Chair Mat Kertesz for the process to review aggregate tables in 2023 . WCPFC19 also welcomed the nomination by the United States for Ms. Elizabeth O'Sullivan lead work through the CMS IWG to develop corrective actions to encourage and incentivize CCM's compliance with the Commission's obligations, where non-compliance is identified, and encourages CCMs to participate in this work.
In the table below copies of 2021 communications and draft papers from the CMS-IWG Chair and leads are provided. A link to the 2021 Workshop on Risk-based assessment framework (CMS-RBAF1) held on Wednesday 10 November 2021 is here
At WCPFC18, the Chair of the Compliance Monitoring Scheme Intersessional Working Group (CMS IWG) presented a draft workplan for the CMS IWG in 2022 and beyond, for consideration by WCPFC18. The draft workplan was prepared in response to the following TCC17 recommendation (TCC17 Summary Report, paragraph 112):
112. TCC17 noted the need for a clear pathway to progress the work of the CMS-IWG and tasked the CMS-IWG Chair (the TCC Vice Chair) to work with the leads of the work streams to provide advice to WCPFC18 on a workplan for the IWG for 2022.
During WCPFC18, based on amendments to the Commission’s Compliance Monitoring Scheme (CMM 2021-03), the Commission noted the following (WCPFC18 Summary Report, paragraph 332):
332. The Commission noted that the CMS-IWG workplan will be modified intersessionally to take into account the approach to the Commission’s Compliance Monitoring Scheme in 2022 and 2023.
Background on the broader work to review and enhance the CMS Scheme since 2010 may be accessed here