2014-15 Departmental Performance Report

Analysis of Programs by Strategic Outcome

Program 2.1 - Compliance and Enforcement

Description

The Compliance and Enforcement program promotes and maintains compliance with legislation, regulations, and management measures implemented to achieve the conservation and sustainable use of Canada's aquatic resources and the protection of species at risk, fish habitat, and oceans. The program is delivered through a balanced regulatory management and enforcement approach, including the promotion of compliance through education and shared stewardship; monitoring, control, and surveillance activities; and the management of major cases/special investigations related to complex compliance issues. The program works closely with the Ecosystems and Fisheries Management Sector, the Royal Canadian Mounted Police, and industry partners to ensure peaceful and orderly fisheries. It makes a significant contribution, with the Canadian Coast Guard, to the protection of Canadian sovereignty and assists the Department of National Defence in the identification of potential marine security threats through extensive marine surveillance activities. It plays a key role along with Ecosystems and Fisheries Management, Environment Canada, and the Canadian Food Inspection Agency in the administration of the Canadian Shellfish Sanitation Program to help ensure that the public is protected from contaminated fisheries products.

Budgetary Financial Resources (dollars)

2014-15
Main Estimates Planned Spending Total Authorities Available for Use Actual Spending (authorities used) Difference (actual minus planned)
101,372,908 101,372,908 107,315,521 106,007,941 4,635,033

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
724.6 680.3 -44.3

Note: The variance between planned and actual human resource is explained under sub-program 2.1.2 Monitoring, Control and Surveillance.

Performance Measurement

Expected Result Performance Indicator Target Actual Result
Canadian and International individuals and organizations act in accordance with the legislation, regulations and other managing frameworks that govern Canadian waterways, fisheries, oceans, and habitat Percentage rate of compliance by various sectors of the regulated community (e.g. commercial fisheries, recreational fisheries, development projects impacting fish habitat, etc.) 90% by March 31, 2015 95.9%
Violation Severity Index (Weighted measure of distribution of all violations detected on an annual basis) This was a new indicator for 2014-15 with a target to be set in 2014-15. Data is not available (see explanation below).

Performance Analysis and Lessons Learned

The Compliance and Enforcement program exceeded its compliance rate by various sectors of the regulated community.

Due to cost-benefit considerations, the Violation Severity Index indicator is being replaced with a new indicator for 2015-16 and therefore data was not collected for 2014-15. The new indicator is: Proportion of suspected moderate- to high-risk violations that are responded to via a formal enforcement action and will be reported in the 2015-16 Departmental Performance Report.


Sub-program 2.1.1 - Education and Shared Stewardship

Description

The Education and Shared Stewardship program consists of the suite of essential activities for promoting compliance, through strategies such as education, promotional campaigns, and engagement of partners and stakeholders. Educational activities raise awareness and understanding, resulting in a more informed public and resource users improving their ability to comply with regulatory requirements. Promotional campaigns cultivate a conservation ethic in stakeholders and the general public, motivating them to higher rates of voluntary compliance. Engagement of First Nations, clients, and other interest groups in compliance management decision-making and in the delivery of compliance functions increases a sense of ownership and stewardship responsibility in the management regimes for aquatic resources. This program will evolve from strictly school visits and other activities aimed at the general public towards further engagement of targeted resource user groups and the seafood supply chain. Collectively, Education and Shared Stewardship programs promote compliance and build support for the future.

Budgetary Financial Resources (dollars)

2014-15
Planned Spending Actual Spending Difference
(actual minus planned)
8,352,681 6,746,581 -1,606,100

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
59.0 60.0 1.0

Performance Measurement

Expected Result Performance Indicator Target Actual Result
Users of Canadian fisheries and oceans have access to relevant information and are informed of the rules and regulations relating to the protection of Canada's fish and fish habitat Percentage of dedicated hours that Fishery Officers are engaged in outreach activities 10% by March 31, 2015 12%

Performance Analysis and Lessons Learned

Fishery Officers are engaged in outreach activities 12% of the time, surpassing the target of 10%.


Sub-program 2.1.2 - Monitoring, Control and Surveillance

Description

The Monitoring, Control and Surveillance program is comprised of a number of traditional compliance and enforcement activities aimed at detecting and deterring illegal activities. Monitoring fishing and other activities provides an oversight function to determine participants' compliance with the legislation, regulations, and management measures in effect. Land-, water-, and air-based surveillance is supported by the use of modern technology such as vessel monitoring systems and video monitoring, as well as radar and satellite surveillance to detect illegal activities. Third-party services provided through the guardian, at-sea observer, and dockside monitoring programs, as well as partnerships and joint operations with police and a number of other enforcement agencies, make important contributions to this program. The general public assists by reporting violations through "Observe, Record, Report" programs. To deter illegal activities, enforcement actions are carried out, and include warnings, seizures, arrests, directions, orders, diversions, ticketing, charges, and prosecutions.

Budgetary Financial Resources (dollars)

2014-15
Planned Spending Actual Spending Difference
(actual minus planned)
48,633,081 50,484,855 1,851,774

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
353.0 298.6 -54.4

Note: The variance between planned and actual human resources is a result of the reinvestment of human resources from within Sub-program 2.1.2 Monitoring, Control and Surveillance and Sub-program 2.1.3 Major Cases and Special Investigations to support Sub-program 2.1.5 Intelligence Services as positions were classified and staffed throughout the year.

Performance Measurement

Expected Result Performance Indicators Target Actual Results
Users of Canadian fisheries and oceans understand their obligations and are committed to meeting those obligations Percentage of high risk violations that are responded to >95% by March 31, 2015 97%
Successful prosecution rate > 80% by March 31, 2015 95%

Performance Analysis and Lessons Learned

The Monitoring, Control and Surveillance sub-program responded to 97% of moderate to high risk violations in 2014-15. The methodology was modified in 2014-15 to be inclusive of both moderate to high risk violations.

The sub-program achieved a successful prosecution rate of 95%. Despite a drop in the total number of prosecutions, the prosecution rate improved by 6% relative to the previous year.


Sub-program 2.1.3 - Major Cases and Special Investigations

Description

The Major Cases and Special Investigations program focuses attention on solving high-risk complex compliance issues that pose significant threat to the sustainability of Canada's aquatic resources and that cannot be addressed through education or regular monitoring, control and surveillance activities. Special investigative techniques, including covert operations, technical surveillance, use of search warrants and information technology forensics, are applied to address the unique difficulties encountered in addressing illegal fishing and other activities. Formal intelligence gathering and analysis, inter-agency cooperation and networking, and alignment and integration of data systems with visual analytics tools permit more accurate identification of enforcement targets and enable the building of major case files for successful prosecutions. This program meets domestic and international commitments to address illegal, unregulated and unreported fishing, and to protect habitat and species at risk, contributing to sustainable aquatic ecosystems, supporting legitimate economic activities, and protecting consumers from illegally harvested fisheries products.

Budgetary Financial Resources (dollars)

2014-15
Planned Spending Actual Spending Difference
(actual minus planned)
12,394,141 8,084,581 -4,309,560

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
78.0 56.4 -21.6

Note: The variance between planned and actual human resources is a result of the reinvestment of human resources from within Sub-program 2.1.2 Monitoring, Control and Surveillance and Sub-program 2.1.3 Major Cases and Special Investigations to support Sub-program 2.1.5 Intelligence Services as positions were classified and staffed throughout the year.

Performance Measurement

Expected Result Performance Indicator Target Actual Result
Those that do not comply with legislation, regulations and other managing frameworks that govern Canadian waterways, fisheries, oceans and habitat are held accountable for their actions Percentage of major cases successfully prosecuted 90% by March 31, 2016 100%

Performance Analysis and Lessons Learned

The Major Cases and Special Investigations sub-program was successful in prosecuting 100% of major cases. Five major case prosecutions were concluded between April 1, 2014 and March 31, 2015, and all five resulted in one or more convictions by the Court of an offence under Fisheries and Oceans Canada's legislative framework.


Sub-program 2.1.4 - Compliance and Enforcement Program Capacity

Description

Compliance and Enforcement Program Capacity involves development and support of a skilled, equipped, well-informed, safe, and effective workforce. The foundation for this compliance and enforcement program is the recruitment of Fishery Officers through the Fishery Officer Career Progression Program. On-going training including very specialized enforcement and intelligence training is another key element that requires regular investment. A strong legal and policy framework as well as systems for information collection and analysis are also important components of the support structure. Standards, audits, and Codes of Conduct ensure that enforcement of acts and regulations is carried out in a fair, predictable, impartial, and consistent manner and in keeping with the Canadian Charter of Rights and Freedoms. Acquisition and management of equipment, vehicles, and vessels is necessary to ensure a well-equipped and effective workforce. Finally, strategic planning and integrated risk assessments are carried out to identify operational priorities and to ensure the right balance of tools and approaches are used to achieve the program objectives.

Budgetary Financial Resources (dollars)

2014-15
Planned Spending Actual Spending Difference
(actual minus planned)
31,274,722 38,830,758 7,556,036

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
234.6 253.1 18.5

Performance Measurement

Expected Result Performance Indicator Target Actual Result
Canada has the capacity to effectively administer and enforce the legislation, regulations, and other managing frameworks that govern Canadian waterways, fisheries, oceans, and habitat in a fair, predictable and consistent manner Percentage of Fishery Officer Cadets successfully graduating, completing 30 month field training and remaining with Compliance and Enforcement after 5 years of service 75% by March 31, 2015 88%

Performance Analysis and Lessons Learned

The Compliance and Enforcement Program surpassed its target of 75% of Fishery Officer Cadets successfully graduating, completing 30 month field training and remaining with Compliance and Enforcement after five years of service. Out of a total of 576 Fishery Officers, the majority (88%) or 507 Fishery Officers have five or more years of service.

The demographics by years of service grouping are as follows:

  • over 30 years - 12%
  • over 20 years - 21%
  • over 10 years - 28%
  • over 5 years - 27%
  • less than 5 years - 12% (new recruits)

Sub-program 2.1.5 - Intelligence Services

Description

The primary objective of Intelligence Services is to collect and analyze all-source informationFootnote1 to produce finished intelligence that impacts on decision-makers to support knowledgeable and wise decision-making. In essence, intelligence provides advice about those aspects of the operational environment on which the decision-maker should focus attention. As the Compliance and Enforcement program evolves to an "intelligence-led organization", accurate actionable intelligence and an ability to establish priorities and follow-up action plans will help to control, reduce, or more importantly mitigate in advance, threats and risks, which is essential to the success of the program and for corporate accountability. Establishment of an intelligence model as a core business practice within the Compliance and Enforcement program will allow for analyses of fisheries management and compliance practices in order to move beyond crisis response and strategically focus resources on the areas of greatest risk thus ensuring maximum program effectiveness.

Budgetary Financial Resources (dollars)

2014-15
Planned Spending Actual Spending Difference
(actual minus planned)
718,283 1,861,167 1,142,884

Human Resources (full-time equivalents)

2014-15
Planned Actual Difference
(actual minus planned)
- 12.3 12.3

Note: The variance between planned and actual human resources is a result of the reinvestment of human resources from within Sub-program 2.1.2 Monitoring, Control and Surveillance and Sub-program 2.1.3 Major Cases and Special Investigations to support Sub-program 2.1.5 Intelligence Services as positions were classified and staffed throughout the year.

Performance Measurement

Expected Result Performance Indicator Target Actual Result
Progress in implementing a National Fisheries Intelligence Service that provides accurate and meaningful information and insights to support compliance and enforcement decision-making, priority setting and effective threat-risk mitigation and prevention aimed at strengthening maritime security and aid in detecting and combatting organized crime, fraud and collusion in the fishery (domestic and international) and other forms of non-compliance Number of intelligence products by type Year 1 - 15
Year 2 - 30
Year 3 - 45
Year 4 - 60
Year 5 - 75
(March 31, 2015 to March 31, 2019) Projections subject to program capacity
8
Number of catch certificate audits performed annually relative to the total number of catch certificates issued annually by Canada 100 out of the total number of catch certificates issued
(total number to be determined by the end of 2014-15)
by March 31, 2015
164
National Post-Issuance Catch Certification Audit Compliance Rates for certificates issued in the previous calendar year 45% Audit compliant (no compliance or technical issues encountered); 85% Fisheries Act compliant
by March 31, 2015
37% Audit Compliant (no compliance or technical issues encountered; 82%
Fisheries Act compliant

Performance Analysis and Lessons Learned

The target of 15 per year is an estimate, equally distributed, for annual achievements in relation to the final target of 75 by 2019. Although DFO achieved less than 15 this year, next year and years following are expected to bring the program up to the target of 75 by 2019.

A total of 164 catch certificate audits were performed in 2014-15, surpassing the target of 100.

Results of audits are passed on and referred to the Implementation Planning Bureau of DFO's Catch Certification Program who will follow up on identified issues directly with the certificate holder to address any/all compliance and/or technical issues encountered by Compliance and Enforcement staff during the course of an audit. Measures are in place to control the further issuance of export certificates to non-authorized entities. Potential offences under the Fisheries Act are referred to the responsible Compliance and Enforcement detachment unit within DFO for investigation and appropriate enforcement action is undertaken as required.