Review and Enhancement of the CMS Scheme

The Compliance Monitoring Scheme (the CMS Scheme) was first established by CMM 2010-03 Conservation and Management Measure for Compliance Monitoring Scheme, and was implemented as a trial during 2011 - 2015. A revised Conservation and Management Measure for Compliance Monitoring Scheme was implemented during 2016 - 2018. During 2017, the CMS Scheme was reviewed by an Independent Panel to assist CCMs to improve compliance with the Convention and CMMs provide clear recommendations on how best to implement the CMS. In 2018, an Intersessional Working Group was established to facilitate consideration of the Report from the Independent Review of the CMS and develop a proposed CMM for the Compliance Monitoring Scheme (CMM 2018-07) which was implemented in 2019. In 2020 and 2021, a new Conservation and Management Measure for the Compliance Monitoring Scheme is to be implemented and expiry was on 31 December 2021.  In 2022, the Commission amended the measure and committed to a multi-year workplan of tasks to enhance the CMS, with the aim of making it more efficient and effective by streamlining processes. An expiry date of 31 December 2023 has been set (CMM 2021-03 (382.69 KB)).

Quick Links

  • A reference page for the CMS-IWG to progress the future work tasks may be accessed here.

     

    2017/18 Review of CMS Scheme by an Independent Panel

    At WCPFC13, the Commission approved the Terms for a Review of the Compliance Monitoring Scheme (CMS) (WCPFC13 Summary Report, paragraph 142 & Attachment H) 130.28 KB.  The objective of the review was to assist CCMs to improve compliance with the Convention and CMMs and to this end the review was to be forward looking and provide clear recommendations on how best to implement the CMS. The CMS Review Panel was appointed on 18 April 2017.  

    A substantive report was presented by the CMS Review Panel at WCPFC14 WCPFC14-2017-25B, and a short paper by the Secretariat was also tabled WCPFC14-2017-25A  The final report was issued on 7 March 2018 for consideration by Members. On 19 March 2018 the final report was reissued, with the only change being the inclusion of a Executive Summary that was inadvertently omitted from the original submission: Final Report from the Independent Panel to review the Compliance Monitoring Scheme [with Executive Summary] (1.97 MB)

    2018 Intersessional Working Group facilitated consideration of the Report from the Independent Panel

    In 2018, an Intersessional Working Group led by the Republic of Marshall Islands facilitated the consideration by the Commission of the Report from the Independent Review of the CMS and develop a proposed CMM for the Compliance Monitoring Scheme (CMM 2018-07) which was implemented in 2019.   A reference page for the intersesional CMS IWG can be accessed here. CMM 2018-07 confirmed a commitment by the Commission to a multi-year workplan of tasks to enhance the CMS, with the aim of making it more efficient and effective by streamlining processes (CMM 2018-07 paragraph 45).

    2019/2020 Secretariat and Member-led work to enhance the CMS

    In 2019, TCC had considered a report prepared by the Secretariat  “Streamlining WCPFC Reporting Requirements - discussion paper (TCC15-2019-10)” and commenced work on the development of Audit Points (TCC15-2019-16). In 2020, the Secretariat was tasked to implement some streamlining suggestions in Annual Report Part 2 and there was a trial publishing of Annual Catch and Effort Tables and an update was presented to TCC16 (TCC16-2020-10).  TCC16 also considered a report prepared by the Secretariat “Review of the WCPFC online Compliance Case File System (TCC16-2020-12)” and in 2021 the Secretariat has been tasked to implement some enhancements to the Compliance Case File System.

    2020 - 2022 Intersessional Working Group established to facilitate the multi-year workplan of tasks to enhance the CMS

    In 2020, an Intersessional Working Group under the leadership of the Vice-Chair of TCC commenced work virtually to progress work intersessionally to undertake the CMS Future Work, including on audit points and the risk-based framework (CMM 2019-06 paragraph 46).

    In 2021, the Commision has 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:

    i.        the development of a risk-based assessment framework to inform compliance assessments and ensure obligations are meeting the objectives of the Commission;

    ii.      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;

    iii.    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

    iv.     the development of guidance on the participation of observers in the CMS process as outlined in CMM 2019-06.

    The Commission endorsed that New Zealand would lead the risk-based assessment framework task and Republic of Marshall Islands would lead the development of audit points in support of the CMS IWG Chair (Vice-Chair of TCC).  The Commission also tasked the TCC Chair to lead work intersessionally prior to TCC17, with a view to providing guidance on how TCC17 would consider the aggregated tables alongside the draft CMR. This work will also benefit from the TCC16 recommended analytical work that the Secretariat will be undertaking related to the CCFS and approaches to present the data.

    In 2022, the Commission agreed that the CMS would continue in force until 31 December 2023, with certain amendments:

    i.      The CMR review processs (provisional and final CMR processes), including the review of aggregate tables, shall be deferred in 2022 so that TCC can dedicate appropriate time to the completion of hte CMS Future Work components.

    ii.      TCC18 shall focus on completing the development of audit points, a risk-based assessment framework and the development of guidelines for observer participation in the CMS and provide recommendations to WCPFC19 to support WCPFC19's adoption of these work areas.  TCC18 shall also continue to consider: a) the process for reviewing the aggregated information referred to in paragraph 26(ii); b) the other components of the CMS Future Work; c) further improvements to the compliance case file system; and d) appropriate compliance assessment decision making processes.

    iii.      WCPFC19 shall adopt audit points and a risk-based asssessment framework for use in the 2023 CMR review;

    iv.      Notwithstanding subparagraph i) in 2022 and 2023, CCMs shall submit Annual Reports Part 1 and 2, Scientific data to be submitted to the Commission and Fished and Did not Fish report (CMM 2018-06 09); and

    v.       In 2023, TCC19 shall consider a CMR that assesses CCMs' compliance over the previous 2-year reporting period (RY2021 and RY2022) using the agreed audit point and risk-based assessment framework adopted by WCPFC19.  

    The Commission also 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.

    A reference page for the CMS-IWG to progress the future work tasks may be found here.

    Key Documents related to the Review and Enhancement of the CMS

    Symbol Title Files Date of Issue
    WCPFC13 Att H Approved Terms of Review of Compliance Monitoring Scheme in 2017 file attachment (130.28 KB) 6 Mar 2017
    Circular 2018-15 Final Report from the Independent Panel to review the Compliance Monitoring Scheme [with Executive Summary]
    Don MacKay, Andrew Wright and Christopher Rogers
    file attachment (1.97 MB) 7 Mar 2018
    WCPFC-SC15-2019-ST-WP-06 Streamlining reporting requirements discussion paper (for review by SC15)
    Secretariat
    file attachment (1.29 MB) 2 Aug 2019
    WCPFC-TCC15-2019-10 Streamlining WCPFC Reporting Requirements - discussion paper - a TCC Workplan 2019-2021 project related to the WCPFC Compliance Monitoring Scheme
    Secretariat
    file attachment (1.26 MB) 20 Sep 2019
    WCPFC-TCC15-2019-10A Synopsis of suggestions and options that are presented in TCC15-2019-10 Streamlining WCPFC Reporting Requirements Discussion Paper
    Secretariat
    file attachment (260.99 KB) 23 Sep 2019
    WCPFC-TCC15-2019-16 Update on CMS Audit Points work for TCC15
    Federated States of Micronesia
    file attachment (225.99 KB) 23 Sep 2019
    WCPFC-TCC15-2019-16_supplemental Final Supplemental Status Report on Audit Points
    CMS IWG Audit Points Chair
    file attachment (717.55 KB) 30 Sep 2019
    WCPFC16-2019-DP14 Draft Guidelines for participation of observers in closed meetings of the commission and its subsidiary bodies which consider the compliance monitoring report
    United States of America
    file attachment (76.69 KB) 5 Nov 2019
    WCPFC16-2019-IWG_CMSAuditPoints-01 Report from the IWG to develop CMS Audit Points
    Chair of the IWG to develop CMS Audit Points
    file attachment (1.49 MB)file attachment (114.26 KB) 21 Nov 2019
    WCPFC-TCC16-2020-10 Update on Streamlining of Annual Reporting Initiatives
    Secretariat
    file attachment (1.41 MB) 24 Aug 2020
    WCPFC-TCC16-2020-12 Review of the WCPFC online Compliance Case File System
    Secretariat
    file attachment (1.07 MB) 25 Aug 2020
    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-TCC17-2021-12 Update on progress to implement proposed WCPFC online Compliance Case File System enhancements
    Secretariat
    file attachment (156.82 KB) 2 Sep 2021
    WCPFC-TCC17-2021-10 Summary of submissions of Annual Reporting and update on initiatives to streamline annual reporting
    Secretariat
    file attachment (730.23 KB) 10 Sep 2021
    WCPFC-TCC17-2021-08A Overview of Compliance Monitoring Scheme matters for TCC17
    Secretariat
    file attachment (1.22 MB) 14 Sep 2021
    WCPFC-TCC17-2021-13A Update to TCC17 on Progress of CMS-IWG file attachment (169.03 KB) 17 Sep 2021
    WCPFC-TCC17-2021-IP13 First Virtual Expert Workshop on Best Practices in Compliance in RFMOs - 2020 file attachment (4.64 MB) 22 Sep 2021
    WCPFC-TCC17-2021-IP14 Second Virtual Expert Workshop on Best Practices in Compliance in RFMOs - the role of transparency in improving RFMO Compliance 2021 file attachment (667.67 KB) 22 Sep 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-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
    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
    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

    Copies of Past Conservation and Management Measures for the CMS

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