Regulatory policies and guidelines

Our regulatory policies and guidelines include our regulatory framework and policy and guidelines for how we use certain regulatory tools.

Regulatory framework

Our regulatory framework sets out how we regulate and who we work with to improve outcomes for the environment and our communities.

It describes the eight elements of our regulatory framework and includes examples of how we listen, educate, enable, act, influence, require, monitor and enforce. We apply the elements of our framework as needed and appropriate to each specific situation, using a series of tools and actions to give us the best outcome. Case studies are available of how we have used the elements of our framework in practice to tackle an issue.

Our framework includes why we regulate, including our role as environmental stewards and our objectives under legislation.

Regulatory Policy

Our Regulatory Policy sits under the regulatory framework and together they describe how we regulate. It explains how we make regulatory decisions, and describes the tools we use and actions we may take to address risks and respond to issues, incidents and non-compliance.

Targeted Compliance Program

Our Targeted Compliance Program is one of a number of important elements of our proactive response to critical issues and emerging risks to the environment and our community.

The program comprises projects that are big enough to warrant coordinated work across the organisation, and where a difference can be achieved within a twelve-month period.

Prosecution guidelines

Under the Protection of the Environment Administration Act 1991, the EPA is responsible for investigating and reporting on alleged non-compliance with environment protection legislation for the purposes of prosecution or other regulatory action.

The EPA prosecution guidelines set out the factors we take into account in deciding whether, how and in what court to prosecute offences under the legislation it administers. The guidelines were developed and first published by the EPA Board in 1993, and then revised in 2001, 2004, 2012, 2013, 2020 and 2022.

Environmental court order guidelines

The EPA guidelines for seeking environmental court orders deal with sentencing options available for environmental offences, including investigation costs orders, publication orders and environmental service orders. The guidelines discuss the purpose of the orders and the principles the EPA will take into account in deciding whether to seek one or more of the orders.

Guidelines on Enforceable Undertakings

Enforceable undertakings are voluntary, legally binding, written agreements between the EPA and a company that or individual who is alleged to have breached environmental legislation. The agreement includes commitments by the company or individual, in response to an alleged breach, that are designed to improve environmental outcomes and prevent similar incidents occurring in the future.

The following policies and guidelines set out specific details about how the EPA operates.

Monetary benefit orders

Under the Protection of the Environment Operations Act 1997 (POEO Act), the EPA can seek a court order to recover the monetary benefits an offender gained from committing an offence (section 249) once they have been found guilty of the offence in the Land and Environment Court. Monetary benefits are the financial advantage an offender gained over their compliant competitors.

The EPA has developed a robust, standardised and transparent process for calculating and recovering monetary benefits in appropriate cases.

Guidelines on EPA use of unmanned aircraft

On 8 November 2017, changes were made to the Protection of the Environment Operations Act 1997  that make it clear that EPA authorised officers can use an unmanned vehicle, vessel or aircraft to carry out their functions.

The EPA’s Guidelines on EPA use of unmanned aircraft (PDF 438KB) seek to strike the appropriate balance between safety, privacy and efficiency. (Unmanned aircraft are commonly referred to as ‘drones’.)

These guidelines outline

  • the situations in which the EPA may consider using unmanned aircraft to collect information or assist with its regulatory functions
  • the legal frameworks that regulate unmanned aircraft use, which the EPA will abide by
  • how the EPA will conduct and manage unmanned aircraft activities 
  • the systems the EPA has in place to ensure its use of unmanned aircraft is transparent, accountable, and safe, with minimal impact on people’s privacy
  • the situations in which the EPA may use unmanned aircraft to enter premises without owner or occupier knowledge

Financial assurance

The EPA has powers to manage financial risks from environmental liabilities under the Protection of the Environment Operations Act 1997,  the Contaminated Land Management Act 1997, the Protection from Harmful Radiation Act 1990 and the Plastics Reduction and Circular Economy Act 2021.

This includes the power to require a responsible person or company (a responsible party) to provide a financial assurance to secure and guarantee funding for certain actions that are required by their regulatory instrument (for example a licence, management order or action plan).

Financial capacity

We sometimes need to consider the financial capacity of regulated companies or persons, that is their ability to pay for the costs of their environment protection and human health obligations.

For example we may do this when considering whether to require a financial assurance, whether a person or company is a “fit and proper person” under the relevant legislation or when issuing relevant notices and orders.