1. Comparing the implementation of risk based regulation in Australia
ELEANOR STONEY
NELA (WA) STATE CONFERENCE
FRIDAY 1 SEPTEMBER 2017, PARMELIA HILTON, PERTH

2. Overview What is ”risk based” regulation?
How is it applied in Australia?
Areas for improvement
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3. Risk Based Regulation Systematised decision-making framework
Assesses risks to the environment or public health
Applies regulatory effort consistent with the level of risk
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4. Risk Assessment Process
Set Risk Criteria 3 4 2 5 1
Monitor and review outcomes
Identify Risks
Treat Risks
Analyse risks
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5. Risk Assessment Process
Set Risk Criteria 3 4 2 5 1
Monitor and review outcomes
Identify Risks
Treat Risks
Analyse risks
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6. Risk Assessment Criteria
Protect, restore and enhance the quality of the environment
Prevent, reduce, minimise or eliminate environmental harm.
Promote the principles of environmental protection
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7. Risk Assessment Process
Set Risk Criteria 3 4 2 5 1
Monitor and review outcomes
Identify Risks
Treat Risks
Analyse risks
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8. Risk Assessment Process - Western Australia
Source: Western Australian Department of Environment Regulation, Guidance Statement: Risk Assessments (February 2017)

9. Risk Assessment Process - South Australia
South Australian EPA, Environmental regulation using a risk-based approach: A guide for EPA staff (October 2007)
Source: South Australian EPA, Environmental regulation using a risk-based approach: A guide for EPA staff (October 2007)
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10. Risk Assessment Process - Victoria
Source: Victorian EPA, Licenced Operator Risk Assessment (July 2017)
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11. Risk Assessment Process - New South Wales
Source: NSW EPA, EPA licensing guideline: Environmental risk levels (July 2016)
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12. Risk Assessment Process - Queensland
Source: Queensland Department of Environment and Heritage Protection, Regulatory Strategy (2014)
Source: Queensland Department of Environment and Heritage Protection, Regulatory Strategy (2014)
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13. Risk Assessment Process
Set Risk Criteria 3 4 2 5 1
Monitor and review outcomes
Identify Risks
Treat Risks
Analyse risks
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14. Risk Treatment and Regulatory Effort
High risk clients will receive more compliance checks.
Low risk clients will receive less frequent inspections.
A low risk will generally not be subject to regulatory controls.
A high risk may be tolerated and may be subject to multiple regulatory controls.
An extreme risk will not be tolerated and the application may be refused.
Licensees with a higher risk level receive an increased level of regulatory and compliance oversight.
Low risk licensees receive reduced regulatory burden.
An operator with a low risk rating can expect fewer planned licence compliance visits, while those with a higher risk rating can expect more.
Priority risks which will be actively managed or regulated by the agency through applying outcome based conditions.
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15. Risk Assessment Process
Set Risk Criteria 3 4 2 5 1
Monitor and review outcomes
Identify Risks
Treat Risks
Analyse risks
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16. Key Improvements
Responsiveness
Cumulative Risks
Consistency

17. Questions NELA (WA) STATE CONFERENCE
FRIDAY 1 SEPTEMBER 2017, PARMELIA HILTON, PERTH