Northern Territory Pearl Oyster
Industry Compliance Plan
Document title Northern Territory Pearl Oyster Industry Compliance Plan
Contact details Northern Territory Department of Industry, Tourism and Trade
TRM number NA
Version Date Author Changes made
1.0 November 2005 M. Barton
An NT version of the draft Western
Australia (WA) Compliance document from
WA PIAC L&C SC Sept2005
2.0 November 2006 M. Barton
Modified following industry feedback with
emphasis on farm audits
3.0 November 2007 M. Barton
Modified to reflect that VMS may be used
but is not a requirement at this stage
4.0 September 2019 M. Barton / A. Irving
Restructured to include objectives
principals and incorporate MSC conditions
of certification
5.0 December 2019 M. Barton / A. Irving
Updated following NTPIAC to address
additional MSC requirements
6.0 January 2020 M. Barton
Updated following comments from
external reviewer
7.0 March 2023 B. Herbert / NTPIAC
Updated following NTPIAC discussion to
remove non-fisheries related compliance
content and make some definitions more
technically correct.
8.0 March 2024 B. Herbert / NTPIAC
Further revision to include regulatory
reporting requirements
Northern Territory Pearl Oyster Industry Compliance Plan
Contents
1. Definitions ........................................................................................................................................................................5
2. Introduction .....................................................................................................................................................................8
3. Objectives of the Compliance Plan ............................................................................................................................8
4. Background ......................................................................................................................................................................8
5. Principles of Pearling Compliance ..............................................................................................................................9
5.1. Fishery-Specific Environmental Objectives .......................................................................................................9
5.2. Seeding Compliance ............................................................................................................................................ 10
5.3. Farm Audits ........................................................................................................................................................... 10
6. Key Components of NT Pearling Compliance....................................................................................................... 10
6.1. ESD Compliance ................................................................................................................................................... 11
6.1.1. Bycatch of Non-Endangered, Threatened and Protected (ETP) species ........................................... 11
6.1.2. Interactions with Endangered, Threatened and Protected (ETP) species ......................................... 11
6.1.3. Habitat structure and function .................................................................................................................. 11
6.1.4. Ecological processes..................................................................................................................................... 11
6.1.5. Periodic Review of ESD Components ...................................................................................................... 12
6.2. Seeding Compliance ............................................................................................................................................ 12
6.3. Farm compliance .................................................................................................................................................. 12
6.4. Licensing and Registration Compliance ........................................................................................................... 13
7. NT Pearling Industry Compliance Framework ...................................................................................................... 13
7.1. Notice of Intent .................................................................................................................................................... 13
7.2. Seeding on a Pearl Farm (first operations) ...................................................................................................... 14
7.3. Harvest and Re-Seeding ..................................................................................................................................... 14
7.4. Un-seeded Pearl Oysters .................................................................................................................................... 14
7.5. Translocation of Pearl Oysters between the NT and WA ........................................................................... 15
7.6. Translocation of Pearl Oysters between Farm Sites in the NT ................................................................... 15
7.7. Farming operations – Hatchery ......................................................................................................................... 16
7.8. Pearl Farm Sea Lease – General ........................................................................................................................ 16
7.9. Pearl Farm Land Lease – General ..................................................................................................................... 16
8. General Compliance Matters .................................................................................................................................... 17
9. Audit Process ............................................................................................................................................................... 17
1. Introduction .................................................................................................................................................................. 18
1.1. Scope ...................................................................................................................................................................... 18
1.2. Company Environmental Policy ........................................................................................................................ 18
2. Description of the facility .......................................................................................................................................... 19
2.1. Location .................................................................................................................................................................. 19
2.2. Description of Land Leases ................................................................................................................................ 19
2.3. Description of Sea Leases................................................................................................................................... 19
3. Farm Production Process........................................................................................................................................... 19
Northern Territory Pearl Oyster Industry Compliance Plan
3.1. Farming Technique .............................................................................................................................................. 19
3.2. Stocking .................................................................................................................................................................. 19
4. Staffing........................................................................................................................................................................... 19
4.1. Employee training ................................................................................................................................................ 20
4.2. Visitor and contractor obligation ...................................................................................................................... 20
4.3. Incident reporting and investigation ................................................................................................................ 20
5. Potential and Anticipated Impacts and Proposed Safeguards .......................................................................... 20
5.1. Risks ........................................................................................................................................................................ 21
5.1.1. Fuel, Oil and Chemical Handling ................................................................................................................ 21
5.1.2. Waste Management ..................................................................................................................................... 22
5.1.3. Disease Detection and Mitigation Measures .......................................................................................... 23
5.1.4. Biodiversity and Protected Sites ............................................................................................................... 23
5.1.5. Marine Pest Management ........................................................................................................................... 24
5.1.6. Base Camps .................................................................................................................................................... 25
5.1.7. Social values ................................................................................................................................................... 25
5.1.8. Decommissioning and rehabilitation......................................................................................................... 26
6. Auditing and Management Review ......................................................................................................................... 26
7. Attachments ................................................................................................................................................................. 26
8. Suggested Reference Material ................................................................................................................................. 27
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 5 of 27
1. Definitions
“broodstock” means pearl oysters which are intended to be used for breeding for the purposes of hatchery
production;
“cultured pearl” means a pearl produced by a pearl oyster as a result of the application of pearl culture
techniques;
‘Ecologically Sustainable Development (ESD)’ means using, conserving and enhancing the community’s
resources so that ecological processes, on which life depends, are maintained, and the total quality of life,
now and in the future, can be increased.
“Ecological Processes” includes the key elements of ecosystem structure and function (and refers to any
changes as a result of the fishery that cause serious or irreversible harm to key elements of ecosystem
structure and function – MSC PI 2.5.1)
“Environment Management Plan” a document that describes likely impacts a development may have on
the surrounding environment and the proposed environmental commitments, safeguards, monitoring, and
management systems measures that will be adopted to address these issues (Attachment 1).
“first operations” is the terminology used to identify the pearl oyster seeding operations undertaken on a
pearl oyster, involving the implantation of mantle tissue graft along with a nucleus to initiate the formation
of a pearl sac to produce a nucleated cultured pearl;
‘go-back pearl oyster” these are pearl oysters that have been presented by the licensee to the pearl
seeding technician but that are not presently in the appropriate condition for the seeding operation. This
could be a result of non-maturity, or the oyster presenting with sub-optimal health indicators (such as a
retracted mantle);
“habitat” refers to distribution of habitat where the P. maxima fishery operates and the impact of the
fishery on habitat structure and function (MSC PI 2.5.1)
“harvesting” means extraction of pearls from pearl oysters, but does not include removing pearls from
dead pearl oysters in the course of pearl farming;
“hatchery” means a place where authorised hatchery activities may be carried out;
“hatchery activities” means all or any of the following activities:
• broodstock collection – the taking of pearl oysters for breeding stock;
• spat and pearl oyster production – the production and growout of juvenile pearl oysters (spat) to
maturity by acclimatisation, propagation, breeding, rearing or raising;
• spat collection – the collection of spat from the wild;
• spat and broodstock movement and holding – the moving, holding or storing of spat, pearl oysters
or broodstock
• processing spat or unseeded pearl oysters or broodstock; and
• purchasing, selling or otherwise dealing in spat, pearl oysters or broodstock;
“hatchery shell” means pearl oysters grown out from spat produced or collected as a hatchery activity;
“lease” means pearl farm lease;
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 6 of 27
“licence” means any of the following:
• a pearl oyster fishing licence;
• a pearl oyster industry culture licence; and
• any other licence prescribed by the regulations;
“licensee” means the person holding a licence;
“longline” means a device from which designated containers or panels containing pearl oysters are
attached or by which designated containers or panels containing spat or pearl oysters are tethered,
supported or held;
“nucleus” typically refers to a spherical bead that is implanted within a pearl oyster to act as a scaffold for
the production of a ‘round’ pearl. In the mabé pearling industry a nucleus is a plastic hemispherical bead
that is attached to the shell to generate a half pearl;
“pearl” denotes a biomineral gem formed within a pearl oyster, including natural or cultured, whole, half,
baroque, seedless (keshi) or blister pearls;
“pearling” or “pearling activity” means all or any of the following activities –
• pearl oyster fishing – searching for or taking adult ;wildstock shell, moving and holding those
wildstock shell prior to the application of pearl culture techniques to those pearl oysters;
• acquiring juvenile pearl oysters (spat) – produced or collected under the authority of a licence
• purchasing, selling or otherwise dealing in pearl oysters;
• pearl farming;
• spat and pearl oyster growout – holding, moving and growing out of spat acquired under (b),
including the holding, moving and growing out of unseeded pearl oysters;
• carrying out pearl culture techniques; and
• processing pearl oysters;
“pearl culture techniques” includes any technique or practice used to produce and to harvest pearls, or to
encourage the production of pearls from pearl oysters and includes seeding, reseeding and harvesting
pearls from pearl oysters, as well as moving and holding pearl oysters in connection with those activities;
“pearl farm lease” means a pearl farm lease granted under the Crown Lands Act
“pearl farming” means all or any of the following activities –
• husbanding seeded pearl oysters to produce pearls on a pearl farm lease, including holding, moving
and growing seeded pearl oysters in connection with their husbandry;
• husbanding unseeded wildstock pearl oysters taken pursuant to an annual wildstock quota
entitlement;
• growing out spat on a nursery site, including: husbanding, growing out moving and holding stocks
of unseeded hatchery shell; and
• such other activities as are prescribed;
“pearl oyster” means any of those species of bivalve molluscs declared under the Act to be pearl oysters to
which this Act applies and includes the eggs, sperm, spat, larvae and shell of such pearl oysters and any
pearls contained in such pearl oysters;
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 7 of 27
“pearl oyster fishery” has the meaning attributed to that expression by the Act;
“pearling gear” means any longline, equipment, implement, device, apparatus or other thing used, or
designed for use for, or in connection with, pearling or hatchery activities;
“precautionary principle” is a concept that asserts that where there are threats of serious or irreversible
damage, lack of full scientific certainty shall not be used as a reason for postponing measures to prevent
environmental degradation.
“re-seeding operation” means the specific pearl culture technique of inserting a nucleus into an established
pearl sac within a pearl oyster,, which generally occurs after the harvesting of a pearl from that pearl
oyster;
“saibo pearl oyster” is a donor pearl oyster sacrificed to supply mantle tissue (saibo) which is inserted into a
recipient pearl oyster at the time of seeding;
“seeded shell” means a pearl oyster which has undergone pearl culture techniques and is considered to
contain a cultured pearl;
“seeding” (see first operation) means the specific pearl culture technique of the implantation of mantle
tissue graft along with a nucleus to initiate the formation of a pearl sac to produce a nucleated cultured
pearl, either for the first time or when the technique is applied to x-ray negative shell;
“1R” means a pearl oyster that has been subjected to the initial first seeding operation for the production
of its first cultured pearl;
“2R” means a pearl oyster that has been subjected to harvest and re-operation for the first time,for the
production of its second cultured pearl;
“3R” means a pearl oyster that has been subjected to a second harvest and re-operation for the production
of its third cultured pearl;
“spat” means juvenile pearl oysters where the dorso-ventral length (shell height) measures less than 60mm;
“virgin pearl oysters” means adult pearl oysters that have been fished from the wild or produced in a
hatchery, not previously subjected to any pearl seeding activity;
“wildstock shell” means adult pearl oysters, other than spat or broodstock, that are fished from wild oyster
beds;
“x-ray negative shell” means wildstock shell or hatchery stock shell that have been subjected to seeding,
but which have not, upon x-ray examination, retained the nucleus or the nucleus is incorrectly positioned
within the host oyster body for successful round pearl production;
“zone” means an area of waters declared to be a zone under the NT Pearling Zoning Policy.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 8 of 27
2. Introduction
The Northern Territory Pearling Industry cultures Pinctada maxima silverlip pearl oysters for the
production of Australian South Sea Pearls at a small number of farms dispersed around the Northern
Territory (NT) coast. The industry operates under a quota system that acts as the principal regulatory
instrument for the industry. The quota system helps to ensure sustainable production of Australian South
Sea Pearls.
Licensees may seed a total of 120 units from fishery licences and 300 units from pearl oyster culture
industry licences, whereby one unit currently equals 1,150 pearl oysters. Licensees can substitute and seed
hatchery propagated pearl oysters from their Pearl Oyster Fishing Licence allocation.
This plan outlines the following:
• The short term and long-term objectives that are specific to the Pinctada maxima industry in the
NT;
• The monitoring of seeding rights and the number of pearl oysters that are seeded during first
operations;
• Biosecurity issues relating to the translocation of pearl oysters; and
• The environmental considerations of operating a pearl farm in the NT.
Pearl oyster fishing is permitted under licence in the NT and this Plan provides for fishing compliance in
section 4.1.
The NT Government works closely with the Western Australian Government to ensure that the Australian
South Sea Pearl reputational market advantage is maintained through complementary management
arrangements, which in turn require complementary compliance arrangements.
3. Objectives of the Compliance Plan
The key objectives of this plan are to:
1. Ensure that the NT Pearling Industry operates within the legislative requirements of the:
a. Fisheries Act 1998;
b. Fisheries Regulations 1992;
c. Pearl Oyster Culture Industry Management Plan 1998;
d. Marine Act 1981 (Lease marking).
2. Ensure that the pearling industry in the NT maintains compliance with its seeding quota.
3. Ensure that the NT Pearling Industry operates in a manner consistent with the principles of
Ecologically Sustainable Development (ESD) in areas of Fisheries jurisdiction, as provided for in the
definitions section.
4. Background
In addition to legislative controls, the NT Pearling Industry is regulated through the allocation of fishing
and hatchery pearl oyster units; whereby:
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 9 of 27
• Pearl oyster hatchery units are prescribed to limit the total number of pearl oysters that may be
seeded in order to ensure sustainability of the industry, and
• Pearl oyster fishing units are prescribed to ensure sustainable management (catch) of the wildstock
resource.
Pearl farm Crown Leases (sea leases) are issued under the Crown Lands Act and administered by
Department of Infrastructure, Planning and Logistics. The Crown leases contain a set of conditions that
must be adhered to, including operating under an EMP.
Most pearl farm land bases are on Aboriginal-owned land and licensees have a lease agreement with the
Traditional owners for these sites. Environmental management conditions for these sites are normally
included in the lease agreements.
An EMP is also a condition under a Pearl Oyster Culture Industry licence. NT Fisheries monitors
compliance with respect to matters in an EMP covered by the Fisheries Act and subordinate legislation and
policies.
NT Fisheries notes that licence holders operating within the NT Pearling Industry must comply with the
following legislative requirements, however, it is not under the jurisdiction or expertise of NT Fisheries to
monitor compliance with these requirements:
• Commonwealth Environment Protection and Biodiversity Conservation Act 1999
• Environmental Assessment Act 1982
• Territory Parks and Wildlife Conservation Act 1976
• Water Act 1992
• Weeds Management Act 2001
• Work Health and Safety (National Uniform Legislation) Act 2011
• Food Act 2004
• Dangerous Goods Act 1998
• Waste Management and Pollution Control Act 1998
• Public and Environmental Health Act 2011
• Australian Maritime Safety Authority Act 1990
• Any other legislation governing the use of the land and marine environment in which pearling
activities occur.
5. Principles of Pearling Compliance
5.1. Fishery-Specific Environmental Objectives
This plan does place some focus on meeting the NT Fisheries Harvest Strategy Policy in terms of fishery
specific objectives with respect to the aquatic environment pursuant to the EPBC Act and other legislation
(https://industry.nt.gov.au/publications/fisheries-publications/harvest-strategy-policy-and-guidelines).
In addition to supporting the biological sustainability of this fishery resource (the general principle that the
management framework maintains the target Pinctada maxima biomass at a level where the main factor
affecting recruitment is the environment), this plan acknowledges and assists in meeting broader ecological
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 10 of 27
objectives in alignment with statutory ESD and the precautionary principle. This plan serves to ensure that
the impact of fishing and related activity does not result in serious of irreversible harm to:
1. Bycatch species populations;
2. ETP species populations
3. Habitat structure and function; and
4. Ecological processes.
5.2. Seeding Compliance
Given the philosophy underpinning the pearling seeding quota system, an effective compliance regime is
considered important to ensure its integrity.
The ongoing maintenance of a seeding compliance system will be in consultation with the industry and the
Western Australian Government. This Plan should be reviewed periodically to ensure that it achieves its
primary objective.
The seeding compliance system is risk-based, as efficient and economical as possible whilst maintaining
seeding quota integrity and not unduly interfere with a licensee’s operations. Any change to the seeding
compliance management system affecting licensees must be discussed with licensees prior to
implementation.
A comprehensive farm audit conducted by a Fisheries officer to carry out seeding compliance checking
during seeding and verifying numbers of seeded pearl oysters imported into the NT and/or a
comprehensive farm audit will be the key focus point of the seeding compliance part of this Plan.
Companies will be required to keep accurate stock records to allow a Fisheries officer to validate first
seeded pearl oyster numbers and farm stock numbers (ref 6.2 and 6.8).
There is no requirement for the specified physical separation of the various sources of pearl oysters on a
farm lease, but the ability of licensees to readily identify the location, classes and numbers of unseeded
and seeded pearl oysters must be maintained and this information made available to a Fisheries officer.
This Plan does not outline a limit on the number of unseeded hatchery propagated oysters that can be held
on farms.
5.3. Farm Audits
There will be annual farm audits to monitor the operation of the farm against Fisheries legislation and
Pearling licence conditions. Compliance with respect to matters in the EMP covered by the Fisheries Act
will also be audited. Industry will facilitate a Fisheries officer access to the relevant farm sites at their cost.
If no seeding is undertaken, or no seeded oysters are imported in any given licensing year, a Fisheries
officer will still undertake an annual audit of the pearling activities at the farm to ensure that all other
conditions associated with the pearling licences have been met. This can include observation of expired
leases to ensure removal of infrastructure on expired lease sites.
6. Key Components of NT Pearling Compliance
Key compliance areas covered in the plan are:
• Monitoring and reporting on ESD performance where covered by Fisheries’ responsibilities;
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 11 of 27
• Compliance with total first operations seeding rights;
• Adherence to biosecurity protocols and requirements;
• Ensuring pearl farm operations are in line with licence and/or lease conditions;
• Completion and submission of required compliance documentation.
6.1. ESD Compliance
6.1.1. Bycatch of Non-Endangered, Threatened and Protected (ETP) species
Key issue: Ensuring that the impact of fishing does not result in serious or irreversible harm to bycatch
(non-ETP) species populations:
• Undertaking periodic desktop assessments on the taking of by-catch (noting that P. maxima are
taken individually by hand by divers no other animals are taken);
• Assessment of ESD compliance will be undertaken with each revision of this compliance plan will
be done. The current assessment (2023) identified no non-ETP species affected by pearl oyster
fishing.
6.1.2. Interactions with Endangered, Threatened and Protected (ETP) species
Key issue: Ensuring that the impact of fishing and related activity does not result in serious or irreversible
harm to ETP populations:
• Fisheries legislation requires mandatory notification (logbook requirement) of interactions with ETP
species;
• Undertake periodic assessments on interactions with ETP species that takes into account current
management arrangements, number of logged/reported interactions and available research
information;
• Assessment on each revision of this compliance plan will be done. The current assessment (2023)
of the compliance plan is no ETP species affected by fishing.
6.1.3. Habitat structure and function
Key issue: Ensuring that the impact of fishing, anchoring and related activity does not result in serious or
irreversible harm to habitat structure and function:
• Undertake periodic assessments on risk for benthic habitats in terms on effects on structure and
function, from fishery activities;
• Assessment on each revision of this compliance plan will be done. The current assessment (2023)
of the compliance plan is no habitat affected by fishing.
6.1.4. Ecological processes
Key issue: Ensuring that the impact of fishing and related activity does not result in serious or irreversible
harm to ecological processes:
• Undertake periodic assessments on risk ecological processes in terms on effects on structure and
function (e.g. trophic effects, depletion of top predators, changes in the size, composition, diversity
ecological community) from fishery activities;
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 12 of 27
• Assessment on each revision of this compliance plan will be done. The current assessment (2023)
of the compliance plan is no harm to ecological processes by pearl oyster fishing.
6.1.5. Periodic Review of ESD Components
If a future assessment of any of the above ESD components identified an undesirable (high) level of risk to
ecological processes in the context of fisheries activities then a risk management assessment will be
undertaken. This will consider all available information and develop/implement strategies designed to
generate an acceptable (moderate or lower) risk level to the relevant ESD component.
6.2. Seeding Compliance
Key seeding compliance areas are:
• Seeding of pearl oysters within total first operations seeding right;
• Completion and submission of appropriate documentation.
The following activities allow for seeding compliance checks to be undertaken:
• Licensees must submit an Annual Notice of Intent pre-season, as outlined in s6.1, by March of that
year to assist with compliance planning;
• Licensees must declare intent to commence a pearling activity such as seeding, harvest or oyster
translocations through an electronic notification (such as email);
• Annual declaration of inputs and outputs for the current season’s pearl oysters;
• Audit validation of total first operation seeding against a licensee’s quota using a stockholding
validation system/record keeping/declaration of inputs and outputs of seeding and transport
activities;
• Licensees to maintain prescribed records on site.
6.3. Farm compliance
Key farm compliance areas are:
• Compliance with quarantine, translocation and disease management protocols and requirements as
per Fisheries Act s11 movement permits or other orders by the Director of Fisheries;
• Compliance with the Pearling licence conditions;
• Compliance with Fisheries Legislation
• Compliance with Fisheries-specific components of EMP
• Compliance with Fisheries legislation governing the use of the land and marine environment in
which pearling activities occur.
The following activities allow for compliance checks to address these areas:
• Annual farm audit (facilitated by licensee) to check on applicable license and lease conditions
relating to pearling activities and compliance with Fisheries-specific legislative requirements.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 13 of 27
6.4. Licensing and Registration Compliance
Regular reporting in a nutshell
1. Licensees must submit an Annual Notice of Intent pre-season, as outlined in s6.1; (by March of the
current year) to assist with compliance planning
2. Bi-annual pearl farm summary as approved by the Director are to be submitted to the Director of
Fisheries in writing within 28 days of the following dates:
a. 31 December;
b. 30 June.
3. Report on holding of 60-90mm and >90mm unseeded pearl oysters on 30th June and 31st
December of each year.)
4. Post seeding report: Notification (via email or other means but must be verifiable) at the completion
of seeding the type and number of oysters seeded.
5. Notification (via email or other means but must be verifiable) of the intent to commence seeding
operations. Any virgin pearl oysters seeded for ‘keshi’ pearl production will be considered as part of
a licensee’s total first operations seeding rights.
6. For all translocations within the NT or into the NT an S11 permit is required. Health certification is
not required if it is the same health zone or if risk assessment indicates low risk of known disease or
environmental (e.g. genetic) effects. These permits can be processed quite quickly (within two
working days once all information such as a health cert if required is provided).
Pearl Oyster Fishery and Pearl Oyster Culture licensing fees are payable before 01 January each year. If
instalments are not paid by 01 January all fishing operations must cease until the instalment is paid as the
licence will be deemed to have expired.
Every person in charge of an active fishing operation requires ‘Approved Operator’ status. A commercial
fishing licensee must appoint an Approved Operator to undertake fishing operations and paperwork must
be submitted in advance to Fisheries licensing for new operators seeking approval.
For licensees who submit returns, renewal applications for licenses cannot be processed until the
Aquaculture Statistical Returns have been submitted and accepted by the Returns Officer for that year.
All vessels used on commercial fishing licenses must be registered and will not be listed on your licence
renewal or instalment unless currently unregistered.
7. NT Pearling Industry Compliance Framework
The following provides a detailed account of a licensee’s compliance requirements to ensure that the
principles of this Plan are met. Non-compliance of this framework may attract penalties that are governed
under pearling and fisheries legislation.
7.1. Notice of Intent
• An Annual Notice of Intent will be required to be submitted pre-season (by March of that year) by
licensees, setting out annual projected fishing, seeding, transport and harvest timeframes. This will
allow for the development of efficient compliance planning particularly regarding compliance with
quota which can be monitored and strengthened by the declaration of reporting requirements for
pearling companies progressively through the year.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 14 of 27
• Companies are encouraged to meet with Fisheries to discuss previous season outcomes and
upcoming Annual Notice of Intent. It is envisaged that this will occur around February each year.
• The Annual Notice of Intent includes;
o Number of total first operation pearl oysters seeded in the previous year.
o proposed total first operation pearl oysters that will be seeded that year including:
pearl oyster fishing units;
pearl oyster hatchery units; and
any temporary transfer of quota units (fishing and hatchery units) including the
transferee’s name and licence number and number of units.
o Details about first seeding operations, including licensee’s name and the number of pearl
oysters to be seeded at different locations, particularly the state in which seeding will take
place.
o Details about to wildstock fishing activities including licensee’s name and licence number
and expected fishing numbers.
o The number of fishing unit oysters to be substituted with hatchery-propagated oysters (if
relevant).
o Predicted timings for transport, harvest and/or hatchery production activities.
o Attached temporary or permanent quota transfer forms between NT licensees.
As this information is commercial in confidence it will not be released by Fisheries unless written approval
of the company involved is provided.
7.2. Seeding on a Pearl Farm (first operations)
• Notification (via email or other means but must be verifiable) of the intent to commence seeding
operations.
• Seeding and re-seeding activities are not allowed to take place simultaneously unless there is an
observer on board but can occur consecutively.
• Licensees must maintain on-farm records and/or plans that allow for the identification of different
groups of seeded pearl oyster panels.
7.3. Harvest and Re-Seeding
• Notification (via email or other means but must be verifiable) of the intent to commence harvest
and re-seeding operations, including the harvest of pearl, pearl meat and mother of pearl shell.
• Licensees must maintain on-farm records and/or plans that allow for the identification of different
groups of seeded pearl oyster panels.
7.4. Un-seeded Pearl Oysters
Un-seeded oysters include spat and go-backs.
• Licensees are to maintain on-farm records and/or plans that allow for the identification of different
groups of unseeded pearl oysters.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 15 of 27
• Licensees are to provide estimates of holdings of 60-90mm and >90mm spat in their Aquaculture
Statistical Return.
7.5. Translocation of Pearl Oysters between the NT and WA
This section of translocation compliance only applies to the movement of live pearl oysters from WA
waters into NT receiving waters.
• A licensee’s Annual Notice of Intent will contain a projected transport schedule for all pearl oysters
outlining approximate months of transport. Confirmation of details for each trip and vessel (the
origin, destination, estimated number and production status of shell and the transport dates) shall
be provided during the year. Fisheries Act Section 11 permit application to list final transport
schedule.
• A Fisheries Act Section 11 permit is required before any translocation occurs and movements must
comply with this permit and the NT Pearl Oyster Zoning Policy (Attachment 2). Submission of the
approved application form for importing pearl oysters into the NT is required before a permit will
be considered.
• Companies are to facilitate access to transport vessels by a Fisheries officer to allow for verification
of the number and type of imported pearl oysters.
• A health certificate is a requirement for the S11 permit to be issued. This permit is issued under the
translocation policy for pearl oysters.
• Any changes to a Section 11 permit transport conditions must be re-submitted to Fisheries for
approval and permit correction. Such re-submission must be provided at least one working day
prior to the transport.
• Licensees are to declare through email or other means the total shell unloaded at destination upon
completion of the translocation.
• Translocation of stock from the NT to WA will be covered by the Annual Notice of Intent. Western
Australian translocation requirements must be met, including health certification and appropriate
permits. An NT s11 for movement of stock within the NT will also be required.
7.6. Translocation of Pearl Oysters between Farm Sites in the NT
This section only applies to live pearl oysters, which are being translocated within NT receiving waters. It
applies to movement of pearl oysters between different licence holdings, and not between sea leases held
under one licence in the same health zone.
• The Annual Notice of Intent contains a projected transport schedule for all pearl oysters outlining
approximate months of transport. Confirmation of details for each trip and vessel (including the
origin, destination, estimated number and production status of shell and the transport dates) shall
be provided during the year. Final transport schedule to be submitted to Fisheries no less than
three days prior to a transport taking place.
• The transport schedule must be re-submitted to Fisheries if there is a major change, such as the
pick-up location, destination or trip sequence. Such re-submission must be at least 24 hours prior
to the transport occurring. These transport alterations can be submitted via email.
• All movements onto farms must comply with the NT Pearl Oyster Zoning Policy unless otherwise
approved.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 16 of 27
• A Fisheries Act Section 11 permit is required to be submitted to Fisheries Licensing to obtain an
annual permit for the movement of pearl oyster between NT farms that are in the same health
status zone as defined in the NT Pearl Oyster Zoning Policy. Health certification is not required for
movement within the same health zone.
• Notification of pearl oyster movement between farms is to be submitted to Fisheries Licensing by
email prior to transport taking place.
• Licensees are to declare through email or other means the total shell unloaded at destination upon
completion of the translocation.
7.7. Farming operations – Hatchery
• The Annual Notice of Intent declares the hatchery operating period.
• Hatchery operation as per appropriate hatchery operational standards.
• Transport of broodstock as per appropriate hatchery operational standards. This compliance plan
does not outline a limit to the number of broodstock held in the hatchery at any one time, provided
they are all accounted for.
• A stand-alone hatchery operator must use broodstock from contracting quota unit holder.
• Transport logs and farm records must be maintained for validation and copies to be kept at the site.
7.8. Pearl Farm Sea Lease – General
• Each licensee must maintain farm records on-site regarding:
o the farming infrastructure types and locations within the pearling leases;
o of the different groups of pearl oysters held within the pearling leases;
o total number of pearl oysters held within the pearling leases.
• Pearl oyster stock identification must be maintained so that validation of total first operation
seeded pearl oysters and un-seeded pearl oysters can be undertaken by a Fisheries officer.
• Pearling sea lease marking and lighting must be consistent with lease conditions. Lease boundary
verification during site inspections may be made using GIS equipment or via desktop satellite
imaging.
7.9. Pearl Farm Land Lease – General
• Pearling licence and Crown lease conditions are to be complied with.
• Fisheries Legislation (including correct Approved Operators recorded, vessels marked and
registered) are to be complied with.
• Fisheries-specific aspects of EMP are to be complied with.
An audit report created after each farm audit visit will be provided to the licensee. This report may contain
commercial in confidence information and as such will not be released by Fisheries unless written approval
of the company involved is provided. Any material provided to the Fisheries officer during an audit
(including stock records) are similarly commercial in confidence, are not to be copied and must be
destroyed upon completion of the audit report.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 17 of 27
Any corrective issues highlighted in the report are to be addressed within the period specified in the audit
or by a time negotiated with the licensee in line with s7.
8. General Compliance Matters
• For minor compliance breaches the understanding of ‘best efforts’ should apply - i.e., industry and
the Department will agree that an initial incident of non-compliance will be advised to the industry
member for immediate rectification and recorded by Fisheries.
• Lack of satisfactory action and/or three minor breaches for the same offence by the industry
member within a licensing year will directly incur the fees for subsequent compliance services to
check that the offence is rectified.
• There are four levels of compliance:
o Fisheries officer to validate first seeding operation numbers, facilitated by licensee.
o Low scale generic inspections (one Fisheries officer) funded through general government
operations.
o High scale compliance inspections where continued non-compliance is required for
rectification and validation requiring a significant inspectorial force to be funded through
fee for service direct to the licensee.
o Suspected breaches investigated. There will be an attempt to recover costs where there is a
conviction.
9. Audit Process
• An annual internal audit by Fisheries to assess effectiveness of the Plan with a report to NTPIAC.
• Periodic review of this Compliance Plan by Fisheries and industry (via NT PIAC) to ensure
effectiveness and suitability.
• External review by third party to assess auditable processes and outcomes every 5 years. An
accredited auditor will be contracted to provide this service.
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 18 of 27
Attachment 1
Environmental Management Plan (EMP) Content
EMP content should follow the ‘GUIDELINE FOR THE PREPARATION OF AN ENVIRONMENTAL
MANAGEMENT PLAN’ (NT EPA 2015;
https://ntepa.nt.gov.au/__data/assets/pdf_file/0006/284883/guideline_prep_emp.pdf
).
Existing EMPs are valid but future revisions should align with the EPA guidance for EMP. A complete EMP
covers areas outside of Fisheries jurisdiction and/or expertise.
However, some pearl industry specific items are included below. The EMP content below is included for
further guidance as it includes areas specific to the pearl industry.
Executive Summary
Include a brief summary of document – Company name, ABN, contact details, experience of
company/personnel, objective of company, brief description of environment, description of facility and
summary of commitments to address risk identified in this EMP (can be in table form) – this is from the risk
assessment in section 5)
1. Introduction
1.1. Scope
• What the EMP covers e.g. operations associated with the land-based farm lease site, Operations
associated with the marine lease sites, Company vessel movements in, between and adjacent to
marine leases.
1.2. Company Environmental Policy
Explain the company policy and what the company is committed to – examples below:
• To comply with applicable Commonwealth and State Government’s statutory requirements and
current industry standards for the protection of the environment
• In the absence of specific regulatory prescription of guidelines, adopt the best practicable means
available to minimise and ameliorate adverse environmental impacts
• Consult with appropriate government agencies and other parties so as to meet all relevant
statutory requirements and to facilitate effective liaison with governments and non-government
bodies
• Set environmental objectives and targets
• Assess the local and regional environment and recognise areas of high environmental sensitivity in
which you operate and adopt management strategies to protect such areas from environmental
degradation
• Ensure that risks to the environment are reduced to as low as reasonably practicable
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 19 of 27
2. Description of the facility
2.1. Location
• How do staff, goods, supplies (and wastes) get to and from the site? Include details about where
the farm is located – include a Google Earth map with labels.
2.2. Description of Land Leases
• What infrastructure is present i.e. buildings, power supply, amenities, include a site map, size of
area;
• Brief summary of topography, landform, surface hydrology, flora and fauna habitats;
• Extent of native vegetation and how much has been cleared;
• Include permits/ licences agreements to use site.
2.3. Description of Sea Leases
• What infrastructure is present.
• Brief summary of flora and fauna habitats.
• Include lease areas and coordinates with a location map, permits / licences etc.
3. Farm Production Process
3.1. Farming Technique
Type of farming technique to be used:
• Hatchery shell grown out on bottom farm.
• Move to longlines for culture.
• Number of oyster per panel/long line.
• Shell cleaning methods.
3.2. Stocking
• What is you stock and where are you getting it from? E.g. WA sourced Broodstock or on site
hatchery shell.
4. Staffing
• Number of staff on site.
• Type of roster system e.g. 4 weeks on 2 weeks off
• Types of staff employed e.g. mechanics, cooks, divers, skippers, shell cleaners, hatchery technicians
and
• The qualifications required for each type of staff e.g. maritime tickets to operate vessels
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 20 of 27
4.1. Employee training
• What type of training is required and provided? E.g. staff inductions, on the job training, general
farm meetings etc.
4.2. Visitor and contractor obligation
• Information provided to visitors regarding EMP compliance.
4.3. Incident reporting and investigation
• How is this reported and managed?
5. Potential and Anticipated Impacts and Proposed Safeguards
This section is about identifying possible impacts and the risk of this occurring and mitigations measures
employed.
Use this risk ranking tool to evaluation each situation separately.
Table 1 – Likelihood of risk happening:
The realistic change of the risk occurring, taking into consideration existing mitigation measures.
Likelihood
Score
Definition
Remote 1 Never heard of, but not impossible
Rare 2 May occur in exceptional occasions
Unlikely 3 Uncommon but has been known to occur
Possible 4 Some evidence suggests this may be possible to occur
Occasional 5 May occur
Likely 6 It is expected to occur
Table 2 – Consequence if the risk occurs:
The realistic worst case outcome that could occur.
Regulatory compliance outcomes, profitability, OH&S and environmental aspects should also be
considered in determining this value.
Consequence Score Definition
Negligible 1 Very insignificant impact. Unlikely to be measurable
Minor 2 Possibly detectable but minimal impact to structure/ function
Moderate 3
Maximum acceptable level of impact- recovery measured in month or years.
Possible legislative breach with warning or small financial penalty.
Severe 4
Will result in wider and longer term impacts- recovery measured in years.
Possible legislative breach with financial penalties applicable
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 21 of 27
Consequence Score Definition
Major 5
Very serious impacts with relatively long time frame likely to be needed to
restore to an acceptable level- recovering in years to decades. Possible
legislative breach with serious financial penalties applicable
Catastrophic 6
Widespread and permanent/ irreversible damage or loss will occur- unlikely
to ever be fixed. Possible serious legislative breach with extensive financial
penalties applicable.
Table 2C Risk Ranking Score: Risk ranking = likelihood x consequence
Consequences
1 2 3 4 5 6
Likelihood Negligible Minor Moderate Severe Major Catastrophic
6 Likely 6 12 18 24 30 36
5 Occasional 5 10 15 20 25 30
4 Possible 4 8 12 16 20 24
3 Unlikely 3 6 9 12 15 18
2 Rare 2 4 6 8 10 12
1 Remote 1 2 3 4 5 6
Table 3 – Risk Classification: used to classify the risk using the value determined using the PPA Risk
Ranking Tool Part 2C.
Score
Description/Act
H
Greater than and
equal to 20
High Risk
Immediate action is required. For example, staff are required to advise
the CEO to call a special meeting to discuss immediate action. E.g. clean
up oil spill.
M
Greater than and
equal to 8 but less
than 19
Moderate Risk
Risks are acceptable as long as risk reduction measures are applied to
reduce the risks to as low as reasonably possible
L Less than 8
Low Risk
Risks are broadly acceptable and are managed by current procedures
5.1. Risks
5.1.1. Fuel, Oil and Chemical Handling
Fuel Storage and Handling – describe storage and handling procedures for each fuel type under their headings
Diesel
• Mitigation measures
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 22 of 27
• Monitoring
• Risk
Example of risk classification: Although the likelihood of a large scale diesel spillage is rare, the consequence to
the environment and the company is major. The risk posed by this potential impact is moderate. Small scale spills
during general fuel transfers however, are expected to occur. The consequence of these spillages is negligible, the
risk posed by this impact is therefore low.
ULP
• Mitigation measures
• Monitoring
• Risk
Oil storage and handling
• Mitigation measures
• Monitoring
• Risk
Chemical handling and storage
• Mitigation measures
• Monitoring
• Risk (for each hazardous chemical there should be a safety data sheet)
5.1.2. Waste Management
Operational and domestic waste
• Mitigation measures
• Monitoring
• Risk
Food scraps
• Mitigation measures
• Monitoring
• Risk
Incineration
• Mitigation measures
• Monitoring
• Risk
Sewage and grey water disposal
• Mitigation measures
• Monitoring
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 23 of 27
• Risk
Hatchery discharge water
• Mitigation measures
• Monitoring
• Risk
5.1.3. Disease Detection and Mitigation Measures
Note: Each farm should aim to have a biosecurity plan in place that at least complies with ‘The Aquaculture Farm
Biosecurity Plan: generic guidelines and template’ produced by the Sub-Committee on Aquatic Animal Health
2017.’
Hygiene
• Mitigation measures
• Monitoring
• Risk
Translocation of oysters
• Mitigation measures
• Monitoring
• Risk
Disease detection
• Mitigation measures
• Monitoring
• Risk
Disease contingency plan
• Mitigation measures
• Monitoring
• Risk
5.1.4. Biodiversity and Protected Sites
Impact of longline and mooring equipment anchoring on the benthic zone
• Mitigation measures
• Monitoring
• Risk
Boat strikes
• Mitigation measures
• Monitoring
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 24 of 27
• Risk
Impact on rookeries and turtle nesting sites
• Mitigation measures
• Monitoring
• Risk
Entanglements
• Mitigation measures
• Monitoring
• Risk
Attraction of flora and fauna to pearling infrastructure
• Mitigation measures
• Monitoring
• Risk
Lighting
• Mitigation measures
• Monitoring
• Risk
Impacts of pearl cultivation on water quality and primary production
• Mitigation measures
• Monitoring
• Risk
The introduction of P. maxima into the surrounding environment
• Mitigation measures
• Monitoring
• Risk
Sacred and historic sites
• Mitigation measures
• Monitoring
• Risk
5.1.5. Marine Pest Management
Strategies and procedures to minimise risk
• Mitigation measures
• Monitoring
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 25 of 27
• Risk
5.1.6. Base Camps
Fire management
• Mitigation measures
• Monitoring
• Risk
Weed and pest management
• Mitigation measures
• Monitoring
• Risk
Erosion, dust and sediment control
• Mitigation measures
• Monitoring
• Risk
Noise
• Mitigation measures
• Monitoring
• Risk
Interaction of staff with site flora and fauna
• Mitigation measures
• Monitoring
• Risk
5.1.7. Social values
Scenic amenity
• Mitigation measures
• Monitoring
• Risk
Shore camps
• Mitigation measures
• Monitoring
• Risk
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 26 of 27
Longlines
• Mitigation measures
• Monitoring
• Risk
Navigation
• Mitigation measures
• Monitoring
• Risk
5.1.8. Decommissioning and rehabilitation
• Mitigation measures
• Monitoring
• Risk
6. Auditing and Management Review
Internal audits – when and by whom
External audits – when and by whom
7. Attachments
1. Summary of environmental risks associated with pearling operations at “xx farm”
Associated
activity
Hazard Risk
Mitigation
measure
Risk
ranking
Monitoring Comments
Text
reference
2. Corrective Action Register (C.A.R.)
3. Procedures for the Transfer of Bulk Diesel (you should have this written down)
4. PPA Environmental Code of Conduct
5. Pearling Industry Whale Management Policy and Procedures
Northern Territory Pearl Oyster Industry Compliance Plan
Department of
INDUSTRY, TOURISM AND TRADE
19 June 2024
| Version 8.0
Page 27 of 27
8. Suggested Reference Material
Benzie, J. A. and Smith, C. 2002. Pearl Oyster Genetics. FRDC Project 97/344.
Department of Health and Community 1996, ‘Code of Practice for Small On-site Sewage and Sullage
Treatment Systems and the Disposal and Reuse of Sewage Effluent’, Department of Health and
Community, Darwin.
Enzer Marine Environmental Consulting, 1998, ‘The Environmental Impact of Pearling (Pinctada maxima) in
Western Australia’ Report Prepared for the Pearl Producers Australia, Broome.
Environmental Risk and Impact Assessment of the Pearling Industry. IRC Environment, 2002.
Gifford, S., and Dunstan, H. 2004. Update on Monitoring for Impacts from Biodeposition from Pearl
Cultivation in Port Stephens.
Gifford, S., Dunstan, R., O’Connor, W., Roberts, T., and Toia, R. 2004. ‘Pearl Aquaculture- profitable
environmental remediation?’ The Science of the Total Environment, vol 319:27-37
Johnson, M. S. and Joll, L. M. 1993. Genetic subdivision of the pearl oyster Pinctada maxima (Jameson
1901) (Mollusca: Pteriidae) in northern Australia. Aust. J. Mar. Freshw. Res. 44:519-526.
Tuxbury, S and Salmon, M. 2005. ‘Competitive interaction between artificial lighting and natural cues
during seafinding by hatchling marine turtles’. Biological Conservation, vol.121:311-316
Standards Australia 2004, The storage and handling of flammable and combustible liquids, AS1940,
Standards Australia, Sydney
Workshop Report: 2004 Environmental Risk Assessment of the Pearling Industry. PPA, 2004
