In relation to the permit-related non-compliance incidents reported to the

ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 117 three months—all of which related to delays in obtaining timely information or action from areas of GBRMPA outside the FMCU including the EAP and the TourismStewardship Sections. Planning and conduct of investigations

7.24 Effectively delivering investigation activities relies upon appropriate

planning and skilled staff. All GBRMPAFMCU staff involved in permit non-compliance investigations over the period July 2012 to June 2014 possessed relevant skills, experience andor qualifications. The 59 investigations were undertaken by 16 different GBRMPAFMCU officers—12 that managed 49 of these investigations of which have relevant diplomas or Certificate IV qualifications in Government Fraud Control Investigations. The remaining four officers—all based outside of the FMCU—provided key input into 10 investigations into facilitiesstructure moorings management or marine species handling incidents at the direction of the FMCU with a view to potential administrative action. 133

7.25 The extent to which GBRMPA plans for the delivery of its investigation

activities has been limited with investigation plans and evidence matrices—a requirement for complexhigher priority cases—not prepared for any investigated incidents including those subject to criminal proceedings. The absence of documented plans for investigations makes it difficult for GBRMPA to effectively monitor investigation activities, including identifying and responding to the delayed provision of information. 134

7.26 In relation to the conduct of investigations, many FMCU permit-related

investigations that involved low-level enforcement responses, such as public education and advisory letters, required minimal investigatory activity. Of the 51 completed permit-related investigations, records retained for 25 investigations do not indicate that any evidence gathering or analysis was required beyond the incidents’ initial assessments. In effect, the FMCU determined that sufficient information had been gathered during the incidents’ initial assessment to proceed directly to an enforcement response. 133 In April 2015, GBRMPA staff outside of the FMCU who may become involved in non-compliance investigations underwent training and obtained Statements of Attainment—Government Investigations. 134 The recommended minimum standards outlined in the Australian Government Investigation Standards 2011 indicate that investigations should commence with an overall planning process and a written investigation plan, except in urgent circumstances. ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 118

7.27 Investigations that did not proceed directly to an enforcement response

commonly involved a number of considerations and actions that, in general, supported the enforcement action pursued including contactinterviews with persons of interest andor witnesses, substantiation of the offences’ location and preparation of briefs of evidence for matters that were lodged with the CDPP with a view to prosecution. However, evidence has not been retained to demonstrate that the compliance history of persons of interest andor permit holders were considered in nearly three-quarters of permit-related non-compliance investigations although GBRMPA informed the ANAO that compliance histories are regularly considered during investigations. 135 The failure to consider compliance history has implications for an investigation’s outcome, as it can be considered an aggravating or mitigating factor in determining appropriate enforcement action. In a separate investigation, GBRMPA did not inform the CDPP that an offender being prosecuted had been issued with an advisory letter for similar conduct in the past, which GBRMPA noted could have been raised during the offender’s sentencing. Investigation timeframes

7.28 Investigations should be undertaken in a timely manner to ensure that

any non-compliant behaviour is addressed promptly and any adverse impacts arising from the non-compliance are minimised. Further, the application of statutes of limitation to some enforcement remedies such as infringement notices that must be issued within 12 months of the non-compliance occurring increases the importance of conducting timely investigations. Taking these considerations into account, setting target timeframes for the completion of investigations helps regulators to monitor the performance of investigating activities. The FMCU is, however, yet to establish target timeframes for the conduct of investigations and, while the status of all open investigations is reviewed weekly and included in management reports prepared monthly, the FMCU does not monitor the overall timeliness of its investigations. The establishment of target timeframes for completing investigations and taking enforcement action would better position GBRMPA to more effectively monitor the performance of its investigations function. 135 In 22 cases 37.3 per cent, the persons of interestpermit holders had either a fair or poor compliance history.