Risk, Audit & Compliance

Frequently Asked Questions

• What Is an Environmental Compliance Audit?

  An Environmental Compliance Audit is an assessment of the compliance status of a project with Major Project Approval Conditions. It is a continual improvement process that assesses the implementation of environmental plans and programs, and the overall environmental performance of a development.

• Why Is an Environmental Compliance Audit Important?

  An Environmental Compliance Audit is important because it provides assurances to project teams, regulators and the community that project requirements are being met. It also drives continual improvement by identifying and recommending actions to address risks and deficiencies, or to realise opportunities.

• What happens if we get non-compliances in a compliance audit required under a SSD/SSI approval?

  Non-compliances (unfortunately) occur from time-to-time on all major projects. This is often due to the complexity of the works, project timelines and regulatory requirements. Common non-compliances include:

  • commencement of construction or activities occurring prior to the necessary            approvals being granted or pre-commencement requirement shaving being fulfilled
  • not implementing commitments or requirements contained within approved management plans and procedures
  • not completing proper consultation with other relevant stakeholders
  • clearing of vegetation, works being undertaken outside the approved boundaries or failing to submit environmental rehabilitation bonds.

  When the Department receives information about a suspected breach, it will conduct an analysis of all available information. 

  Officers of the Department can use their formal investigative powers to gather evidence relevant to the investigations, request information or conduct formal interviews. This preliminary assessment may provide enough information to establish whether a breach has occurred or is likely to have occurred.

  Based on that information, the Department may choose to proceed with an enforcement response or determine no response is required.

  Where a breach is identified, the Department will consider the relevant information and decide on any enforcement action consistent with the Compliance Policy. Natural justice, also known as procedural fairness, is a fundamental principle considered by the Department.

  Enforcement and other actions include:

  • prosecution, attracting fines up to $5 million and criminal convictions for the most serious offenses
  • issuing fines up to $15,000 and official cautions
  • issuing orders
  • accepting enforceable undertakings
  • negotiating practical solutions.

• What Does Risk, Audit & Compliance Include?

  Risk, Audit and Compliance is an umbrella term for what is,  essentially, three services; each of which provides businesses with assurance that they understand their risks and obligations, and allows them to act on deficiencies or opportunities.

   

  Our Risk services provide an experienced team to look into a business’s operations with fresh eyes and with the understanding of industry best practice and current regulatory obligations. We adopt the processes from ISO 31000 along with any specific processes required under a business’ risk management processes. Inputs generally include inspections of business activities and key processes, interviews with business personnel and the review of documentation (including plans, procedures and records). Workshops may also be held with the client to work through each activity, the risks posed and the current controls in place. Generally, the outputs include a register identifying hazards, the consequence and likelihood of the hazards being realised (i.e. the risk), a rating of each risk (generally classified as low, moderate, high, extreme, or similar), and recommended actions to address each risk. Assessment of a business’s risk can also include identifying opportunities which may have otherwise not been understood.

  Our Audit services involve an assessment of a business or project activities against a set of requirements over a set period. These can be corporate requirements, legislative requirements (e.g. approvals and licences), or industry standards. The inputs generally include inspections, interviews and document reviews, with an output generally being a report presenting an independent view on how the business or project is performing against the relevant criteria, along with recommended actions to address any deficiencies identified. We conduct all audits in accordance with ISO 19011, alongsideany specific business or regulatory requirements, and take a practical and pragmatic approach to provide clients with appropriate solutions and confidence. 

  Our Compliance services relate to WolfPeak assisting businesses to navigate their (often complex) environmental and planning compliance obligations. This generally involves a team member who is highly experienced and skilled in navigating compliance requirements working within a business, often by integrating into their teams, and developing processes and outputs to help ensure that compliance is achieved.

• Why Choose WolfPeak for Your Environmental Risk, Audit & Compliance?

  WolfPeak has built its Risk, Audit and Compliance capabilities over the last 10 years to become one of the most respected organisations in this field. We apply a robust problem-solving approach to all our work, including these services. This is drawn from our extensive experience working on, and providing independent support to, complex large-scale projects.

  Our team has held environmental leadership roles with delivery teams and regulatory roles within State Government including the Department of Planning and Environment (DPE), the NSW Environment Protection Authority, the Natural Resources Commission, the former Department of Land & Water Conservation and the Independent Pricing and Regulatory Tribunal.

  Our team has been approved by DPE, the Resources Regulator and the Department of Water and the Environment as the Independent Auditors, Risk Assessors or Environmental Representatives for scores of significant State projects.

  All major projects have a range of challenging environmental, community and regulatory issues and settings. We are able to navigate these challenges and provide advice that gives our clients the confidence and clarity they need to succeed.

• Does WolfPeak provide Independent Environmental Representative services?

  Yes, we have been approved by the NSW Department of Planning and Environment as Environmental Representatives on numerous major projects in NSW including Westconnex, Inland Rail, M6, Cruise Passenger Terminal, and Hunter Rail.

• Does WolfPeak provide independent environmental audit services?

  Yes, we have been approved by the NSW Department of Planning and Environment as independent environmental auditors on many major projects in NSW including Westconnex, Sydney Opera House, numerous school infrastructure projects, Enfield and Moorebank Intermodal Terminals, Sydney Modern, and Wollongong Coal.