The conditions contained in issued permits, which are determined using

ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 81

5. Compliance Intelligence and Risk Assessment

This chapter examines the compliance intelligence capability and risk assessment processes employed by the Great Barrier Reef Marine Park Authority to assess permit holders’ compliance with conditions attached to permits. Introduction

5.1 Compliance intelligence and sound risk assessment processes underpin

an effective regulatory regime. Compliance intelligence received and analysed on a timely basis by GBRMPA can inform the periodic assessment of the risks posed by permits to the Marine Park. These risk assessments can then be used to develop compliance strategies that target the greatest compliance and environmental risks.

5.2 The ANAO examined whether GBRMPA, specifically the Field

Management Compliance Unit FMCU, had effective arrangements in place to collect and manage compliance intelligence and to assess the risks of non-compliance by permit holders. Managing compliance intelligence

5.3 Compliance intelligence information may, in isolation, be inconclusive

and it is the regulator’s ability to combine elements of this information and analyse linkages that determines the effectiveness of its compliance intelligence capability. Compliance intelligence should feed into every aspect of compliance management, including planning, risk assessment, monitoring and enforcement activities.

5.4 The FMCU has primary responsibility for collecting and analysing

compliance intelligence relating to both permitted activities and activities not subject to permits within the Commonwealth and Queensland jurisdictions of the Great Barrier Reef World Heritage Area. While the FMCU prepared draft guidelines in 2012 for staff performing the intelligence function, these guidelines are yet to be finalised. 86 The draft guidelines indicate that the FMCU’s 86 The FMCU informed the ANAO that the draft guidelines are to be revised by August 2015 to reflect current processes and to incorporate coverage of relevant systemstechnology. ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 82 intelligence function is centred on four intelligence products: information reports; problemtarget profiles; patrol intelligence briefs; and intelligence highlight bulletins. Information reports

5.5 Information reports are used to record intelligence directly and indirectly

relevant to compliance activities in the Great Barrier Reef World Heritage Area that do not constitute incidents. That is, information that is less specific in nature or information that does not enable any clear lines of enquiry to gain evidence of a specific offence. Information reports are often short, free-form statements categorised according to parameters such their source, date received, relevant jurisdiction, type of activity and statement reliability to facilitate their subsequent analysis.

5.6 The content of information reports are sourced either from the activities

of the FMCUpartner agencies or from information received by the FMCUpartner agencies from other sources, such as members of the public or the fishingtourism industry. Information reports are stored in the FMCU’s Compliance Management Information System CMIS database.

5.7 Over the period from July 2012 to December 2014, the FMCU received a

total of 1014 information reports 447 in 2012–13, 437 in 2013–14 and 130 in 2014–15 to December 2014, with members of the public, Queensland Government agencies and commercial fishers the source for over two-thirds of reports see Figure 5.1. 87 The FMCU and other areas of GBRMPA contributed 151 of the 1014 information reports 14.9 per cent over this period. 87 The original source of compliance intelligence may be different to the entity that submitted the information report.