Statutory guidance

How we will monitor and promote compliance

Updated 6 November 2023

The MMO has a regulatory role to ensure Producer Organisations (PO) are in compliance with legislative and statutory obligations as set out in fisheries legislation. In undertaking those duties we will work in accordance with better regulation principles as set out in the Regulators’ Compliance Code.

1. How we will monitor and promote compliance

The MMO will use the following mechanisms for monitoring the compliance of PO against the relevant legislation:

• submission and content of annual reports and production and marketing plans
• regular monitoring of quota

In 2019 guidance was published by the UK Fisheries Administrations (FAs). The purpose of this guidance is to help UK Fisheries POs in understanding and complying with the conditions for recognition set out in Article 14 and Article 17 of the CMO Regulation. From 2019 all UK Fisheries POs will be audited against this guidance criteria.

Instances of non-compliance may result in further requirements being placed on the organisation by the MMO, for example the provision of further documentary evidence or the request to undertake formal actions.

We will support POs in their compliance actions through the provision of advice and guidance – to individual organisations and through engagement with the United Kingdom Association of Fish Producer Organisations (UKAFPO). Whilst the MMO will support POs, it is the POs responsibility to ensure compliance.

We will use appropriate and proportionate action where this has not been successful. Where necessary we will provide specific written advice to support POs achieving compliance and the following additional steps may be taken;

1.1 Audits

In line with the guidance, the MMO will reserve the right to conduct audits of accounts and documents to gain further information or documentary evidence of compliance with any regulation or instruction as deemed appropriate.

1.2 Non – compliance

If a PO is not in compliance with the relevant legislation, the MMO will work together with that PO to address any issues and will provide them with an opportunity to submit evidence that action to bring the PO back into compliance has been taken or will be taken within a reasonable timeframe (which will normally be no longer than two months).

Following this engagement, the MMO will review the evidence received and confirm our decision with the PO on how we will proceed within one month from the date of receipt of any evidence or such longer period as the MMO may agree with you in writing.

If the MMO considers that satisfactory action has not been taken and that the PO is still not meeting the recognition criteria, then a letter indicating an intention to withdraw recognition will be sent to the PO. The intention to withdraw recognition will clearly identify those areas where the MMO considers the PO is not meeting the recognition criteria. This will provide the PO with an opportunity to make further representations to the MMO (see below).

2. Representation Process

A PO may make written representations to the MMO within two months of notification of the intention to withdraw recognition. The representations should set out as clearly as possible why the PO feels it complies with the recognition criteria or how it has come in to compliance.

Any such representations will be considered internally by the MMO. The MMO may arrange follow up meetings to discuss the representations with the PO as appropriate.

Once your representations have been assessed the MMO will inform you of its decision. The MMO will respond to you within two months from the date of receipt of any representations or such longer period as the MMO may agree with you in writing.

If the MMO concludes that recognition of your organisation as a PO should be withdrawn, you may appeal that decision to the MMO (see below).

3. Appeals

Only a recognised officer of the PO that has had its recognition withdrawn may appeal.

The PO can appeal the decision to withdraw recognition in writing if the PO believes that the MMO has made an incorrect decision.

Appeals must be received by the MMO within 28 days of the decision to withdraw recognition of a PO.

Your appeal will be considered by a panel of 3 individuals who were not involved in the original decision to withdraw recognition of a PO. They will consider your representations, evidence and documents and decide whether the MMO has acted reasonably in all the circumstances. The appeal is a review and not a rehearing. The appeal panel may allow the appeal, allow the appeal in part, or refuse the appeal.

When submitting your appeal, it is important that the PO includes:

• a copy of the MMO’s decision
• the reason for your appeal
• any evidence that you would wish to be considered in support of your appeal
• any other documents that directly support your appeal

Please note that only the representations, evidence and documents submitted with your appeal can be considered. Late submission of representations, evidence or documents will only be considered in exceptional circumstances. Your appeal must be sent to:

Fisheries Management Team - Producer Organisation Appeals
Lancaster House
Hampshire Court
Newcastle upon Tyne
NE4 7YH
United Kingdom

Or emailed to POCompliance@marinemanagement.org.uk

A member of the panel will respond to your appeal within two months of it being received or such longer period as the panel may agree with you in writing. A response will set out the reasons for its decision. The decision to withdraw recognition of your organisation as a PO will not take effect until the appeals process has been completed.

4. Appeal outcome

If the POs appeal is unsuccessful, you can ask any Member of Parliament to refer complaints about administrative actions by the MMO to the Parliamentary Ombudsman (also known as the Parliamentary Commissioner for Administration).

Parliamentary and Health Service Ombudsman
Millbank Tower
Millbank
London
SW1P 4QP

Complaints helpline: 0345 015 4033 Fax: 020 7217 4000

Email: phso.enquiries@ombudsman.org.uk Website: www.ombudsman.org.uk

5. PO required actions prior to the withdrawal of recognition status.

The PO should discuss with its members their options following the MMO’s decision to withdraw recognition.

This may include: -

• Transfer membership (of member vessels) to another PO.
• Apply to the MMO to join the English non-sector following the requirements outlined in the  English quota management rules section 9. 

This form should be completed to notify the MMO of a change in PO.

The PO1 form should be sent as soon as there is an agreement between the member and the PO to which they are joining.

5.1 Fixed Quota Allocations 

Action may be required by the PO if any Fixed Quota Allocations (FQAs) are held on behalf of their members on a PO dummy licence.

FQAs should be transferred from the PO dummy licence to the relevant vessel that owns the FQAs as soon as notice of the withdrawal of recognition has been received by the PO, or alternatively to the new PO’s dummy licence if preferred. This needs to be done via the FQA Register.

5.2 Single Issuing Authority Licences.

If the PO member vessel held an external waters licence, this will become invalid when the domestic licence is removed following withdrawal of recognition. Once the owners have a new domestic licence they will need to apply for a new external waters licence, they must not fish until they receive the new licence and see their names published on the lists.

5.3 End of year procedure

The outgoing PO will need to work with the Fisheries Administration (FA) to ensure activity is fully assessed for their members to allow quota transfers and banking/penalties to be accurately attributed to the new PO/Group they join.

Overfishes – These should be covered by the outgoing PO before the end of the calendar year, to ensure there is no overfish for any stock^{[footnote 1]}. Members joining a new PO before the end of the year should agree that any overfish, or penalty will be covered by the new PO.

Banking – The MMO is not involved with how PO’s allocate quota internally to their members. Therefore, if banking applies it will be calculated pro-rata based on the FQAs attached to the licence at the time.

It is important that vessel owners and the new POs they intend to join are aware and agree to the above arrangement including the need to cover any penalties.

If the receiving PO refuses to accept the above arrangement the MMO reserve the right to refuse the transfer of the vessel to the new PO.

1. If the overfish is not covered by the end of the calendar year the overfish will be pro rata allocated to the PO(s) that vessels are moving to depending on each vessel’s landings vs their FQA holdings.  In the case where a vessel is applying to join the non-sector, the vessel will not be admitted to the non-sector unless quota sufficient to cover the over fish has been sourced. ↩