Overall, decisions to issue permits have been made by authorised

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.