“Conserving our Marine Environment and Inshore Fisheries”

Annual Plan 2015 - 2016

NIFCA’s new patrol vessel St. Aidan(artist’s impression)

The Northumberland Inshore Fisheries & Conservation Authority8 Ennerdale RoadBlythNorthumberlandNE24 4RT

Telephone: 01670 797 676Email: nifca@nifca.gov.ukWebsite: www.nifca.gov.uk

An Admiralty chart of the district can be found on the Authority website.

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Contents Page

1. Introduction 1

2. From the Chairman 2

3. Vision, Success Criteria & High Level Objectives 3

4. Local Targets and Priorities 4

5. Work Plan Summary 5

6. Resources 6

7. Summary of agreed budget estimate expenditure 2015 - 15 7

8. NIFCA Structure and Membership 8 - 9

9. Staffing and Service Standards 10 - 13

10. Governance Summary 14

11. Training and Development Plan 15 - 16

12. Strategic Planning 17

Annex I Risk Assessment Matrix 18 – 28

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Glossary of Terms used in this Annual Plan or of relevance to IFCA remit

AIFCA - Association of IFCAs

B&NNC EMS - Berwickshire & North Northumberland Coast European Marine Site

CEFAS - The Centre for Environment, Fisheries and Aquaculture Science

CFP - Common Fisheries Policy

COG - Chief Officers Group

DEFRA - Department for Environment Food and Rural Affairs

EA - Environment Agency

EMS - European Marine Site(s)

HLO - High Level Objectives

IFCO - Inshore Fisheries & Conservation Officer

JWA - Joint Working Arrangement (locally with MMO, EA and NE)

MaCAA - Marine & Coastal Access Act 2009

MCA - Maritime and Coastguard Agency

MMO - Marine Management Organisation

MPA - Marine Protected Areas

MCZ - Marine Conservation Zones

MoU - Memorandum of Understanding

MSC - Marine Stewardship Council

MSFD - Marine Strategy Framework Directive

NAREC - National Renewable Energy Centre

NE - Natural England

NEBOSH - National Examination Board in Occupational Safety and Health

NIFCA - Northumberland Inshore Fisheries and Conservation Authority

NSFC - Northumberland Sea Fisheries Committee

P&C - Promotion & Communication (Plan)

RIB - Rigid Inflatable Boat

RSA - Recreational Sea Angling

SAC - Special Area Conservation

SAGB - Shellfish Association of Great Britain

SEA - Strategic Environmental Assessment

SLA - Service Level Agreement

SPA - Special Protected Area

TAG - Technical Advisory Group

WASSP - Wide Angle/Sonar Seafloor Profiler

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Annual Plan 2015 - 2016

1. IntroductionThis Annual Plan outlines what we aim to do in 2015–16 and demonstrates how Northumberland Inshore Fisheries and Conservation Authority (NIFCA) will build upon our work in the 4 years since inception on 1 April 2011.

To achieve our goals we now have in place the necessary workforce, member base, procedures, premises, technology and equipment (with our new Patrol Vessel “St. Aidan” due for delivery in April 2015). Over the last 4 years we have also built strong relationships with stakeholders and partner agencies and continually enhanced communication and promotion of our work through meetings, discussion, our website, as well as beginning in 2015 the use of social and other media.

Our key specific work areas in 2015 – 16 will be as follows:-

Continuing with the EMS Revised Approach particularly in respect of amber risks – bait digging, potting, birds and gill netting;

The proposed Coquet to St. Mary’s Marine Conservation Zone which is undergoing consultation at the time of publication of this plan;

Proportionate enforcement of our byelaws and other fisheries and marine environmental regulation, with the Authority undertaking a continuous programme of education of stakeholders to minimise the risk of infringements;

Survey work and other data gathering processes to further enhance the basis of management in the district.

Implementing as soon as possible and with a minimum of inconvenience to stakeholders the new NIFCA byelaw package in place of the Authority’s legacy byelaws. Details will continue to be posted on the Authority website.

The main challenge which it is envisaged we will face is in respect of limitations upon our resources but we will continue with a policy of careful and prudent financial management and with the continuation of the funding from Defra which is included in the precepted sums to the Authority from Northumberland and North Tyneside Council being seen as crucial to the continued level of fulfilment of this Authority’s vision and remit, as it has been fulfilled to date.

Finally, thank you again for the continued interest in our work shown by a wide range of stakeholders and we will continue to listen and engage with you as much as possible in the months ahead, which we are looking forward to.

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2. From the IFCA Chair Robert Arckless

Robert Arckless

The year ahead will be significant in many ways and as I write this there are a number of uncertainties.

A new Parliament will be in place and a new Government established.

Depending on the result of the General Election there could be changes, although in terms of IFCAs there is a long-established cross Party consensus.

The new Government will consider spending priorities. We know that the “new burdens” funding is committed for the forthcoming year and that is an issue which will be important to all IFCAs. In the 2015 financial year Northumberland IFCA slightly increased the precept levied on our constituent authorities by 2% after a five year budget freeze. We are very conscious of the continuing pressure on public sector expenditure and continue to monitor our budget closely.

We are grateful for the continued support of Northumberland County Council and North Tyneside Council. We will continue to work with them and to establish links with our local MPs and MEPs.

I am very proud that Northumberland IFCA will shortly take delivery of our new patrol vessel, the Saint Aidan. This has been funded entirely from our own resources because of the foresight of the previous Sea Fisheries Committee continued by IFCA in establishing a patrol vessel fund. We believe the new patrol vessel will allow us to undertake our duties more effectively and in a much more cost effective manner.

Our staff team is well established and encompasses a range of talent and experience.

Northumberland IFCA has good relationships with our stakeholders and our officers play a full part in supporting the work of a number of community groups.

Work is progressing well on the legacy by laws and the Strategic Environmental Assessment and the close links between Northumberland IFCA and Newcastle University continue.

The Authority membership continues to give me strong support. My thanks to them for all they do, and especially my Vice Chair, Les Weller.

I also want to thank the Chief Executive, Mike Hardy, the Fisheries Officers and staff team. Their commitment and enthusiasm make all the aspirations outlined in our annual plan a reality.

Robert Arckless.

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3. Vision, Success Criteria and High Level Objectives

The National IFCA Vision:-

“IFCAs will lead, champion and manage a sustainable marine environment and in-shore fisheries, by successfully securing the right balance between social, environmental and economic benefits to ensure healthy seas, sustainable fisheries and a viable industry”.

To achieve the IFCA vision, seven success criterion have been established, each with a series of performance indicators, as outlined below. The objectives of the IFCAs officers is clearly linked back to these high-level objectives as is shown below:

IFCA vision ↓IFCA success criteria ↓

High-level IFCA objectives ↓IFCA working level objectives (annual plans including local targets and priorities) ↓

Staff work objectives (annual reviews also known as appraisals)

Regarding the success criteria which are current as we enter 2015-16, the reader is referred to the NIFCA Annual Plan for 2014 – 15 (page 3 and Annex 1 pages 22 – 38). However, the Success Criterion together with the High Level Objectives, Outcomes and Performance Indicators thereunder are currently undergoing national review which it is anticipated will be completed in the Spring of 2015 and details of which will be fully publicised by this Authority, including upon our website. Pending changes which will arise from such review, the Authority and its officers will continue to work in accordance with the fundamental principles of the existing criteria and together with members to embrace those principles.

IFCOs Sally Stewart-Moore (left) and Justin Cooke (right) with Newcastle University students on the Blyth Mussel Survey

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4. Local targets and priorities Northumberland IFCA in 2015 – 2016

The reader is referred to our Annual Plan for 2014–15 pages 4-6 and Annex II and the local targets and priorities are now as follows:-

The targets and priorities in our 2014–15 Annual Plan numbers 2, 4, 6, 7, 8 (with Mussel Surveys also now taking in place in the River Blyth, as well as continued expansion of the Authority’s fish survey work including in Druridge Bay) 9, 11, 12, 13 and 16 remain unchanged.

Regarding the other numbered local targets and priorities from 2014-15 Annual Plan:-

1. The work carried out under current and future success criteria, high level objectives and performance indicators will continue to be kept under review.

3. The Authority Strategic Environmental Assessment (SEA) has now been implemented and will be used as a management tool by the Authority.

5. Regarding Marine Conservation Zones, apart from properly monitoring the Aln Estuary MCZ, the Authority will undertake all necessary preparation for the proposed Coquet to St. Mary’s MCZ and have regard to other proposed MCZ adjoining the district.

1. Regarding byelaws, the Authority made its 6 new Legacy Byelaws at its quarterly meeting on 28 October 2014 and following statutory consultation the byelaws were forwarded to the MMO in February 2015 with a view, ultimately, to ministerial signature and the byelaws becoming law which is therefore anticipated in 2015 and the Authority will regulate accordingly under its byelaw package (as well as other relevant regulatory provision) and including the two red risk byelaws, namely the one prohibiting use of mobile fishing gear in the English section of the B&NNCEMS and the other protecting seagrass in the same area.

15. Amble 2020/Lobster Hatchery - the Authority will continue to assist with this project, in particular through the Working Group which has been set up and the sponsorship of a PhD student who is continuing her work on the feasibility of the hatchery.

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5. Work Plan Summary 2014 - 2015

The Work Plan Summary in Section 5 of the Annual Plan 2014–2015 will be continued in broad summary for 2015–2016, with any necessary adaptations. The Authority’s Risk based Enforcement Policy will also continue to be followed, with intelligence also crucial to operations and enforcement activities. The introduction of Annual Reviews of Performance of all staff, following a comprehensive review and analysis led by Messrs Drummond HR, of Contracts, Performance Review and Reward will also lead to benefits both for individual officers and staff regarding career progression and for the Authority in terms of enhancement of performance by individuals and the Authority team.

Mark Southerton, Les Weller, Ian Thomas and Eric Balsdon, Mussel Survey at Blyth,

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6. Resources Premises

The position is unchanged from what is stated in the 2014-15 Annual Plan.

Vessels and Vehicle

In February 2015 the Authority sold its 21m patrol vessel St. Oswald for £168,080 and is due to take delivery in April 2015 of a replacement vessel St. Aidan, a 16m GRP catamaran. The Authority’s vessel and vehicle capability remains otherwise as stated in the 2014–15 Annual Plan. St. Aidan has been purchased entirely from the Authority’s own saved resources (the Patrol Vessel (PV) Fund) and we will aim to build up another PV Fund for the future after St. Aidan.

Financial - Estimated Reserves at the end of 2014-15 including the St. Oswald sale proceeds are in the sum of £322,000.

Budget

The Authority has increased precepts by 2% for 2015-16, after having a fixed budget for our first four years. This modest increase enables some further contingency in the light of prevailing long term financial uncertainty, particularly regarding funding from Defra (“new burdens”) which is paid via the Authority’s total precept figures, but not guaranteed beyond 2015-16. The Authority’s budget forecast on the following page will be kept under review and reported on as referred to in the Resources section of last year’s Annual Plan.

Value For Money The principles and policies as referred to in last year’s Annual Plan have and will continue to be enshrined in our modus operandi.

Officers assisting with litter collection

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Northumberland IFCA

Summary of agreed budget estimate expenditure 2015-2016

Estimate2015-16

ExpenditureEmployee expenses 543,800Patrol vessel expenses 53,000Land rover/RIB expenses 6,500Establishment expenses 111,300Legal expenses 5,000Conference training and expenses 36,000Lobster V-Notching 10,000

Sub Total 765,600

Contingencies 10,000Annual contribution to patrol vessel replacement fund 42,000

Total Expenditure 817,600

IncomeOther income 29,200Northumberland County Council precept 657,581North Tyneside Council precept 131,169

Total Income 817,950

Surplus/(deficit) 350

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7. NORTHUMBERLAND IFCA STRUCTURE OF ORGANISATION

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The Northumberland Inshore Fisheries & Conservation Authority -The Members: 6 from Northumberland County Council,

1 from North Tyneside Council, 11 MMO Appointees pending appointment of a new member

plus 1 Statutory Member from each of the Environment Agency, Natural England and the Marine Management Organisation (MMO)

The Chief Executive Officerreporting to the Authority

Michael H Hardy

Chief Inshore Fisheries & Conservation Officer (Chief IFCO)Alastair B Browne

Deputy Chief IFCO Mark Southerton (Operational)

Relief Skipper

Deputy Chief IFCO Jon Green (Environmental)

Administrative Officer(post to be filled in 2015-16

IFCO/MateDarren Graham

IFCO/EngineerJustin Cooke

Environmental/IFCOEmma McLoughney

Part-Time SecretaryDebbie Carr

Part-Time Finance OfficerJulian Sutton

IFCO/Coxswain/CrewMichael Docherty

IFCO/Coxswain/Crew and Environmental IFCOSally Stewart-Moore

IFCO/Coxswain/Crew(Part-Time)

Eric Balsdon

Part-Time SecretaryCarole Blair

Part-Time Assistance Finance OfficerPat Temperley

8. NIFCA Membership (As listed below at the time of going to press in March 2015)

The Northumberland Inshore Fisheries and Conservation Authority is funded by 2 constituent authorities: Northumberland County Council (NCC) and North Tyneside Metropolitan Borough Council (NTMBC) with 6 members from NCC and 1 member from NTMBC on the Authority. To maximise democratic accountability the majority of the 7 local authority members voting on the Authority Budget must approve its passing. In addition there are up to 11 MMO appointed members and 1 representative (staff member) from each of the government agencies, Environment Agency (EA), Natural England (NE) and Marine Management Organisation (MMO). Please see membership table below:

Name Affiliation

Councillor G R Arckless (Chairman) NCC

L Weller (Vice Chairman) MMO appointee

M Bould MMO appointee

Councillor B Burdis NTMBC

Councillor Mrs J Fearon NCC

Ms Lynne Grimshaw NCC

Mrs C Hedley MMO appointee

D Herriott MMO appointee

M Kitching MMO appointee

N Polunin MMO appointee

Mr P Rippon EA representative

A Ritchie MMO appointee

N Robinson MMO representative

Dr C Scott NE representative

Councillor Mrs E Simpson NCC

J Stephenson MMO appointee

Ian Thomas MMO appointee

D Thompson MMO appointee

Councillor R J D Watkin NCC

Councillor J Woodman NCC

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9. NIFCAStaffing and Service Standards

Service Description

NIFCA has a stable and dedicated workforce with a high level of expertise and commitment in all aspects of the work being undertaken by NIFCA. The workforce forms an excellent team for delivery of all objectives on a daily, weekly and annual basis. The office staff and IFCO officers will be open and transparent with stakeholders.

In the office:

Chief Executive Michael H. Hardy (Solicitor, non-practising)Head of service with responsibility for the overall management of the organisation and strategic planning including in respect of the roles of staff and officers, with ultimate responsibility in addition for: Budget control, policy development, public relations, data protection and freedom of information, legal management, human resources issues including staff Performance Reviews, preparation of reports and membership liaison.

Administrative Officer It is planned to fill this role in 2015-16.

Secretary Deborah Carr (part-time)Management of office filing systems, maintaining paper records, audio typing, general office dutiesand administrative support.

Secretary Carole Blair (part-time)Audio typing, general office duties.

Finance Officer Julian Sutton (part-time)Budget control and maintaining financial records

Assistant Finance Officer Patricia Temperley (part-time)Budget control and maintaining financial records

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Inshore Fisheries and Conservation Officers (“IFCOs”)Chief Inshore Fisheries & Conservation Officer

Alastair BrowneLine Manager for IFCOs. Skipper of patrol vessel, liaison with CEO. Managing all aspects of Authority’s vessel operations and shore enforcement. IFCO Performance Reviews, timesheets/expenses, monthly rotas. Liaise with other organisations as applicable. Attend COG and other meetings. Prepare and present prosecution reports. Byelaw review.

Deputy Chief Inshore Fisheries & Conservation Officer (Operations)

Mark SouthertonEnforcement duties. Relief skipper patrol vessel.Deputise for Chief Officer when necessary.Heading Ground Truthing/Surveying.Health & Safety Officer (vessels and office).IFCO Performance Reviews.Managing all safety equipment for officers, vessels and office. Coxswain of Authority RIBs.

Deputy Chief Inshore Fisheries & Conservation Officer (Environmental)

Jonathan GreenHead of Authority Conservation work including marine and environmental issues, research programmes and the Authority work in relation to EMS, MCZs, SEA and Byelaw Reviews. Also liaison with Authority IFCO (Environmental) and the Chief Executive and other IFCOs as necessary. IFCO Performance Reviews. Plus where required Enforcement Officer duties including Coxswain of Authority RIBs.

Inshore Fisheries & Conservation Officer /Engineer

Justin CookeEngineer on board patrol vessel.Maintenance of Authority’s vessels and equipment.Enforcement Officer duties. Coxswain of Authority RIBs.

Inshore Fisheries & Conservation Officer

Darren GrahamMate on patrol vessel.Enforcement officer duties.Coxswain of Authority RIBs.

Inshore Fisheries & Conservation Officer

Michael DochertyEnforcement officer duties.Shellfish data. Sea angling liaison officer. Boarding Officer.

Inshore Fisheries & Conservation Officer (Environmental)

Emma McLoughneyAuthority Environmental and Conservation work in conjunction with and reporting to the Deputy Chief IFCO (Environmental) and particularly in relation to the EMS Revised Approach (Amber Risks), MCZs, SEA, liaison with Newcastle University and other partner organisations and Enforcement Officer duties where required.

Inshore Fisheries & Conservation Officer

Sally Stewart-MooreEnforcement officer duties. Survey duties. Sea angling liaison officer. Boarding officer and works with environmental officers.

Inshore Fisheries & Conservation Officer (part-time)

Eric BalsdonEnforcement officers duties.Coxswain of Authority’s RIBs.

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Service StandardsThe Authority Officers are all based at the Authority office. They attend at the office for meetings and administrative support. The Authority’s Land Rover and shore-based RIB are stored at the Authority office and patrols can commence from the office. The move to new premises last year as detailed elsewhere in this report has removed the need except in exceptional circumstances for officers to work from home.

The other staff are also based at the Authority office. All are mobile when necessary to attend meetings and to other duties relating to their role.

The main overall roles of the Authority will continue to be enforcement of fisheries and conservation legislation at sea and ashore in the Authority district; collecting data through research and survey work (practical and desk based) to inform management and with a continuation of projects particularly with Newcastle University and supported by Natural England; management and maintenance of physical resources; administration including finance, data protection, record keeping and preparation for meetings; providing advice (official consultations, general fisheries and environmental enquiries and ad hoc stakeholder enquiries); and acting as intermediary and facilitator.

The objectives of NIFCA entail providing a professional, effective, efficient and equitable enforcement regime in the NIFCA district; ensuring the best possible fishery and conservation management practices and research techniques are utilised; continuing to maintain and monitor standards of performance; providing stakeholders and the general public with information and/or data and improving access thereto; and meeting with stakeholders to provide information and receive feedback.

Service Delivery Priorities

By a proactive enforcement regime throughout the district a high quality of patrols and enforcement will continue to be achieved. There will also be reports to the Authority on a quarterly and annual basis setting out the activities of the Authority measured against the Performance Indicators in particular. Technical and research documentation will be produced to a high standard and made publicly available both in paper and electronic form. Research opportunities will be practically identified and developed with appropriate levels of reaction to consultation and similar documents. There will also be involvement in other activities that could have an impact on the marine environment in the district.

The IFCA will also continue to collect data from permit returns in accordance with Byelaw provision. In addition the IFCA will seek external funding support wherever possible for relevant projects.

As part of NIFCA’s customer care, the following standards have been set so that customers know what to expect when dealing with the Authority and staff.

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Employees will:-

Identify themselves when dealing with anyone Answer telephone calls within 5 rings whenever possible. Answer letters and emails or send a holding communication within 5 working days of

receipt. Deal with complaints in a prompt considerate manner. Be courteous and endeavour to be helpful at all times. Provide information on services and facilities.

Since the inception of NIFCA the above service standards have been adhered to very satisfactorily by NIFCA and its officers/staff. It is intended to maintain and wherever possible enhance that high level of performance in 2015 -2016.

Aln Estuary Survey

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10. Governance SummaryNIFCA is governed by the system of quarterly meetings of the membership held at the Authority Office at 8 Ennerdale Road, Blyth or at Northumberland County Council, County Hall in Morpeth on the fourth Tuesday every January, April (which is the Authority annual meeting), July and October. Governance is regulated by the Northumberland Inshore Fisheries Conservation Order 2010, the NIFCA Constitution, Standing Orders and Code of Conduct for Members, all of which documents are kept under review and updated when required. The Standing Orders provide a procedure to arrange extraordinary meetings if required.

NIFCA has two standing committees of members which meet before each quarterly meeting and report to the main NIFCA Committee – the Watch Committee deals particularly with issues relating to the patrol vessel, enforcement and staff matters and the Finance Committee particularly considers the Authority budget and is reported to by the Finance Officer and Chief Executive.

Subcommittees are established when necessary to look at specific issues and report to the main committee for example in relation to byelaw review.

The above system and governance documentation is kept under review by the Chief Executive in consultation with the members. Other views from officers and staff and stakeholders will also be taken into account. Any necessary amendments or updating arising from the above will be made if required.

Current NIFCA Subcommittees

Scientific and Technical SubcommitteeManagement SubcommitteeProsecution SubcommitteePromotion and Communications SubcommitteePremises SubcommitteePatrol Boat Subcommittee (re new patrol vessel procurement)CFP Reform SubcommitteeDefra and other consultations subcommitteeInshore Shellfishery Subcommittee

Holy Island Mussel Survey

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11. Training and Development Plan

NIFCA continues its commitment to the training and development of staff and members to maximise their knowledge and ability to carry out their roles fully and effectively within the Authority with due regard to resources limitations and therefore aiming for the best standard of training and development in the most cost effective way possible. Training and development continues to be reviewed and developed to address all areas of relevance to the Authority’s operation on an on-going basis. Issues in the Authority plan can be converted over time into an individual personal working objective. By thus investing in the NIFCA staff their value to the organisation and the respect in which they are held as individuals by NIFCA and stakeholders is demonstrated and maintained. The system of staff appraisals established by NSFC and continued and developed by NIFCA Performance Review is also designed so that individual staff input including concerns and suggestions is maximised and aspirations addressed and met where possible.

Training will be through a variety of media, including but not limited to formal classroom teaching and including where applicable learning, mentoring and role play, as well as experience on the job.

The attached schedule at page 16 of this document confirms the training plan for officers and staff in 2015–2016, with provision also to be made for members. Particularly, this will ensure fulfilment of the statutory safety courses and enforcement training which the officers are required to undertake. In addition, the Chief Executive is a member of the national cross agency (MMO, Environment Agency and IFCAs) training group which has been looking at a range of initiatives for future training for IFCOs and other sea fisheries and environment enforcement officers, leading in particular to the specialist training for IFCOs which was rolled out by the MMO from March 2012 and planned Accreditation through Skills for Justice for IFCOs and Marine Enforcement Officers.

The national IFCAs TAG, as well as providing important support to all IFCAs in respect of their environmental and scientific work, is also an excellent forum for the on-going development of attending IFCA officers.

Administrative staff will also continue to undertake such courses as are necessary both to maintain the standards of their work and for personal development and this process will be kept under review particularly by the Chief Executive and Administrative Officer.

Officer and staff training requirements will be agreed and kept under review with every member of staff during annual Peformance Reviews.

Members

New Authority Members are offered induction training by the Chief Executive and an IFCO. Further training will continue to be offered to members in 2015 – 2016 particularly by way of on-going events and presentations to be arranged and also by way of guidance from the Authority office by way of reports and information and at Authority meetings. As part of the above, members will be briefed as much as possible on subjects which will or may impact upon or affect their core interest.

As the work of the Authority continues to develop, options for training will be brought to the members’ attention wherever possible and members will continue to be encouraged to participate in the same and suggest any training sessions which they think will be useful.

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NORTHUMBERLAND INSHORE FISHERIES AND CONSERVATION AUTHORITYANNUAL TRAINING SCHEDULE 2015-2016

List of Proposed Courses/Training

Name of Type of Course/Training Attendance Other Notes

Investigative Law MMO, Preston IFCO D Graham

Basic First Aid, South Tyneside College(MCA approved)

IFCO S Stewart-Moore

IFCA Enforcement and Training Course, Torquay 2 x IFCOs (Refresher)

WASSP Multi Beam Training, Furuno, (in-house) IFCOs

Continuation of various in-house training and learning requirements including information technology updates.

IFCOs/Office Staff

Various IFCA Training Courses, reference Survey Equipment and Data Gathering

IFCOs

Association of Accounting Technicians (AAT) Diploma in Accounting, levels 3 & 4

Finance Officer Julian Sutton

Sage 50 Accounts on line training Finance Officers

The need for additional courses (including for members) will be monitored, arranged where necessary and within budget and reported on an on-going basis to meetings of the Authority.

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2. Strategic PlanningThe section on Strategic Planning in our 2014 – 2015 Annual Plan set a template for Strategic Planning by NIFCA. The success of this Authority’s forward planning and strategic approach is reflected in the Report to Parliament which has been delivered by DEFRA shortly before publication of this Annual Plan and NIFCA will aim to build on the success of our first four years and plan in 2015 – 2016 as far ahead as possible for the effective future working of NIFCA. Key to that is recognition of the working environment in which we operate and over the last four years we have adapted to that environment and developed the structures and staff in particular to enable the Authority to both plan ahead and deal with contingencies which may arise. The long term goals of the Authority remain as enshrined in the NIFCA Vision and Success Criteria and the means are in place to achieve those goals in the short, medium and long term.

RNLI Training

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Annex 1

Up-to-date Risk Assessment Matrix

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RISK ASSESSMENT MATRIX FOR NORTHUMBERLAND INSHORE FISHERIES AND CONSERVATION AUTHORITY

ANNEX III TO NIFCA ANNUAL PLAN

Objectives: 08/01/2008 and 18/03/2008 to establish this MatrixTo manage and regulate inshore sea fisheries in Northumberland and other duties particularly as laid down in the First Reviewed 14/11/2008Marine & Coastal Access Act 2009 including: Reviewed 25/6/2009

Enforcement of byelaws and other legislation. Reviewed 18/02/2010

Supply fishing permits to approximately 115 fishermen, tags for pots to them and tags to approximately 650 hobby fishermen. Reviewed 03/08/2010 Next Review : May 2015

Provision of advice to permit and wider community Reviewed 22/02/2011

And as referred to in the IFCA Vision, Success Criteria and other objectives in the NIFCA Annual Plans and also referred to in Reviewed 28/09/2011

the NIFCA Annual Plan and Report Reviewed 05/07/2012Reviewed 27/03/2013Reviewed 08/11/2013Reviewed 16/12/2014Reviewed 16/12/2014

Risk scored as current net risk i.e. with controls at current status and effectiveness; as they are nowThe Matrix is reported on to each Authority Finance and main Committee meeting

Ref

Risk Controls

Likelihood

Impact

Score

Monitoring Process ResponsibilityFurtherAction

Required

Dateof

LastReview

Dateof

NextReview

20151 Inadequate

management of health and safety of operational and office staff leading to an incident.

Health and Safety Officer, Health and Safety Policy, risk assessments of all work, continually reviewed. Lone working policy in place for IFCOs and office staff, with an office rota introduced to try and avoid lone working in the office. Incidence of lone working significantly reduced due to Health & Safety Policy and rota and levels of office staffing. The Health and Safety Policy is kept up to date. Training is given to new recruits. A visitors book is also kept in office reception recording all site visitors and staff attendance at and departure from the office.The Health & Safety Officer has carried out a review of 8 Ennerdale Road since the move here last September – camera system now operational, as is door keypad system. Premises security including re: front gate will continue to be kept under review.

1 3 7 Monthly record of checks including fire safety and a fire drill has taken place for all officers and staff. Records of regular testing and inspection also take place. There is a quarterly Health & Safety Report to the Authority and the position is minuted. Quarterly report to Authority and meeting minutes.

M. SouthertonJ. Cooke

Fire drill to take place annually plus Manual Handling, First Aid and Fire Training to be arranged for office staff. Crane in garage area also to be isolated from the fuse board or permanently disconnected. A health and safety manual for the Authority’s new patrol vessel St. Aidan will also be prepared before

16/12/2014 May

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the vessel becomes operational.

Ref

Risk Controls

Likelihood

Impact

Score

Monitoring Process ResponsibilityFurtherAction

Required

Dateof

LastReview

Dateof

NextReview

20152a An aggrieved

member of the public becomes abusive leading to an incident in the field.

As above plus: building up relationships, using negotiating and influencing skills. Enforcement officers equipped with personal protective clothing and equipment. Vast majority of time work in pairs. Lone working risk assessed and policy and procedures in place. Incident procedure to withdraw and report with potential recourse being prosecution for obstruction. Veecam has also been purchased and may be used to gather evidence inter alia of incidents. On the rare occasion that lone working is required, officer will ring in at the beginning and end of the day to notify the Chief Officer or designated duty officers or member of staff that they have finished.

1 2 3 Reporting to Chief Executive and meeting of the Authority.

Chief Executive/Chief IFCO

No. 16/12/2014 May

2b An aggrieved member of the public becomes abusive leading to an incident – with an office based member of staff.

As risk 1 and 2a above plus: building up relationships, using negotiating and influencing skills. The Authority’s premises at 8 Ennerdale Road also now have CCTV and electronic access providing extra security and the above mentioned visitors’ book also keeps a record of who has been at the office in case of any difficulty.

1 2 3 Reporting to Chief Executive and the Committee.

Chief Executive. No. 16/12/2014 May

3 Accusation of an officer or staff member of dishonesty or fraud leading to loss of reputation of the Authority.

Authority governance and code of conduct. Financial Regulations and Procedures handbook, including system requiring Officer and Chief Executive approval before any payments are made and an order approval process requiring quotes. Receipts issued for all donations; register kept for transparency. Disciplinary process. Installation of on line banking has increased security. An office safe

1 2 3 Public Audit. Quarterly reporting to the Authority by Admin and Finance Officers, to Chief Executive more frequently if necessary. One or both Finance Officers also meet with the Chief Executive at least once a week and Assistant Finance Officer gives monthly budget reports to the

Chief Executive. Sage 50 is being installed and that will continue to improve accuracy and reduce risk of errors in financial management.

16/12/2014 May

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has also now been securely installed, access to which is controlled and limited. The Chief Executive and Chief IFCO also both have Authority Barclaycards – Chief Officer checks all usage with Chief Executive and memos expenditure and all expenditure is reported as soon as possible to the Authority Finance Officer.

Chief Executive.

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Ref

Risk Controls

Likelihood

Impact

Score Monitoring Process ResponsibilityFurtherAction

Required

Dateof

LastReview

Dateof

NextReview

2015

4 Inadequate funding leading to overspending or reduced level of service

The Authority precepts upon Northumberland County Council (83.37%) and North Tyneside Metropolitan Borough Council (16.63%). The Authority membership includes councillors with these authorities. Should funding be reduced, the Authority would seek to cut back in certain areas and renegotiate upon the level of service provided. Tight financial controls. Financial Regulations are implemented. Monthly budget report by Finance Officers to Chief Executive as well as meeting at least once a week between Finance Officer(s) and Chief Executive. Under the Marine and Coastal Access Act, additional funding has been awarded by DEFRA for New Burdens which is guaranteed to continue until the end of 2015-16. In addition the Authority has an Assistant Finance Officer dealing particularly with budget management and providing cover and support for the Finance Officer and particularly reporting to the Chief Executive upon budget monitoring and planning.

Base costs and overheads have increased but rigorous planning of the budget continues and there is compliance with Audit recommendations. In addition the Authority’s new patrol vessel St. Aidan (replacing St. Oswald) will bring increased efficiency and savings in terms of running costs and maintenance as well as possibly increasing chartering opportunities and thereby income because of increased capability.

2 3 10 Finance Officers reporting to Chief Executive, and to the quarterly meeting of the Authority.

J. Sutton Continuing to work with NCC to strengthen procedures under the Audit Action Plan and ensuring fulfilment by NCC of the Service Level Agreement with them.

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5 Loss of staff (e.g. through long term sickness or turnover) leading to a loss of skills, knowledge and experience and reduced capacity to deliver the service. Impact assessed based upon losing 2 staff.

Workload would be distributed between remaining staff. Recruitment of additional resource e.g. part-time/temporary staff. Notice period required is between 6 weeks and 3 months for IFCOs and office staff. Training of existing staff to do tasks of others. Training of new recruits. Financial Regulations developed for finance. There would be liaison with other Authorities to get staff from them on a temporary or permanent basis. In recent years the Authority has also increased its compliment of officers to 8 full time and 1 part time IFCO plus part time administration and finance officer support. Reconfiguration of Authority operation would take place if funding reduced.

1 3 7 Rota meetings with IFCOs. Close working with Finance Officer and Admin staff. Also see Gap Analysis document which is kept under review. Regarding monitoring process a “Certificate ofFitness” and return to work interview upon an IFCO or staff member returning to work after a period of absence will be sought if necessary and appropriate to ensure fitness to return to work.

Chief Executive. Keep under review business continuity planning for significant loss of staff during such as a pandemic flu outbreak. Regular staff meetings to be increased if possible to at least quarterly.

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20156a Loss of boat, RIBs,

vehicles, plant and equipment leading to inability to enforce byelaws and deliver service.

Employment of engineer 0.5FTE; if engineer absent for any length of time the Chief IFCO and Deputy Chief IFCO (Operations) could cover the situation for a reasonable period. Maintenance and inspection regime. PV and RIB insurance in place - replacement policy in the event of fire or sinking, duplicate documents are held on land or replacements can be obtained. PC back-up procedures in place and back-up for data on pv at office. Mutual assistance could be sought through eg North Eastern or North West IFCA and other organisations. Lead-in time for replacement new RIB is 2-3 months, but perhaps leasing during interim period. The Authority’s existing RIB capability also means there is a supplementary vessel if the patrol boat is out of action. The Authority is also now due to complete early in 2015 the purchase of a Catamaran Patrol Vessel following a rigorous procurement process led by Northumberland County Council and with a detailed legal contract in place with the boat builder including insurance to give every possible assurance of delivery of the vessel as per the contract.

1 2 3 Reporting to Patrol Vessel Subcommittee, Watch Committee and main committee meetings of the Authority. Regarding new patrol vessel the Chief IFCO in particular is in regular contact with the boatyard and together with members of the Authority Procurement Team is paying visits to the boat yard to monitor progress.

Chief Executive. No. 16/12/2014 May

6b Loss of building e.g. through fire leading to inability to deliver service.

IT back-up provided by NCC and website back-up by Urban River. Temporary accommodation would be sought initially from NCC. Current files are held in steel cabinets. Purchase of a fire proof cabinet for the most important documents is being considered and a small safe has been purchased for any cash which has to be held on the premises plus keys and other small but important items. Deeds held in strong cupboard. Blue Book (electronic copy) and other records held on the boat or electronically. Insurance. Keep under review NCC ability to provide accommodation if required.

Fire awareness for staff is built into the Authority Health & Safety Policy and planning.

1 2 3 Reporting to Chief Executive. Admin Officer Re: Fireproof filing cabinet

16/12/2014 May

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20157 Failure to regulate

in accordance with legislation.

Professional update will be maintained through membership of the Association of IFCAs and networking through other IFCAs and “blue book” updates, DEFRA communications. Admin staff scanning the internet on a regular basis. Internal communication framework. The Authority has also completed reviewing its legacy byelaws with a view to implementing a replacement new byelaw package during 2015. The Authority will also continue to regulate as required under the European Marine Site Revised Approach to Fisheries Management. Full consultation including with the MMO is undertaken and also with Natural England, particularly re Habitats Regulations and other stakeholders. IFCAs can also make emergency byelaws.

1 3 7 Rota meetings. Close working with Admin staff. Staff meetings. Quarterly reporting to Committee of the Authority.

Chief Executive. Continue the process of implementing new byelaws and updates to be given to IFCOs and staff when required on regular development.

16/12/2014 May

8 DEFRA or MMO objects to proposed new byelaw leading to management difficulties experienced by the Authority.

In developing byelaw proposals, legal expertise is sought where necessary (in addition CE who is a solicitor (now non-practicing) with many years’ experience) and reference is also made to the Defra Guidance to IFCAs on making byelaws. There is also on-going liaison with the MMO. IFCAs can also make emergency byelaws. The enhanced IFCA byelaw-making process including specific provision for consultation and Impact Assessments should reduce the risk of Defra or MMO objection to a proposed new byelaw.

2 3 10 All relevant staff and the Authority. Chief Officer and Deputy Chief Officers and Chief Executive.

No. 16/12/2014 May

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20159 Failure to adequately

manage the continuation of the Northumberland IFCA and all new duties under the implementation of the Marine and Coastal Access Act 2009. There will be a parliamentary report on all IFCAs after 4 years i.e. during 2014-15.

The process of transition from Sea Fisheries Committee to IFCA was successfully accomplished some time ago. IFCA duties and remit are now fulfilled by the Authority. NIFCA was consulted upon preparation of the Parliamentary Report by Defra on IFCAs first 4 years and the report is awaited. Throughout NIFCAs first 4 years, MOUs with partner agencies have been followed and in particular the Authority has implemented and worked with partner agencies locally upon a Joint Working Arrangement. This has ensured compliance with the provisions of the Marine & Coastal Access Act 2009 as these affect IFCAs. The IFCA also has High Level Objectives, Outcomes and Performance Indicators to follow, and that has been done as much as possible bearing in mind resource limitations and extra responsibilities which have been given to IFCAs. As well as guidance to IFCAs from Defra, the IFCA has also established its Annual Plan and Annual Report which are followed in managing its role. The Authority has also undertaken during 2014-15 a review of Employment Contracts, Performance Review and Reward (ECPR&R) which increases robustness of the Authority’s delivery capability whilst being fair to officers and staff.

1 3 7 This is built into the High Level Objectives, Outcomes and Performance Indicators for the IFCA and in the Annual Plan. Progress and attainment of objectives should be monitored continuously and reported upon quarterly to the meeting of the Authority and in the Authority Annual Report.

Chief Executive Adhere to monitoring process as detailed for this risk and maintain all necessary training for Officers and Staff and act upon guidance from the membership and Defra and Association of IFCAs and continue with implementation of ECPR&R.

16/12/2014 May

10 Inadequate or inappropriate governance leading to inappropriate decision-making and loss of reputation.

Members are appointed by NCC, NTC and MMO. Also reference to Authority Constitution, Standing Orders and Members' Code of Conduct. Guidance is also given to IFCOs who have a code of conduct and other staff as appropriate as to what should be done to avoid inappropriate decisions and loss of reputation. Control is also maintained by transparency of operation and an appropriate chain of command to ensure the correct approval for actions is obtained where required.

1 3 7 Annual Audit. Quarterly Authority meetings and Extraordinary General meetings if required. IFCOs report to Chief IFCO and Chief Executive. All emails and other written communication by IFCOs and other staff are also checked as necessary by senior officers. A secure system of emailing and data storage is also maintained by the Authority.

Authority Chair and Chief Executive.

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201511 Inadequate budgetary

control leading to overspending.

Financial skills and experience of finance officers. Members' scrutiny of financial reports provide a quarterly challenge. Monthly (or more frequently if required) budget meetings between Finance Officer(s) and Chief Executive. Contingency within annual budget. The Authority budget is prepared in detail with member input, with quarterly forecasts and detailed breakdowns of all heads of expenditure within the quarterly and annual accounts which are prepared by the Finance Officer working with the Chief Executive to keep spending within budget (and see 4 above re. Assistant Finance Officer). Preparation for annual audit begins in the autumn with the Audit Section at Northumberland County Council before the Audit itself the following spring/early summer. The Authority also has reserves to cover any major contingencies which may arise.

1 3 7 Annual audit and quarterly meetings plus regular liaison between Finance Officers and Chief Executive plus regular liaison with internal audit and members where necessary.

Julian Sutton Finance Officer, Assistant Finance Officer and Chief Executive continue to meet to plan for audit and budget controls and consult the Northumberland County Council Internal Audit Team.

16/12/2014 May

12 Fisheries in the District impacted by the activities of developers/non-fishing industry. Insufficient time to fully consider environmental impact assessments for inshore development.

Consultations responded to by the Authority after due consideration particularly by Deputy Chief IFCO (Environmental). Liaison with consulting agencies. Developer meetings attended by Authority representatives. Database holding information on current and historical fishing activities within the district has been modernised and updated. Development proposals will also be scrutinised by other agencies. Developments will require consent. The Authority has a Risk Enforcement Register for the District which is kept under review. The Chief and Deputy Chief IFCOs (Operations) and IFCO McLoughney have also attended an in-depth pollution training course and IFCOs also sit on the local Standing Environmental Group.

1 3 7 Review takes place of notices received of proposed developments and there is a set process for response to consultation, Chief Executive liaising with Deputy Chief Officer (Environmental) in particular and with Authority members where applicable. Also obtaining further information where applicable from the developer and other agencies such as MMO.

Chief Executive and Deputy Chief Officer (Environmental)

None 16/12/2014 May

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201513 Failure to fully

engage with stakeholders

The officers meet regularly with fishermen in the district particularly when on patrol. Meetings will also continue with fishermen, recreational sea anglers and other stakeholders in the district. Information is received through the membership on any areas of concern which there may be and will be acted on as appropriate. The website has also been improved to increase outreach. Subcommittees will consider specific issues. Regular liaison with MMO, EA and NE through the local Joint Working Arrangement (JWA) which is now in place. There is also regular liaison with Newcastle University School of Marine Science and the Tweed Commission. Regular press releases and other appropriate liaison with the media. A fully comprehensive stakeholder list is also in place together with the Authority Promotion and Communications Plan upon which there is assistance from Richard Simpson Associates. The Authority also now produces a periodic newsletter and has posted on the North East Sea Angler Forum website where necessary, plus information sheets where required e.g. for the EMS Revised Approach and has also put up notices in the district and produced minimum size cards.

1 3 7 By meetings and reporting to members and assistance of PR Adviser.

Chief Executive Reviewing whether to use social media.

16/12/2014 May

14 Degradation of environmentally sensitive areas due to fishing activity.

Authority byelaws and particularly permit issue and pot limitation through byelaw 15. Also projects in conjunction particularly with Newcastle University and Natural England to enhance knowledge of the fishery and also continuous checks by officers of fishing activity leading to effective enforcement and adaptive co-management approach to fishing. The Authority also now has the power to make emergency byelaws and is also engaging fully with the Defra Revised Approach to Management of fisheries in European Marine Sites (Ambers and Greens following Red Risks). The Authority also has a Risk Enforcement Register in place for the district and this is kept under review by the Deputy Chief IFCO (Environmental). Monitor and Control Surveillance System (MCSS) and the Automatic Information System (AIS) are also used as monitoring tools in respect of this Risk. Also increased joint operations with the MMO and other agencies.

1 4 11 Rota meetings with IFCOs and reports to the Chief Executive. Quarterly reports by IFCOs to Authority meetings. Ground truthing and seabed mapping is also ongoing, increasing knowledge and data.

Chief Executive and Deputy Chief Officer (Environmental)

Implementation of new byelaws will continue to be sought.

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201515 Stocks collapse V-notching programme for lobsters and annual

mussel survey. Projects to ascertain greater details of stocks and in particular the Authority is now well underway with its Lobster Stock Assessment Project 2014-16. The Authority is also participating in the MSC “Project Inshore” and has continued with its Strategic Environmental Assessment which has reached the Environmental Report stage in the district. Account is also being taken of the CEFAS assessment of crab and lobster stocks programme and the Authority is also a member of the IFCA Technical Advisory Group (TAG). Surveys at sea to assess fish stocks. Monitoring of landings. New byelaws will also take account of all of this and provide controls. Effective enforcement. Consultation with the industry and all stakeholders plus partner agencies. Permit returns and data thus gathered also reduces this risk (and also the Authority database). Also Risk Enforcement Register for the district.

1 4 11 Rota meetings with officers and reports to the Chief Executive. Quarterly reports by officers to Authority meetings.

Chief Executive, Chief IFCO and Deputy Chief IFCOs

Strategic Environmental Assessment in the district and other actions under Controls. Further fish and shellfish stock surveys.

16/12/2014 May

16 Breakdown in relations with stakeholders including Marine Management Organisation, Environment Agency and Natural England.

MoUs and regular liaison with all partner organisations and stakeholders and properly responding to any queries or complaints and reporting as appropriate to membership. In addition Joint Working arrangements locally with MMO, EA and NE. In addition the Authority has MoUs with the Tweed Commission and Newcastle University. Also the Authority’s compliments, comments and complaints system is kept under review. Complaints are virtually unknown/at the lowest possible level.

1 4 11 Stakeholders can contact the Authority office and also attend meetings. A record will be kept of any complaints or other comments requiring action and the Authority office in particular will remain proactive to foresee as much as possible likely areas which need to be dealt with to prevent any breakdown in relations. The Authority has also commenced a programme of stakeholder surveys beginning in the summer of 2014 with shellfish permit holders to which a good response was received as recorded on the Authority website.

Chief Executive Social media is being considered as a means of communication.

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201517 Failure to properly fulfil

responsibility including role in respect of European Marine Site and prospective Marine Conservation Zones and bait digging.

Close liaison with Defra and other IFCAs including in respect of MPAs Implementation Group, Technical Advisory Group, Chief Officers Group and Association of IFCAs ensures knowledge and awareness is maintained. Strong communication between officers particularly Deputy Chief (Environmental) Officer, Environmental IFCO, Chief IFCO and Chief Executive and with Authority members and also the Deputy Chief (Environmental) Officer and Environmental IFCO attending all necessary meetings particularly now on a regular basis with the Authority’s Natural England member and also including EMS Implementation Office meetings. Also full liaison with Natural England nationally and the Marine Management Organisation. EMS Implementation Officer is an Authority member. Regular monitoring of areas covered by European Marine Site, the MCZ in the district at Aln Estuary and other proposed MCZ areas. See also the EMS Revised Approach to Fisheries Management, with the Authority purchasing new equipment with funding from Defra to ensure compliance in the district with the Revised Approach.

1 4 11 Regular discussions between the Authority Environmental Team and Chief Executive/Chief IFCO and also particularly with Natural England/Authority member and EMS Implementation Officer/Authority member and reporting upon meetings to the Authority.

Chief Executive and Deputy Chief Officer (Environmental)

Hold stakeholder meetings re: MPAs.Keep development of strategy re. bait digging under review, continue with all necessary survey work .

16/12/2014 May

18 Information technology failure leading to loss of data and affecting the Authority’s ability to function.

Service Level Agreement with Northumberland County Council who provide back up for data and internet security. Paper records of documents are also kept securely and can be referred to as well as what can be accessed through computers. Access through computers. New hard drives/multiple locations.

1 4 11 Through the SLA – this includes the services of an IT Manager for the Authority from Northumberland County Council. IT is also monitored every working day by officers and staff.

Chief Executive and Chief IFCO

Data Backup Policy to be developed.

16/12/2014 May

DETAILS OF GUIDANCE FOR QUANTIFICATION OF RISKS AND THE SCORING GRID IS AVAILABLE UPON REQUEST FROM AUTHORITY OFFICE

Going fishing!