In relation to the regulation of permits, identified shortcomings in

ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 16

17. While GBRMPA has well-established arrangements for processing and

assessing permit applications, there were weaknesses in the quality and completeness of the assessments undertaken against regulatory requirements. The causes of these weaknesses included fragmented and incomplete guidance material for staff, incomplete records, insufficient consideration of relevant assessment requirements and limited assurance from quality control processes. As a consequence, the permit application assessment reports prepared for the delegate did not address all regulatory requirements on which decisions to issue or refuse permits were to be based. Delegates did, however, generally document their decisions to issue or refuse permits in an appropriate manner, including the reasons underpinning the decisions, after considering the permit application assessment reports and proposed conditions to be attached to issued permits. These conditions, which are the primary means by which GBRMPA mitigates the risks posed to the reef by proposed activities, generally addressed many of the high or medium-rated risks identified during the assessment process. GBRMPA should, however, periodically review the design of standard permit conditions that it applies to common permit types to help ensure that they effectively address significant risks to the Marine Park.

18. In general, permit monitoring undertaken collectively by GBRMPA and

its partner agencies has been insufficient to determine permit holders’ compliance with permit conditions. Specifically, GBRMPA was not effectively monitoring the timely receipt of most post-approval reporting documentation that permit holders were required to submit under their permit conditions, nor appropriately documenting its assessmentapproval of the post-approval reports submitted. While intelligence and risk-based field compliance operations primarily vessel, aerial and land-based patrols undertaken by GBRMPA and its partners agencies are effective in detecting some forms of permit-related non-compliance, they are not well-suited to detecting other forms of non-compliance such as the condition of sub-surface infrastructure. The limited additional monitoring of permit compliance that has been undertaken by GBRMPA to supplement existing patrols including site inspections, was not, however, informed by an appropriate risk-based approach. The failure to effectively monitor permit holder reporting requirements and to undertake sufficient risk-based supplementary monitoring activities reduces the effectiveness of permit conditions as a means of managing risks to the Marine Park from permitted activities.

19. Until recently, many instances of permit holder non-compliance mostly

related to the provision of required documentation were not identified by ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 17 GBRMPA staff and not recorded centrally for assessment and possible enforcement action. 16 These shortcomings in recording permit non-compliance have adversely impacted on GBRMPA’s ability to develop an informed view of the extent of permit non-compliance and address areas of non-compliance in a timely manner. The limited guidance for investigators when determining appropriate enforcement responses to non-compliance, when coupled with poorly documented reasons for enforcement actions, also makes it difficult for GBRMPA to demonstrate the basis for its enforcement decision-making.

20. GBRMPA has acknowledged weaknesses in its permit assessment and

compliance management processes and practices and has commenced work on a number of initiatives to strengthen existing arrangements. As part of this work, a high-level risk assessment of permitted activities in the Marine Park, which was prepared by GBRMPA in late 2014, indicated that existing controls primarily permit conditions, deeds and bonds, intelligence gathering and analysis, patrols, and other monitoring activities are generally insufficient to detect non-compliance with permit conditions. GBRMPA informed the ANAO that the permit compliance management plan, currently under development, will outline strategies to better address risks to the Marine Park environment from permitted activities and permit holders.

21. To improve GBRMPA’s regulation of Marine Park permits and to

inform the work being undertaken to enhance compliance management practices, the ANAO has made five recommendations to strengthen the: processing of permit applications; rigour of the permit application assessment and decision-making processes; effectiveness of permit conditions; effectiveness of permit compliance monitoring; and response to instances of non-compliance. Key findings by chapter Processing of Permit Applications Chapter 2

22. While GBRMPA has produced a range of guidance materials to

underpin its processing of permit applications, the materials are fragmented and unclear in parts and do not clearly address all relevant requirements. 16 GBRMPA informed the ANAO that it established and implemented new processes for 2014–15 to monitor the receipt of post-approval reporting documentation from permit holders and to record potential non-compliance with post-approval reporting requirements.