Coastal Shipping: Compliance and Enforcement Strategy The Department of Infrastructure, Regional Development, and Cities (the Department) is committed to ensuring policy and regulatory frameworks supporting Australia’s surface transport networks are efficient and effective. In this regard, the Department administers an effective regulatory framework for coastal shipping through the (CT Act), to uphold the Coastal Trading (Revitalising Australian Shipping) Act 2012 Government’s commitment to a vibrant and efficient maritime industry. Compliance Philosophy Our aim is to improve the level of voluntary compliance by our stakeholders, and tailor compliance improvement programs to areas of identified risk. We will do so by working with our stakeholders to ensure they have a clear understanding of the coastal shipping regulatory framework, and their obligations under the CT Act. Compliance and Enforcement Strategy The Department may consider a range of flexible and target measures to verify compliance. Actions taken will be proportionate to the identified risks posed by non-compliance with legislative requirements. Non-compliance can manifest itself in a variety of ways ranging from simple to indifference, to intentional disregard. In recognition of the different levels of non-compliance, different compliance measures are required. Responsive measures range from client education to comprehensive audits, sanctions or prosecutions, and can escalate in severity as the need arises. There is no need for stringent compliance measures to apply to licence holders considered generally compliant. Similarly, an education strategy is unlikely to modify the behaviour of a licence holder who has intentionally disregarded the law. The following diagram of the Department’s Compliance and Enforcement Strategy demonstrates a range of behaviours and possible compliance responses. Compliance and Enforcement Strategy Coastal Trading – Client Categories Behaviors and Motivation – Self-Regulation Assisted Self-Regulation Directed Regulation Enforced Regulation Compliance oriented Not yet compliant Resistance to compliance Deliberate Informed Attempting compliance Lack of compliance Developing internal control Limited/poor internal mechanism control mechanism Compliance and Enforcement Response Education and Training Education and Training Administrative action may Administrative action Informal resolution Informal resolution apply may apply Minimum level of Some compliance auditing Comprehensive auditing Comprehensive compliance auditing Infringement notices may Infringement notices may auditing Infringement notices be imposed be imposed Infringement notices may be imposed imposed Civil action may proceed
Coastal Shipping: Compliance and Enforcement Strategy The Department of Infrastructure, Regional Development, and Cities (the Department) is committed to ensuring policy and regulatory frameworks supporting Australia’s surface transport networks are efficient and effective. In this regard, the Department administers an effective regulatory framework for coastal shipping through the Coastal Trading (Revitalising Australian Shipping) Act 2012 (CT Act), to uphold the Government’s commitment to a vibrant and efficient maritime industry. Compliance Philosophy Our aim is to improve the level of voluntary compliance by our stakeholders, and tailor compliance improvement programs to areas of identified risk. We will do so by working with our stakeholders to ensure they have a clear understanding of the coastal shipping regulatory framework, and their obligations under the CT Act. Compliance and Enforcement Strategy The Department may consider a range of flexible and target measures to verify compliance. Actions taken will be proportionate to the identified risks posed by non-compliance with legislative requirements. Non-compliance can manifest itself in a variety of ways ranging from simple to indifference, to intentional disregard. In recognition of the different levels of non-compliance, different compliance measures are required. Responsive measures range from client education to comprehensive audits, sanctions or prosecutions, and can escalate in severity as the need arises. There is no need for stringent compliance measures to apply to licence holders considered generally compliant. Similarly, an education strategy is unlikely to modify the behaviour of a licence holder who has intentionally disregarded the law. The following diagram of the Department’s Compliance and Enforcement Strategy demonstrates a range of behaviours and possible compliance responses. Compliance and Enforcement Strategy – Coastal Trading Client Categories – Behaviors and Motivation Self-Regulation Assisted Self-Regulation Directed Regulation Enforced Regulation Compliance oriented Informed Not yet compliant Attempting compliance Developing internal control mechanism Resistance to compliance Lack of compliance Limited/poor internal control mechanism Deliberate Compliance and Enforcement Response Education and Training Informal resolution Minimum level of compliance auditing Infringement notices may be imposed Education and Training Informal resolution Some compliance auditing Infringement notices may be imposed Administrative action may apply Comprehensive auditing Infringement notices may be imposed Administrative action may apply Comprehensive auditing Infringement notices imposed Civil action may proceed
CT_Compliance_Enforcement_Strategy_fact_sheet.docx