The purpose of non-compliance investigations is to examine alleged or

ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 116

7.21 While the hard-copy or electronic templates were not used in all cases to

report permit-related non-compliances, sufficient information was obtained in all instances to allow the FMCU to undertake an initial assessment and decide whether the incident warranted investigation. However, evidence has not been retained by GBRMPA to demonstrate that its Complexity and Priority Model for prioritising incidents for investigation had been applied as required by the Compliance Management and Investigations Procedures . 132 The only evidence retained by GBRMPA relating to the prioritisation of incidents for investigation was a notation attached to 15 incidents 19.7 per cent indicating that the incident was ranked a ‘High’, ‘Medium’ or ‘Low’ priority without any rationale documented for the priority allocated.

7.22 In general, the decision to investigate or not, the relevant

decision-maker and the date of the decision were appropriately documented for all incidents. However, the reasons underpinning the decisions were not documented in most cases. Of the 76 permit-related non-compliance incidents examined by the ANAO, the reasons for the decisions were documented in only eight cases 10.5 per cent—with the decision in seven of these cases being to not investigate the incident. The limited documentation prepared by GBRMPA outlining the reasons for its decisions to investigate incidents inhibits its ability to demonstrate that resources have been prioritised appropriately to those instances of non-compliance posing the greatest risks. The preparation and retention of appropriate documentation outlining the reasons for prioritising incidents to investigate would improve GBRMPA’s ability to demonstrate the effectiveness and consistency of its investigatory activities.

7.23 While the FMCU has not established target timeframes for determining

whether to investigate a reported incident, its decisions on whether to investigate permit-related incidents generally occurred in a timely manner, with most decisions being made within eight days and 80 per cent of decisions made within 44 days. Decisions relating to eight incidents, however, took in excess of 132 Application of the GBRMPA Complexity and Priority Model requires the consideration of the possible impact from any incident examples of which are provided for each permit type—categorised on a five-point scale insignificant, minor, moderate, major and extreme. The investigation priority is based on the impact rating and other factors such as politicalmedia subject interest, relationship to corporate priorities and potential damage in financial terms—to arrive at an investigation priority rating of high, medium or low. The complexity of an investigation is based on factors such as the clarity of jurisdiction and offences committed, ease of access to relevant information and number of inspectors required—to arrive at a complexity rating of high, medium or low. The combination of the priority and complexity ratings determines the type and timeliness of GBRMPA’s intended response. 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.