Policy 16.26 - Management Roles and Responsibilities within the Compliance and Enforcement Program

Effective Date: 02-Feb-04
Responsible Branch: Compliance and Enforcement Branch, Regional and District Offices

Resource Management Volume Table of Contents | Amendment Log

Scope

The responsibilities of Ministry of Forests Managers as they apply to the Compliance and Enforcement [C&E] program.

Purpose

To articulate roles and responsibilities within the Ministry of Forests C&E program in order to:

• Achieve C&E's new independent yet integrated structure.
• Build a functionally independent C&E program that maintains its forest management "roots".
• Strengthen the C&E program's ability to deal with revenue protection while maintaining its ability to deal with environmental protection.
• Enhance the C&E program's ability to deal with "forest crimes".
• Promote provincial consistency in the application of the C&E program's mandate, policy and procedures.

Definitions

"ADM" means the Assistant Deputy Minister, Operations and BCTS.

"BD" means the Branch Director.

"CIMS" means the Compliance Information Management System.

"DCL" means the District Compliance Leader of a forest district as so designated by the DM.

"DM" means the District Manager of a forest district.

"ERA" means the Enforcement Action, Administrative Review and Appeals system for tracking all suspected cases of non-compliance.

"prosecution test" means the prosecution test as defined and described in Policy 16.19, Prosecutions.

"SDM" means statutory decision maker.

"SIU" means special investigation unit.

"RCL" means the Regional Compliance Leader for each of the three Forest Regions.

"RCEM" means the Regional Compliance and Enforcement Manager for each of the three Regions.

"RM" means the Regional Manager of each of the three Regions.

"RMT" means the Regional Management Team.

Policy

As a general principle, C&E program staff will inspect and enforce statutory obligations as opposed to those obligations contained in a licence agreement which are not statutory in nature.

1. STRUCTURE

• The DCL reports to the DM. The DM and RCL report to the RM. However, there is a significant functional relationship between the DCL and RCL. A similar functional relationship will exist between the RCL and the Branch Director.
• The RCL will be the Regional Staff Manager responsible for C&E.

2. INVESTIGATIONS:

• RMs and DMs do not have any active role in the course or conduct of an investigation and must avoid all involvement in investigations.
• The RCL/DCL may advise the DM/RM of any high profile investigations to enable the DM or RM to avoid discussing any related issues with parties to any investigation.
• The RCL will determine which district investigations are significant enough to warrant SIU participation.
• The RCL is responsible for decisions on the temporary reassignment of district and regional C&E program staff in support of specific investigations. The RCL will consult with affected DMs prior to any reassignment. Temporary reassignment is no more than 2 staff for no more than 2 weeks. The RCL is accountable for the reasonable exercise of this authority. The RCL will advise the C&E Branch Provincial Co-ordinator when this authority is exercised.
• The BD is responsible for the temporary reassignment of regional SIU staff to support Provincial priorities.
• Branch staff may not conduct investigations in regions other than at the request of the RCL, except for internal investigations.

3. INSPECTION PLANNING:

• The RCL and RCEM will facilitate planning sessions with the RMT. RMT will provide input into Regional C&E priorities. The regional inspection plan and risk rating procedures will reflect those priorities.
• The RCL will develop and support the regional inspection plan and associated risk rating procedures.
• The DCL will develop the district inspection plan.
• The RCEM will review the district inspection plans for consistency and will provide an evaluation of these plans to the RMT.

4. COMPLAINTS (PUBLIC AND INTERNAL):

• The DCL and RCL will deal with verbal complaints at the district and regional level. Complaints of a significant nature arising from a district will be forwarded to the RCL. Complaints of a significant nature arising from a region will be forwarded to the C&E Branch Director.
• The RCL in consultation with the DCL will investigate or cause to be investigated all formal written complaints regarding the enforcement actions of district C&E staff.
• The C&E Branch Director in consultation with the RCL will investigate or cause to be investigated all formal written complaints regarding the enforcement actions of regional SIU staff.
• The DCL, RCL and the Branch Director will forward investigative reports to appropriate line managers for action.
• DMs and RMs may request an internal investigation.

5. QUALITY ASSURANCE

• The DCL is responsible to ensure consistent application of the C&E regime within the district, which includes the application of legislation, policy, and procedures. The DCL will report on quality assurance within the C&E regime to the RCL.
• The RCL is responsible to ensure consistent application of the C&E regime within the region, which includes the application of legislation, policy and procedures. The RCL will report on quality assurance within the C&E regime to the RM and the DM.
• The BD is responsible to ensure consistent application of the C&E regime across the three regions, which includes the application of legislation, policy and procedures. The C&E Branch Director will report on quality assurance within the C&E regime to the RM and to the ADM, Operations through the Executive Director, Operations.
• The BD will develop policy for the purpose of protecting staff who bring forward allegations of actions that might compromise the integrity of the C&E program.

6. TRAINING

• RCLs and DCLs will work with the C&E Branch Director to establish core training competencies.
• The RCLs work with the BD to ensure training and expertise is provincially balanced.
• The RCEM will co-ordinate training within the Region and will ensure training and expertise is balanced among districts.
• The DCL will co-ordinate training within the district and will ensure training and expertise is balanced among district staff.
• The C&E Branch Training Manager co-ordinates training across the province and works to develop new training based on ministry and program needs.

7. MENTORING/ OPERATIONAL ADVICE

• The DCL provides district staff with mentoring and operational advice.
• The RCL and RCEM provide the DCL with mentoring and operational advice.
• The RCL and DCL (and all staff) must indicate whether or not they are conflicted prior to providing advice to SDMs regarding statutory decisions.
• The Branch Director provides the RCL and the DCL with mentoring and operational advice, and provides guidance on conflicts with staff advising SDMs regarding statutory decisions.

8. HUMAN RESOURCES

• Transfer of C&E FTEs, other than temporary transfer as defined below, requires ADM approval. Requests for permanent transfers will include a RM/DM rationale for transfer as well as a RCL and BD assessment of impact on Service Plan delivery.
• The DCL will provide advice to the RCL on any temporary movement of C&E FTEs out of the C&E program.
• The RCL will evaluate any temporary movement of C&E FTEs to assess the impact on service plan delivery and will provide advice to the RM and DM.
• C&E FTEs may not be moved to conflicted positions such as tenures and/or appraisals.
• Temporary movement of FTEs is defined as +/-5% of the regional FTE allocation for no more than 4 weeks.
• Temporary movement may not impact any ongoing investigations.
• The RCL will advise the BD of any transfer of C&E FTEs.

9. FINANCIAL

• The RCL will evaluate any movement of C&E funding to assess the impact on Service Plan delivery and will provide advice to the RM and DM.
• The RCL will advise the BD of any proposed budget changes.
• The BD will provide advice on the movement of C&E funding, based upon the impact of such movements on Service Plan delivery, to the RCL as well as to the ADM, through the Executive Director, Operations.

10. REVENUE PROTECTION/ FOREST CRIMES

• The RCL/s and BD will ensure the Service Plan addresses "Revenue Protection" and "Forest Crimes" as directed by the Deputy Minister.
• The RCL will manage the SIU in a manner that ensures Service Plan goals are achieved.
• The DCL will manage district staff in a manner that ensures Service Plan goals are achieved.

11. PROSECUTIONS

• The RM and the DM have no role in directing prosecutions.
• The RCL and the RCEM co-ordinate region-led prosecutions, ensure the independence of regional investigations, and the use of the prosecution test.
• The RCL and the RCEM are responsible for evaluating all district prosecution tests prior to the development of a Report to Crown Counsel.
• The DCL co-ordinates district led prosecutions, ensures the independence of district investigations, and the use of the prosecution test.
• The Branch Provincial Co-ordinator is responsible for evaluating all regional prosecution tests conducted by SIU staff prior to the development of a Report to Crown Counsel.

12. SYSTEMS

• The RM and DM do not have access to ERA, other than to request reports on determinations.
• The RCL supports ERA and CIMS and monitors district maintenance pursuant to policy.
• The DCL ensures ERA and CIMS data are maintained pursuant to policy.
• C&E Branch is the provincial data custodian role for ERA and CIMS.

13. ACTING ROLES

• The RCL may act on behalf of the RM, but must not involve him or herself in any roles or responsibilities that conflict with his or her role as C&E Leader. These roles must be delayed or delegated. Acting on a long-term basis is to be avoided.
• The DCL may act on behalf of the DM, but must not involve him or herself in any roles or responsibilities that conflict with his or her role as C&E Leader. These roles must be delayed or delegated. Acting on a long-term basis is to be avoided.
• The Branch Provincial Co-ordinator may act on behalf of the BD, but must not involve him or herself in any roles or responsibilities that result in conflict. These roles must be delayed or delegated. This includes acting in other roles within Operations Divisions and the Executive. Acting on a long term basis is to be avoided.

References

• Ministry Policy Manual, Resource Management.