queensland auditor handbook for contaminated land module 5

of 42 • ESR/2015/1807 • Version 1.01 • Effective: 29 SEP 2015 ABN 46 640 294 485

Queensland Auditor Handbook forContaminated Land

Module 5: Contaminated land investigation documents,auditor certification and compliance assessment

Queensland Auditor Handbook for Contaminated Land


of 42 • ESR/2015/1807 • Version 1.01 • Effective: 29 SEP 2015 Department of Environment and Heritage Protection

Prepared by: Regulatory Capability and Customer Service, Environmental Services and Regulation, Department ofEnvironment and Heritage Protection

© State of Queensland, 2015.

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You must keep intact the copyright notice and attribute the State of Queensland as the source of the publication.

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September 2015

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Contents

Contents ..................................................................................................................................................................3

PART A INTRODUCTION ...................................................................................................................................1

1 Purpose ............................................................................................................................................................1

2 Types and triggers for a CLID ..........................................................................................................................2

3 Structure of this module ...................................................................................................................................2

PART B CONTENT AND SUBMISSION OF A CLID ..........................................................................................3

1 How does a CLID need to respond to the EP Act and the ASC NEPM? .........................................................3

2 The role of SQPs in preparing a CLID..............................................................................................................5

3 Guidance on general requirements for a CLID ................................................................................................5

3.1 Content of a CLID.....................................................................................................................................5

3.2 Submitting a CLID ....................................................................................................................................6

3.2.1 Who submits the CLID? .................................................................................................................6

3.2.2 Information to accompany the CLID...............................................................................................6

3.2.3 Formatting requirements for a CLID..............................................................................................7

3.3 Access to a CLID and information on land registers................................................................................7

3.4 Relying on information in a CLID .............................................................................................................8

4 Criteria and format for site suitability statements ...........................................................................................28

PART C AUDITOR CERTIFICATION OF A CLID .............................................................................................30

5 Guidance on certifying a CLID .......................................................................................................................30

5.1 Overview of auditor’s role ......................................................................................................................30

5.2 Auditor’s certification .............................................................................................................................30

5.2.1 Matters to be considered and auditor’s response........................................................................30

5.2.2 Support expert’s input ..................................................................................................................32

5.2.3 Audience for auditor’s certification...............................................................................................32

5.3 Record of audit ......................................................................................................................................32

6 Interaction of the auditor and SQPs ...............................................................................................................33

7 Quality assurance...........................................................................................................................................35

PART D COMPLIANCE ASSESSMENT FOR CONTAMINATED LAND..........................................................37

1 Introduction.....................................................................................................................................................37

2 Compliance assessment ................................................................................................................................37

3 Removal of land off EMR or CLR eliminates the requirement for a compliance permit.................................38

4 Submitting a copy of the compliance permit ..................................................................................................38




Version history

Version Effective date Comments

1.00 29/09/2015 First published

1.01 04/08/2016Updated corporate style and added publication numberESR/2015/1807 and version history



Page 1 of 42 • ESR/2015/1807 • Version 1.01 • Effective: 29 SEP 2015 Department of Environment and Heritage Protection

PART A INTRODUCTION

1 Purpose

The administering authority1 for the contaminated land provisions in Chapter 7 of Part 8 of the EP Act

maintains the environmental management register (EMR) and the contaminated land register (CLR).

The listing and removal of land on the EMR and CLR is closely linked to statutory requirements for a

contaminated land investigation document (CLID). Under subsection 381(1) of the Environmental

Protection Act 1994 (EP Act), if the administering authority receives a site investigation report or

validation report that complies with the requirements for a CLID, it must update the EMR or CLR in the

requisite manner. Similarly, if the administering authority receives a compliance permit for contaminated

land under the Sustainable Planning Act 2009 (SP Act) in the required form (with an attached CLID), it is

to update the EMR or CLR accordingly. Where a site management plan (SMP) is required for

contaminated land, the administering authority is to consider a draft SMP submitted as a CLID, decide

whether to approve it, and attach the approved SMP to the EMR.

The primary work in assessing land contamination is done by suitably qualified persons (SQPs), since

they are responsible for preparing a CLID. The contamination status of land and the suitability of the land

for different land uses are then confirmed through an auditor’s certification of a CLID.

Module 5 (this module) of the Queensland Auditor Handbook for Contaminated Land provides guidance

for the preparation and certification of a CLID in accordance with section 389 of the EP Act, as well as for

compliance assessment of certain changes of use of contaminated land under the SP Act.

In particular, this module provides guidance on how the various matters specified in subsections 389 (1)

and (2) of the EP Act should be addressed by SQPs and auditors. It aims to align the understanding of

SQPs and auditors, as to the scope and quality of information to be provided in a CLID in order to meet

the requirements of the Act. Clarity and aligned expectations are needed to enable efficient service

provision by consultants and auditors, as well as to protect the public interest.

This module draws upon the National Environment Protection (Assessment of Site Contamination)

Measure 1999 (ASC NEPM), as amended in 2013, which provides a nationally agreed set of technical

guidance that can be applied within the framework of different jurisdictions’ legislation. The module also

recognizes the need to address other relevant requirements of the EP Act in preparing a CLID, including

to consider environmental values and to ensure compliance with environmental protection policies.

Module 5, in combination with the ASC NEPM, provides the primary guidance for both SQPs and auditors

in determining the specific approach, criteria and level of detail that are warranted for a CLID, having

regard to relevant provisions of the EP Act and Environmental Protection (Water) Policy 2009 (i.e. Water

EPP), as well as the environmental risks and technical complexities involved in particular circumstances.

In summary, the aim of this module is to clarify the matters that should be documented in a CLID

in order to appropriately address section 389 of the EP Act, in the context of:

1. the respective roles of SQPs and auditors in preparing and certifying a CLID

1 The Department of Environment and Heritage Protection (EHP), as of September 2015




2. responding effectively and proportionately to relevant risks of environmental harm, having

regard to the ASC NEPM, pertinent aspects of the EP Act as well as the Water EPP

3. ensuring that a CLID provides a suitable information basis for related regulatory actions

by the administering authority, including for removing land from the EMR or CLR,

amending particulars of land on the EMR or CLR, and in determining the acceptability of

draft SMPs.

2 Types and triggers for a CLID

A CLID may comprise a site investigation report, a validation report or draft site management plan (SMP),

and hence may be a combination of these. These three types of CLID respectively provide:

• an assessment of the nature and extent of contamination as well as and effects on site suitability

and environmental values

• an assessment of the contamination status of a site following remediation of all or part of a site

• a plan for the proposed management responses for contamination to achieve suitability for a

stated land use and avoid environmental harm to other land, human health and the environment.

Requirements for a CLID apply where:

• either a site investigation report or validation report is required under the SP Act to be attached to

a compliance permit, i.e. where a permit is required to carry out specific development

• a site investigation report or a validation report or other CLID is required under a relevant notice

given under the EP Act

• a draft SMP is required to be prepared under section 391 of the EP Act

• a person voluntarily gives a CLID for relevant land to the administering authority, in order to meet

the general environmental duty under section 319 of EP Act.

3 Structure of this module

This module is comprised of the following parts:

• Part B outlines the matters that should be addressed by SQPs in preparing a CLID, since this

provides the context for the auditor’s certification

• Part C addresses the matters that should be considered by an approved auditor in certifying a

CLID under subsections 389(3) and 568(b) of the EP Act

• Part D provides specific guidance on compliance assessment and the circumstances in which a

compliance permit is able be issued in accordance with section 405 of the SP Act.




PART B CONTENT AND SUBMISSION OF A CLID

1 How does a CLID need to respond to the EP Act and the ASC NEPM?

A CLID must comply with subsections 389 (1) and (2) of the EP Act and must be accompanied by an

auditor’s certification that verifies that the CLID complies with these subsections.

• Subsection 389(1)—requires various elements of descriptive information relating to the subject

land, surrounding environment and environmental risks, as well as key aspects of a draft SMP if

one is submitted.

• Subsection 389(2)-requires a series of concluding statements about the status of the land,

risks of contamination to the land, other land, human health and the environment, as well as the

appropriateness of any draft SMP.

Section 389 does not prescribe the methodologies to be applied, the format for reporting, or the model for

integrating the various required elements. The appropriate approach will depend on the circumstances.

An integrated approach is needed to effectively assess the environmental risks associated with

contamination of a site and then justify an appropriate response. The ASC NEPM provides an integrated

approach in terms of the systematic assessment of risks associated with contamination of soil and

groundwater. Specifically, it provides for a staged approach to risk assessment depending on the level of

risk and uncertainty that is revealed by desktop and then site investigations. Importantly, subsection

389(2)(b)(iv) of the EP Act provides the legislative basis for applying the ASC NEPM by asking for a

statement of the extent to which the assessment of the land is in accordance with the ASC NEPM.

The guidance provided by ASC NEPM will sometimes need to be complemented by other sources of

authoritative guidance, particularly to establish acceptable levels of specific contaminants. Further, there

may be other matters relating to the EP Act (outside of section 389), which may need to be taken into

account in a CLID. In particular, where appropriate, environmental values recognised under the EP Act,

including implications with respect to policies such the Water EPP, will need to be addressed in a CLID.

There may also be risks of environmental harm arising from contamination that are not addressed in the

ASC NEPM but are relevant to a CLID.

Figure 1 shows the schematic relationship between the elements of section 389 and Module 5, as well as

the wider provisions of the EP Act and the ASC NEPM.

Table 1 provides specific guidance for both the preparation of a CLID by an SQP and its subsequent

verification by an auditor. This guidance is structured to assist an integrated approach to the development

and evaluation of a CLID, in terms of linking the information elements required under subsection 389(1)

to the concluding statements required by subsection 389(2). The guidance with respect to subsection

389(2) is directed towards eliciting robust statements that effectively address their intended content,

having regard to relevant guidance from the ASC NEPM and other authoritative sources.



Page 4 of 42 • ESR/2015/1807 • Version 1.01 • Effective: 29 SEP 2015

Elements of CLID required by section 389 of EP Act

Description of land including environment and sourcesof contaminant risk

as required by EP Act s.389(1)(a) to (h)

Draft SMP elementsas required by EP Act s.389(1)(i)

Statements regarding status of landas required by EP Act s.389(2)(a) and

(b)(i) and (ii)

Statement regardingappropriateness of draft SMP

as required by EP Act s.389(2)(b)(iii)

Statement regarding extent inaccordance with ASC NEPM

as required by EP Act s.389(2)(b)(iv)

Auditor certificationas required by EP Act s.389(3)

Figure 1: Schematic relationship between elements of

Department of Environment and Heritage Protection

Module 5guidance onCLID to meetrequirementsof s.389 of EP

Act

ASC NEPMincludingassociatedschedules,and any otherrelevanttechnicalguidance

Other relevantprovisions andpolicies underEP Actrelating toenvironmentalvalues and theprevention ofenvironmentalharm

section 389 of EP Act, Module 5 and ASC NEPM




2 The role of SQPs in preparing a CLID

A CLID must be prepared by a SQP in accordance with subsections 389 (1) and (2) of the EP Act. The

role of an auditor is to certify that the CLID does comply with the Act.

It will be often necessary for more than one SQP to be engaged in order to span the competencies

needed to prepare a CLID. In this circumstance a capable lead SQP will need to coordinate and

assemble, and to integrate where necessary, the inputs from different SQPs in order to adequately

address the requirements for a CLID. The lead SQP will need to manage any interactions between the

SQPs and the auditor in order to ensure a clear line of communication.

The complexity of the task and the effort required on the part of the auditor will depend on both the

complexity of the land contamination issues involved and the quality of the CLID prepared by the SQP. A

well-integrated set of documents based on an appropriate sampling design, high quality data and

analysis and sound reasoning in the context of relevant guidance and standards, will enable the auditor

to document their own conclusions relatively easily. A weakly integrated set of documents will complicate

the auditor’s task.

If the auditor finds unacceptable deficiencies in the sampling, data, analysis or reasoning, they will be

obliged to decline to certify the CLID. The appointment of a competent SQP2, as well as timely

engagement between the auditor and the SQP, will be crucial in avoiding the rejection of a proposed

CLID.

3 Guidance on general requirements for a CLID

3.1 Content of a CLID

A CLID must clearly identify what type(s) of CLID it comprises, that is, whether it is site investigation

report, a validation report or a draft SMP, or some combination of these.

The structure for a site investigation report or validation report is not prescribed and no specific guidance

is included in this module. Their structure will need to be adapted to the type of CLID as well as to the

circumstances and complexities involved in order to provide appropriate documentation.

These reports may be composed of multiple documents. Where a CLID incorporates various reports from

specialist SQPs, the CLID should incorporate an integrating component that puts the supporting reports

in context, including in terms of explicitly addressing the elements of subsections 389 (1) and (2).

In contrast to site investigation reports and validation reports, a draft SMP needs to be a single document

and be structured to differentiate the three components required by subsection 389(1)(i):

i. the proposed objectives to be achieved and maintained under the plan

ii. the proposed methods for achieving and maintaining the objectives

iii. the proposed monitoring and reporting compliance measures for the land.

2 Guidance on the self-assessment by a contaminated land professional of their suitability to undertake the responsibilities of aSQP in preparing a CLID is provided in EM836 ‘Assessing a Suitably Qualified Person’




Column 2 in Table 1 sets out the general matters that should be addressed in a CLID in order to

appropriately respond to the relevant elements of subsections 389 (1) and (2) in the EP Act (column 1).

Each aspect of the column 2 guidance should be addressed in a depth that is appropriate given the type

and circumstances of a CLID. The CLID should clearly identify where each of the aspects of guidance in

column 2 have been addressed, including in a summary table. Where particular aspects in column 2 are

considered to be not relevant to a particular CLID, this should be justified.

While column 2 provides a reasonably comprehensive set of matters that may be relevant, sometimes

other matters that are relevant in the wider context of the EP Act may also need to be addressed.

3.2 Submitting a CLID

3.2.1 Who submits the CLID?

The CLID is to be submitted by the ‘relevant person’. When the CLID is in response to a notice given

under the Act, the relevant person is the person who was given the notice. When the CLID is not in

response to a notice, the relevant person can be anybody – in practice this should be the land owner or

developer, or alternatively their lead SQP. It is not appropriate for an auditor to submit a CLID, since their

role is that of an independent reviewer.

When a compliance permit has been issued by an auditor, in their capacity as a compliance assessor

under the SP Act, it is recommended that the copy of the permit be provided to the administering

authority on behalf of the auditor by the relevant person in conjunction with the certified CLID.

3.2.2 Information to accompany the CLID

A CLID must be submitted to the administering authority with a completed CLID submission form, using

the current template (EM1423) which is available at www.qld.gov.au/environment/contaminated-land

The CLID cannot be submitted until it has been certified by an auditor. It also needs to be accompanied

by required declarations from all contributing SQPs and the auditor.

A draft SMP needs to be accompanied by a statement from the land’s owner agreeing to the draft SMP, if

it has been prepared by someone other than the owner.

Where the submitted CLID either incorporates or otherwise relies on a document that has been

previously submitted to the administering authority, the new CLID will need to:

• establish the relevance of a previously submitted site investigation report or a validation report,

and provide a copy of this together with any necessary updates

• provide the reference number for an approved SMP, where the CLID refers to or relies upon this

• ensure that the various requirements of subsections 389 (1) and (2) are addressed effectively

and in full.

In addition, the required declaration from the SQP who provides and relies on a previously submitted

report as part of a CLID will need to reference that report, notwithstanding that a declaration may have

been provided by the SQP who originally prepared the report. The declaration from the SQP would need

to attest that the report addresses relevant matters and is factually correct, and that the SQP has adopted

its findings as part of the current CLID.

http://www.qld.gov.au/environment




3.2.3 Formatting requirements for a CLID

In the case of a site investigation report or validation report, the CLID should be provided as one or more

electronic documents in a searchable PDF file (i.e. portable document format).

In the case of a draft SMP or draft amendment of an SMP, the CLID should be provided as an electronic

copy of a Microsoft Word document.

A CLID is to be submitted to the administering authority on a USB, CD, DVD or another digital medium

that is accepted by the administering authority. If a CLID is submitted to the administering authority via

email, the maximum size of email attachments is 14 megabytes.

General conventions to be adopted for the formatting of all documents are:

• all documents are to given a unique title or name, incorporating their date of completion (in

dd_mm_yyyy format),

• the title of CLID documents should begin with ‘Site investigation report’ or ‘Validation report’ or

‘Draft site management plan’

• required supporting information should be identified appropriately, i.e. as:

o SQP declaration(s)

o Auditor’s certification

o Auditor’s declaration

o Compliance permit

o Landowner agreement to SMP

• pages in each document are to be numbered consecutively

• the page size is to be set to the ISO A-series standard

• where practicable, any attachments, such as photos, figures or maps, are to be included as part

of the primary document

• colour and black and white information should be able to be appropriately reproduced.

Specific requirements for the formatting of electronic files are:

• the resolution of a PDF file should not be lower than 300 dots per inch

• PDF and Microsoft Word files should not be encrypted or require password access or be

dependent on external attachments for legibility.

3.3 Access to a CLID and information on land registers

Once submitted to the administering authority, a CLID— as well as the associated auditor’s certification—

may be disclosed in accordance with the Right to Information Act 2009 and the Evidence Act 1977.

In addition, the mandatory site suitability statement for a CLID as well as approved SMPs may be accessed on

the EMR and CLR registers. For an applicable fee, these registers may be accessed at:

https://www.qld.gov.au/environment/pollution/management/contaminated-land/search-registers/

https://www.qld.gov.au/environment/pollution/management/contaminated-land/search-registers/




3.4 Relying on information in a CLID

The administering authority should be able to rely on the information in a certified CLID. Neither the CLID

nor the auditor’s certification should qualify the completeness or certainty of the information provided

such that the ability of the administering authority to rely on these documents could be compromised.

The administering authority will undertake its own due diligence before updating the land registers in

response to a certified CLID, and may subsequently take compliance action where justified. If excessive

qualifications or disclaimers are incorporated in a CLID (or auditor’s certification), such that it does not

effectively comply with the requirements under section 389, it would need to be rejected.

There is no expectation that other parties, such as a prospective purchaser or a developer proposing a

change of use, should be able to rely upon a CLID for their own purposes without undertaking

appropriate due diligence.




Table 1 Matters to be addressed by CLID and considered by auditor

This table provides guidance for both the preparation of a CLID by SQPs and its subsequent certification by an auditor, in terms of addressing the various

provisions of subsection 389 (1) and (2) of the EP Act. While the focus for SQPs will be on the aspects in column 2, the evaluation by an auditor is expected

to have regard to the aspects in both columns 2 and 3.

Column 1—Section 389 of EP Act Column 2—Guidance on how the requirement for CLIDcontents should be addressed by a SQP

Column 3—Particular matters to beconsidered by an auditor in evaluatingwhether the respective requirement for aCLID has been complied with

(1) A contaminated landinvestigation document forrelevant land must include thefollowing information about theland—

1. To establish the location and status of the relevant land, the followinginformation should be provided:

a) street address of the land

b) registered lot and plan details

c) owner of the land and their registered address

d) current occupier of the land

e) identifying number on the EMR/CLR (if applicable)

f) site plan showing lot and plan boundaries, scale and latitude andlongitude

2. To identify the trigger, status and scope of the CLID, the followinginformation should be provided:

a) statutory trigger or basis for the provision of CLID

b) author(s), date, version of elements of CLID

c) type of CLID in accordance with s.387 and s.388

d) scope and objectives of the CLID

Note that information relating to 1.a) to f) and 2.a) to c) above is requiredas part of the basic information for submitting a CLID, in accordance withthe relevant form.

1A. Has accurate information on the location,setting and status of the land beenprovided?

2A. Has appropriate information on thetrigger/basis, status and scope of the CLIDbeen provided?






3. To establish the setting of the land, which will inform various aspectsof s.389, the following information should be provided:

a) overview of current site conditions including

i. built structures (note that infrastructure is to be describedunder s.389(1)(b))

ii. type and condition of vegetation and soils

b) current land use zoning

c) proposed land use, and its consistency with current zoning

d) uses of surface water and groundwater on the site

e) site history, consistent with ASC NEPM Schedule B2, identifyingaspects including

i. activities conducted (related details are to be provided inresponse to s.389(1)(f), as set out in paragraph 9 below)

ii. details of any relevant planning approvals, building permits,environmental authorities, licences and trade wasteagreements

iii. sources of information for the site history

3A. Has adequate information on site conditions,and the zoning and history of the land beenprovided?

(a) the reasons particulars of theland have been recorded in arelevant land register;

4. The reasons for recording the particulars of the land on the EMR orCLR should be provided, including as relevant:

a) identified area, type and source of contamination from historic or

current activities

b) identified area within which a notifiable activity or environmentally

4A. Are the source, details and context of thereasons for listing on the EMR/CLRaccurately described?






relevant activity either is being or has been conducted

c) outcomes of any previous site investigations informing the listing

on the register

Note that this requirement relates to the current listing of the land onthe EMR/CLR, rather than potential grounds for the future listing ofthe land

(b) a description of all surface andsubsurface infrastructure on theland, including details of thelocation, size and type of theinfrastructure;

5. This description should enable identification, to the extent practicable,of all surface and subsurface infrastructure (e.g. pipes, tanks, dams,drains, bores, hardstand areas or foundations) that could:

a) have been a source of contaminants (i.e. including from previousinfrastructure)

b) be affected by contaminants

c) either be a barrier to or facilitate the migration of contaminants

Relevant aspects of ASC NEPM Schedule B2 should be considered.

Any significant uncertainties regarding the location of subsurfaceinfrastructure and associated risks should be identified.

5A. Is the occurrence or otherwise, as well asrelevant details, of any surface and subsurfaceinfrastructure adequately described to enableidentification of aspects that could influencecontamination risks?






(c) a description of the surroundingarea of the land, including adescription of each of thefollowing in the surroundingarea—

(i) all environmentallysensitive areas;

(ii) the location of all water,watercourses andwetlands;

(iii) the location of allstormwater drainage;

(iv) all uses of the land,including uses that mayaffect the safety of therelevant land or causeenvironmental harm;

(v) all activities carried outthat may affect thesafety of the relevantland or causeenvironmental harm

6. The purpose of this description – using an appropriate combination oftext, plans, photographs and diagrams – is to establish the context forassessing and managing the off-site contamination risks, in terms ofboth environmental values that may be at risk and the potentialsources of harm from the relevant land. Thus, in addressing theaspects specified under subsection 389(1)(c), it should describerelevant features of the surrounding area and their relationships withthe land itself, in appropriate detail with respect to:

a) local topography, soil profiles and vegetation types

b) environmental values and specific receptors that could beharmed by contaminants emanating from the land, including

i. the quality of existing environmental values (relative toenvironmental quality objectives where these are available)

ii. designated environmentally sensitive areas

in the context of the Environmental Protection Regulation 2008and the Environmental Protection (Water) Policy 2009

c) surface water and groundwater, watercourses, wetlands andsurface drainage that could be affected by or dispersecontaminants

d) on-site flood risks and drainage capacity in the context of thecurrent stormwater drainage system on the land and itscatchment, to the extent that this is known or can be estimated

e) current and potential uses of the land and surrounding area thatcould be affected by contaminants, including

i. current and proposed land use

ii. land use allowed by current or proposed zoning

iii. uses of surface and ground water

6A1. Does the documented description of thesurrounding area, identify the followingaspects:

a) any environmentally sensitive areas?

b) any waterbodies, watercourses,wetlands, stormwater drainage?

c) parts of the land prone to flood risks ordrainage problems?

d) current uses of the area that could beadversely affected

e) current uses and activities in the areathat could be sources ofcontaminants?

f) related interactions with the relevantland?

6A2. Has the description effectively established thecontext for assessing off-site contaminationrisks emanating from the site, in terms ofenvironmental values that may be at risk aswell as uses of the land or activities that mayaffect human safety or cause environmentalharm off-site?






f) current and historic on-site uses or activities that could

i. be a source of contaminants capable of causingenvironmental harm or affecting safety, including sitemanagement activities that could contribute to the dispersaland impact of contaminants on the surrounding area

ii. affect the degree of risk to environmental values and humansafety from contaminant exposure within the surroundingarea

Note that a consistent approach to describing relevant features ofboth the surrounding area and the land itself is needed, to enableassessment of contamination risks both on-site and off-site. Thelatter aspects are directly relevant to the required statements unders.389(2)(a) and (b)

If it is known that the surrounding area may contribute tocontamination risks on the land, this should be documented to theextent practicable

(d) for waste disposed of or storedon the land that contains, ormay potentially contain,hazardous contaminants—

7. Detailed information should be provided on the wastes disposed of orstored on the land that either is or could be a source of contaminantsand contamination, including:

(i) details of the location,volume and type of thewaste; and

a) Details of disposal or storage of wastes on the site and anyunintended spills or dispersal including any of raw material,products, intermediates, or accidents such as fire should bedocumented to the extent practicable, on the basis of acomprehensive site history (linked to the context section anditems (1) (a), (b) and (c) above) and site investigations todelineate the extent of the contamination

7A1. Have appropriate details of wastes disposed ofor stored on the land been provided?






(ii) details of any potentialcontamination of theland caused bydisposing of or storingthe waste on the land;

b) Site records should be reviewed and an appropriate level of siteinvestigation conducted to establish whether wastes stored ordisposed of on the land are likely to have caused contamination.

A preliminary site investigation conducted in accordance with allrelevant ASC NEPM Schedules B1, B2, B3, B5 and B6 and theWater EPP will normally be needed to establish whether potentialexists for contamination from wastes disposed or stored on site.In relevant circumstances, a detailed site investigation may beneeded. These investigations should be integrated with theinvestigation of contamination from other sources, in the contextof the investigations needed to support the required statementsunder s.389(2)).

7A2. Has an appropriate level of site investigationbeen conducted to provide a sufficient basisfor determining the potential for contaminationfrom wastes?

(e) a description of the geology andhydrogeology of the land;

8. This description should be consistent with ASC NEPM Schedule B2.It should draw upon existing sources of local information together withsite investigations to effectively characterise both the soil profiles ofpotentially contaminated areas and the groundwater hydrology, in thecontext of the local geology and any fill materials that may be present

This description should provide sufficient information to support anassessment, consistent with ASC NEPM Schedules B1 and B2, of:

a) groundwater that is at risk of contamination including hostlithology, aquifer type and characteristics

b) environmental values prescribed for the groundwater under theEP Act

c) relevant water quality objectives for groundwater, including anyprescribed objectives under the EP Act, as well as for anysurface waters that it discharges to

8A1. In the context of ASC NEPM and the WaterEPP:

a) Has adequate sampling of soils andsource materials been conducted tocharacterise the soils/sub-surfaceenvironment?

b) Has information on local hydro-geologybeen appropriately sourced andinterpreted with respect to the land,having regard to the level of risk ofgroundwater contamination?

c) Has adequate investigation ofgroundwater on the site beenconducted to support assessment ofassociated contamination risks?






d) hydraulic heads and/or groundwater elevations referenced toAHD and groundwater flow directions and characteristics

e) any barriers to and migration pathways for dispersal ofcontaminants that are known or likely to be present

f) the potential for and the likely rate of dispersal of contaminantseither to waters or as gases or vapour released to theatmosphere

g) natural geochemistry, including any elevated natural backgroundlevels of contaminants in soil, groundwater or surface waters

h) where conceptualisation and modelling of the groundwatersystem is necessary, compliance with the Australian groundwatermodelling guidelines (National Water Commission, June 2012)

i) assessment of the potential for effective remediation of sitecontamination

d) If there is evidence of a potential foroff-site migration of contaminatedgroundwater, has adequateinvestigation of groundwater in thesurrounding area been conducted toassess associated risks?

8A2. Have surface and sub-surface conditions thatwould either impede or enable the dispersal ofidentified contaminants been adequatelydescribed?

(f) details of any environmentallyrelevant activities or notifiableactivities carried out on theland, including the materialsused and waste producedduring the carrying out of theactivities;

9. Environmentally relevant activities (ERAs) or notifiable activitiesshould be identified in accordance with the EP Act and Regulations

Detailed information should be provided – to the extent practicable -on ERAs and notifiable activities that either are, or have been,conducted on the site, focussing on associated input materials andgenerated wastes or other substances that could be sources of on-site or off-site contamination (including by soil dispersal, stormwaterrunoff, groundwater movement or air-borne dispersal of contaminateddust or vapours), i.e. potentially in addition to pre-existingcontamination.

9A. Have adequate details of any past or currentenvironmentally relevant activities or notifiableactivities been provided, i.e. in the context ofassociated material inputs and wastesgenerated that contribute to site risks?






(g) details of any earthworkscarried out on the land,including the materials usedand waste produced during theearthworks;

10. Information should be provided on any earthworks that could:

a) be a source of contaminants

b) affect the location and dispersal of contaminants, including viathe placement of materials, stormwater drainage or groundwatermovement

Relevant information could include:

a) materials forming the earthworks

b) modifications to the topography and drainage of the site

c) lateral and vertical extent of imported fill

d) physical, chemical, geotechnical and hydrological character ofthe fill

e) presence of potentially acid-generating materials

f) waste produced during the earthworks

g) any contaminated materials that are known to have beendisposed off-site including associated soil permits

This information in the CLID might be incorporated within a SMP

10A1. Have appropriate details of any earthworks onthe land been provided?

10A2. In particular, has the location, physical andchemical character and hydrologicalenvironment (especially saturation zone andaquifer connectivity) of earthworks materialsbeen adequately described?






(h) if work has been carried out onthe land to remediate thecontamination of the land—thecontamination levels recordedon the land before and after thework was carried out;

11. If the CLID incorporates a validation report, it should describe:

a) any clean-up criteria and data quality objectives that guided theremediation, and the rationale for their selection

b) a description of the remediation work carried out and the extentof any remediation still to be completed

c) an assessment of the change of levels of contamination in thecontext of applicable clean-up criteria

The criteria and assessment should be consistent with ASC NEPMcriteria relevant to clean up objectives and the Water EPP, havingregard to other applicable standards and technical guidance

11A. Have contamination levels on the land beforeand after any remediation work beenappropriately assessed in accordance withASC NEPM, the Water EPP and other relevantguidance?

(i) for a draft site managementplan—

(i) the proposed objectivesto be achieved andmaintained under theplan; and

12. Objectives of the draft SMP should:

a) address all relevant sources of environmental harm generated bythe remaining land contamination

b) to the extent relevant, be specific, measureable and achievable,address the contamination risks and be time-specific, so as tosupport performance-based standards for managing risks ofenvironmental harm (and underpin the accountability of the SMPfor on-going management of the site).

Further, the objectives should be framed to both take account of andprovide a basis of responding to:

a) expected risks to public safety and amenity, human health,environmental values of waters and ecological values associated

12A. Are the proposed objectives appropriate in thecontext of relevant aspects of the ASC NEPMand relevant statutes, policies and guidance,as well as specifically:

a) the contamination risks to publicamenity, public safety, human health,environmental values of waters andecological values that need to bemanaged?

b) drafted in a way that makes themspecific, measureable, achievable,relevant to the contamination risks andtime-specific ?






with residual contamination of the land (i.e. soils, vapours,surface water and/or groundwater) after site managementmeasures are implemented

b) appropriate standards to protect public safety and amenity,human health, environmental values of waters and ecologicalvalues, including to support the suitability of the land for itsintended use and associated activities and avoid environmentalharm to other land and the surrounding environment

c) associated risks to other environmental values that could arisefrom actions to manage contamination

d) intended strategy of mitigation to reduce contamination risks andmanage associated risks that will be applied to specified parts ofthe land

e) ongoing monitoring of the effectiveness of the adopted measures,environmental quality and any residual risks, as necessary

Further, the objectives should have regard to relevant aspects of theASC NEPM, the EP Act, the EP Regulations, environmentalprotection policies, as well as any relevant technical standards.Aspects of the latter that are relevant in the particular context shouldbe identified

c) the proposed standards and generalapproach to managing these risks inthe context of the intended use andassociated activities?

d) the proposed standards and generalapproach to managing these risks inthe context of avoiding environmentalharm to other land and the surroundingenvironment?

e) providing a suitable basis for evaluatingperformance?






(ii) the proposed methodsfor achieving andmaintaining theobjectives; and

13. The proposed methods should be specific, measureable, achievable,relevant to the land contamination and time-specific. They shouldinvolve a combination of physical techniques and other practicalprocedures that will be applied in relevant circumstances to managecontamination and associated risks to environmental values andachieve the specified objectives

Where monitored natural attenuation is assessed, the likelihood ofsuccess, the reasonableness of the time period over which it ispredicted to occur (compared to more active forms of remediation)and risks of environmental harm should be evaluated

In addition to addressing contamination risks, the draft SMP shoulddescribe the methods to be applied for:

a) managing associated risks of environmental harm (e.g. noise,dust, odour, run-off, erosion, acidification) during works tomanage contamination

b) communicating with parties such as occupiers whose activitiesmay impact on the implementation or effectiveness of the SMP

c) communicating with potentially affected parties duringimplementation of the SMP, including for handling incidents andcomplaints

13A. Are the proposed methods appropriate toenable the objectives to be achieved andmaintained?




Section 389 of EP Act -

Content of contaminated landinvestigation document (CLID)

Column 2 - Guidance on how the requirement for CLIDcontents should be addressed by a SQP

Column 3 – Particular matters to beconsidered by an auditor in evaluatingwhether the respective requirement for aCLID has been complied with

(iii) the proposed monitoringand reportingcompliance measuresfor the land.

14. The monitoring and reporting measures should be commensurate withthe environmental risks involved. The measures should address:

a) monitoring and evaluating the status of identified contaminationrisks, within the framework of a risk register, including the risksassociated with:

i. current condition of the land

ii. potential or actual events involving a hazardous contaminant

iii. potential changes in the condition of the contaminated land

b) indicators and procedures that will be used to monitor andevaluate the level of compliance with:

i. objectives of the SMP

ii. any proposed specific obligations, in terms of managementmethods or performance criteria that will be applied tomanage contamination risks to environmental values

c) proposed approach to documenting and communicating (i.e.reporting) the monitoring outcomes to the administering authorityand other parties, in order to both ensure accountability andsupport appropriate awareness by potentially affected parties,including:

i. quality assurance measures for the monitoring

ii. keeping of monitoring records

iii. communicating with potentially affected parties

14A1. Are the proposed monitoring measures likelyto provide an effective basis for monitoring andevaluating:

a) the status of identified risks

b) the level of compliance with theobjectives?

c) the level of compliance with anyproposed specific obligations?

14A2. Will the proposed approach to reporting beappropriate to the residual risks and the needto ensure accountability?








(2) Also, a contaminated landinvestigation document mustinclude—

(a) a statement (a site suitabilitystatement) of the uses oractivities for which the land issuitable; and

15. This CLID statement is to:

a) identify the uses or activities for which the land is suitable, onthe basis of either a site investigation report or a validationreport and using the relevant format as set out in section 4 ofPart B in this document

b) justify the identification of suitable uses or activities on the basisof a systematic assessment of risks associated withcontamination of the land, including:

i. a comprehensive site history

ii. an appropriate level of site investigation of contamination

iii. a robust conceptual site model and assessment of exposurepathways, having regard to any temporal or seasonal factorsas well as potential changes in usage or activity patterns

iv. relevant aspects of the ASC NEPM, the EP Act, the EPRegulations, environmental protection policies, and relevanttechnical standards (e.g. AS4482.1)

The assessment for 15.b) above should be integrated with thatneeded in response to paragraphs 16.b) and c) and 17 below.

A preliminary site investigation should be conducted in accordancewith ASC NEPM Schedules B1, B2 and B3, the Water EPP andpertinent aspects of the EP Act to characterise the risks fromcontamination. If pertinent levels of risk and information deficits are

15A1. Does the site suitability statement adequatelyjustify its conclusions on the suitability of theland, in the context of:

a) a comprehensive site history

b) an appropriate level of site investigationof contamination

c) a robust conceptual site model andassessment of exposure pathways,having regard to relevant temporal orseasonal factors as well as potentialchanges in usage or activity patterns

d) relevant aspects of the ASC NEPM, theEP Act, the EP Regulations,environmental protection policies, andrelevant technical standards?

15A2. What are the key lines of evidence supportingthe soundness of the site suitability statement,including with respect to:

a) the supporting assessment of sitecontamination and exposure pathways?

b) compliance with relevant criteria for sitesuitability?








confirmed, a detailed site investigation should be completed and areport provided on the character and extent of contamination, inaccordance with ASC NEPM Schedules B1, B2 and B3

When assessing the suitability of land for a use, consideration mustalso be given to any associated activity which is reasonably likely tobe carried out in or on the land associated with that use. Forexample, such activities associated with residential use may includeuse of extracted bore water, installation of a below ground pool,home extensions involving slabs, basements, earthworks and a fruitand vegetable garden.

(b) a statement of the followingmatters—

(i) whether the land isprescribedcontaminated land;

16. This CLID statement is to state whether the land is prescribedcontaminated land, such that it presents a risk of causingenvironmental harm to other land, human health or another part of theenvironment, as a result of the migration, movement or uptake ofcontaminants (noting that even if this the case, the relevant land maybe suitable for certain uses)

The statement should be substantiated on the basis of:

a) either a site investigation report or a validation report

b) an assessment consistent with relevant aspects of the ASCNEPM (the level of site investigation should be consistent withthe ASC NEPM)

c) for waters, an assessment of compliance with water qualityobjectives for the protection of environmental values

d) a systematic assessment of risks associated with contamination

16A. Is the CLID statement as to whether the landis prescribed contaminated land:

a) underpinned by a robust assessment ofrisks associated with contamination ofthe land to the surrounding land,human health or another part of theenvironment?

b) consistent with relevant aspects of theASC NEPM, EP Act and subordinatelegislation?








of the land that

i. draws upon relevant information addressing items relating tos.389(1)(a) to (h) above in combination with any otherinformation needed to evaluate risks of environmental harmin accordance with s.389(2)

ii. is supported by a robust conceptual site model

(ii) if the land iscontaminated—theextent to which the landis contaminated;

17. The statement of the extent of contamination should be substantiallyin accordance with the ASC NEPM as well as being in accordancewith the EP Act and subordinate legislation, and specifically addressthe following aspects:

a) environmental values affected by the contaminants

b) assessment criteria adopted for the affected environmentincluding as relevant soil and groundwater conditions, andassociated gases (e.g. separate phase hydrocarbons), surfacewaters, sediments, or vapour or airborne particulates, as well asthe sources and justification of the criteria

c) lateral and vertical distributions and concentrations of anycontamination of soil or groundwater and any other affected partof the environment

d) potential leachability and mobility of identified contaminants

e) precursors as well as potential and likely chemical degradationproducts of contaminants and their expected persistence in biota,soil and water

f) all likely and potential exposure pathways for contaminants in soiland groundwater as well as from secondary mechanism’s suchvia stormwater, sediment, gaseous and airborne dispersal or bio-concentration

17A1. Does the CLID statement provide anadequate assessment of the extent ofcontamination, substantially in accordancewith this guidance and the ASC NEPM?

17A2. Specifically, has any contamination ofgroundwater been properly delineated in thehorizontal and vertical dimensions to supportassessment of impacts on environmentalvalues and water quality objectives?

17A3. What are the key lines of evidence supportingthe adequacy of the CLID statement of theextent of contamination, including with respectto:

a) the appropriateness of the adoptedassessment criteria?

b) evidence on the distribution ofcontamination and likely exposurepathways?








g) any observable effects of contamination of soil or groundwater,including aesthetic issues such as odour

h) sampling and analytical methods applied and data qualityobjectives, including

i. the justification of key aspects (e.g. sampling pattern, densityand depth and analytes sampled)

ii. quality assurance and quality control for field sampling,laboratory analysis and data evaluation

iii. data storage and record keeping

i) a robust conceptual site model

j) key sources of uncertainty in the assessment, including withrespect to

i. adequacy of the sampling or analysis

ii. appropriateness of the adopted assessment criteria

iii. understanding of relevant environmental interactions

iv. opportunities to reduce uncertainties in the assessment andtheir practicability

k) a summary of the results with respect to

i. the extent of land contamination relative to the adoptedassessment criteria

ii. key risks to public safety and amenity, human health,environmental values of waters and ecological values as wellas proposed responses

c) protection of declared environmentalvalues?

d) the implications of any significantsources of uncertainty?








This summary should use an appropriate combination of descriptiveand explanatory text, tabular data and site plans

This statement of the extent of contamination would normally beincorporated in a site investigation report or a validation report

Where an environmental investigation has been directed under s.326Bor s.326BA of the EP Act to inform a decision whether to list land onthe EMR or CLR, the statement should describe the proposed groundsfor why the land either should or should not be listed

(iii) for a draft sitemanagement plan—whether the proposedobjectives, methodsand measures stated inthe plan undersubsection (1)(i) areappropriate;

18. Where a draft SMP has been submitted, the statement shouldaddress the efficacy of the proposed objectives, methods andmeasures in managing all contamination risks to environmentalvalues, having regard to any significant uncertainties, so as tominimise likelihood of environmental harm occurring. This includesconfirming that the objectives, methods and measures are specific,measureable, achievable, relevant to the land contamination andtime-specific

18A. In the context of the assessment ofcontamination risks in the CLID,:

a) are the components of the draft SMPappropriate to avoid the exposure ofhuman and ecological receptors tounacceptable levels of risk?

b) does the drafting of components of theSMP support effective implementationand accountability for performance?

c) are there any uncertainties or residualrisks that may warrant a moreprecautionary or conservative response?

(iv) the extent to which theassessment of the landis in accordance withthe contaminated landNEPM.

19. This summary statement should be substantiated with respect torelevant aspects of the ASC NEPM, both identifying and justifying theresponses to relevant aspects of the latter. Where the adoptedapproach diverges from that under the ASC NEPM - for example onthe basis of other best practice guidance - this should be justified.

19A1. Is the assessment of the land in substantiallyaccordance with the ASC NEPM, havingregard to the relevant elements of the ASCNEPM?

19A2. Where the adopted approach diverges fromthat under the ASC NEPM, was this








a) on the basis of recognised andappropriate best practice guidance?

b) properly applied?

19A3. Are there any aspects of ASC NEPM forwhich an alternative approach – as providedfor either by the ASC NEPM or by otherrecognised guidance – to that adopted:

a) could reasonably have been appliedand

b) could have had potentially significantimplications?

(3) A contaminated landinvestigation document must beaccompanied by a writtencertification (an auditor’scertification) by an auditorverifying that the documentcomplies with subsections (1)and (2).

20. To assist the auditor’s certification, the CLID is to provide aconsolidated cross-referencing of where various relevant elements ofs.389(1) and (2) have been addressed in the CLID

Guidance for the auditor’s certification is provided inPart C of Module 5

4) In this section—

contaminated land NEPM means theNational Environment Protection(Assessment of Site Contamination)Measure, made by the NationalEnvironment Protection Council under








the National Environment ProtectionCouncil Act 1994 (Cwlth).

Environmentally sensitive area meansan area prescribed by regulation as anenvironmentally sensitive area.

Prescribed contaminated land meansland contaminated in a way that is arisk of causing environmental harmto—

(a) land other than the relevantland; or

(b) human health; or

(c) another part of the environment.

Water has the meaning given underthe Water Act 2000.




4 Criteria and format for site suitability statements

The suitability statement required as part of a CLID is to incorporate the applicable form of words,

consistent with the range of suitable uses and the required site management, corresponding to Outcome

1, 2, 3 or 4 as set out below. The auditor’s certification will need to address this statement.

Outcome 1—The land is not contaminated land and is suitable for any use

Consistent with subsection 381(2)(a) of the EP Act, the particulars of land may only be removed from the

EMR and the CLR if either a site investigation report or a validation report has established that the land is

not contaminated land (e.g. as a result of remediation) and is suitable for any use. A site suitability

statement to this effect would need to state:

‘The land described as <INSERT LOT AND PLAN NUMBER(S)>

is not contaminated land and is suitable for any use, on the basis that the contaminated land

investigation document has established that

1. the land is not being used for a notifiable activity, and

2. the land is not affected by a hazardous contaminant, and

3. the condition of the land is consistent with the policy criteria for removing land from the land

registers as set out in the Guideline: Listing and removing land on the land registers (EM1434)

Outcome 2—The land is suitable for specified uses, without warranting a site management plan

Land may be found to be contaminated such that it is suitable for specified uses, without the need for an

SMP to be implemented. An SMP may not be needed because of the low risk of contaminant exposure

for the specified uses, or because another mechanism is being used to manage or monitor relevant risk

factors. In these circumstances, a site suitability statement for the land would need to state:

‘The land described as <INSERT LOT AND PLAN NUMBER(S)>

is contaminated by <INSERT HAZARDOUS CONTAMINANT(S)>

affecting < INSERT MEDIA, e.g. soil, groundwater>

The land is suitable for the following specified use(s) including associated activities:

<INSERT USE OR USES>

The suitability of the land for the stated use(s) does not warrant the implementation of a site

management plan to manage the contamination because [SELECT EITHER 1 OR 2]:

1. no management action is warranted because <STATE REASONS>; or

2. an alternative mechanism for managing the risks associated with the hazardous

contaminant(s) has been required or approved by the administering authority. The

alternative mechanism is <SPECIFY MECHANISM>.

Outcome 3—The land is suitable for specified uses, subject to complying with a site managementplan




Land may be found to be contaminated such that it is suitable for specified uses, but only if an

appropriate SMP is effectively implemented. In this circumstance a site suitability statement would need

to state:

‘The land described as <INSERT LOT AND PLAN NUMBER(S)> is contaminated by

<INSERT HAZARDOUS CONTAMINANT(S)>

affecting <INSERT MEDIA, e.g. soil, groundwater>

The land is suitable for the following specified use(s) including associated activities:

<INSERT USE OR USES>

subject to compliance with the draft site management plan provided once this is approved by the

administering authority

<INSERT TITLE AND DATE OF DRAFT SITE MANAGEMENT PLAN OR DRAFTAMENDED SITE MANAGEMENT PLAN>




PART C AUDITOR CERTIFICATION OF A CLID

5 Guidance on certifying a CLID

5.1 Overview of auditor’s role

The auditor is to consider whether a CLID adequately addresses the matters specified in subsections 389

(1) and (2) of the EP Act, in light of the guidance provided in Table 1 of this module, and in doing so has

provided sufficient supporting evidence to justify conclusions about the contamination status of the land

and its suitability for proposed uses. Note that as an auditor is required to perform their statutory function

in the way that best achieves the object of the Act3, they may also need to consider matters outside

section 389, including by taking a wide view of the environmental implications of contamination risks.

An auditor’s review of a CLID should be documented in two ways:

1. Auditor certification is to be submitted with the CLID, consisting of:

i. statements of the auditor’s conclusions, including reasons, with respect to each element

of subsections 389 (1) and (2)

ii. supporting information including analyses by the auditor and reports of support experts,

on which the auditor has relied

iii. a summary of any advice given to the SQP(s) regarding aspects of CLID drafts that

required further attention.

2. Record of audit—a compilation of all documentation relating to the audit, which is to be retained

by the auditor.

In undertaking their function, the auditor is obliged in accordance with the Code of Professional Conduct

to make the records of an audit accessible to the administering authority. Since the records of audit are

the property of the auditor and are to be retained by the auditor, they will not constitute public documents.

5.2 Auditor’s certification

5.2.1 Matters to be considered and auditor’s response

The template for an auditor’s certification (EM1346) is to be completed and submitted together with the

auditor’s declaration (EM1347) required under subsection 574C(2), in conjunction with the certified CLID.

The matters in Table 1, column 2 are core considerations for the auditor’s certification. Column 3 poses

complementary questions to be considered by the auditor; these are intended to support an integrated

evaluation of the adequacy of the CLID, in the context of the more specific matters in column 2. As noted

above, an auditor is not constrained to consider only the aspects specified in Module 5.

3 The object of the Act is to protect Queensland’s environment while allowing for development that improves the total quality of life,both now and in the future, in a way that maintains the ecological processes on which life depends.




The auditor is to provide a statement of reasons for their verification that the CLID complies with the

relevant elements of subsections 389 (1) and (2), including concise ‘key reasons’ for their conclusion on

each element. For each element of subsection 389(2) - i.e. with respect to the required formal statements

for site suitability, the extent of contamination, a draft SMP, and the response to the ASC NEPM - the

statements of reasons are to be detailed, including key lines of evidence. Brief responses may suffice for

some elements of subsection 389(1), especially if it is possible to cross-reference to relevant aspects of

the more comprehensive sets of reasons that are needed under subsection 389(2).

Each of the statements of reasons should succinctly state key elements of available evidence and place

this in the relevant context. To the extent relevant, they should:

• identify core considerations, in terms of relevant factors (such as exposure pathways) and

assessment criteria sourced from the ASC NEPM or other more pertinent guidance

• assess the adequacy of available data

• evaluate the key lines of evidence with respect to site risks and potential responses, in the

context of relevant factors and assessment criteria

• identify and evaluate any substantial uncertainties about the assessment of the site or the

effectiveness of proposed management measures (any uncertainties regarded as being of

sufficient significance may preclude the auditor’s certification).

In terms of providing supporting information for their reasons, an auditor can:

• provide key supporting information within the statement of reasons, which will be most practical

in simpler cases

• provide relevant cross-references to the CLID

• provide an extended analysis and discussion of relevant information in a supporting document

that forms part of the certification.

Where the auditor relies on a support expert’s evaluation of part of the CLID, the support expert’s report

will need to be attached to the certification4.

The length of statements of reasons and supporting information will need to reflect the complexity of the

case, as well as the auditor’s professional judgement, as to the level of detail necessary to substantiate

the auditor’s conclusions. The option of the auditor relying to some degree on cross-referencing to the

CLID is consistent with the auditor’s role of certifying the CLID that has been prepared by the SQP(s).

Where the auditor has a high degree of confidence in the CLID and, where they consider the

environmental risks to be low, the cross-referencing option will be suitable. As the auditor provides clear

responses to each relevant element of subsections 389 (1) and (2), in the context of this module’s

guidance, they can exercise discretion as to the structure of their certification.

4 This obligation is established under Queensland Auditor Handbook for Contaminated Land Module 4: Code of Professional

Conduct. Where the auditor’s certification relies on a support expert’s report, the auditor’s certification is to:

• clearly identify and reference the matters for which the auditor is relying on the support expert’s report

• annex the support expert’s report;

• provide a declaration from the support expert.




5.2.2 Support expert’s input

It is the auditor’s responsibility to confirm the adequacy of the information in forming an opinion about a

CLID. The auditor needs to have examined the CLID and their own support experts’ reports in sufficient

depth that their own conclusions can be relied upon by the administering authority. The auditor must

accept responsibility for any conclusions underpinning their certification, including where these

conclusions draw upon work done by a support expert.

The engagement of a support expert by an auditor must be done in accordance with the protocol set out

in the Queensland Auditor Handbook for Contaminated Land Module 4: Code of Professional Conduct. In

accordance with the Code, the auditor is to provide as part of their certification a statement (equivalent to

a declaration) from each expert support person on whose advice they have relied.

5.2.3 Audience for auditor’s certification

The auditor’s certification is intended to be relied upon by relevant regulatory bodies, i.e. by the

administering authority in terms of changes to the land registers and decisions on draft SMPs, as well as

by local government where a certified CLID is required to support a compliance permit under the SP Act.

Consequently, the auditor’s statements of reasons need to provide a ‘reasonable basis’ for regulatory

bodies to rely upon.

The statements of reasons, including the ‘key reasons, should be sufficiently clear, complete and robust

to enable:

• a lay person with a broad environmental understanding to understand the general basis for the

auditor’s conclusions

• a person with adequate scientific-technical knowledge to accurately understand the

considerations that have led to the auditor’s conclusions

• a person with appropriate high-level expertise to both accurately understand the considerations

that have led to the auditor’s conclusions and to evaluate their validity.

5.3 Record of audit

It is expected that an auditor will retain comprehensive records of each certification review of CLID they

undertake. These records are not required to be submitted routinely but should be accessible if the

administering authority has cause to seek to review the auditor’s documentation for a particular case.

This might occur as part of the administering authority’s due diligence for a CLID or as part of its program

to monitor and evaluate auditor performance.

The record of audit will need to document the auditor’s consideration of relevant inputs, including that

from SQPs and support experts. The records would include, but not be limited to:

• versions of the CLID including draft components that have been considered

• details of the approach to the review and the responsible reviewers

• details of the auditor’s support team’s reviews of the CLID, including their scopes of work,

methodologies, and written outputs for the auditor’s finalisation and/or integration




• details of the auditor’s evaluation to support their conclusions with respect to elements of

subsections 389 (1) and (2)

• details of the auditor’s and the auditor’s support team’s communications with the land owner

or developer, the SQPs, the administering authority and other stakeholders, including any

interim advice to SQPs

• elements of any contractual agreements between the auditor and the land owner or

developer, as well as between the auditor and their support experts, with respect to the

scope of work, tasks and obligations for undertaking a review of a CLID, but excluding

information relating to the fees payable.

6 Interaction of the auditor and SQPs

Since a CLID can only be submitted to the administering authority when it has been certified by an

auditor, it is recommended that a person who needs to submit a CLID appoints an auditor at an early

stage. This will allow the auditor to provide timely advice to the SQP(s) regarding the adequacy of

proposed CLID in complying with the necessary requirements. An auditor may find it necessary to give

advice to the SQPs preparing elements of a CLID regarding aspects that require further investigation or

refinement before a certification is provided. A summary of any advice from the auditor on issues or gaps

in proposed CLID elements is to be provided as part of their certification.

In order to establish their bona fides, each SQP should provide the auditor with a draft of the declaration

(using the form EM1433) that will be required under section 566 of the EP Act to be submitted in due

course with the CLID. This should occur as soon as the auditor is appointed. The land owner or

developer responsible for engaging the auditor should ensure they are provided with copies of any advice

or reports prepared by another auditor or third party reviewer with respect to the land.

Any provision of advice by the auditor to the SQP occurs outside the specific duties of the auditor. To

maintain the independence that is essential to the auditor’s certification role, it will be essential for the

auditor to:

1. document all communications with the SQPs as part of the record of the audit;

2. be clear that their role is to review work done by the SQPs, rather than to contribute to the

development of the CLID

3. limit any advice given to matters directly relevant to satisfying the guidance provided here,

including related guidance such as under the ASC NEPM

4. specify that any advice given does not pre-empt either the auditor’s willingness to provide a

certification of the CLID or their grounds for doing so or not doing so.

It is recommended that the auditor provide written advice to the coordinating SQP on aspects of the CLID

requiring further attention before a final review of the CLID is warranted. This might occur in several

steps, potentially involving the auditor’s sequential review of the following proposed documents:

• sampling, analysis and quality plan

• conceptual site model

• site investigation report or validation report




• draft site management plan.

If at any point during the audit process the auditor has grounds for believing that an SQP is not complying

with the requirements of a declaration under section 566 of the EP Act, they should immediately inform

both their client and the administering authority.

Figure 2 provides a schematic overview of the respective roles and interactions of SQPs and auditors.




7 Quality assurance

Auditors play a critical role in the quality assurance of a CLID. This role can be expected to drive an

increased level of diligence on the part of SQPs in their own quality assurance.

The administering authority retains the overarching regulatory responsibility. It will need to be satisfied

that the auditor’s certification is in accordance with the applicable statutory provisions—including this

guidance—in order to accept a CLID as being properly submitted5.

The administering authority will generally adopt a risk-based approach to checking certifications. The

usual approach will be for the administering authority to satisfy itself that the auditor’s responses are

complete and also provide a reasonable basis for the administering authority’s regulatory actions. If

omissions or errors in requirements for a certification, declaration or compliance permit are found, the

auditor would be asked to correct these. Further, if the auditor’s reasons are found to be unclear, the

auditor would be asked to clarify them.

The administering authority will not normally directly evaluate a CLID in the form of a site investigation

report or a validation report, other than to confirm that the CLID submission form is correct.

Only in exceptional circumstances, where identified risks warrant it, will the administering authority

undertake an in-depth technical review of an auditor’s certification in relation to a CLID as part of its

management of individual cases. However, the administering authority will undertake in-depth technical

reviews of selected auditor certifications as part of its program of monitoring and evaluating auditors’

performance6.

As the decision maker for SMPs, the administering authority will exercise discretion in the extent of its

reliance on an auditor’s certification with respect to the draft SMP and related reports.

5 See also section 3.4 in Module 5

6 EHP’s approach to quality assurance is outlined in Module 6 of the Queensland Auditor Handbook for Contaminated Land



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Coordinating SQP providesproposed CLID* to auditor

Preliminary review ofCLID by auditor

SQPs appointed byowner/developer

Auditor appointed byowner/developer

Module 5guidance on CLID

Advice on CLID issues& gaps provided by

auditor

CLID revised by SQP(s)and provided to

auditor

Review of CLID byauditor

Record of audit review(retained by auditor)

CLID certified byauditor

Certified CLID submittedto EHP by relevant person

(or Coordinating SQP)Declarations provided by SQP(s), auditor, prescribed responsible person,and owner where relevant

Where required, compliance permitprovided to EHP by auditor (with CLID)

ACTION BY EHP

* Might be partial documentation, including SAQP at early stage

* Draft declaration should be provided

* Any advice from previous auditors on earlier stages of work

Auditor’s certification• Reasons for accepting key descriptive elements under s.389(1)

• Detailed reasons for endorsing required statements under s.389(2)

• Supporting analyses and annexures of support expert reports

• Summary of interim advice given to SQPs regarding issues and gaps

•

Figure 2 Schematic overview of the roles andinteraction of the SQPs and auditor

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PART D COMPLIANCE ASSESSMENT FOR CONTAMINATED LAND

1 Introduction

This guideline is that referenced in Table 3 of Schedule 18 under the Sustainable Planning

Regulation 2009.

Schedule 18 under the Sustainable Planning Regulation 2009 specifies that compliance

assessment by an approved auditor is required for the following development:

Making a material change of use of premises if:

(a) all or part of the premises are on the contaminated land register (CLR) or the

environmental management register (EMR); and

(b) the premises are not used for a sensitive land use; and

(c) the material change of use is completely or partly for:

(i) a sensitive land use; or

(ii) a commercial purpose involving an accessible underground facility, including

for example, a basement carpark, workshop or office.*

2 Compliance assessment

To formally submit a request for compliance assessment, the proponent must give the compliance

assessor (the auditor) a completed Integrated Development Assessment System (IDAS) Form 32.

There are no statutory timeframes for an auditor to decide a request for compliance assessment.

However the auditor must be cognisant of his or her obligations as a compliance assessor once the

formal request is made, in particular the processes under Part 10, Division 2 and 3 of the SP Act and

the appeals rights of a proponent should the auditor decide to issue the proponent with an action notice

under section 405(5) of the Sustainable Planning Act 2009.

In order to issue a compliance permit (using the relevant template) the auditor will need to be satisfied

that one or other of the following outcomes has been met:

• Outcome 2—The land is suitable for specified use(s), without warranting a site

management plan

The land has been found to be contaminated but is suitable for the proposed use without the

need for a site management plan in respect of the contamination, as an alternative mechanism

to effectively manage contaminant risks has been identified and this has been agreed to by

the administering authority under the Environmental Protection Act 1994.

________________________________________________________________________

* ‘Sensitive land use’ is as defined in the State Planning Policy 2013, which includes: a use that is a child care centre, community

care centre, community residence, dual occupancy, dwelling house, educational establishment, health care services, hospital,

hostel, multiple dwelling, relocatable home park, residential care facility, retirement facility, short-term accommodation, tourist

park.

‘Commercial purpose’ is a broad term which generally refers to any premises that sell goods or provides a service to the public. It

includes but is not limited to a number of land uses including shops, offices, restaurants and medical centres.

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• Outcome 3—The land is suitable for specified use(s), subject to complying with a sitemanagement plan

In this circumstance, the administering authority has approved a site management plan for the

land and the land is suitable for the specified use(s) subject to compliance with the site

management plan.

The relevant outcome will correspond to that identified in a certified site suitability statement. The latter

statement must form part of a contaminated land investigation document (CLID) that is to be prepared

and certified in accordance with section 389 of the Environmental Protection Act 1994. Section 388 of

the latter Act recognises that a site investigation report or a validation report may need to be attached to

a compliance permit.

3 Removal of land off EMR or CLR eliminates the requirement for acompliance permit

A compliance permit is not required where land is no longer on either the EMR or the CLR, as a result of

being removed from the relevant register following:

1. The submission of a site investigation report that has been certified by an auditor as complying

with section 389 of the EP Act (that is, where the land is found to be not contaminated and to

be suitable for any use); or

2. The submission of a site investigation report and a validation report that have been certified by

an auditor as complying with section 389 of the Environmental Protection Act 1994 (that is,

where the land has been remediated such that the land is found to be not contaminated and to

be suitable for any use).

A compliance permit will still be required where land is removed from the CLR but is placed on the

EMR.

An initial request for compliance assessment made by the proponent may appropriately be abandoned

should the proponent decide to seek to have the land removed from the EMR or CLR under the

Environmental Protection Act 1994. It is recommended that the formal lodgement of a compliance

assessment request using the IDAS Form 32 does not occur until the auditor is satisfied that the

compliance assessment process will be undertaken.

4 Submitting a copy of the compliance permit

A copy of the compliance permit should be provided to the administering authority on behalf of the

auditor by the relevant person who submits the CLID; this method will satisfy the compliance assessor’s

obligation under the Sustainable Planning Regulation 2009. This copy should be provided in conjunction

with the completed CLID submission form (EM1423) which is available at

www.qld.gov.au/environment/contaminated-land. The details for how to submit the CLID submission

form are provided in this template. Guidance on formatting of the CLID and associated documents are

provided in section 3.2.3 of Module 5 of the Queensland Auditor Handbook for Contaminated Land.

http://www.qld.gov.au/environment

queensland auditor handbook for contaminated land module 5

Documents