Enforcement Decision Process and Checklist
Receive notification of complaint/potential Bylaw/
- usual y verbal
Maritime Rules infringement
Note details in
relevant register
Yes
Is complaint valid or Bylaw/
No
Gather evidence
Rules likely to have been
Dismiss complaint
infringed?
Convene an
Conduct interviews
Enforcement Decision
Panel (EDP)
Educate and issue
Education letter
What action to be taken?
Warning letter
Issue warning letter –
copy of Bylaw as
Refer to Enforcement Decision
(use proforma layout)
appropriate
Matrix
Complaint/
NSIN or
enforcement complete
Compile al incident
Prosecution
documentation, scan
and TRIM in
NAVI/ENF/2
Prosecution (Close
Enforcement Panel)
Yes
Is prosecution or
Do lawyers agree
infringement action
Complaint/
to prosecution?
enforcement complete
appropriate?
No
Infringement
Prosecution
Complete
procedure (not an
infringement notice as
HMO procedure)
per Summary of
Proceedings Act 1957
Write NSIN in MNZ record book
Send infringement and covering
letter (top two copies) to offender
Send copy of infringement (top two
Col ection of fine
copies) and EDP checklist to
(Not a HMO-CT
Compliance Coordinator,
function)
Programme and Implementation
Compile al incident
documentation, scan and TRIM in
NAVI/ENF/1
Complaint/Enforcement Complete
Navigation Safety Enforcement Decision Team Checklist
Date: 20th May 2024
ECan Decision Team Leader:
Enforcement Decision Team
(minimum of two team members – must
include one Harbourmaster warrant holder)
Resource Consent Applicable: Y/N
Complaint: Y/N
RHM:
File Ref (TRIM):
Other:
HM/DHM/NSO:
EO:
Other:
Al eged Offender Details:
Contact Name: Phoebe O’Farrel
Address (Postal):
Phone:
Cel Phone:
Email:
Date of Birth:
Other Al eged Offender Details:
Contact Name:
Address (Postal):
Phone:
Cel Phone:
Email:
Date of Birth:
Incident Details:
Date & Time:
Location:
Details of Incident (expand overleaf as required):
Previous enforcement(s) against main party:
Evidence: Photos & Observations Verbal or Written Confession Samples & Records (attach)
Consideration:
Is there a clear party against which enforcement can be taken?
Y N
Is there clear evidence indicating that an offence was committed?
Y N
Can we prove that the offence was caused by this/these parties?
Y N
Effects
Offence –
Offence –
Failure to Act on Previous Advice
(NSIN = Navigational Safety
Inadvertent or Unforeseen
Deliberate or Negligence
Infringement Notice)
(Unlikely to Recur)
(Likely to Recur)
Nil Actual or
Education Letter
Warning Letter or NSIN
Warning Letter or NSIN
Potential y Minor
Actual Minor or
Warning Letter or NSIN
Warning Letter or NSIN
Warning Letter & NSIN or
Potential y Moderate
Prosecution
Actual Moderate or
Warning Letter or NSIN
Warning Letter & NSIN or
Prosecution
Potential y Major
Prosecution
Actual Major or
Warning Letter & NSIN or
Prosecution
Prosecution
Potential On-Going
Prosecution
Supplementary Information for Enforcement Decision Team Checklist:
Al eged Offender (additional information):
Origin of Incident/Complaint:
Contact Name:
Address (Postal):
Phone:
Cel Phone:
Email:
Other Considerations:
Possible Offences – Bylaws/Col ision Regulations/Other:
Enforcement Recommendation:
Final Assessment Confirmation: Does the Enforcement Decision Team & Regional HM agree that:
Is the option selected appropriate (not too excessive, not too minor)?
Y N
Is the option selected sufficient to be a deterrent?
Y N
Reviewed by ECan Solicitor* (prosecutions): Yes /No
Not Required
Date:
Comments:
Signature of Enforcement Decision Team:
Sample text for Formal Warning – insert final text into most current ECan
letter template.
Date
Name
Address
Formal Warning
Dear XXX,
On 28th November 2022, whilst in Lyttelton harbour, the white RHIB you were master of was
observed exceeding 5 knots within 200 metres of the shore and 50 metres of another vessel, this
breaches Maritime Rules Part 91.6(1)(a) and (b).
A breach of this rule can result in a $200 infringement or $2000 maximum penalty for each offence.
OR
On 6th February 2023, whilst in Lyttelton Harbour, the yacht XXXX you were the master of did
impede the bulk carrier Hebe Harmony, this breaches part 91.16 of the Maritime Transport Act.
A breach of this rule can result in a $200 infringement or $2000 maximum penalty for each
offence.
OR
On 28th December 2015 at 1125am, whilst on Lake Ruataniwha, you were observed by one of our
enforcement officers on a boat under 6 metres in length not wearing life jackets.
The Navigation Safety Bylaws 2010, 2.1 refers.
A breach of this bylaw can result in a $150 infringement for each person failing to wear the lifejacket,
and also a $300 fine for the skipper for failing to ensure passengers are wearing them.
With consideration to your assistance in the incident investigation, on this occasion we wil not take
further action on the xxxx charges other than record your details should another breach occur.
Please ensure before entering any Canterbury region waterway, you check the appropriate Maritime
Rules and Bylaw clauses, so you do not put yourself or others in the position of failing to comply
with them.
A useful guide to navigation safety rules is available on the fol owing website:
https://www.maritimenz.govt.nz/recreational/rules/default.asp
Sample text for Infringement Notice – insert final text into most current ECan
letter template.
Date
Name
Address
Dear vessel operator/owner (or first name if known)
Infringement Notice {
xxxx}
Further to earlier {correspondence} {email(s)} {telephone contact},
OR IF NO EARLIER CONTACT
It has been reported to this office that {description of offence, location date and time}.
You have been identified {description how we have done so – eyewitness, boat name, car rego etc}
This is to advise that a decision has been made to issue {an} Infringement Notice {s} for the incident
at {location}
on {date} at {time}
Attached is an infringement Notice for {this} {these} offence {s}.
As shown on the notice, payment is due within 28 days of the issue of the notice meaning the final
date for payment wil be {date}.
Text which must be included in for Infringement Notice
What you need to know - Summary of Rights
Please refer to the Summary of Rights on the reverse side of the infringement notice, which sets
out the actions available to you. You should be aware that if you request a hearing and you are
found guilty, or plead guilty, the Court may impose a penalty which is different from the
infringement fees set out in the infringement notice. The penalty imposed by the Court may be
more, less or the same as the infringement fee. The penalties which the Court can impose at a
hearing are in the case of a company, is a fine of up to $600, 000 or in the case of an individual, a
fine of up to $300,000 and/or a sentence of community work of not less than 40 hours and not
more than 400 hours.
You may pay the fee to Environment Canterbury by direct credit or credit card. Our bank account
details are Canterbury Regional Council, a/c 123151 0059468-00. Please reference your name and
the Infringement Notice number {xxx}. Please contact our Customer Services on 03 3539007 to pay
by credit card.
Yours faithful y (or sincerely if name is known)
{Name}
{Title}
Harbourmaster’s Office – Coastal Team
AMENDMENT RECORD
Date
Reason for Amendment
Person Amending
New
version
No.
03Sep21
Reviewed and amendment record table added
IF
2.1
01Oct21
Embedded Visio flowchart added
IF
2.2
12Aug22
Corrected typos; added ref in flowchart to Maritime Rules;
IF
2.3
changed “Accidental” to “Inadvertent” in flowchart and
checklist to remove potential confusion with accident’s
common meaning relating to a type of incident.
29May23
Added in sample Warning and Infringement Letters to be
TJ
2.4
used as a template on the most current ECan Letter
Template. On infringement letter the Summary of Rights
and Publication paragraphs must be included as
requested by Sandra O’Donnel
31Jul23
Annual Review – no changes
TJ
2.5
29Jan24
Changed the panel from must be Regional Harbourmaster
TJ
2.6
to a Harbourmaster warrant holder fol owing team
discussion with GH, GM, TJ. Ensures availability for an
EDP
5Feb24
Changed the wording of the checklist to align with the
TJ
3
matrix after discussion with GH, GM, TJ. Also removed
the text regarding publication, as this not the type of
infringement this applies to
