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Timeline of NOAA Enforcement Program Improvements

Living marine resources law enforcement is critical to creating a level playing field for U.S. fishermen and enabling sustainable fisheries to support vibrant coastal communities.  NOAA is focused on having an effective and fair fisheries law enforcement program, and has made wide-ranging changes that will result in a significant and positive transformation.

In June 2009, following concerns expressed by Congress and affected communities, NOAA Administrator Dr. Jane Lubchenco requested that the Department of Commerce Inspector General conduct a national review of NOAA’s enforcement program.  Addressing the various enforcement related issues raised by the Office of the Inspector General has been a high priority for the Department of Commerce and NOAA for more than 3 years and we are committed to completing these actions.

NOAA has conducted a top-to-bottom review and overhaul of its enforcement program.  We have hired new leadership, implemented new policies to ensure consistent enforcement practices nationwide, and put in place better accounting and oversight systems.  At NOAA, we are seeingsigns of a meaningful and lasting transformation in our enforcement program.  Our reinvigorated law enforcement program is poised to effectively execute NOAA’s enforcement priorities.

A few key completed actions include: 

Asset Forfeiture Fund (AFF) Policy:

• A formal Policy on Authorized Uses of the AFF was completed in March of 2011. It prohibits several of the AFF’s historical uses, including the purchase of vehicles and vessels; paying for travel that is not related to investigations, proceedings or training; or paying for training unrelated to an integral part of an employee’s job.  The goal of the policy is to ensure the use of the AFF is open, transparent, limed and responsible.  Use of the fund per our action is now narrower than outlined in statute.

Penalty Policy:

• Several modifications have been made to penalty policies.  In March 2011, NOAA issued a new, more transparent penalty policy ensuring consistency in charging decisions nationwide and providing greater clarity for fishermen and businesses.  A year prior, in March 2010, to promote consistency, procedural changes were implemented, requiring NOAA general counsel or deputy general counsel approval of all charging decisions and settlements.  Also in June 2010, we issued a final rule requiring NOAA to justify proposed penalties/sanctions in hearings before administrative law judges.

Enforcement Priorities:

• The Office of Law Enforcement (OLE) posted the final 2012 Enforcement Priorities document on April 6, 2012.  Creating these priorities was a collaborative effort that included stakeholders from around the country.  The priorities will be used as one of the drivers for our enforcement officers operations. 

Compliance Assistance:

• NOAA has shifted the enforcement program focus to compliance assistance.  For example, in New England the enforcement program put in place a compliance liaison, who regularly meets with industry representatives to help inform the community and to take suggestions to improve the implementation of regulations.

Workforce Analysis:

• The Workforce Analysis and Staff Allocation Plan is a significant transformation in the Office of Law Enforcement.  In this new approach, a broader array of job series is used which allows for a much-improved fit and aligns better with OLE’s current and evolving functions, such as the increased emphasis on compliance assistance. 

We appreciate the contribution that the OIG has made in identifying needed changes, and we will follow this reform process through to completion.  Since the initial report, NOAA has undertaken more than 150 separate actions to change and strengthen both the enforcement program and the uses of the AFF. A timeline of our actions is below.

March 2009

• Dr. Lubchenco’s first day in office as NOAA administrator.
  
  
  Friday,
  March 20
• Dr. Lubchenco held meetings with New England groundfish industry to hear first hand from them and discuss the challenges facing the industry associated with rebuilding this valuable natural resource.
  Monday,
  March 23

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April 2009

• Dr. Lubchenco travelled to Mystic, Conn., for New England Fisheries Management Council Meeting to better understand and discuss the underlying science and management issues facing the region.
  April 8

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May 2009

• Dr. Lubchenco travelled to Boston for the Annual Council Coordination Meeting hosted by the New England Fisheries Management Council. There she discussed fisheries management issues with all eight councils and sought solutions to the challenge of ensuring the nation’s sustainable fisheries.
  May 18-19

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June 2009

• Having heard concerns about NOAA’s law enforcement program from members of the fishing community and Congress, Dr. Lubchenco requested the Inspector General review NOAA’s enforcement activities.
  June 2

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January 2010

• The Inspector General issued the report, “Review of NOAA Fisheries Enforcement Program and Operations.” (Access the full report here). 
  January 21

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February 2010

• NOAA announced steps to improve fisheries law enforcement in response to Inspector General report, “Review of NOAA Fisheries Enforcement Programs and Operations.” (Read the NOAA press release).
  February 3
• Dr. Lubchenco asked NOAA’s new general counsel, Lois Schiffer, to lead a high level review of existing policies and procedures, and recommend ways to increase coordination and consistency, transparency, accountability, and fairness nationwide in agency law enforcement efforts
• Dr. Lubchenco issued a directive that immediately froze hiring of new criminal investigators pending an internal workforce analysis.
• Dr. Lubchenco issued a directive immediately transferring oversight of the Asset Forfeiture Fund from NMFS to NOAA’s comptroller.
• Dr. Lubchenco issued a directive immediately instituting higher level review of all proposed charging decisions and settlements.
• Dr. Lubchenco announced that NOAA would convene a national summit on enforcement policies and practices in order to hear from constituents and experts in the field.
• The IG’s report noted that NOAA’s assistant general counsel for enforcement and litigation had already undertaken initiatives made improvements to policies and procedures to increase coordination and consistency in law enforcement efforts, calling them a “good start to building transparency.” These planned steps included:
• Revising procedural regulations and the penalty schedule;
• Developing an internal operations and procedural manual;
• Establishing a new case tracking database that links enforcement and legal case management systems;
• Increasing communications with the Fishery Management Councils, especially in the Northeast U.S.;
• Providing explanatory notes to case files;
• Tracking priorities; and
• Providing public access to information on charges brought and cases concluded.
• NOAA issued a requirement that the NOAA comptroller approve expenditures of $1,000 or more from the Asset Forfeiture Fund.
  February 5

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March 2010

• NOAA submitted a detailed plan of action in response to the Inspector General’s January 2010 report. (press release) ( letter to IG) (appendices)
  March 18
•  Includes NOAA general counsel or deputy general counsel is required to approve all charging decisions and settlements. 

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April 2010

• Appointed new Acting Director for the NOAA Office of Law Enforcement.
  April 8
• Issued a NOAA-wide notice on records retention and began targeted training with NOAA Fisheries on records retention.
  April 8

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May 2010

• Appointed new acting assistant general counsel for enforcement and litigation.
  May 3

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June 2010

• NOAA provides written response to OIG April 2, 2010, report regarding Destruction of OLE Documents During an Ongoing OIG review. 
  June 11
• Response included results of thorough review which concluded (i) that no destruction of agency records before their scheduled retention took place; and (ii) that no records relevant to specific enforcement cases were destroyed. (NOAA written response)
• Issued final rule requiring NOAA to justify proposed penalties/sanctions in hearings before administrative law judges.  (Federal Register notice)
  June 23

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July 2010

• The Inspector General issued “Review of National Marine Fisheries Service (NMFS) Asset Forfeiture Fund” report.  (full report) (NOAA statement on report) (NOAA Administrator statement on report)
  July 1
• First combined OLE/GCEL monthly enforcement report covers actions taken in June. The report is used to facilitate oversight of NOAA’s enforcement program, assessment of the program’s efficacy, and informed decision-making with respect to regional and national enforcement priorities.
  July 7
• NOAA issued detailed corrective action plan in response to Inspector General’s report regarding the Asset Forfeiture Fund. (press release)  (corrective action plan)
  July 29

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August 2010

• Held National Enforcement Summit in Washington, D.C., to seek ideas from a range of stakeholders on improving NOAA’s enforcement program. (Summit summary report)
  August 3
• Published for comment a proposed protocol for establishing national and regional enforcement priorities.
• Completed a review and confirmation of the $8.7 million AFF balance as of March 31, 2010, by independent certified public accounting firm.
• Reduced the number of NOAA Enforcement and NOAA General Counsel staff with government purchase card authority by 32 percent.

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September 2010

• Posted biannual report on enforcement charging decisions and settlements covering period March to July 2010. (report)
  September 1
• Appointed new acting special agent in charge for Northeast enforcement office.
  September 13
• Appointed new NOAA assistant general counsel for enforcement & litigation.
  September 16
• In response to the release of the Inspector General’s “Final Report: Review of NOAA Fisheries Enforcement Programs and Operations,” Secretary Locke and Dr. Lubchenco took a series of actions to strengthened the public’s trust in NOAA’s law enforcement program.  (full IG report)  (press release)
  September 23
• Steps taken include:
• Appointed Special Master to Review NOAA Law Enforcement Cases;
• Implemented new policy limiting use of the Asset Forfeiture Fund, and sought public comment on the new policy;
• Issued final protocol for establishing national and regional enforcement priorities, and sought public comment on national and regional enforcement priorities; and,
• Established e-hotline for enforcement related complaints.

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October 2010

• Published for comment proposed nationwide penalty policy. (proposed policy)
  October 18
• Posted nationwide job announcement for new director, NOAA Office of Law Enforcement.
  October 19

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November 2010

• NOAA provides written response to the Inspector General’s Sept 23 report “Final Report: Review of NOAA Fisheries Enforcement Programs and Operations.” (NOAA written response)
  November 22
• Announced a compliance assistance pilot program in the Northeast, which included a new compliance liaison position, a new outreach specialist and eight new enforcement officers. (press release)
  November 29

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December 2010

• Issued a practice manual for the NOAA General Counsel Office for Enforcement and Litigation, which includes guidance on case evaluation, administrative hearings and case management.
  December 31

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January 2011

• Issued a new vehicle policy for NOAA Office of Law Enforcement that reduces the number of vehicles within OLE by 30 and ensures the number of vehicles is appropriate for necessary enforcement activities at NOAA headquarters and in the field.
  January 4

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February 2011

• Posted biannual report on enforcement charging decisions and settlements, covering period August-December 2010 on the NOAA.gov website.
  February 1
• Included the Asset Forfeiture Fund in NOAA's annual budget submission as well as the NMFS and GCEL annual operating plans.
• Initiated an audit of the AFF for the period ending March 31, 2011, by an independent audit firm, which is scheduled for completion in June 2011. The independent audit firm will also review a retrospective sample of transactions from fiscal years 2005-2010.
• NOAA provides written response to OIG memorandum of December 14, 2010, regarding GCEL performance management and other issues. Describes steps taken in 2010 regarding GCEL performance management, including improved documentation of performance reviews, and other efforts to improve the performance management system. (NOAA written response.)
  February 17

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March 2011

• March 16
  
  Secretary Locke announced additional reforms to the NOAA Law Enforcement Program (press release):
• Fishermen and businesses can request Special Master review of enforcement cases through May 6, 2011 (decision memo);
• Issued a final policy limiting use of Asset Forfeiture Fund (Final Policy);
• Issued final nationwide Penalty Policy; and
• Committed to working with fishery councils, fishermen and stakeholders to streamline and simplify fishing regulations.

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April 2011

• Launched a new enforcement database for the NOAA Office of the General Counsel.
  April 4
  
• Posted a nationwide job announcement for new director, NOAA Office of Law Enforcement.
  April 4
  
  
  
• April 14
  
  Former commercial fisherman, Don Frei, was named compliance assistance liaison to continue outreach to industry in the Northeast (press release).
  
• April 26
  
  Released Phase One of an independent assessment of the fishery management system in New England, as requested by the New England Fishery Management Council and NMFS Administrator Eric Schwaab (Schwaab statement on management reports).

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May 2011

• Secretary Locke announced NOAA will remit funds to 11 claimants in the 30 cases reviewed in response to the Special Master's recommendations (press release).
  May 17

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June 2011

• NOAA received the findings of an independent audit of NOAA's Asset Forfeiture Fund. The fund’s audited financial statements received an unqualified (clean) opinion, or the best type of audit opinion one can receive.(statement).
  June 16

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July 2011

• Announced new NOAA Fisheries law enforcement director.
  (press release).
  July 25

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August 2011

• NOAA received the Asset Forfeiture Fund micropurchase review from Clifton Gunderson LLP, which found no significant deficiencies as defined by accounting standards. (statement).
  August 25

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September 2011

• NOAA will refer new law enforcement cases to administrative law judges from the Environmental Protection Agency. Cases currently docketed with the Coast Guard ALJs prior September 8 are expected to remain with the Coast Guard ALJs.
  September 8

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October 2011

• Announced new Special Agent in Charge for Northeast. (press release)
  October 4

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November 2011

• Completing process for identifying draft enforcement priorities. (press release)
  November 8

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January 2012

• Commerce Department Inspector General issues their Follow-up Review of NOAA Fisheries Enforcement Programs and Operations, which includes NOAA’s response in Appendix D.
  January

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February 2012

• Commerce Department Inspector General issues final report on NOAA’s Asset Forfeiture Fund, which includes NOAA’s response in Appendix C. (OIG report (PDF) | NOAA response (PDF))
  February 8

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March 2012

• NOAA’s Office of Law Enforcement released the final draft of the regional and national priorities. This publication is a final draft, but not the final document. A fully formatted version will be made available and will include an appendix with all the comments NOAA received during the 60-day public comment period.
  March

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April 2012

• NOAA’s Office of Law Enforcement released its Final 2012 Enforcement Priorities.
  April

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May 2012

• NOAA’s Office of Law Enforcement completes its Workforce Analysis and Staffing Allocation Plan, closing out an action in response to the January 2010 Office of Inspector General's Report. NOAA’s Office of Law Enforcement completes its Workforce Analysis and Staffing Allocation Plan, closing out an action in response to the January 2010 Office of Inspector General's report. Dr. Lubchenco ends the freeze on hiring criminal investigators in NOAA's Office of Law Enforcement to afford successful implementation of this plan.
  May

 

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Ongoing

• Developing updates and revisions to the NOAA Office of Law Enforcement Operations Manual.
• Upgrading the enforcement database for the NOAA Office of Law Enforcement.
• Requiring all enforcement personnel and enforcement attorneys to attend annual professional and ethics training to ensure they follow fair, effective and professional procedures.
• Expanding the compliance liaison program nationwide to assist fishermen at the waterfront better understand and have stronger incentives to comply with regulations.
• Working with all the regional fishery management councils to simplify fishery management regulations, including  instruction on regulatory reform/review as part of its annual, new Regional Fishery Management Council Member Training and as part of training modules for agency staff.
• Continue working with the regional fishery management councils’ enforcement and compliance committees to assess regulatory complexity and burdens.
• Conducting routine training for the fishing industry and other stakeholders as needed on regulatory compliance in each region at least once per year. Training being conducted by staff from the Office of Sustainable Fisheries in conjunction with OLE, GCEL, the Fishery Management Councils and others as appropriate.
• Working with the Regional Fishery Management Councils and the NOAA Office of the Chief Information Officer to explore how to improve web-based delivery of information regarding fishery management regulations. 

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