Review and Enhancement of the Compliance Monitoring Scheme

Evolution of the WCPFC Compliance Monitoring Scheme

Over the years, the Compliance Monitoring Scheme has been established, tested, reviewed, and updated multiple times. Below is a simplified timeline of its main milestones. As you scroll down, each section will go into more detail.

Detailed History and Key Milestones

 2017–2018: Independent Panel Review of CMS

At WCPFC13 (2017), the Commission approved the Terms of Reference for a full review of the CMS (WCPFC13 Att H). The goal was to:

• Help CCMs improve compliance with the Convention and associated CMMs.
• Provide clear, forward-looking recommendations on how to implement the CMS most effectively.

The CMS Review Panel was officially appointed on 18 April 2017. Their work included:

• Presenting an initial report at WCPFC14 (WCPFC14-2017-25B).
• Secretariat’s short paper at WCPFC14 (WCPFC14-2017-25A).
• Issuing the Final Report [with Executive Summary] on 7 March 2018 (reissued 19 March 2018 to include the omitted executive summary).

 2018: Intersessional Working Group (IWG) Considers Panel Report

Following the Independent Panel’s final report, WCPFC established an Intersessional Working Group led by the Republic of the Marshall Islands. Their tasks:

• Review the Independent Panel’s recommendations.
• Develop a proposed new CMS measure, which resulted in CMM 2018-07 (effective 2019).
• Commit to a multi-year workplan to streamline and strengthen the CMS (see paragraph 45 of CMM 2018-07).

Reference page for the CMS IWG.

 2019–2020: Secretariat & Members Work to Enhance CMS

During this period, both the Secretariat and Members focused on streamlining reporting and improving the online case file system:

• 2019:
  • TCC15 considered the Secretariat’s discussion paper, “Streamlining WCPFC Reporting Requirements” (TCC15-2019-10).
  • Development of Audit Points began (TCC15-2019-16).
• 2020:
  • Secretariat implemented streamlining suggestions in Annual Report Part 2 and trial publishing of Annual Catch & Effort tables; update presented to TCC16 (TCC16-2020-10).
  • TCC16 reviewed “Review of the WCPFC Online Compliance Case File System” (TCC16-2020-12).
• 2021: Secretariat tasked to implement enhancements to the CCFS (ongoing into 2021 and beyond).

 2020–2023: Intersessional Working Group Multi-Year Workplan

Starting in 2020, the IWG (under TCC Vice-Chair) began work on four main streams (some extending into 2022):

1. Risk-Based Assessment Framework
   Develop a system that focuses on areas of highest risk for non-compliance, helping TCC to prioritize reviews.
2. Audit Points & Checklist
   Create a clear list of specific obligations (audit points) that CCMs must meet, and provide a checklist for any new proposals to ensure potential audit points are identified early.
3. Aggregated Tables Process
   Establish how TCC should review aggregated Annual Report tables alongside draft Compliance Monitoring Reports (CMRs) (CMM 2019-06 paras. 33–34).
4. Observer Participation Guidelines
   Develop guidance on how non-CCM observers can attend closed meetings that discuss CMS issues (as outlined in CMM 2019-06).

Leadership & Progress

• New Zealand leads the risk-based assessment task.
• Republic of the Marshall Islands leads the audit points task (supporting the CMS IWG Chair, who is TCC Vice-Chair).
• TCC Chair leads intersessional guidance on how to integrate aggregated tables into CMR review prior to TCC17.
• Secretariat conducts analytical work on CCFS and data presentation approaches (recommendation from TCC16).

2022 Amendments

The Commission agreed that the CMS would remain in force until 31 December 2023, with amendments:

• CMR Review Process Deferred: In 2022, provisional and final CMR processes (including aggregated tables review) deferred so TCC could focus on CMS Future Work.
• TCC18 Priorities:
  • Complete development of audit points, risk-based framework, and observer participation guidelines.
  • Consider: (a) process for reviewing aggregated information (para 26(ii)); (b) other CMS Future Work components; (c) CCFS improvements; (d) compliance assessment decision-making.
• WCPFC19 Tasks (2023):
  • Adopt audit points and risk-based framework for 2023 CMR review.
• 2022 & 2023 Reporting: Despite deferrals, CCMs must still submit:
  • Annual Reports Part 1 & 2
  • Scientific data to the Commission
  • “Fished and Did Not Fish” reports (CMM 2018-06)
• 2023 CMR Scope: TCC19 will consider CMR covering a 2-year period (reporting years 2021 & 2022) using the newly adopted audit points and risk-based framework.

Note: The CMS IWG workplan has been adjusted intersessionally to reflect the 2022–2023 approach.

Under CMM 2023-04 (para 48), the Commission recommits to a multi-year workplan to make the CMS more efficient by streamlining processes. TCC will:

• Consider resource needs for Secretariat to support the workplan.
• Develop guidelines and operating procedures to implement the CMS (including but not limited to):
  • Explore technology investments to improve the CCFS.
  • Develop corrective actions that encourage CCM compliance when non-compliance is identified.
  • Develop guidelines for observer participation in closed CMS-related meetings.

 Key Documents Related to CMS Review & Enhancement

Past Versions of the CMS Conservation and Management Measure

Note: CMM 2021-03 (effective February 2022–February 2024) can be accessed here.