Compliance response and escalation pathway

We use a step-by-step process to ensure compliance with the rules. When instances of non-compliance occur, we assess the level of seriousness to determine the most effective response to both support a behaviour change and address the issues. This decision-making process considers a range of key factors.

There are many factors to consider when non-compliance occurs that inform the seriousness of action to be taken. They include:

• risk to human life and safety
• impact on the water resource and the environment
• compliance history and attitude of alleged offender
• location of non-compliance
• public interest
• type of breach
• commercial advantage.

Our decisions on how to respond, which may include compliance action, are evidence based and address both the behaviour and the severity of the alleged offence to enforce the law. It may be necessary to use multiple actions to properly address the non-compliance. Explanations of the compliance actions we use are:

• Education and guidance: may be used when non-compliance is minor in nature, not repeated and support is likely to improve voluntary compliance and behaviour. Examples include fact sheets, verbal advice or written advisory correspondence.
• Warning: formal warnings may be used when non-compliance is minor in nature, to set expectations on requirements, change behaviour and encourage future compliance. Repeat offending following a warning may escalate the department’s response.
• Statutory notices and remediation: there are a variety of statutory notices across the legislation we administer which can be used depending on the situation and the required outcome. They are more serious than an advisory letter or warning. They can be used to direct the alleged offender to submit required information, stop an activity or undertake work to remedy an issue. Ongoing or repeated non-compliance may result in escalation to higher severity compliance actions.
• Fines: penalty infringement notices (PINs) are a monetary fine used as a penalty for committing an offence against the legislation we administer. They may be used for dealing with non-compliances, where any impacts of an offence are either unknown or low level in nature and warrant a response greater than a warning. They may be used as an escalation where previous compliance actions have not resulted in a change in behaviour and the non-compliance has been repeated or continued.
• Increased monitoring: the department closely observes, analyses and monitors the regulated community on a risk basis. Increased desktop assessment and an in-field presence in identified higher risk areas can occur to identify issues earlier and check that approaches are achieving compliance outcomes.
• Prosecution and court orders: when serious non-compliance has been identified (sometimes involving multiple offences), prosecution action may be considered appropriate. Court orders can also be sought separately or together with a prosecution matter. Orders might be sought to require activities to stop, or actions to be taken to remediate or address issues.
• Amendment, suspension or cancellation of entitlements and approvals: in situations where the non-compliance is serious, ongoing and likely to continue, some entitlements or approvals issued under the legislation may be amended, suspended or cancelled. This may include requirements for increased monitoring and reporting on activities to the department, temporary or permanent loss of access to the resource or authorisation to operate.