The process on how to provide response/s to the alleged infringements is similar for all six CCFS lists:
- Article 25-2 Compliance Cases
- FAD Sets Alleged Infringements
- Observer Obstruction Alleged Infringements
- Shark Catch Alleged Infringements
- ROP Pre-Notification Issues
- Cetaceans and Whale Shark Interactions
For an overview of each list please refer to Accessing the online Compliance Case File System (CCFS).
Select the CCFS list that you would like to view. In the screen shots that follow, the "FAD Sets Alleged Infringements" list was used as an example (see red circle below).
- If there are any alleged FAD sets infringements that relate to your flagged vessels reported by observers, these will be listed in the window shown below.
- If you are a ROP observer provider you may also see alleged FAD sets infringements that have been notified to another CCM, which relate to observers that were sourced from your observer programme. Where applicable coastal CCMs and chartering CCMs, will also be able to view relevant compliance cases through the online system.
- Otherwise, there will be blank/nothing for CCMs who did not have any alleged FAD sets infringements that relate to their circumstances.
- The full text of the relevant obligation (CMM paragraph) may be viewed by clicking on the blue text that is shown in list view below the REQUIREMENT heading.
Viewing a CCFS lists using alternative view formats
You can also change the view of the list of compliance cases from the default display that lists cases in alphabetical order “By Vessel Trip”. This is done by clicking on one of the listed views shown below the heading for ‘FAD sets Alleged Infringements, for example in the below screen shot the choices are “By Vessel Trip” or “All Items” or "sys".
Additional views, including specific subsets of the viewable compliance cases within a list, can be accessed by clicking on the three dots (…) shortcut (above). These will include:
- By Location – shows the complete list of viewable compliance cases grouped by EEZ-IW code
- By Status – shows the complete list of viewable compliance cases grouped by “Infringement status” (NEW CASE, Investigation IN PROGRESS, or Investigation COMPLETED”)
- By Year by Status – shows the complete list of viewable compliance cases grouped by “Year”, and then sub-grouped into “Infringement status”
- Status – NEW CASE – shows a subset of viewable compliance cases where “Infringement status” = NEW CASE. These are sub-grouped into “Year” and “flag CCM”
- Status – Investigations COMPLETED – shows a subset of viewable compliance cases where “Infringement status” = Investigation COMPLETED. These are sub-grouped into “Year” and “flag CCM”
- Status – Investigations IN PROGRESS – shows a subset of viewable compliance cases where “Infringement status” = Investigation IN PROGRESS. These are sub-grouped into “Year” and “flag CCM”. A screen shot of this view is provided below.
- Print View – provides a list in tabular view of all viewable compliance cases, with relevant Observer Trip information as well as compliance case status fields (refer to Guidance on how to obtain (or export) a list of relevant compliance cases from each CCFS list)
Guide to add a response to a CCFS case
To provide responses to any of the alleged infringements, click on the icon shown in red circle below.
A window such as below will come up which is the view of an individual case. Flag CCMs can provide comments in the text box title “CCM Comments” and attach any attachments (circle in green) related to that particular case.
You can click on any of the fields with hyperlinks (circles in red) for more details. Clicking on the field:
- Infringement ID – is the unique identifier for the case as assigned by WCPFC, and clicking on an infringement ID in any compliance case screen will give you a window with the relevant Compliance Case file where updates can be provided
- Vessel Trip – will give you a window with the vessel name, flag CCM, trip start and end date, observer provider, observer trip ID details (provider trip number and SPC partial trip number), debriefing status and charter details.
- Alleged infringement (eg. CMM 2014-01 14) – will give you window with the full text of that particular obligation/CMM paragraph
Flag CCMs, as well as other relevant CCMs can enter multiple responses/progress reports, online, related to any of the alleged infringement as it conducts investigation. The system will track the responses provided by all relevant CCMs during the life of the alleged infringement. To provide another response/update to a particular alleged infringement, simply repeat the steps above.
Flag CCMs are to use the compliance case system to submit reports on investigation up until the conclusion of the investigation. When completing responses flag CCMs are encouraged to pay particular attention to paragraph 10 of CMM 2019-06, which states
10. For each case in the online system, the following information shall be provided by the flag CCM:
(a) Has an investigation been started? (Yes/No)
(b) If yes, what is the current status of the investigation? (Ongoing, Completed)
(c) If the alleged violations stem from an observer report, have you obtained the observer report? (Yes/No)
(d) If no, what steps have you taken to obtain the observer report?
(e) What was the outcome of the investigation? (Closed – no violation; Infraction – not charged; Infraction – charged)
(f) If no violation, provide brief explanation
(g) If infraction, but not charged, provide brief explanation
(h) If infraction charged, how was it charged (e.g., penalty/fine, permit sanction, verbal or written warning, etc.) and level of charged (e.g., penalty amount, length of sanction, etc.)
The Secretariat will periodically review case updates submitted by CCMs, and based on the advice of flag CCMs the Secretariat will update:
* Infringement status: for individual compliance cases from NEW CASE, Investigation IN PROGRESS, or Investigation COMPLETED”.
* ROP Observer report received: for individual compliance cases from “No” to “Yes”
* Investigation Outcome: relevant to completed investigations “No infraction” “Infraction – no sanction” “Infraction – warning” “Infraction –sanction”
* Reviewed by: refers to the TCC or Regular Annual session meeting that followed the assigning of a case as “Flag CCM Investigation Completed”
* Secretariat comments: as needed