WCPFC

APPLICABILITY: The CCFS is relevant to flag CCMs who have reports of alleged infringements or bycatch interactions for their vessels and is used to track updates on the progress of investigations up until the conclusion of the investigation.  

It includes a current list of records of HSBI-related and other requests from a Member to another CCM for flag investigations (Convention Article 25(2)) where the Secretariat is informed. 

Convention Article 25(2)

Each member of the Commission shall, at the request of any other member, and when provided with the relevant information, investigate fully any alleged violation by fishing vessels flying its flag of the provisions of this Convention or any conservation and management measure adopted by the Commission.  A report on the progress of the investigation, including details of any action taken or proposed to be taken in relation to the alleged violation, shall be provided to the member making the request and to the Commission as soon as practicable and in any case within two months of such request and a report on the outcome of the investigation shall be provided when the investigation is completed.

Updates to the alleged infringements recorded in the CCFS from reports by ROP observers are made periodically based on updates from the SPC-OFP WCPFC/ROP database. In accordance with paragraph 11 of CMM 2021-03, Conservation and Management Measure for Compliance Monitoring Scheme, FLAG CCMs that have compliance cases that are designated as “New Case” or “Investigation in Progress” are expected to provide updates until the conclusion of the investigation and where applicable any subsequent action completed.

In accordance with paragraph 12 of CMM 2021-03, and taking into account the circumstances of the case, initiating CCMs or ROP observer providers are also able to view relevant compliance cases for vessels flying other flags.  Where applicable, coastal CCMs (EEZ) and chartering CCMs, may also view relevant compliance cases through the CCFS.

BACKGROUND:

The CCFS is an online tool developed by the Secretariat and launched in April 2016.  The original requirement for the CCFS was to provide the Secretariat with a mechanism for the structured and centralised recording of correspondence related to individual alleged infringements of Conservation and Management Measures.  As such, the CCFS was originally a tool to support the Secretariat’s delivery of tasks under the WCPFC Compliance Monitoring Scheme (CMS).  However, the eventual design of the CCFS included allowing CCMs to view “cases” and to submit information that they considered relevant to a case.   

Since 2019, the Commission has specified within the Conservation and Management Measure for the Compliance Monitoring Scheme (initially CMM 2018-07, more recently CMM 2021-03) the purpose of the CCFS.  Within the measure there is direction provided to the Secretariat that the CCFS be maintained “as a secure, searchable system to store, manage and make available information to assist CCMs with tracking alleged violations by their flagged vessels.”  The measure also confirmed which CCMs should have access to a case, that notifications should be sent when new cases are created, guidance about what the aggregated summary tables generated from the CCFS should contain, and what information flag CCMs are to provide in response to each case related to their vessels.  The four guiding principles for the Compliance Monitoring Scheme of effectiveness, efficiency, fairness and cooperation towards compliance should also be considered relevant and as guidance to the CCFS.   

In 2020, the Secretariat commissioned a review of the CCFS.  In 2021 the Secretariat commenced the implementation of changes to improve the CCFS.  In March 2022 the Secretariat delivered an upgraded CCFS system, which incorporates a number of enhancements requested by CCMs to make the CCFS easier to use, including a trial CCFS messaging tool to track observer report requests.  The CCFS is a secure web application accessed at https://ccfs.wcpfc.int

CCFS CASE TYPES:

CCM Initiated Case Types  / Article 25 Event 

Cases for alleged infringements in which a flag State investigation has been requested by a WCPFC member, in accordance with Article 25(2) of the Convention. Eg, Aerial Surveillance (AIR), HSBI outcomes (HSBI), Port Inspection Outcomes (PORT), VMS-related query (VMS) or Investigation through other means (OTH).  

Cases are created by the Secretariat individually, based on email communications from one CCM to another CCM to request an explanation or investigation into the conduct of its vessel and/or its nationals.  The responses among CCMs to a case usually occur through exchange of letters through email, and the Secretariat posts copies of the correspondence that are exchanged into the CCFS.  In some cases, CCMs provide comments or clarifications directly into CCFS.  

Applicable years: 2013 – to current

Observer Initiated Case Types

The cases are created by queries run against the Regional Observer Programme (ROP) data. Updates to these cases are made periodically, and through procedures that have been developed by the Secretariat and Pacific Communities Oceanic Fisheries Programme (SPC-OFP), who manage the WCPFC scientific data holdings. 

o   FAD Sets Alleged Infringements (FAI)

Cases for alleged infringements related to setting on FADs during the FAD closure period, and as were identified in ROP observer data.  

Applicable years: 2015 – to current

Relevant CMMs: CMM 2014-01, CMM 2015-01, CMM 2016-01, CMM 2017-01, CMM 2018-01, CMM 2020-01 Tropical Tuna CMMs

o    Observer Obstruction Alleged Infringements (OAI)

Cases for alleged infringements related to observer obstruction, identified in ROP observer data (related to CMM 2018-05 15(g)). 

• Alleged Issue = RS-A could indicate the vessel operator or any crew member assaulted, obstructed, resisted, delayed, refused boarding to, intimidated or interfered with an observer in the performance of their duties.
• Alleged Issue = RS-B could indicate the vessel operator or any crew member requested that an event not be reported by the observer. 
• Alleged Issue = RS-D could indicate the vessel operator failed to provide the observer, while on board the vessel, at no expense to the observer or the observer’s government, with food, accommodation and medical facilities of a reasonable standard equivalent to those normally available and medical facilities of a reasonable standard equivalent to those normally available to an officer on board the vessel. 

Applicable years: 2015 – to current

Relevant CMMs: CMM 2007-01 and CMM 2018-05 Regional Observer Programme

o   Shark Catch Alleged Infringements (SHK)

Cases for alleged infringements related to sharks, identified in ROP observer data.

Applicable years: 2015 – to current

Relevant CMMs: CMM 2010-07: Sharks, CMM 2011-04 Oceanic Whitetip Sharks, CMM 2013-08: Silky Sharks, and CMM 2019-04: Sharks

o   Cetacean and Whale Shark Interactions (CWS)

Cases where a ROP observer has reported one or more interaction/s occurred between a purse seine vessel and cetaceans or whale sharks. Relevant WCPFC requirements prohibit purse seine vessels from setting if a whale shark or cetacean is sighted prior to the commencement of the set; required reporting of any incidents of unintentional encircling; and guidelines for safe release.

Applicable years: 2016 – to current

Relevant CMMs: CMM 2012-04: Whale Sharks, CMM 2011-03: Cetaceans, and CMM 2019-04: Sharks

o   Marine Pollution Infringements (POL)

Cases for alleged infringements related to marine pollution incidents, identified in ROP observer data.  

• Alleged Issue = PN-A could indicate an alleged infringement related to CMM 2017-04 02 which is a binding requirement.  
• Alleged Issue = PN-B PN-C PN-D PN-E  could indicate an alleged infringement related to CMM 2017-04 03-07 provisions which are encouragements to flag CCMs.

Applicable years: 2019 – to current

Relevant CMMs: CMM 2017-04: Marine Pollution

o    ROP Pre-Notification Issues (PAI)

Provides notification to flag CCMs of those data elements (other than alleged observer obstruction incidents and marine pollution incidents) that were answered in the affirmative by a ROP observer on the WCPFC Observer Trip Monitoring Summary, or which are included in SPC/FFA General Form 3. Link to Trip Monitoring Issue Codes

These are notified in accordance with the WCPFC12 decision: “Commission Adopted pre-notification process from observer providers to flag CCMs of possible alleged infringements by their vessels and to coastal State CCMs of possible alleged infringements in their waters” (WCPFC12 Summary Report paragraph 569, Attachment U).

WCPFC14 accepted TCC13 recommendation that TCC not consider the information contained in the ROP Pre-notification List for the purpose of assessing any obligations for which it was relevant, with the exception of those cases related to observer interference or obstruction in future years (WCPFC14 final CMR).  

Applicable years: 2016 – to current 

Relevant CMMs: CMM 2013-05: Daily Catch and Effort Data Reporting

CASE ID FORMAT:

{2-letter flag CCM code} -{3 or 4 letter code for type of case} - {3-digit number}

eg AB - ABCD - 123

CCM / PARTIES / LOCATION CODES:

OBSERVER PROVIDER CODES:

The Regional Observer Programme (ROP) is based on the use of existing regional, sub-regional and national observer programmes already in place amongst many of its members. The national observer programme codes use the above two-letter CCM code prefix, with suffix OB eg AUOB is the Australian Observer Programme. 

For ease of reference these are the two subregional observer programmes:= FAOB = PNA Observer Agency and TTOB = FFA Observer Programme

Please use this link to view the complete list of WCPFC REGIONAL OBSERVER PROVIDER CODES:  https://www.wcpfc.int/authorised-rop-observer-providers

INFRINGEMENT STATUS:

NEW CASE           Status assigned by the Secretariat when cases are first notified, and flag CCM is yet to respond

Investigation IN PROGRESS         Status after a flag CCM has responded to indicate investigations are underway/in progress

• ROP Observer report received   Relevant for Observer-initiated case types, and initially set with "No". Based on advice in reports on the investigation, status is changed by the Secretariat to "Yes". The field may be automatically set to “Yes” when an observer provider uploads a file.  

Investigation COMPLETED           Status after a flag CCM has responded to confirm where the case is ROP-data based that the ROP Observer Report was reviewed and the investigation is concluded, with information on the outcome of the investigation (no infraction or infraction) and if infraction charged, how it was charged (penalty, sanction, warning etc)

The Investigation outcomes used are:     

• No infraction  : assigned where the flag CCM has advised that their review of the evidence and/or interpretation of the requirement did not find a violation by the vessel involved;
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• Infraction – no sanction  : assigned where the flag CCM has advised that the review of evidence did find a violation by the vessel involved and there was no information related to any further action being taken or being necessary;
• Infraction – warning  : assigned where the flag CCM has advised that the review of evidence did find a violation by the vessel involved, and the flag CCM advises that a verbal or written warning was issued;
• Infraction – sanction  : assigned where the flag CCM has advised that the review of evidence did find a violation by the vessel involved, and some form of penalty notice was being considered or was taken.

Only cases > 24 months:  Applies a filter for cases that have been in the compliance case file system for two or more years and that remain open (have an Infringement Status of NEW CASE   or Investigation IN PROGRESS).