Compliance Monitoring Scheme Intersessional Working Group 2020 - 2022

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:

  1.  the development of a risk-based assessment framework to inform compliance assessments and ensure obligations are meeting the objectives of the Commission;
  2. 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;
  3. 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
  4. 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 2023/24.

2022

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 2022Any 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)

Symbol Title Files Date of Issue
Circ 2022-16 Launch of the New Online Compliance Case File System and Other Annual Reporting Updates file attachment (391.59 KB) 23 Mar 2022
Circ 2022-19 Updated CMS-IWG Workplan file attachment (208.72 KB) 20 Apr 2022
aCirc 2022-35 CMS-IWG Chairs Communication: CMS-IWG updated workplan 2022-2024 and updates on AP, RBAF and CCFS enhancements file attachment (493.79 KB) 31 May 2022
AP_May2022 WCPFC draft Audit Points - Compliance Monitoring Scheme
Comments requested on options on page 6 by June 15, and on draft Audit Points by July 22 (pdf version and word version are enclosed)
file attachment (1.37 MB)file attachment (364.06 KB) 31 May 2022
RBAF_May2022_rev11July Where to next? Development of a Risk-Based Framework for the WCPFC Compliance Monitoring Scheme - Discussion Document #5, May 2022 (and to access MS Excel supporting spreadsheet file)
Comments requested on questions in RBAF Discussion Paper by July 22 (pdf version and word version are enclosed, as well as copy of supporting MS Excel spreadsheet)
file attachment (505.76 KB)file attachment (758.63 KB)file attachment (80.99 KB) 11 Jul 2022
WCPFC-TCC18-2022-12 CMS-IWG paper in response to TCC17 recommendation on WCPFC data rules
(pdf version enclosed as well as MS Excel supporting file)
file attachment (382.71 KB)file attachment (34.59 KB) 19 Aug 2022
WCPFC-TCC18-2022-10A WCPFC Compliance Monitoring Scheme Audit Points -CMS-IWG Supplementary Draft
CMS-IWG Lead on Audit Points
file attachment (589.3 KB) 24 Aug 2022
WCPFC-TCC18-2022-11 A risk-based framework for the WCPFC Compliance Monitoring Scheme
CMS-IWG Lead on RBAF
(pdf version enclosed as well as MS Excel supporting file)
file attachment (679.18 KB)file attachment (94.28 KB) 1 Sep 2022

2021

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.

Symbol Title Files Date of Issue
Circ 2021-56 Compliance Monitoring Scheme Intersessional Working Group file attachment (533.35 KB) 15 Jul 2021
CMS_AP_July21 FFA Members Discussion Paper on CMS Audit Point file attachment (1014.84 KB) 15 Jul 2021
RBAF_July21 Development of a WCPFC Risk-Based Assessment Framework for the Compliance Monitoring Scheme - Proposal for WCPFC members' consideration and feedback
CMS-IWG Lead on Risk Based Assessment Framework (New Zealand)
file attachment (329.08 KB) 15 Jul 2021
WCPFC-TCC17-2021-13A Update to TCC17 on Progress of CMS-IWG file attachment (169.03 KB) 17 Sep 2021
RBAF_Sept2021 Compliance Monitoring Scheme: Risk-Based Assessment Framework (TCC17-2021-13B_rev2)
Lead on Risk-Based Assessment Framework
file attachment (561.5 KB)file attachment (666.19 KB) 27 Sep 2021
Circ 2021-88 Compliance Monitoring Scheme: Risk-based Assessment Framework Workshop file attachment (165.57 KB) 8 Oct 2021
CMS-IWG Chair Oct 2021 WCPFC CMS IWG: Risk Based Assessment Framework & Aggregated Summary Tables file attachment (28.82 KB) 20 Oct 2021
WCPFC-CMS-RBAF1-2021-02/03 Proposed Development of a WCPFC Risk-Based Assessment Framework for the Compliance Monitoring Scheme (Discussion Document and supporting spreadsheet for consideration and feedback at workshop on 10 November 2021)
Lead on Risk-Based Assessment Framework
file attachment (718.5 KB)file attachment (654.59 KB) 5 Nov 2021
WCPFC18-2021-29 Draft CMS IWG Workplan - for consideration at WCPFC18 file attachment (92.98 KB) 5 Nov 2021
WCPFC18-2021-CMS-RBAF Update on the Proposed Development of a WCPFC Risk-Based Assessment Framework for the Compliance Monitoring Scheme (for consideration at WCPFC18)
Lead on Risk-based Assessment Framework
file attachment (409.44 KB)file attachment (744.75 KB) 25 Nov 2021

Background on the broader work to review and enhance the CMS Scheme since 2010 may be accessed here

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