16.3 Compliance and Enforcement
16.3.1 Monitoring, Control and Surveillance Systems
Monitoring, control and surveillance (MCS) mechanisms ensure a fishery’s management measures are enforced and complied with. There is a comprehensive MCS system implemented in the SBPMF that has demonstrated a consistent ability to enforce relevant management measures, strategies and / or rules. The MCS system is administered by the Department’s RSD through a fishery-specific Operational Compliance Plan (OCP).
A fishery’s OCP provides clear and unambiguous direction and guidance to FMOs for the yearly delivery of compliance-related activities in the fishery. The development of fishery- specific OCPs and compliance strategies continues to provide the most effective and efficient method for a planned and measureable approach to compliance delivery.
Implementation 16.3.1.1
Compliance Risk Assessments 16.3.1.1.1
Fishers and other stakeholder groups may be directly involved in setting compliance priorities through compliance risk assessments. The Department conducts compliance risk assessments every 1 – 2 years in major fisheries (e.g. the SBPMF) or those perceived to be at high risk and every 3 – 5 years in minor fisheries. The risk assessment process can also be triggered by the introduction of new supporting legislation94 in a fishery / resource or the identification of any new major issues that would require RSD managers to assess their compliance program including (but not limited to):
• A sectoral complaint;
• Ministerial or Parliamentary enquiry;
• Management framework issues;
• Public complaint or sustained media interest;
• Intelligence; or an
• Upward trend in non-compliance.
The risk assessment process involves the participation of managers, field-based FMOs, researchers, commercial and recreational fishers, fish processors and representatives from other interested stakeholder groups, where relevant. There are two tiers in the risk assessment process — the first tier is the formal transparent process involving industry and other stakeholders, and the second tier is internal, utilising researchers, fishery managers and compliance personnel. The second process feeds into the fishery’s OCP95, which provides the formal framework for the delivery of specific compliance services that remove or mitigate the identified risks.
The compliance risk assessment process identifies modes of offending, compliance countermeasures and risks and relies on a weight-of-evidence approach, considering information available from specialist units, trends and issues identified by local staff and Departmental priorities set by the Aquatic Management Division through Fish Plan.
Operational Compliance Plan 16.3.1.1.2
An OCP provides a formal and transparent process for staff to carry out defined compliance activities in order to monitor, inspect and regulate the compliance risks to each specific high- risk activity in a fishery, and in turn confirm they are at an acceptable and manageable level.
This is supported by measurable reporting methods defined under the OCP to demonstrate compliance activities being undertaken are having a direct and significant impact on reducing identified risks.
The development of an OCP consists of identifying and applying tailored compliance strategies for each identified risk. In the case of the SBPMF, this includes strategies that may deal with higher identified risks related to seasonal considerations, spatial considerations, environmental considerations and identified persons or groups of interest.
OCPs have been operating for several years now in the SBPMF and other major commercial fisheries in the GCB and for the management of the Ningaloo Marine Park, Shark Bay Marine Park and Commonwealth Ningaloo Marine Park. Each OCP is reviewed following a compliance risk assessment. Additionally, by regularly reviewing the OCPs for all fisheries in a particular location, rational, accountable decisions can be made about deploying compliance resources and ensuring that resources are available to mitigate risks to an acceptable level.
Following a formal review of a fishery’s OCP and associated compliance strategies, compliance activities are prioritized in accordance with risk, budget and resourcing considerations. All existing OCPs were reviewed and updated during the 2012/13 year using this model.
Annual planning meetings are held for OCPs, with regular specific planning of day-to-day targeted and non-targeted patrols linked to the OCP based on resources and competing priorities.
Resourcing Compliance Operations 16.3.1.1.3
Gascoyne regional staff co-ordinate the allocation and prioritisation of existing resources across all programs in the region based on the risk assessments and related OCPs.
Compliance planning meetings are held regularly to ensure staffing requirements are adequate for scheduled compliance activities.
Available compliance resources are allocated based on the risk assessment outcomes and the contacts and compliance statistics which are captured, reported on and reviewed at the end of each year. The allocated resources and compliance strategies (i.e. monitoring, surveillance and education activities) are outlined in the OCP, which specifies planned hours and staff allocated to key compliance tasks and duties. This planning and delivery process allows for more-targeted, effective and relevant compliance service in terms of both cost and activities.
There is also flexibility within the region to allocate additional resources to respond to changes, such as the need for a planned tactical operation in response to fresh intelligence.
This may be achieved by redirecting existing resources or seeking additional resources from other areas or units. Similarly, changing priorities and resourcing on a local level can involve reducing planned delivery of compliance services to ensure resources are directed to where they are most needed.
16.3.1.1.3.1 Key Compliance Personnel in the Gascoyne Coast Bioregion
The Regional Office of the Department relevant to the SBPMF is located in Carnarvon and supported by district offices located at Exmouth, Carnarvon and Denham. Staff located at these offices provide on-ground compliance and educative delivery for these fisheries. Key compliance and enforcement personnel located in the region and their responsibilities include:
1. Compliance Managers
• Overall responsibility for OCPs and compliance strategies, including their development, review and ensuring outcomes are delivered;
• Responsible for providing sufficient and appropriate resources to achieve compliance outcomes;
• Ensuring FMO safety is considered at all times and the Region’s occupational health and safety requirements are met;
• Monitoring the progress of the OCPs and strategies during their execution;
• Consulting with all key stakeholders when reviewing the OCPs and strategies;
and
2. Supervising Fisheries and Marine Officers
• Field responsibility for OCPs and strategies, including reporting any deficiencies and reporting the outcomes as they are delivered or achieved;
• Supervision of staff performance;
• Ensuring officer safety is considered at all times and the district’s occupational health and safety requirements are met;
• Provide briefings and de-briefings as required;
• Ensuring all equipment required to execute the OCPs and strategies is serviced, operational and available; and
• Liaising with staff from other agencies operating in a joint servicing arrangement.
3. Fisheries and Marine Officers (FMOs):
• Day-to-day responsibility for the execution of the OCPs and strategies in their interaction with users of the Fishery;
• Ensuring FMO safety is considered at all times and individual occupational health and safety requirements are met;
• Reporting any deficiencies and outcomes in a timely and accurate manner; and
• Complying with the Standard Operating Procedures, Prosecution Guidelines96, the Department’s Code of Conduct and promoting the vision and mission statement of the Department and its joint-servicing partners.
FMOs are formally appointed pursuant to the FRMA, which clearly sets out their powers to enforce fisheries legislation, enter and search premises, obtain information and inspect catches. FMOs are highly trained; they must have a thorough knowledge of the legislation they are responsible for enforcing and follow a strict protocol for undertaking their duties in accordance with the FRMA and in recording information relating to the number and type of contacts, offences detected and sanctions applied.
In addition to regional compliance staff there are a number of units within the Department that support the delivery of compliance outcomes, including:
1. Patrol Boat Business Unit
• Provides large oceangoing patrol vessels for Statewide offshore compliance operations and education activities.
2. Vessel Monitoring System Unit
• Operates the Department’s vessel monitoring system (VMS) to help manage the State’s commercial fisheries.
3. Serious Offences Unit
• Undertakes covert operations and deals with connections to organised crime;
• Conducts major investigations and initiates proactive intelligence-driven operations;
• Targets any serious and organised criminal activity within the fishing sector;
• Provides specialist investigative training; and
• Provides technical assistance in relation to covert surveillance.
4. Fisheries Intelligence Unit
• Responsible for providing intelligence reports to support strategic, operational and tactical needs of compliance programs; and
• Collects and analyses compliance data.
5. Compliance Statistics Unit
• Develop monitoring and sampling programmes to support compliance delivery;
• Collects and analyses compliance data to identify trends; and
• Provides compliance statistics to help target enforcement activities.
6. Prosecutions Unit
• Manage the electronic system used to issue infringement notices or commence prosecution processes when offences are detected; and
• Custodians of information relating to detected offences which can be used for official reporting purposes.
7. Strategic Policy Section of the Regional Services Branch
• Develops and implements strategic compliance policy and standards;
• Provides compliance risk assessments for fisheries;
• Provides review and implementation of fisheries management and compliance legislation;
• Oversees collection and analysis of compliance data;
• Oversees compliance research projects;
• Develops occupational health and safety standards for FMOs; and
• Provides recruitment and training of new and existing FMOs.
Formal MCS Systems 16.3.1.2
Compliance staff utilise a number of formal monitoring and surveillance activities and control mechanisms in the SBPMF.