Earth Resources Regulation Compliance Strategy · Development, Jobs, Transport and Resources (DEDJTR). Earth Resources Regulations compliance strategy sits within the departments

Earth Resources Regulation Compliance Strategy

2018 - 2020

Earth Resources Regulation Compliance Strategy 2018 - 2020 1 of 33

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CONTENTS

Foreword .............................................................................................................................................. 3

1 Purpose ........................................................................................................................................ 4

1.1 What does Earth Resources Regulation regulate?....................................................................... 4

2 Earth Resources Regulation’s operating context ......................................................................... 6

2.1 DEDJTR’s compliance framework and policy ............................................................................... 6

2.2 Compliance objectives and principles .......................................................................................... 7

2.3 Ministerial Statement of Expectations ......................................................................................... 8

2.4 Community Expectations ............................................................................................................. 8

2.4.1 Role of community feedback and complaints .................................................................... 8

2.5 Working with other agencies and regulators ............................................................................... 8

2.5.1 Joint agency responsibilities ............................................................................................... 8

3 Earth Resources Regulation’s risk-based approach to compliance and enforcement .............. 10

3.1 How do we determine where we focus our effort? .................................................................. 10

3.1.1 As Low as Reasonably Practicable (ALARP) ....................................................................... 10

3.1.2 Risk assessment ................................................................................................................ 11

3.1.3 Critical Control Management ............................................................................................ 11

3.2 What have we learned from recent compliance activities? ...................................................... 11

3.3 Compliance Focus for 2018 – 2020 ............................................................................................ 12

3.3.1 Priority risks for 2018 – 2020 ............................................................................................ 13

3.3.2 Industry sector risks .......................................................................................................... 15

3.3.3 Site specific risks ............................................................................................................... 15

3.3.4 Annual review ................................................................................................................... 15

4 Earth Resources Regulation’s compliance processes, tools and activities ................................ 16

4.1 Compliance processes ................................................................................................................ 16

4.1.1 Approvals .......................................................................................................................... 17

4.1.2 Rehabilitation Bonds ......................................................................................................... 17

4.1.3 Administrative compliance monitoring ............................................................................ 17

4.1.4 Inspection and audits ........................................................................................................ 18

4.2 Leading compliance and innovation .......................................................................................... 19

4.3 Compliance tools ........................................................................................................................ 19

4.3.1 Enforcement decision making ........................................................................................... 21

4.3.2 Transparent decision making ............................................................................................ 22

4.3.3 Review of decision making ................................................................................................ 22

__________________________________________________________________________________Earth Resources Regulation Compliance Strategy 2018 – 2020 p2 of 33

5 Supporting compliance .............................................................................................................. 23

5.1 How does Earth Resources Regulation raise industry and community awareness about compliance requirements? ................................................................................................................. 23

5.2 What will Earth Resources Regulation do to support compliance? ........................................... 23

6 How will Earth Resources Regulation measure the effectiveness of its Compliance Strategy? 24

6.1 Governance ................................................................................................................................ 24

6.2 Compliance reporting and monitoring performance ................................................................. 24

Glossary .............................................................................................................................................. 26

References .......................................................................................................................................... 27

7 Appendices ................................................................................................................................. 28

Appendix A: Earth Resources Regulation Risk Management Framework .......................................... 29

Appendix B: Summary of 2016-17 reporting and inspections ........................................................... 31

Public reports ................................................................................................................................. 31

Industry reports ............................................................................................................................. 31

2016-17 Audits and inspections .................................................................................................... 32

TABLES Table 1: Summary of Acts and Regulations ............................................................................................ 4

Table 2: DEDJTR’s compliance principles ................................................................................................ 7

Table 3: Summary of Earth Resources Regulation regulated sites ...................................................... 11

Table 4: Key focus areas in each industry sector .................................................................................. 15

FIGURES

Figure 1: Examples of purposes and objectives in legislation................................................................. 5

Figure 2: DEDJTR compliance framework and policy .............................................................................. 6

Figure 3: The concept of as low as reasonably practicable (ALARP) (Talbot, 2012) ............................. 11

Figure 4: Relationship between performance, compliance goal and frequency of monitoring ........... 18

Figure 5: Factors for delivery of improved industry performance ....................................................... 19

Figure 6: Compliance tools.................................................................................................................... 20

Figure 7: Level of compliance behaviour and related intervention strategy ........................................ 21

Figure 8: AELERT Modern Regulator Improvement Tool Summary...................................................... 25


Foreword

Earth Resources Regulation regulates Victoria’s mining, quarrying and petroleum extraction sectors – our role includes licensing, work plan approvals, risk management, enforcing compliance and stakeholder engagement. We are committed to being an accountable and transparent regulator in all aspects of our work.

To be a responsive and effective regulator, we work with industry, the community and other government agencies to:

• provide timely, accurate and accessible information to stakeholders

• build community and business confidence.

Earth Resources Regulation’s vision is one where there is confidence in the regulator’s role, industry performance and compliance with conditions.

We aim for industry, local communities and other government agencies to better understand what we do and why. Much of our focus over the past year has been on continuing our journey as a contemporary regulator and implementing a risk based approach to regulation; particularly through our approvals processes.

This compliance strategy outlines how Earth Resources Regulation will encourage, monitor and enforce regulatory compliance of Victorian earth resource businesses for 2018 – 2020. It describes how we will promote a culture of anticipating and preventing incidents, as well as dealing with risk and non-compliance. We take an evidence-based approach to compliance, where compliance action is certain, predictable and consistent. We also continue to increase communication around our compliance expectations.

Earth Resources Regulation is committed to ensuring that robust risk assessment informs the choice of compliance activity, and to understanding the effectiveness of those activities on reducing overall risks of non-compliance. This strategy identifies eight priority risks for 2018-20: community impacts, fire, stability, rehabilitation and bonds, extraction without permission, water, administrative compliance and security. In addition to these priority risks, we will also focus on the key issues identified for each of the industry sectors, as well as specific site-related risks.

Risk prevention and management is not just our responsibility. We expect industry to take a similar approach to reduce non-compliance, prevent impacts on the environment and protect public safety.

In support of this compliance strategy, Earth Resources Regulation will continue to work closely with industry, the community and other government agencies, promoting the benefits of a strong social licence to operate and seeking improved understanding of compliance drivers.

Community input and local knowledge are critical to informing our compliance priorities. We will use the performance data and public feedback collected each year to annually review and improve the effectiveness of the strategy in achieving regulatory outcomes.

Anthony Hurst Executive Director Earth Resources Regulation


1 Purpose

This Compliance Strategy outlines how Earth Resources Regulation will apply its regulatory approach to compliance and enforcement activities over the next three years. The intent of this strategy is to ensure that earth resources activities are performed in a safe and environmentally responsible way by encouraging, monitoring and enforcing compliance with the relevant laws and conditions.

Our compliance approach involves a fit for purpose and targeted combination of:

• Stakeholder engagement

• Information, advice and guidance

• Assessment

• Audits

• Inspections

• Investigation

• Enforcement.

The Compliance Strategy explains the linkages between these activities and how regulatory intelligence is used to improve public safety and environmental outcomes.

1.1 What does Earth Resources Regulation regulate?

Earth Resources Regulation regulates Victoria’s earth resource industries through, and is limited by, the powers authorised by the following Acts and Regulations as summarised in Table 1.

Table 1: Summary of Acts and Regulations

Legislation Supporting Regulations

Mineral Resources (Sustainable Development) Act (MRSDA) 1990

Mineral Resources (Sustainable Development) (Extractive Industries) Regulations 2010

Mineral Resources (Sustainable Development) (Mineral Industries) Regulations 2013

Petroleum Act 1998 Petroleum Regulations 2011

Offshore Petroleum and Greenhouse Gas Storage Act 2010

Offshore Petroleum and Greenhouse Gas Storage Regulations 2011

Geothermal Energy Resources Act 2005 Geothermal Energy Resources Regulations 2006

Greenhouse Gas Geological Sequestration Act 2008

Greenhouse Gas Geological Sequestration Regulations 2009

Mines (Aluminium Agreement) Act 1961

Underseas Mineral Resources Act 1963

Extractive Industries (Lysterfield) Act 1986

These Acts focus on minimising environmental and public safety impacts. An Act’s objectives influence Earth Resources Regulation’s consideration of both primary and secondary approvals.

The meaning and intent of an Act’s purpose and objectives are embedded in our systems and processes: in authorised officer training and development, standardised primary and secondary assessment procedures, delegated responsibilities, and internal reviews. Figure 1 is an excerpt of the purpose and objectives statements from two of the key pieces of legislation that we administer and enforce.


Mineral Resources (Sustainable Development) Act 1990

The purpose of the MRSD Act (section 1) is to encourage mineral exploration and economically viable mining and extractive industries which make the best use of and extract the value from resources in a way that is compatible with the economic, social and environmental objectives of the state.

The objectives of the MRSD Act (section 2) establish a legal framework aimed at ensuring:

• risks posed to the environment, to members of the public, or to land, property or infrastructure by work being done under a licence are identified and are eliminated or minimised as far as reasonably practicable

• land which has been mined or from which stone has been extracted or removed is rehabilitated

• conditions in licences and approvals are enforced.

Petroleum Act 1998

The purpose of the Petroleum Act (section 1) is to regulate petroleum exploration and production in Victoria.

The objectives of the Petroleum Act (section 3) include:

• that the impacts on individuals, public safety, public amenity and the environment as a result of petroleum activities will be minimised as far as is practicable

• that land affected by petroleum activities is rehabilitated

Figure 1: Purposes and objectives in key legislation


2 Earth Resources Regulation’s operating context

The context in which Earth Resources Regulation operates incorporates a range of government policy and community drivers. This includes the following:

• Departmental compliance policy and systems

• Ministerial Statement of Expectations

• Victorian community expectations

• Other government agencies and regulators.

These are described in further details in the following sections.

2.1 DEDJTR’s compliance framework and policy

Earth Resources Regulation is one of several regulators within of the Department of Economic Development, Jobs, Transport and Resources (DEDJTR). Earth Resources Regulation’s compliance strategy sits within the department’s compliance framework and policy. The department has a whole-of-department policy which requires a compliance strategy to include regular performance measuring and reporting to demonstrate the effectiveness of compliance activities over time. Public reporting of the data will allow stakeholders to monitor progress. The DEDJTR compliance framework and policy is illustrated in Figure 2.

Figure 2: DEDJTR compliance framework and policy


2.2 Compliance objectives and principles

DEDJTR’s compliance activities aim to deliver beneficial environmental, social and economic outcomes (competitiveness, productivity growth, sustainability, public safety and liveability, tourism and regional development) for all Victorians.

More specifically, the objectives of Earth Resources Regulation’s compliance activities are to:

• identify and manage risks to the environment and public safety

• meet Victorian community expectations, accept a diversity of stakeholder views and feedback and develop a culture of high performance of industry

• ensure land is returned to a safe and stable form for future uses after earth resource development has ceased, through appropriate and timely rehabilitation (including progressive rehabilitation).

Earth Resources Regulation will deliver a timely and consistent stakeholder experience and undertake leading practice regulation by upholding DEDJTR’s compliance commitments and principles (refer to Table 2: DEDJTR’s compliance principles).

To measure its success in embedding these principles in its work, we will seek feedback from stakeholders about their experience of dealing with Earth Resources Regulation.

Table 2: DEDJTR’s compliance principles

Principle DEDJTR’s commitment What stakeholders can expect

Helpful DEDJTR will provide the authority holder and the community with appropriate and timely information, advice and assistance to help them understand and meet their compliance obligations.

I can expect to receive easily accessible, appropriate and timely information, advice and assistance to help me understand and meet my compliance obligations.

Respectful DEDJTR’s compliance actions will be professionally and respectfully conducted at all times.

I can expect to be professionally, equitably and respectfully treated by DEDJTR compliance staff.

Impartial DEDJTR will exercise powers and make decisions without real or perceived influences or conflicts of interest and ensure the integrity and objectivity of all regulatory actions.

I can expect to receive fair and honest treatment that is based on the law and consideration of all relevant facts and criteria.

Proportionate DEDJTR’s compliance actions will be in proportion to the problem they are intended to address based on an assessment of risk, impact and culpability.

I can expect my compliance experience to match the relative risk, impact and intent of my behaviour.

Predictable DEDJTR will apply its regulatory approach predictably for regulated parties in equivalent circumstances.

I can expect to be able to anticipate my compliance experience, to be notified of changes, and to be treated the same as any other regulated individual or organisation in equivalent circumstances.

Transparent DEDJTR will be open about the way in which it regulates the authority holder and the community, by clearly explaining its compliance decisions and enabling the decisions to be open to public scrutiny.

I can expect to easily understand the way in which DEDJTR regulates both the authority holder and engages with the community, and to be able to access Earth Resource Regulation’s performance reporting.


2.3 Ministerial Statement of Expectations

Ministerial Statements of Expectation aim to improve regulatory governance and performance. They set out the Victorian Government’s priorities and objectives. This compliance strategy aligns with the Ministerial Statement of Expectations for the regulation of the Earth Resources.

Earth Resources Regulation produces an action plan for meeting the Statement of Expectations. This action plan and the associated Statement of Expectations are available on our website under the “About us” in the “How we work” section.

Earth Resources Regulation reports on its actions and performance against the Statement of Expectations each year.

2.4 Community Expectations

Extracting earth resources means mining ore, quarrying sand and stone, and exploring and drilling for oil and gas. This type of development affects the land where it occurs, and can affect surrounding communities and their environs.

The concerns and observations of local communities, earth resources businesses and environment groups are a key input to compliance programs. For this reason, engaging with the community is a priority for Earth Resources Regulation, and it is represented in our key performance indicators. It is also a requirement for the industries that we regulate.

2.4.1 Role of community feedback and complaints

Earth Resources Regulation has clear process for responding to complaints about compliance issues. To feedback on Earth Resources Regulation and authority holders, our website provides information and links in the “About us” - “Feedback and complaints” section.

We value community feedback and information about emerging issues and impacts and will use any feedback to inform officer capacity building, compliance activities and the ongoing risk assessment of sites and issues. We will ensure community feedback is considered and assessed as part of its application into compliance-related decision making and its continual improvement cycle.

2.5 Working with other agencies and regulators

Earth Resources Regulation has several Memoranda of Understanding and Agreements with other agencies to ensure a whole of government approach to the regulation of Victoria’s earth resources. These working relationships aim to facilitate decision making, provide authority holders with clear regulatory requirements, assure transparency and support robust engagement with the community.

This joint regulatory landscape includes Earth Resources Regulation, Environment Protection Authority (EPA) Victoria, the Department of Environment, Land Water and Planning (DELWP), Parks Victoria (ParksVic), National Offshore Petroleum Safety and Environmental Management Authority (NOPSEMA) and WorkSafe Victoria. Other agencies we work with include: Catchment Management Authorities (CMAs), Country Fire Authority (CFA), and Emergency Management Victoria (EMV).

2.5.1 Joint agency responsibilities

• EPA Victoria is responsible for regulating offsite discharges of water from earth resources sites, and for advising on and monitoring air and noise discharges. The EPA sets the discharge standards that we apply and which industry must comply with.

http://earthresources.vic.gov.au/earth-resources-regulation/Contact-us/feedback


• DELWP is responsible for land use planning and environmental assessment in Victoria. It also manages the regulatory framework and provides advice on planning policy, strategic planning, urban design, Crown land management, native vegetation, and water resources.

• ParksVic works with Earth Resources Regulation for compliance of mining, quarrying and fossicking on Crown Land and in Victoria’s parks.

• CMAs are provided with regional waterway, floodplain, drainage and environmental water reserve management powers under the Water Act 1989 and they work with us for protection of waterways, floodplains, drainage and environmental water.

• NOPSEMA regulates safety and well integrity in state waters off Victoria for the offshore petroleum and greenhouse gas industries.

• CFA plays a key role in working with Earth Resources Regulation on the inspection of coal mines to assess fire preparedness, and is working with us to describe roles and responsibilities around fires occurring in earth resource operations more generally.

• EMV leads and coordinates emergency management in Victoria through emergency preparedness, response and recovery across Victoria's emergency management sector in conjunction with communities, government, agencies and business.

• WorkSafe Victoria’s regulatory role includes preventing workplace injuries, illnesses and fatalities by monitoring and enforcing compliance with Victoria’s occupational health and safety laws and regulations. WorkSafe and Earth Resources Regulation work together in relation to mine stability; mine fire prevention, mitigation and suppression; explosives, including blasting; and well integrity.


3 Earth Resources Regulation’s risk-based approach to compliance and enforcement

Earth Resources Regulation takes a risk-based approach to prioritising compliance activities, applying the following regulatory principles:

• risk-based regulation

• application of environmental standards

• evidence based decision making.

In accordance with our legislative requirements, our compliance and enforcement activities will be targeted at sites or activities that present the greatest risk to public health, safety and the environment. Section 3.3 provides further details on the risk types and activities.

3.1 How do we determine where we focus our effort?

To implement a risk-based approach in compliance, we have put in place a risk management framework that is consistent with DEDJTR’s risk management policy as summarised in section 2.1. Refer to Appendix A for an overview of our risk management framework.

A risk-based approach will help:

• us use our resources more efficiently

• stakeholders understand the rationale behind compliance activities and what process is followed when there is a breach of regulations

• reduce the overall burden of compliance by minimising regulatory intervention where risks are considered to be relatively low.

A risk-based approach also means we use information and evidence available to identify priority risks relating to its compliance activities. Identifying the priority risks enables our officers to focus the most important risks during an inspection or audit. Earth Resources Regulation officers will adjust their focus depending on the priority of a risk, which may change due to changes within the operating environment or when our understanding of the risk improves through better information and evidence gathered during compliance activities.

Earth Resources Regulation expects authority holders to foster a culture of incident prevention on their sites. To help authority holders manage risk, we provide advice, publishes guidelines and can assist authority holders to find appropriate and applicable standards that inform the management choices made on sites.

Risks of impacts to public safety, environment, land, property and infrastructure must be eliminated or minimised as far as reasonably practicable and must meet relevant industry standards. We encourage each authority holder to use controls that reduce risk ‘as far or as low as reasonably practical’ as illustrated in Figure 3.

3.1.1 As Low as Reasonably Practicable (ALARP)

Earth Resources Regulation’s risk management framework considers the level of risk mitigation that is reasonably practicable. The ‘as low as reasonably practicable’ (ALARP) test, is a common way of determining risk treatments. While a variety of risk treatments can be used to manage a risk and to meet the compliance requirements, our focus is on ensuring the outcome meets the ALARP test. Figure 3 illustrates the ALARP concept where risks are treated to reduce their likelihood and/or


consequence of occurrence to the point at which they are as low as possible, without costs being disproportionately high in comparison.

Figure 3: The concept of as low as reasonably practicable (ALARP) (Talbot, 2012)

3.1.2 Risk assessment

Any risk assessment process should consider both inherent and residual risks:

• Inherent risk is the level of risk that exists before actions are taken to manage the risk’s impact or likelihood (i.e. it represents the amount of risk that exists in the absence of controls)

• Residual risk is the remaining level of risk following the development and implementation of the control measure (i.e. the amount of risk that remains after controls are accounted for).

The controls reduce the risk profile to as low as reasonably practicable.

As part of its risk based approach, we expect that any sites assessed as having high or significant risks are effectively controlled. Even when likelihood is low, noting that likelihood of infrequent events is difficult to accurately estimate, sites must have a continuously effective risk management plan in place.

3.1.3 Critical Control Management

Control of significant risks can be achieved through critical control management which is a systematic approach that identifies critical controls. A critical control is a control that:

• in its absence or failure would significantly increase the risk despite the existence of other controls

• prevents or mitigates more than one risk.

Authority holders must ensure all appropriate critical controls are in place and are continuously effective. Earth Resources Regulation audits the adequacy of the controls.

3.2 What have we learned from recent compliance activities?

As at August 2017, we regulate 1587 sites, as summarised in Table 3.

Table 3: Summary of Earth Resources Regulation regulated sites


Type of site Number of sites

Extractive work authorities (Quarry) 889

Mining Licence 161

Exploration and prospecting licenses 249

Petroleum and gas licenses 56

Previously licensed sites with a remaining rehabilitation bond 232

To assist in focussing our compliance effort, the following is considered:

• The Earth Resources Regulation Compliance Strategy 2016-17 (refer to our website)

• public reports (refer to Glossary and also Appendix B for further details)

• industry reports (refer to Glossary and also Appendix B for further details)

• audits and inspections (refer Appendix B for further details).

Under the relevant Acts, incidents include those with the potential to impact on public safety, the environment or infrastructure. Ensuring we are notified immediately will enable greater transparency for the community when incidents do occur. Reports must be made in the case of incidents or events that may cause concern to a member of the public or which have the potential, however likely, to develop into a significant or major incident. These include:

• fire or smoke originating within the tenement boundary

• ground movement beyond acceptable parameters

• release of any substance beyond the tenement boundary

• failure of any tailings storage facility control.

For further details on reportable events, please see the Guidance Note on Reportable Events for Mineral and Extractive Operations which can be found on our website.

The Compliance Strategy 2016-17 identified compliance focus areas and identified the top four priorities: community impacts (noise, dust, blasting), fire, stability, and rehabilitation.

These focus areas remain a priority, however following analysis of data from public and industry reports and Earth Resources Regulation audits and inspections, additional priorities have been identified. These are described in section 3.3.

3.3 Compliance Focus for 2018 – 2020

Consistent with our risk based approach, we prioritise our compliance effort based on its knowledge of risks at different levels:

• Priority risks – risks based on all tenements granted and the circumstances of the related activities. Earth Resources Regulation also uses community feedback, public reports and industry reports to establish a priority set of risks. The priority risks are summarised in section 3.3.1.

• Industry sector risks - A range of specific risks arise within each key earth resources sector; some risks are unique or more relevant to a particular sector. Industry sector risks are summarised in section 3.3.2.

• Site specific risks - Any risks specific to a site are expected to be identified as part of the work plan. Our inspectors also track site-specific risks through their regular compliance activities. Site specific risks are summarised in section 3.3.3.


3.3.1 Priority risks for 2018 – 2020

The compliance focus areas that we regulate to protect public safety, environment, land, property and infrastructure are summarised below.

a) Community impacts

Resource developments have the potential to pose environmental and public health impacts to the community. With each approval, we regulate authority holders’ management of emissions such as dust and noise, light, and activities such as blasting (e.g. vibration issues) to maintain the risk profile as low as reasonably practicable.

When this does not happen, communities are more likely to lodge complaints, and community dissatisfaction may spread to other businesses in the same industry sector. To reduce this risk, we will address offsite emissions as part of its compliance activities.

b) Fire

Victoria is a fire-prone state because of its geography and climate. Fires can present a risk to public safety, environment and infrastructure. Coal mines are a key focus for compliance in terms of risk of fire, which can result from plant and equipment fires as well as fire ignition from the landscape. This focus area includes implementing the recommendations of the Hazelwood Mine Fire Inquiry.

Fire risk in quarries, other mines and petroleum sites is also assessed through compliance activities.

c) Stability

Walls and batters (Slopes)

As mine and quarries deepen over time, the risk and consequences of slope failures increase.

Most slope failures can be prevented by systematically considering geotechnical risks during the whole life of a mining/quarrying operation and following diligent geotechnical practices.

Tailings and slimes dams

Erosion of tailings storage facility and slimes dam (collectively called tailings dams) walls, seepage from the base and overtopping during intense rain are three risks that have been identified during recent audits. Internationally, significant tailings dam failures have caused the loss of lives and property and environmental damage.

Risk management of tailings dams involves identifying risks, treating the risks by designing and implementing control or mitigation measures, and monitoring the effectiveness of these treatments.

Dumps and stockpiles

The planning and design of dumps and stockpiles needs to consider material types, topography and climate. Monitoring dumps and stockpiles is required to confirm that their performance is consistent with design expectations and needs to be cognisant of potential failure mechanisms.

Dump and stockpile failures are usually preceded by warning signs such as increased rates of deformation, cracking and/or settlement, heaving of the foundation, bulging of the face/toe, seepage on the face, and increased pore pressures. Many of these warning signs can be observed visually if routine visual inspections are undertaken.

d) Rehabilitation and bonds

Rehabilitation is an integral part of a site’s ongoing operations. Rehabilitation must include all aspects of an operation, including exploration, appraisal and production, as well as tailings dams, buildings and equipment, satellite locations and additional work areas that may be remote from the main activity centre. Rehabilitation is to be undertaken in accordance with the approved rehabilitation plan.


To ensure rehabilitation happens in an appropriate manner, a financial assurance (bond) is required to be submitted prior to any commencement of works. This bond ensures that the Victorian Government can undertake rehabilitation if the authority holder is unable to meet their rehabilitation obligations. The bond reflects the rehabilitation liability assessment for the site and the cost of rehabilitation works in the approved rehabilitation plan.

Bonds are calculated based on the activity, environmental sensitivities, the location specific details including the area to be disturbed, and the proposed end use. The bond is retained by the government and is returned once the rehabilitation has been assessed as being completed.

e) Extraction without permission

Unauthorised extraction applies to tenements that over-extract as well as sites with no permission to extract. Excavation without permission may result in risks to public safety, unauthorised vegetation removal, or other adverse environmental consequences, loss of cultural heritage, risk to infrastructure and impacts on the land itself.

Undertaking earth resource exploration, appraisal or extraction without appropriate approvals and authorisations is illegal and will be targeted as a priority enforcement activity. Should we become aware of an allegation of unauthorised extractive activities being carried out on any land, we will undertake a detailed investigation in order to determine if there has been a breach of the Act.

Landholders should be aware that they are not permitted to mine or excavate and extract stone from their property in contravention of the MRSDA and that these offences carry substantial penalties. Authority holders must operate within the extraction limits (areas and depths) permitted in their authority.

f) Water

Inappropriate management of water on earth resources sites can lead to poor quality discharge, erosion, dewatering, seepage from tailings dams, or stormwater run-off.

Quarrying on floodplains can increase the landscape's vulnerability to significant change during flood events. Sometimes, these changes can lead to modification of river and stream alignments through pit capture, erosion of stream beds, banks and the floodplain, potentially resulting in damage to public infrastructure as well as the environment. Construction of flood protection measures (e.g. levees) may also cause a decrease in the floodplain storage capacity and increase downstream flooding.

Earth Resources Regulation works with the CMAs to identify potential risks to waterways from existing and future proposed quarry operations on floodplains and to develop treatment strategies to protect waterways and quarry assets.

g) Administrative compliance

Administrative compliance is associated with meeting compliance conditions, licence expenditure requirements, statutory returns, rent royalties, and data submission obligations (see section 4.1.3 for additional information). Risks for industry resulting from non-compliance include reputational damage or financial penalties.

Further details on obligations of tenement holders can be found in the publication A Guide to Tenement Compliance on our website.

h) Security

Site security non-compliances can result from inadequate fencing and/or signage at sites such as mines or quarries which pose a risk to public safety. To prevent uncontrolled or unauthorised site access requires the implementation of appropriate site management and safety measures.


3.3.2 Industry sector risks

Table 4 outlines the key sector-based risks that will be the focus of our compliance activities.

Table 4: Key focus areas in each industry sector

Sector Key focus areas

Coal Stability. fire, dust, rehabilitation

Gold and other metals Dust, stability, rehabilitation, water*

Rock (hard and soft rock) Blasting, dust, stability, extraction without permission

Sand/clay quarries Stability, dust, water*, extraction without permission

Petroleum extraction Extraction without permission, rehabilitation

Gypsum Vegetation, rehabilitation

Minerals sands Dust, water*, rehabilitation

* Where applicable, for example floodplains or where water quality is an issue.

3.3.3 Site specific risks

In addition to focusing on the risks above, our officers also monitor risks relevant to a site. Not only do risks vary by industry sector, they also differ by site and by operator. In addition to priority risks and industry sector risks, we use results of previous inspections and audits to help it understand a site’s risk profile and prioritise its inspections and audits accordingly.

The annual compliance plan for Earth Resources Regulation commits to an inspection and audit schedule that means that one third of sites will be visited each year. Every site will be visited within three years, and key sites will be visited on multiple occasions each year. Officers will complete this work as part of the compliance maintenance activities that are core business for Earth Resources Regulation.

3.3.4 Annual review

Priorities will be reviewed annually using new information and data as it becomes available. Any changes will be communicated to the industry, the community and co-regulators.


4 Earth Resources Regulation’s compliance processes, tools and activities

Compliance is the action taken by authority holders to follow the law. As a regulator Earth Resources Regulation monitors and enforces compliance. When non-compliance is identified, we will respond in accordance with its regulatory principles, in proportion to the risk posed, and with the tools available under relevant legislation.

Enforcement is the action taken by the regulator to compel compliance where it has not been voluntarily achieved. Earth Resources Regulation responds to non-compliance by investigating suspected breaches of the law, and by imposing enforcement remedies and sanctions which may include issuing of notices, and undertaking prosecution through the courts.

In doing so we will consider:

• the cause of non-compliance

• the risk of any impacts (including offsite impacts)

• the effort of the authority holder to prevent the situation.

We recognise the risk being addressed in any compliance decision influences the level of intervention required, and we will consider the behaviour and intent of authority holders.

Through its internal governance framework, Earth Resources Regulation will regularly review the consistency of its decision making (particularly in escalating compliance matters) and its interventions for alignment with the compliance principles and risk assessments.

4.1 Compliance processes

We are committed to undertaking compliance in line with the underpinning principles, obligations and standards. Our compliance actions will be assessed and delivered according to the following:

• the relative seriousness or level of risk of the issue and will therefore be based on an assessment of the impact of the activity and culpability

• in line with the compliance principles and objectives, this will be undertaken with fairness, predictability and transparency.

Compliance requirements mean that there can be multiple touch points between the Regulator and industry throughout the life cycle of an earth resources operation, including:

• Approvals

• Bonds (rehabilitation)

• Implementation

• Monitoring

• Enforcement

• Performance reviews

• Rehabilitation

Although a number of the touch points are outlined below, the focus of this strategy is on the compliance of an operation rather than on approval or variation processes. Nevertheless, the compliance track record is an input into decisions regarding approvals.


4.1.1 Approvals

Consistent with the relevant legislation, Earth Resources Regulation provides approvals, manages a rehabilitation bond regime and undertakes associated compliance. The approach to approvals has two stages:

Primary approval is the granting of a right to extract an earth resource. Such a right takes the form of a tenement, title or authority. Depending on the legislation applicable to the resource, this can also be called a licence, work authority, permit, lease or right.

Except for low impact exploration under the MRSD Act, primary approval does not allow works to be carried out on land or in offshore waters. A secondary approval is required before these activities can take place.

Secondary approval such as a Work Plan or Operations Plan, includes an assessment of legislatively required documentation from the proponent. This documentation must describe how any proposed resource appraisal and extraction will occur (including whether it will occur in stages).

No work may commence until both primary and secondary approvals are in place (except for low impact exploration under the MRSD Act) and a rehabilitation bond is lodged acceptable to the Minister. Authority holders must work in accordance with these approvals.

Licences and Approvals issued may be subject to conditions to ensure that there is no unacceptable risk to public safety or the environment.

These approvals, such as a Work Plan, are key documents in defining compliance requirements for each site.

4.1.2 Rehabilitation Bonds

A rehabilitation bond is an assurance against the liability created when a resource is extracted or ground-disturbing activities are conducted.

In addition to submitting the bond, all authority holders are required to outline rehabilitation commitments. Earth Resources Regulation assesses compliance with those commitments against works done on site during the reinstatement/ rehabilitation process over the life of the resource extraction work.

We also assess the adequacy of bonds during site inspections. Bonds will be reviewed regularly to ensure they cover the full cost of rehabilitation.

4.1.3 Administrative compliance monitoring

Once an approval has been granted both administrative compliance and on-site compliance requirements will be monitored.

Part of the licensing process requires authority holders to supply information which could include:

• reports – annual, technical or operating (for Petroleum)

• expenditure

• milestone performance

• program development.

Earth Resources Regulation conducts regular administrative compliance checks that consider the above items to ensure that there are no major deviations and authority holders do what they say they are going to do. We expect authority holders to comply with administrative requirements by providing information in a timely manner and be proactive and forthcoming in advising Earth Resources Regulation should there be any changes or anomalies.


4.1.4 Inspection and audits

Inspections and audits form a core part of our compliance activities. Currently, the annual compliance plan commits to an inspection and audit schedule that means at least one third of tenement sites will be visited each year. Every site will be visited regularly, and many will be visited on multiple occasions over a year.

Earth Resources Regulation is committed to continuous improvement by strengthening its risk-based approach to inspections and audits. This includes:

• reviewing the assessment criteria to prioritise inspections and audits

• compliance monitoring will be more frequent where site operations represent a higher risk to good environmental outcomes due to substandard or poor performance. Figure 4 shows the relationship between performance, compliance goal and frequency of monitoring

• assessment of compliance with commitments against works done on site during the reinstatement/rehabilitation process over the life of the resource extraction work.

Figure 4: Relationship between performance, compliance goal and frequency of monitoring

Earth Resources Regulation conducts regular and unannounced inspections and audits, which are incorporated into its risk prioritising and trend analysis to identify emerging issues. Risk assessments are also used to schedule regular audits. Prioritisation of audits and inspections to monitor authority holder compliance is targeted by information gathered from a range of sources.

Depending on the risks identified, audits may cover the whole operation or target issues in accordance with our three-level approach: priority risk, sector risk or site-specific risk. Audits are intended to support voluntary compliance by identifying and addressing potential issues before they escalate into serious problems. The audit findings are communicated immediately and during exit meetings between auditors and authority holders, to give the authority holder the best chance to take corrective action and resolve any non-compliance or near misses.

• High risk

• Highly variable impacts

• Poor performance

• Non compliance & enforcement action required

Frequent compliance monitoring

• Moderate risk

• Moderate variablility of impacts

• Acceptable performance - meets standards

Regular compliance monitoring

• Low risk

• Low variability of impacts

• Good performance

Occasional compliance monitoring


4.2 Leading compliance and innovation

Raising the performance of resources industries relies on combination of regulatory standards, community expectations and improved technology and approaches within the industry.

Earth Resources Regulation encourages industry to play a key role in the role of innovation and science and in pushing the boundaries of best practice. It encourages industry to be technical leaders in a proactive manner to meet legislative compliance and community expectations.

The relationship between the role of innovation and science in industry to meet compliance and community expectations is illustrated in Figure 5.

Figure 5: Factors for delivery of improved industry performance

4.3 Compliance tools

Earth Resources Regulation has a range of compliance tools available. Compliance approaches will be fit for purpose and draw on the suite of tools outlined in Figure 6.

In determining which tool or combination of tools are appropriate inspectors will consider:

• the risks to be addressed

• the degree of harm caused or likely to be caused

• the authority holder’s willingness and ability to comply.


Compliance measure Description

Lower level of risk and intervention

Engagement and advice Inspectors respond to requests for advice from industry, members of the public and stakeholder groups. They help affected parties access guidance materials, codes of practice and public authority holder publications. They make all parties aware of their compliance obligations under legislation.

Provision of guidance material Guidance materials are made available and easily accessible on the DEDJTR website. They advise on best practice and outline compliance obligations for authority holders and members of the public.

Inspections and audits We obtain information from authority holders for regulatory compliance purposes through site inspections and audits. Inspections determine whether the authority holder is meeting their compliance obligations and, if not, we decide on appropriate action.

Field entry and audit reports Following inspections and audits, we prepare a report for the authority holder. The report discusses findings and actions that may be required to address any non-compliance. In addition, we record the timeframe for closing out any non-compliances, which inspectors follow up.

Warnings We may issue warning letters or official warnings when the severity of the offence and the culpability of the offender are low.

Amendments, conditions and variations

We may require authority holders to amend existing plans, including by adding or amending conditions on authority to impose greater control (for example, increased monitoring and reporting levels) on authority holders.

Infringements and notices We may issue an infringement or notice when an infringeable offence has allegedly occurred under the relevant legislation. The receiver may have the right of appeal, depending on the applicable legislation.

Directions Earth resources legislation provides Earth Resources Regulation with the power to give directions that require certain actions to occur by a certain time. Significant penalties can apply if those instructions are not followed.

Suspensions and cancellations We can respond to critical non-compliance by suspending or cancelling an Authority. A formal process must be followed when senior officers take this action, and oversight by department legal representatives is employed to support cases.

Prosecutions We may initiate prosecution proceedings when a serious offence has allegedly occurred under Victoria’s earth resources legislation. Inspectors must prepare a brief of evidence to present the case to the Magistrates Court of Victoria. The legislation provides a range of penalties for a person found guilty of an offence. For example, as of 1 July 2017, this is up to a maximum of $158,570 under MRSDA and $95,142 under the Petroleum Act.

Higher level of risk and intervention

Figure 6: Compliance tools


4.3.1 Enforcement decision making

Enforcement of legislative and regulatory requirements is essential to an accountable and robust governance system. Earth Resources Regulation has a range of enforcement options available to deal with non-compliance. Offences under the legislation administered by Earth Resources Regulation carry serious penalties.

Undertaking earth resource exploration, appraisal or extraction without appropriate approvals and authorisations is illegal. We will actively seek out and address illegal operations. This may include prosecution. We encourage public and industry reporting of any suspected illegal activities.

Enforcement options - remedies

Remedies are ways of fixing the identified risk or non-compliance. Remedies are enforcement actions that include notices and directions requiring an offending person or company to appropriately manage the issue. Remedies can be required following an incident or a significant near-miss situation, or to manage and prevent potential impacts.

Enforcement options - sanctions

Sanctions are penalties or infringements. Sanctions include fine and prosecutions. They can be used across the spectrum of non-compliance, from low risk to high risk. The penalty will vary according to that risk and the cost to fix the impact.

Tailoring enforcement action to compliance behaviour

By assessing an authority holder’s behaviour for the level of intent and motivation to comply, we will address issues proactively and with the appropriate response. If we detect non-compliance, and the authority holder’s intent does not indicate a goal of voluntary compliance, then we will decide on the appropriate enforcement action. The decisions about interventions are predictable and follow the direction of flow outlined in Figure 7.

Figure 7: Level of compliance behaviour and related intervention strategy


4.3.2 Transparent decision making

Being clear about cause and effect means that Earth Resources Regulation is improving transparency to regulated industries and the community. Documenting the linkage between behaviour analysis and interventions to decide on a predictable enforcement action (possible sanctions) is part of compliance regulation and contributes to the continual improvement cycle.

Earth Resources Regulation’s authorised officers are trained to understand the responsibility associated with using the powers provided by legislation. They have qualifications in their specialist areas, and exercise their powers in accordance with their appointments as authorised officers and their delegations. Their training includes courses relating to law, fairness in administrative decision making, auditing, conflict and negotiation, and investigations.

Training will be undertaken regularly to ensure it remains current and all officers can maintain their skills and knowledge.

4.3.3 Review of decision making

Earth Resources Regulation provides authority holders with an avenue to have enforcement decisions reviewed. If an authority holder is aggrieved, complaints can be made via:

DEDJTR website - for complaints about the conduct of Earth Resources Regulation authorised officers (i.e. inspectors)

Earth Resources Regulation website – for complaints about actions or decisions of an employee who is not an authorised officer.

DEDJTR has an Authorised Officer Complaints Management Policy as well as an External Complaint Policy. These are internal standards which provide a process for independent review of the actions, inaction, conduct and decision of officers.

All complaints, whether they are about an authorised officer or a general staff member, are considered and managed in accordance with the Victorian Ombudsman's Complaint Handling Guide for the Victorian Public Sector - for details go to: https://www.ombudsman.vic.gov.au/Complaints/Complaint-Handling-Guide

http://economicdevelopment.vic.gov.au/about-us/overview/responsibilities-and-functions/regulatory-functions/complaints-management-policy

https://www.ombudsman.vic.gov.au/Complaints/Complaint-Handling-Guide


5 Supporting compliance

5.1 How does Earth Resources Regulation raise industry and community awareness about compliance requirements?

Earth Resources Regulation delivers education on regulatory requirements and compliance through stakeholder engagement programs and activities as identified in the Stakeholder Engagement Strategy and Plan, such as industry seminars and forums, as well as publication of guidance material such as technical guidelines, codes of practice and other strategies for regulated industries. These publications give authority holders the necessary information to understand how to comply with their regulatory obligations.

Other guidance material is available for the wider community, including land owners who may find their land subject to earth resource development proposals. This information helps people ask questions and make agreements about works on their land.

5.2 What will Earth Resources Regulation do to support compliance?

We are committed to ensuring authority holders are given up-to-date regulatory information in a timely way, to ensure they understand how to achieve compliance. We will do this through the following ways:

• during primary approval processes, for example, we assess a business’s capacity to comply

• intelligence sharing between regulators and past performance of authority holders informs our decision making

• publication of case studies and examples of ‘what good looks like’, and provision of tools.

Our goal is that site authority holders understand what compliance looks like. To help with this we will:

• provide on-site feedback during inspections and audits

• distribute compliance alerts

• develop fact sheets to outline how we assess applications including information about the risks posed by the proposed activity and the environmental outcomes to be met through conditions

• publish case studies

• contribute to industry publications

• host information sessions.


6 How will Earth Resources Regulation measure the effectiveness of its Compliance Strategy?

6.1 Governance

Earth Resources Regulation has resources dedicated to the planning and delivery of risk-based compliance, engagement, education, regulation and enforcement programs. It aims to ensure authority holder compliance with all statutory obligations, including all mining, extractive and petroleum authority holder approvals, the payment of rents and royalties, offence management, and bond setting and submission.

In 2016 the Australian Environmental Law Enforcement and Regulators neTwork (AELERT) released its Modern Regulator Improvement Tool (MRIT), see Figure 8. We are using this framework to increase its capabilities.

To provide a consistent and proportional response to compliance and enforcement activities across Victoria, Earth Resources Regulation’s Governance Committee and Chief Inspector:

• reviews and documents compliance action decisions

• reviews and documents the compliance plan effectiveness

• ensures internal guidance documents, standard operating procedures and authorised officer training are in accordance with DEDJTR training standards.

The Chief Inspector is responsible for maintaining a register of all compliance actions and decisions, and an account of how the decisions and risks fit into this compliance strategy, our annual plan and departmental policy initiatives. The Chief Inspector is also responsible for communicating lessons from committee decisions, notifying procedure owners about required continual improvements, and keeping branch staff updated on important compliance issues.

6.2 Compliance reporting and monitoring performance

Performance monitoring and reporting allows all stakeholders to monitor progress of Earth Resources Regulation and the earth resources industry, and to assist in better targeting and prioritising their efforts and resources.

We will undertake regular monitoring and reporting to measure performance and to demonstrate the effectiveness of compliance activities over time. This includes public reporting of our performance and authority holder compliance data. We also collect feedback from stakeholders through surveys and the complaints and feedbacks portal.

We use a range of indicators, referred to as the Earth Resources Regulation Key Performance Indicators (KPIs), to monitor its activities and performance, and the compliance of Authority holders.

We publish KPIs on its website (see the “Regulator and industry reporting” section on our website) and update the information on a regular basis. Reporting will cover the following regulatory requirements:

• Stakeholder engagement and communication

• Authority applications

• Compliance activities.


Unclassified

Figure 8: AELERT Modern Regulator Improvement Tool Summary


Unclassified

Glossary

Term/Acronym Definition

AELERT Australian Environmental Law Enforcement and Regulators neTwork

ALARP As Low As Reasonably Practicable.

The ALARP principle is that the potential risk of harm (i.e. residual risk) shall be reduced as far as reasonably practicable (www.jakeman.com.au).

Authority holder Is a generalised term used by many regulators. An authority holder is also known as a licence holder, duty holder, title holder or licensee.

Refer also to the Definitions page on the Earth Resources Regulation website.

Complaint Refers to a compliant to DEDJTR about Earth Resources Regulation made by industry or a community member

CFA Country Fire Authority

CMA Catchment Management Authority

DEDJTR Department of Economic Development, Jobs, Transport and Resources

DELWP Department of Environment, Land, Water and Planning

EMV Emergency Management Victoria

EPA Environmental Protection Authority

KPIs Key Performance Indicators

MoU Memorandum of Understanding

MRSDA Mineral Resources (Sustainable Development) Act 1990

Public reports Complaint made to Earth Resources Regulation about the impact of an industry from community or another industry

Reportable incident A reportable event is “an event, abnormal to expected, or usual operations that results, or may result, in significant impacts on public safety, the environment or infrastructure” as defined under section 33(2)(a) of the Mineral Resources (Sustainable Development) (Mineral Industries) Regulations 2013 and under the section 13(s)(a) of the Mineral Resources (Sustainable Development) (Extractives Industries) Regulations 2010.

VGRMF Victorian Government Risk Management Framework

http://www.jakeman.com.au/


References

Australian Environmental Law Enforcement and Regulators neTwork (2016), Modern Regulator Improvement Tool

Department of Economic Development, Jobs, Transport and Resources (2017), Compliance Policy (internal departmental document)

Earth Resources Regulation (2013), A Guide to Tenement Compliance, go to: http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/tenement-compliance

Earth Resources Regulation (2015), Guidance Note on Reportable Events for Mineral and Extractive Sites, go to: http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/reportable-events

Talbot, Julian (2012), Jakeman Business Solutions, go to: www.jakeman.com.au

http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/tenement-compliance

http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/tenement-compliance

http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/reportable-events

http://earthresources.vic.gov.au/earth-resources-regulation/licensing-and-approvals/sand-stone-and-clay/work-authority-compliance/reportable-events

http://www.jakeman.com.au/


7 Appendices


Appendix A: Earth Resources Regulation Risk Management Framework

Consistent with DEDJTR’s compliance framework, Earth Resources Regulation takes a risk-based approach to prioritising compliance activities.

This approach prioritises highest compliance risks, ensures resources are used efficiently, and applies appropriate measures to deliver consistent stakeholder experiences. It is informed by the Victorian Government’s Risk Management Framework (VGRMF). The VGRMF describes the minimum risk management requirements of agencies to demonstrate they are managing risk effectively, including inter agency and state significant risk. It adopts the Australian and New Zealand Standard AS/NZS ISO 31000:2009 Risk Management – Principles and Guidelines (ISO 31000).

As part of its commitment to continuous improvement, err has developed and is implementing a risk management framework consistent with the requirements of the VGRMF.

A risk-based approach allows us to target our efforts in the areas of highest risk, to ensure compliance intervention reduces either the consequence or likelihood (or both) of the risk being realised.

The matrix that Earth Resources Regulation uses to analyse consequence and likelihood is illustrated in Figure A1.

Figure A1: DEDJTR’s risk matrix

Earth Resources Regulation is committed to ensuring authority holders are given up-to-date regulatory information in a timely way, to ensure they understand how to achieve compliance.

Feedback from peak industry bodies, environment groups, and the wider community is collected to improve our regulatory practice. Further, our collection of data during monitoring and evaluation

Critical (5)

Significant

High

High

High

High

Major (4)

Significant

Significant

Significant

High

High

Moderate (3)

Medium

Medium

Medium

Significant

High

Minor (2)

Low

Low

Medium

Medium

Significant

Insignificant (1)

Low

Low

Low

Medium

Medium

Rare (1)

Unlikely (2)

Possible (3)

Likely (4)

Almost

Certain (5)

Likelihood

Co

nse

qu

en

ce


activities provides critical and timely information to prompt a change in direction or additional effort.

Figure A2 provides the architecture of Earth Resources Regulation’s Risk Management Framework, which draws on AS/NZS ISO 31000:2009. It illustrates the importance of the feedback loops.


Figure A2: Earth Resources Regulation’s Enterprise Risk Management Framework Architecture

Appendix B: Summary of 2016-17 reporting and inspections

Public reports

In 2016-17 Earth Resources Regulation responded to 78 reports received from 61 members of the public

raising concerns about mine or quarry operations. Most of these calls received in 2016-17 related to concerns about:

Type of activity reported Number of public reports

Blasting and vibration 17

Work without consent 15

Water 8

Dust 7

Noise 5

Public safety and security 5

Of these, 53 mine and quarry sites received one or more public report. Of sites that received more than one public report in 2016-17, 6 were quarries and 4 were mines.

By way of comparison, the previous year, in 2015-16, Earth Resources Regulation received 193 public

reports about 67 sites mainly about blasting, work without consent and dust.

Industry reports

In 2016-17, Earth Resources Regulation received 54 incident reports from mine and quarry authority

holders. Most of the calls received related to the following:

Type of incident Number of incidents

Water 14

Fire 14

Dust 11

Stability 6

Noise and operating hours 5

Blasting 2

Public safety and security 2


In 2015-16 and 2016-17 Earth Resources Regulation received incident reports from 22 authority holders, 10

mines and 12 quarries.

2016-17 Audits and inspections

During the past year, the Regulatory Compliance group undertook 544 site visits which are summarised below.

Type of site visit Number of visits during 2016-17

Compliance audits 167

Inspections of operational sites 353

Inspections to review final rehabilitation activities following request to surrender the tenement or request for bond return

24

A total of 56 enforcement actions were given in 2016-17 are summarised below.

Type of enforcement action Number of enforcement actions

S.110 Remedial notices requiring actions 50

S.110A Enforcement orders 3

S.95M Directions to manage risks 3

Most of these notices related to the non-compliances summarised below.

Type of non-compliance Number of non-compliances

Environmental impacts 24

Stability 14

Public safety 9

Not working in accordance with approvals or conditions 9

\


Documents

Earth Resources Regulation Compliance Strategy · Development, Jobs, Transport and Resources (DEDJTR). Earth Resources Regulations compliance strategy sits within the departments