As noted above, FMCU’s procedural and guidance material has not clearly

ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 121 infringement notice fines. Overall, enforcement actions have been executed as intended by GBRMPA and the FMCU, including: for 33 of the 35 investigations that resulted in advisory letters being sent to offenders 139 ; and an offender’s payment of a permit-related infringement notice fine. Nevertheless, there were a small number of cases that indicate that GBRMPA’s implementation of enforcement activities may benefit from further attention, such as non-compliance investigations resulting in public education enforcement actions that were closed before the education of the offenderpermit holder occurred. As at April 2015, education action had yet to take place in respect of at least two cases some five to seven months after the enforcement decision. Conclusion

7.35 While GBRMPA is working to establish a suite of compliance policy,

strategy and guidance documentation, the material developed to date is generally in draft form and does not address all relevant considerations. Further, the established guidance for staff determining appropriate enforcement responses is limited. There is significant scope for GBRMPA to improve compliance and enforcement guidance materials to assist staff to effectively respond to non-compliance in a consistent and timely manner.

7.36 Many instances of non-compliance that were evident from GBRMPA’s

permit monitoring activities undertaken by the EAP Section were not reported to the FMCU and, as a result, were not recorded in CMIS to enable analysis and assessment to be completed. These weaknesses in documenting permit non-compliance adversely impact on GBRMPA’s ability to develop an informed view of risks posed and address non-compliance in a timely manner.

7.37 Where permit-related non-compliance incidents have been recorded,

procedures determining those matters to be investigated and their relative priority for investigation were generally not followed by the FMCU. In relation to the conduct of permit-related investigations, the evidence gathered generally supported the enforcement action that was pursued by the FMCU. Nevertheless, on many occasions, evidence was not retained by the FMCU to indicate that permit holders’ compliance histories were taken into account as part of the investigation process. 139 Advisory letters issued for permit-related breaches in two other investigations failed to mention the permit number and the condition that was breached. ANAO Report No.3 2015–16 Regulation of Great Barrier Reef Marine Park Permits and Approvals 122

7.38 Most permit-related incidents observed by or reported to the FMCU or

partner agencies were recorded in CMIS in a timely manner, and most initial assessments and investigations were also undertaken in a timely manner. However, investigations that required information sourced from, or action to be undertaken by, GBRMPA areas outside of the FMCU most notably, the EAP Section were, in a significant number of cases, considerably delayed. Delays in conducting and concluding the investigations has the potential to increase the risks posed to the Marine Park and adversely impact on investigation outcomes, for example the imposition of a lesser enforcement response than may be warranted, as has occurred in a small number of cases.

7.39 In general, the documentation of enforcement decision-making in relation

to permit-related non-compliance has been poor. The absence of appropriate guidance material for investigation staff coupled with poorly documented reasons for enforcement actions taken makes it difficult for GBRMPA to demonstrate the basis for its enforcement decision-making. Recommendation No.5

7.40 To improve processes for responding to instances of permit

non-compliance, the ANAO recommends that the Great Barrier Reef Marine Park Authority: a update and finalise guidance documentation for managing non-compliance; b reinforce to staff the need for all instances of non-compliance by permit holders to be reported and recorded in the Compliance Management Information System; c document the reasons for key decisions taken during permit investigations, including whether to investigate incidents and enforcement decisions; and d verify that enforcement action has been undertaken prior to the closure of investigations. GBRMPA’s response: Agreed. Grant Hehir Auditor-General Canberra ACT 13 August 2015