Fishers' Behaviour and Attitudes Towards Compliance and Enforcement: Research Report

Appendix 1: Research tools

Information sheet – interviews with fishers

Introduction

The Scottish Government has commissioned The Lines Between, a social research organisation, to carry out research exploring fishers’ perspectives of Marine Directorate regulations and fishers’ reasons for complying, or not complying, with these regulations.

You are being invited to take part in an interview for this study, and this information sheet aims to help you decide if you want to take part. Please take time to read the following information carefully and please contact the study team using the details below if you have any questions or would like more information.

What is this study about? This research aims to explore fishers’ perspectives of the current enforcement practices of Marine Directorate and their role in fishers’ decisions to comply or not to comply with regulations. It also seeks to the effectiveness of current enforcement practices in terms of acting as a deterrent to non-compliance, and whether there are particular regulations that fishers most struggle to meet and why.

The findings from the research will be used to help inform any future reviews of fisheries enforcement. including planned work to consider the current penalties regime as part of the Fisheries Management Strategy.

Why am I being invited to take part? This research involves a survey and interviews with fishers and Marine Directorate staff, as well as other stakeholders working within the fishing industry. You are invited to take part as someone who is working in the industry who can provide an informed view. Your views and experiences are crucial to understanding the practicality and effectiveness of the compliance regime and enforcement actions.

What would it involve? If you agree to take part in an interview, this will be arranged on a date and time that is convenient for you. It will take about 30-40 minutes and will be with someone from the study team at The Lines Between. Discussions can either take place over the telephone, by video call or in person, and you can decide which you would prefer. A team member from The Lines Between will discuss your preferred method for taking part with you.

What else do I need to know?

• Taking part is voluntary. It is up to you whether you take part.
• Taking part is confidential and responses are anonymised. Your participation in the discussion will be confidential, and we won’t share any information, or present findings that could identify you. Your name or any other information that could identify you will not be used. During the discussion, you do not need to answer any questions that you do not wish to.
• You can change your mind about taking part at any time. Even if you consent to take part in a discussion, you’re still free to withdraw at any time without giving a reason. If you withdraw consent to being involved in the study prior to the study report being produced, your responses will not be used to inform the findings from the research.
• Assurances about disclosures of non-compliance. If you are a fisher and during the interview disclose an instance of non-compliance, this information will not be passed to Marine Directorate. We are keen to understand why some fishers do not comply with regulations and what can be improved to make compliance easier. If the example you provide will be mentioned in the research report, we will not attribute it to any respondent, and will make sure that background information is removed so as not to disclose who could have mentioned this (e.g. mention of place will be deleted). Furthermore, we can assure you that there will be no repercussions in relation to any disclosures of non-compliance that are made.
• You decide how much you share. You don’t have to answer any questions you don’t want to, and only provide the information you are comfortable sharing.
• Providing consent. You will be asked to provide written or verbal consent before the 1-to-1 discussion begins.
• We will ask to audio record the one-to-one discussion. We will ask participants if they are happy for the discussion to be recorded before starting. If participants agree to the conversation being recorded, we will produce an anonymous, typed version of the discussion for the analysis, after which the recording will be deleted. This will minimise the risk of participants being identified. If any participant does not agree to being recorded, written notes of the discussion will be captured as an alternative.
• Any personal information will be held securely. We will minimise the personal information that we need. This would only include your name and any contact details we need to arrange or carry out the conversation. Any personal information will be stored securely and in line with UK data protection legislation. The notes and transcripts will not include your name, and they will not be shared with anyone else. They will be deleted at the end of the study. If you decide that you want to withdraw from the study after the discussion, please contact [name] at The Lines Between using the contact details below. Please note that we will not be able to exclude the information you have provided after it has been anonymised.
• A report will be published and publicly available. We will produce a report at the end of this work that details what we have found, and which will help to inform future policy. The feedback that you provide will be treated in the strictest confidence and will not be identifiable in the report. The report will be published by The Scottish Government and will be publicly available.

What are the benefits of participation? You will receive a £50 gift card that can be used in a range of high street shops. You will also get the opportunity to share your experiences of Marine Directorate Regulations, and in doing so, help to inform future policy and the Fisheries Management Strategy.

What next? - If you would like to take part in the study or have any questions please contact [name] at The Lines Between on [phone number] or [email address].

Information sheet – Interviews with Marine Directorate staff

Introduction

The Scottish Government has commissioned The Lines Between, a social research organisation, to carry out research exploring fishers’ perspectives of Marine Directorate regulations and fishers’ reasons for complying, or not complying, with these regulations.

You are being invited to take part in an interview with a member of the research team as part of this study. This information sheet aims to help you make an informed choice about participation. Please take time to read the following information carefully and please contact the study team using the details below if you have any questions or would like more information.

What is this study about? This research aims to explore fishers’ perspectives of the current enforcement practices of Marine Directorate and their role in fishers’ decisions to comply or not to comply with regulations. It also seeks to understand the effectiveness of current enforcement practices in terms of acting as a deterrent to non-compliance, and whether there are particular regulations that fishers most struggle to meet and why.

The findings from the research will be used to help inform any future reviews of fisheries enforcement, including planned work to consider the current penalties regime as part of the Fisheries Management Strategy. This research involves a survey and interviews with fishers and Marine Directorate staff, as well as other stakeholders working within the fishing industry.

Why am I being invited to take part? You are invited to take part as a Marine Directorate staff member working in enforcement and compliance who can provide an informed view on the current compliance practices and what can be improved.

What would participation involve? If you agree to take part in an interview, this will be arranged for a date and time that is convenient for you. It will take about 45-60 minutes and will be with someone from the study team at The Lines Between. Discussions can either take place over the telephone or by video call, and you can decide which you would prefer. A team member from The Lines Between will liaise with you about your preferred method for taking part and agree a suitable time for this to take place.

What else do I need to know?

• Taking part is voluntary. It is up to you whether you take part.
• Taking part is confidential, and responses are anonymised. Your participation in the discussion will be confidential, and we won’t share any information, or present findings that could identify you. During the discussion, you do not need to answer any questions that you do not wish to.
• We might use some things you say in the report we write for the Scottish Government. The report will be published by the Scottish Government and be publicly available. Direct quotes from what you say may be used in the report to support findings that we present. We will ensure that these quotes are anonymised and will not attribute anything to you by name or organisation.
• You can change your mind about taking part at any time. Even if you are initially happy to have a discussion with us, you can change your mind at any time. You do not have to give us a reason for changing your mind. If you decide not to take part before the interview, please contact [name] at TLB using the contact details below. Should you decide you don’t want to take part during the discussion, simply let the researcher know you’d like to stop.
• Providing consent. You will be asked to provide written or verbal consent before the interview begins.
• We will ask to audio record the one-to-one interview. We will ask participants if they are happy for the one-to-one interview to be recorded before starting. If participants agree to the conversation being recorded, we will produce an anonymous, typed version for the analysis, after which the recording will be deleted. If any participant does not agree to being recorded, written notes of the discussion will be captured as an alternative. All data will be deleted after the completion of the project (November 2024).
• All information you provide will be held securely. Interview notes and transcripts will be stored securely, in line with UK data protection legislation. The notes and transcripts will not include your name, and they will not be shared with anyone else. They will be deleted at the end of the study. If you decide that you want to withdraw from the study after the discussion, please contact [name] at TLB using the contact details below. Please note that we will not be able to exclude the information you have provided after it has been anonymised or used in analysis or the report.

What are the benefits of participation? You will get the opportunity to share your views and experiences of Marine Directorate Regulations, and in doing so, help to inform how Marine Directorate manages fishers’ compliance.

What next? If you would like to take part in a one-to-one discussion please contact [name] at the Lines Between on [phone number] or [email address].

Information sheet – interviews with stakeholders

The Scottish Government has commissioned The Lines Between, a social research organisation, to carry out research exploring fishers’ perspectives of Marine Directorate regulations and their reasons for complying, or not complying, with these.

You are being invited to take part in an interview as part of this study, and this information sheet aims to help you decide if you want to take part. Please take time to read the following information carefully and please contact the study team using the details below if you have any questions or would like more information.

What is this study about? This research aims to explore of fishers’ perspectives of the current enforcement practices of Marine Directorate and their role in fishers’ decisions to comply or not to comply with regulations. It also seeks to the effectiveness of current enforcement practices in terms of acting as a deterrent to non-compliance, and whether there are particular regulations that fishers most struggle to meet and why.

The findings from the research will be used to help inform any future reviews of fisheries enforcement, including the current penalties and the Fisheries Management Strategy.

Why am I being invited to take part? You have been identified as a stakeholder in the sector and someone whose views and experiences can help to inform the research.

What would it involve? If you agree to take part in a one-to-one interview, this will be arranged for a date and time that is convenient for you. It will take about 45 minutes and will be with someone from the study team at The Lines Between. Discussions can either take place over the telephone or by video call, and you can decide which you would prefer. A team member from The Lines Between will liaise with you about your preferred method for taking part and agree a suitable time for this to take place.

What else do I need to know?

• Taking part is voluntary. It is up to you whether you take part.
• Taking part is confidential, and responses are anonymised. Your participation in the discussion will be confidential, and we won’t share any information, or present findings that could identify you. During the discussion, you do not need to answer any questions that you do not wish to.
• We might use some things you say in the report we write for the Scottish Government. The report will be published by the Scottish Government and be publicly available. Direct quotes from what you say may be used in the report to support findings that we present, but these quotes will be anonymised and will not attribute anything to you by name or organisation.
• You can change your mind about taking part at any time. Even if you are initially happy to have a discussion with us, you can change your mind at any time. You do not have to give us a reason for changing your mind. If you decide not to take part before the interview, please contact [name] at The Lines Between using the contact details below. Should you decide you don’t want to take part during the discussion, simply let the researcher know you’d like to stop.
• Providing consent. You will be asked to provide written or verbal consent before the 1-to-1 interview begins.
• We will ask to audio record the one-to-one interview. We will ask participants if they are happy for the one-to-one interview to be recorded before starting. If participants agree to the conversation being recorded, we will produce an anonymous, typed version, after which the recording will be deleted. If any participant does not agree to being recorded, written notes of the discussion will be captured as an alternative.
• All information you provide will be held securely. Interview notes and transcripts will be stored securely, in line with UK data protection legislation. The notes and transcripts will not include your name, and they will not be shared with anyone else. They will be deleted at the end of the study. If you decide that you want to withdraw from the study after the discussion, please contact [name] at The Lines Between using the contact details below. Please note that we will not be able to exclude the information you have provided after it has been anonymised or used in analysis or the report. Your rights to access, change or move your information will be limited as we need to manage your information in specific ways for the research to be reliable and accurate.

What are the benefits of participation? You will get the opportunity to share your views and experiences of Marine Directorate Regulations, and in doing so, help to inform future policy and the Fisheries Management Strategy.

What next? - If you would like to take part in a one-to-one interview please contact [name] at the Lines Between on [phone number] or [email address].

Consent for participation

There is no need to sign or return this form in advance – the researcher you speak with will confirm your consent to take part verbally before the discussion begins.

By taking part in this study, you agree that:

• You have read and understand the information sheet
• Any questions you have about taking part in the conversation have been answered satisfactorily
• You are taking part in the discussion voluntarily
• The Lines Between may use anonymised quotes from you in the study report for the Scottish Government, which may be published.

Based on the information provided I give my consent: (Please tick as applicable)

To participate in a discussion with a member of the study team

Yes

No

For anonymised quotes to be used in the study report

Yes

No

For the discussion to be audio-recorded

Yes

No

Signed

Print name

Date

Privacy notice

About this privacy notice

This privacy notice is for those taking part in the research on fishers’ behaviour and attitude towards compliance and enforcement. The project is commissioned by the Scottish Government (SG) who are the “data controller” deciding what personal data is collected from you as part of this research. The project is delivered external to SG contractors called The Lines Between who are “data processor” for this research, responsible for collecting information from you through a survey or interview, and securely storing it. The project is expected to run between April – October 2024. Your personal data and data about non-compliance is NOT passed to SG by contractors in this research, because we understand that compliance is a sensitive topic and we want the survey and interviews to provide a space for confidential conversations. All of your data will be deleted at the end of research.

About The Lines Between

The Lines Between is a specialist research agency. All research staff have Basic Disclosure and adhere to the Social Research Association Code of Ethics and RESPECT Code of Practice. This ensures that research is delivered ethically.

What happens to the information you provide and how is your privacy protected?

This research is delivered through the survey and interviews. Survey does not collect your name or contact details and is, therefore, anonymous. At the end of the survey, you will be presented with a link to register your interest for an interview. If you opt-in, your contact details will be used to contact you to make arrangements for the discussion to take place.

The information collected in the survey or during discussions is used for research purposes only. The Lines Between will use the information to write a report for the Scottish Government who will publish it, but this report will NOT contain any personal data.

The lawful basis for the collection and processing of the data is Article 6(1)(e) – ‘processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller’. The legal basis for this study lies in the Marine (Scotland) Act 2010, Part 7, which focusses on Common Enforcement Powers, monitoring and reviewing compliance and enforcement activities, to ensure activities are working effectively.

The Lines Between will treat the information you give them in the strictest confidence under the Data Protection Act 2018, the UK General Data Protection Regulation (GDPR). Only The Lines Between research team will have access to any personal data that you provide and this will be stored securely, in a protected electronic folder that only the immediate research team have access to. The data is stored on a UK server and will not leave the UK. No information that could make a person identifiable will be passed on to the Scottish Government and none of your personal details will be passed on to anybody without your permission.

Where and how long your information is retained

Any personal data as well as survey and interview responses are stored securely and confidentially under the terms of data protection and in line with best practice.

The Lines Between will only retain your data in a way that can identify you for as long as is necessary to support the research project and findings and will be deleted at the end of the study or earlier if no longer needed.

Your rights

Data protection legislation gives rights to individuals in respect of the personal data that organisations hold about them. These include the right to:

• access a copy of the information an organisation holds about them;
• rectify any information they think is inaccurate or incomplete;
• restrict the processing of their information in certain circumstances;
• object to processing that is likely to cause or is causing damage or distress;
• complain to a supervisory authority if they are unhappy with the way in which their data has been processed.

Questions or queries

If anything in this privacy notice is not clear or you would like us to talk you through it, please contact the Marine Analytical Unit, Scottish Government: marineanalyticalunit@gov.scot, by post: Victoria Quay, The Shore, Edinburgh EH6 6QQ

If you have questions or concerns about how your personal data is being collected or used, or if you believe that The Lines Between have not complied with your data protection rights, you can contact the Data Protection Officer at the Scottish Government. If you have questions about your personal data held by the data controller you can also contact the Data Protection Officer at the Scottish Government: DataProtectionOfficer@gov.scot, or by post: Victoria Quay, Commercial Street, Edinburgh, EH6 6QQ

Complaints

You have the right to lodge a complaint with the Information Commissioner’s Office. If you are unhappy with the way your personal data are being processed, you can report it to the Information Commissioner’s Office (ICO) at https://ico.org.uk/concerns or by calling the ICO helpline on 0303 123 1113.

Fishers survey questions

Background Information

1. Please can you provide the following details about your fishing activity:

• Length of time as a fisher

Less than a year

Between 1 year and 5 years

Between 5 years and 10 years

Over 10 years

• Size of vessel used: (select from the options below)

Small (registered length - Up to 12 metres)

Medium (registered length - 13-17 metres)

Large (Registered length - 18 metres and above)

• Fishing area (select all that apply)

SW (Solway, Clyde and Islands)

W (Kintyre North up to and including Inner Sound, Southern Western Isles, Rockall St Kilda)

NW (North Minch, and Lewis, Rona, NW Sule, NW French Line)

North and Shetland (Including East and West Shetland, Fair Isle to Long Hole)

East (Wick to Montrose and eastern North Sea)

SW (Montrose to Farne Deeps)

Other (please provide details below)

(Open text response)

• Type of gear (select all that apply)

Pots/traps

Dredge

Nephrops Trawl

Demersal nephrops/whitefish trawl

Demersal whitefish trawl/seine net

Pelagic

Other (please provide details below)

(Open text response)

• Inshore or Offshore fishing

Inshore (out to 12 nautical miles)

Offshore

Awareness and understanding of regulations

2. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is completely disagree and 6 is strongly agree)

• I have a good level of awareness and understanding of fishing industry regulations which apply to me.
• Marine Directorate are effective in helping to raise awareness and understanding of the regulations among fishers’.
• I know where to find information relating to regulation and compliance.
• I have read the regulation and compliance information relevant to my work.
• I find the regulations easy to understand.
• I believe regulation are needed to ensure co-existence of different marine industries (e.g. offshore renewables and fishing).
• I believe regulations help to ensure the health of our seas and marine life.
• I believe regulations help to ensure the fishing industry is sustainable in the longer term.

3. Do you think regulations make it easier or more difficult to run a business?

Easier/more difficult response options

Please tell us why you think that?

[open text response

4. Do you think regulations make it easier or more difficult to earn an income?

Easier/more difficult response options

Please tell us why you think that?

[open text response

5. Do you think fishers need more support to enable them to comply with regulations

[Yes/no]

If yes, please tell us kind of support would be most useful:

[open text response]

6. Do you think regulations are fair

[yes/no]

Please tell us why you think that (if you feel they are unfair please include details of any regulations that are particularly unfair and why):

[Open text response]

Attitudes towards compliance

7. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is completely disagree and 6 is strongly agree)

• It is generally easy to ensure I am complying with regulations.
• I believe that compliance with the regulations is the right thing to do.
• I don’t care about compliance, I just care about not getting caught
• I believe the regulations are there for good reasons.
• I believe the regulations positively impact on the management of fishing in Scotland.
• I make every attempt to ensure I am complying with regulations because I want to avoid enforcement action.

8. Please tell us what factors encourage you to comply with regulations, besides the possibility of enforcement action?

(Open text response)

Difficulties with regulations and being compliant

9. Are there any regulations that you find it more difficult to comply with than others?

Yes (route to Q10)

No (route to Q12)

10. Please detail up to three regulations that you find it most difficult to comply with:

1.

2.

3.

11. Please tell us why you find each of the regulations you detailed above most difficult to comply with:

1.

2.

3.

Instances of non-compliance

The following questions ask about instances of non-compliance. Please be assured that this is a confidential survey, and any disclosures of non-compliance Will Not result in any investigation or enforcement action.

12. In the last 12 months have there been any instances where you have been non-compliant (this includes any instances of non-compliance whether you were detected or not)?

Yes (route to Q13)

No (route to Q18)

13. Were the instances of non-compliance deliberate or accidental (please select the relevant option from the list below):

• The instance/s of non-compliance was deliberate (route to Q10)
• The instance/s of non-compliance was accidental (route to Q11)
• The instances of non-compliance were a mix of deliberate and accidental (route to Q10)

14. Can you tell us why you made the choice not to comply with regulations?

(Open text response) (route to Q11)

15. Were any instances of non-compliance detected?

Yes

No

16. What enforcement action was taken for the detected non-compliance (please select from the list below)

• Verbal
• Advisory
• Written warning
• Fixed Penalty Notice
• Single area licence
• Referral to Crown Office

17. How has this enforcement action influenced your intentions to be compliant in the future?

• it has had no impact on my actions
• it has encouraged me to be more compliant
• it has encouraged to make sure I am always compliant

Enforcement action and penalties

18. Please rate how effective of each of the following are as a deterrent to non-compliant behaviour (1 to 6 scale where 1 is ‘not effective at all’ and 6 is ‘very effective’)

• Verbal
• Advisory
• Written warning
• Fixed Penalty Notice
• Single area licence
• Referral to Crown Office

19. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is Strongly disagree and 6 is strongly agree)

• Fixed Penalty Notices strongly influence me to comply with regulations
• The financial levels of Fixed Penalty Notices are fair and appropriate
• The financial level of Fixed Penalty Notices are too low to influence my behaviour
• A higher financial level of Fixed Penalty Notice would act as a stronger deterrent
• If instances of non-compliance were made public, it would be a strong deterrent to non-compliant behaviour
• Having your responsible fishing certification revoked would be a strong deterrent to non-compliant behaviour

20. Please provide any further thoughts you have on Fixed Penalty Notices

(open text response)

21. Please share any suggestions you have for how enforcement action and penalties can encourage fishers to comply with regulations

(Open text response)

Experience of interaction with compliance and enforcement officers

22. Have you had experience of compliance and enforcement staff carrying out inspections to assess your compliance with the regulations?

Yes (route to Q23)

No (route to Q24)

23. Was the assessment of compliance carried out at sea or onshore?

• At sea
• On shore
• I’ve experienced both

24. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is completely disagree and 6 is strongly agree)

• I have a positive relationship with compliance and enforcement staff
• Compliance and enforcement officers treat me with respect
• I am respectful of compliance and enforcement officers
• I believe that the compliance and enforcement officers support fishers’ to comply with the regulations
• Compliance and enforcement staff are fair when deciding the penalty for non-compliant behaviour when it is detected

The future

25. If you could change one thing about the approach to monitoring compliance and enforcement of regulations, and the penalties/actions that can be taken, what would it be?

(open text response)

26. If you have any comments that have not been covered in the survey, please share them below:

(open text response)

Fishers interview questions

Background information

1) How long you have been a fisher?

2) Can you tell me a bit about your fishing activity: (probing vessel size, type of catch, fishing area, inshore/ offshore)

Awareness, understanding and attitudes

3) How would you describe your awareness and understanding of current fishing regulations?

a) Do you feel the regulations are easy or difficult to understand? Why is that?

b) Where do you find information about compliance and regulation?

c) What kind of information do you normally look for?

d) How easy or difficult is it to find information about regulations?

e) How easy or difficult is it to find information about changes to regulations?

f) What, if anything, has been most helpful in supporting your awareness and understanding of the regulations? (and why has this been most helpful?)

4) What is your understanding of the purpose of the regulations?

a) What are they there for/what are they aiming to achieve?

5) How would you describe your attitude towards the regulations? (probing whether they view them positively or negatively and the reasons for this. Probing to explore whether regulations are seen as a good or bad thing for them/ the fishing industry, do they feel regulations are fair)

6) Do you see the regulations as helping to ensure the health of our seas and marine life?

a) Why/why not?

b) Do you think that ensuring the health or our seas/marine life is important?

i) Why is that?

7) Do you think having regulations helps to protect the future of the fishing industry?

a) Why/why not?

b) Is ensuring the future of the fishing industry important to you?

8) Do the regulations make it easier or more difficult to run a business?

a) Why/why not?

9) Do the regulations make it easier or more difficult to earn an income?

a) Why/why not?

Compliance with regulations

10) Are there any regulations that you find difficult to comply with?

a) If yes, which ones and why is that?

b) What impact does that have on you/ your business?

11) Over the last 12 months, have there been times you have not complied with the regulations?

If yes:

a) What were the reasons for that?

b) Was it deliberate or accidental?

c) Was the non-compliance detected?

i) If not, how will this influence your decisions about operating non-compliantly in the future?

ii) If yes, what enforcement action was taken?

(1) How will this influence your decisions about operating non-compliantly in the future?

12) What do you think are the main factors that lead fishers to not comply with the regulations?

13) What are the main drivers for you to operate compliantly?

a) Why is that?

b) Is there anything that would help you to reduce any instances of non-compliance?

Exploring Fixed Penalty Notices (FPNs) and other penalties

14) What are your views on Fixed Penalty Notices (FPNs)?

a) Do you think they are an effective deterrent to non-compliance?

b) Why is that?

c) Do you think the financial levels of fixed penalty notices are high enough to be a deterrent?

d) Does a fixed penalty notice encourage you to comply with regulations?

e) What changes could be made to fixed penalty notices to ensure they act as a stronger deterrent to non-compliance?

15) How effective are other penalties in acting as a deterrent to non-compliance? (probing and exploring why).

a) Verbal or written advisory letter, advising you of the regulation?

b) Official warning letter? [For serious/repeat offenders]

c) Referral to the Crown Office Procurator Fiscal Service for consideration and potential criminal trial? [Where FPN is not paid or where offence is more serious]

d) Single area licences

e) Links with labelling schemes (e.g. MSC certified fisheries)

16) Do you think enforcement practices are fair?

a) Why is that?

Interactions with compliance and enforcement officers

17) How often do you interact with compliance and enforcement officers?

a) Does this tend to be coastal or Marine officers, or do you interact with both?

b) How would you describe the interactions that you have?

i) Does this differ across Marine and Coastal Officers (if yes, how is it different)

18) How would you describe the relationship you have with compliance and enforcement staff?

a) Why is that?

b) Is there any difference in the relationship you have with Marine staff and Coastal staff? (if yes, why is that and in what way is it different)

19) How often do you have contact with Marine Directorate?

a) What are the reasons you have contact with Marine Directorate?

b) How would you describe your experience of interacting with Marine directorate?

The future

Any other comments

20) What more could be done to ensure enforcement actions and penalties for non-compliance act as a deterrent?

21) Do you have any other comments you want to make about Marine Directorate regulations?

a) Do you have any further suggestions for helping to ensure compliance with these?

22) Do you have any other comments that we have not covered during the discussion?

Staff survey questions

Background information

1. Please can you provide the following details?

Your role: (please select from the options below)

• Marine Officer
• Senior Operations Officer
• Operations Officer
• Non-operations Officer
• Other (please state below) [open text response]

Are you:

• Coastal based
• Marine based
• Non-operational

Which coastal office or Marine Asset do you operate from?

• Lerwick
• Kirkwall
• Scrabster
• Kinlochbervie
• Stornoway
• Lochinver
• Ullapool
• Portree
• Buckie
• Fraserburgh
• Peterhead
• Aberdeen
• Anstruther
• Eyemouth
• Ayr
• Campbelltown
• Oban
• Mallaig
• United Kingdom Fisheries Monitoring Centre (UKFMC)
• MPV Hirta
• MPV Minna
• MPV Jura
• Other (please state) [open text response].

Supporting compliance

1. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is completely disagree and 6 is strongly agree)

• Part of the compliance and enforcement officer role is to help fishers to understand the regulations.
• There is more Marine Directorate could do to support fishers’ awareness and understanding of the regulations.
• Information about the regulations is easy for fishers to find and access.
• Marine Directorates communication with fishers could be improved.
• The regulations are easy to understand for fishers.
• Fishers tend to have a solid understanding of the regulations they must comply with.

2. How often do fishers approach you or contact you for advice on existing or new legislation.

(options – Never, rarely, Occasionally, Very frequently)

Experience of non-compliance

3. What are the most common areas of non-compliance that you encounter? (please select from the list below)

• Statutory returns offences
• Fishing gear offences
• Fishing without authority
• MPA, and other protected/restricted area offences
• Marine Licensing
• Wildlife crime
• Unlicensed/Hobby fishing
• Landing Obligation (Discarding)
• Vessel tracking requirements
• Gear marking requirements
• Illegal equipment
• Other fishing licence restrictions
• Boarding ladders/failure to provide safe access
• Undersize fish/shellfish/prohibited species
• Other offences not elsewhere classified

4. On a scale of 1-6, where 1 is ‘not common at all’ and 6 is ‘very common’ please rate how common you think the each of the below options are in terms of reasons for not complying with the regulations.

• To increase income
• Lack of awareness and understanding of regulations
• Do it without realising they are being non-compliant
• They are not deterred by the potential enforcement action that can be taken
• They don’t think they will be caught or penalised
• They do not feel that the regulations are fair and proportionate
• Deliberate in order to undermine a regulation
• Other (please state below) [open text response]

Monitoring and enforcing non-compliance

5. Please tell us how much you agree or disagree with the following statements: (1-6 scale, where 1 is completely disagree and 6 is strongly agree)

• Information and intelligence is used effectively by Marine Directorate to help target monitoring activity.
• Monitoring of compliance could be targeted more effectively.
• Marine Directorate is resourced sufficiently to monitor and enforce compliance effectively
• Marine Directorate support fishers who have been non-compliant to prevent or reduce the potential for future non-compliance
• Marine Directorate needs to have a greater focus on enforcement to prevent or reduce instances of non-compliance
• Living in the same community that I work in influences the enforcement action that I take
• Enforcement activity is partly determined by the individual fisher
• There are significant challenges in detecting non-compliance.
• There are significant challenges in taking enforcement action when non-compliance is detected.

6. Please share any suggestions you have for any simple changes that could be made that would reduce instances of deliberate non-compliance.

[open text response]

7. Please share any suggestions you have for any simple changes that could be made that would reduce instances of accidental non-compliance.

[open text response]

8. Please tell us about any areas of the regulations that you feel are more challenging to monitor for non-compliance than others.

[open text response]

9. Why are those areas more challenging to monitor?

[open text response]

10. The following question is about areas of non-compliance, such as statutory returns offences and wildlife crime. Before answering, would you like to see an explanation of each of the offence types?

[yes/no response options – yes provides an explanatory note for each area compliance listed in the following question]

11. Using the list below, please select any areas of non-compliance where it is most challenging to gather the required evidence to take enforcement action

• Statutory returns offences
• Fishing gear offences
• Fishing without authority
• MPA, and other protected/restricted area offences
• Marine Licensing
• Wildlife crime
• Unlicensed/Hobby fishing
• Landing Obligation (Discarding)
• Vessel tracking requirements
• Gear marking requirements
• Illegal equipment
• Other fishing licence restrictions
• Boarding ladders/failure to provide safe access
• Undersize fish/shellfish/prohibited species
• Other offences not elsewhere classified

12. Why are those areas more challenging to gather the required evidence to take enforcement action?

[open text response]

Penalties and effectiveness

13. Please rate the effectiveness of each of the following as a deterrent to non-compliant behaviour (1 to 6 scale where 1 is ‘not effective at all’ and 6 is ‘very effective’)

• Verbal
• Advisory
• Written warning
• Fixed Penalty Notice
• Single area licence
• Referral to Crown Office

14. What are the barriers you face that prevent you from taking enforcement action [open text response]

15. What changes would you suggest to the available penalties which would create a more effective deterrent to non-compliant behaviour?

[open text response]

The future

16. In the context of compliance and enforcement, what three changes do you think could be made that would have the greatest impact on reducing non-compliance among fishers?

1.[open text response]

2.[open text response]

3.[open text response]

17. Please share any suggestions you have for any internal changes within Marine Directorate that would help to ensure compliance can be monitored and enforced more effectively.

[open text response]

Staff interview questions

Role

1) What is your role within Marine Directorate and how does it relate to compliance and enforcement of fisheries and other marine regulations?

2) How would you describe the role of Marine Directorate in the fishing industry?

a) What do you think Marine Directorate’s role should be?

3) How would you describe the relationship Marine Directorate has with the Fishing industry?

Awareness of regulations and role in understanding and education

4) How effectively do you think Marine Directorate are in helping fishers understand the regulations and their purpose?

a) Why is that?

b) What is your role in terms of helping fishers to understand the regulations and to work compliantly?

c) What support do you provide to help fishers to work compliantly?

i) how do you provide this support?

5) To what extent to do fishers have a solid grasp and understanding of the regulations and laws that they must comply with?

a) Why do you say that?

6) How do you think the regulations are perceived by fishers?

a) Are they generally supportive of them and what they are there for?

b) Are there any particular areas of the regulation that fishers take issue with? Which ones and why is that?

7) Do you have any suggestions for how Marine Directorate can further help ensure fishers are aware of and understand current regulations?

Perspectives on compliance and non-compliance

8) What are the most common areas of non-compliance that you encounter?

a) What do you think are the reasons for this, and non-compliant practices more generally?

b) What factors prevent fishers from adhering to the regulations?

c) What, if anything, could be done to help mitigate these?

9) Are there any regulations that fishers find it easier or are more likely to comply with?

a) Why do you think this is?

b) What are the factors that drive that?

Monitoring and enforcing compliance

10) What are the main enablers that support you to carry out your role effectively?

a) Why is that and how do those enablers help you in your role?

11) What are the main challenges and barriers when monitoring compliance and enforcing regulations?

a) How can these be reduced or mitigated?

b) (For Coastal Based Staff) – Does living in the community in which you are enforcing regulations have any influence on the actions you take when you encounter non-compliance?

i) If yes, why is that and in what way does it influence enforcement actions?

12) What are the most challenging areas of regulation to monitor for non-compliance

a) Why is that?

b) Is there anything that could be changed that would make it easier?

13) How could the monitoring and enforcement of regulations be improved?

a) What would be required to do that?

Penalties and effectiveness

14) Which enforcement actions do you feel are the most effective deterrent to non-compliant activity?

a) With fixed penalty notices in particular, how effective are they as a deterrent?

i) Why is that

ii) What are your thoughts on whether the level of financial penalty that can be applied to fixed penalty notices is appropriate and effective?

(1) What if anything would you change about Fixed penalty notices to make them a more effective deterrent?

b) Do you experience any barriers to taking more severe enforcement actions?

i) Is there a reason that over 90% of enforcement actions are advisory or verbal and written warnings?

(1) Why is that?

15) What changes to enforcement action could be made to create a more compliant fishing industry ?

a) What would this involve?

b) Why do you feel this would act as an incentive to operating compliantly?

c) Any barriers to this and how could they be mitigated?

16) More broadly, is there anything else that could be changed to more effectively deter non-complaint practices?

a) What would this involve?

b) Why do you feel this would act as an incentive to operating compliantly?

c) Are there any barriers to this, and if so, how could they be mitigated?

The future

17) Do you have any suggestions for how the internal processes of Marine Directorate could be improved that would increase the effectiveness of compliance and enforcement operations?

a) What difference do you think those changes would make?

18) Are there any other changes that we have not discussed that you feel could make the monitoring and enforcement of regulations more effective, and better encourage compliant behaviour among fishers?

Stakeholder interview questions

Background information

1) Can you tell me a bit about your organisation and your role in it?

a) Do you have a particular interest or involvement in the regulation of fishing, and the compliance and enforcement of these? Can you tell me a little bit about that?

Awareness, understanding and attitudes

2) How would you describes the general levels of awareness and understanding of current fishing regulations among fishers?

a) Do you feel the regulations are easy or difficult to understand? Why is that?

b) What are your thoughts on the available information relating to compliance and regulation?

c) How easy is it for fishers to find information about regulations and any changes?

d) What, if anything, do you think is most helpful in supporting fishers’ awareness and understanding of the regulations? (and why)

e) Does your organisation provide any advice or support to help fishers understand and comply with regulations (If yes, can you tell me about that?)

f) How effective do you think Marine Directorate is in helping fishers understand the regulations and their purpose?

i) Could anything be improved?

3) How would you describe your attitude towards the regulations? (probing whether they view them positively or negatively and the reasons for this, are seen as a good thing for the industry and for the seas)

a) Do you feel the regulations make it more difficult for fishers to earn an income or run their business?

i) Why is that?

b) How would you describe the attitude of fishers towards the regulations, and the monitoring and enforcement of them?

c) Do you think the purpose of the regulations are fully appreciated among fishers?

d) Do you feel that the regulations are effective in achieving what they aim to achieve?

i) Why do you say that?

4) What are your thoughts about the fairness and appropriateness of compliance and enforcement practices?

Compliance with regulations

5) Are there any areas of regulation that you feel are more challenging/difficult for fishers to comply with?

a) If yes, Which ones and why is that?

b) What impact does that have on how they operate?

6) Are there any regulations that fishers find it easier or are more likely to comply with?

a) Why do you think this is?

b) What are the factors that drive that?

7) What do you feel are the reasons or factors that influence fishers to operate non-compliantly

a) Why is that?

8) What do you think are the main drivers or influencing factors that encourage fishers to operate compliantly?

9) How effective do you think the current approach to monitoring compliance and enforcing regulations are?

a) Why is that?

b) Can you tell me any suggestions you have for how this could be improved?

Exploring Fixed Penalty Notices (FPNs) and other penalties

10) What are your views on Fixed Penalty Notices (FPNs)?

a) Do you think they are an effective deterrent to non-compliance or do they do more to encourage non-compliance?

i) Why is that?

b) Do you think the financial levels of fixed penalty notices are enough of deterrent?

c) How much do you think the risk of a fixed penalty notice influences fishers decisions about complying with regulations?

d) What, if any, changes could be made to fixed penalty notices to ensure they do act as a stronger deterrent to non-compliance

11) How effective are other enforcement action or penalties in acting as a deterrent to non-compliance?

a) Which do you think is the most effective deterrent to non-compliant practices?

i) Why is that?

12) What changes to enforcement action could be made to encourage more compliant behaviour?

a) What would this involve?

b) Why do you feel this would act as a good/better deterrent?

c) Any barriers to this and how could they be mitigated?

13) More broadly, is there anything else that could be done or changed to ensure more compliant practices?

a) What would this involve?

b) Why do you feel this would act as a good/better deterrent?

c) Any barriers to this and how could they be mitigated?

The future

14) Are there any other changes that we have not discussed that you feel could make the monitoring and enforcement of regulations more effective, and better encourage compliant behaviour among fishers?

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