Breach of exam rules

The Breach of exam rules policy (293.4 KB PDF) describes the framework for dealing with allegations of a candidate breaching the rules of a certificate of competence examination.

Causal investigation policy

The Causal investigation policy (149 KB PDF) describes the framework for carrying out a causal investigation, for a quick and full understanding of the causes of safety incidents, and publication of corresponding lessons to reduce the likelihood of recurrence.

Compliance and enforcement approach

The Compliance and enforcement approach 2017 PDF (146 KB PDF) sets out the principles that underpin the NSW Resources Regulator’s compliance and enforcement processes and regulatory actions and forms part of our risk-based and outcomes-focused approach to compliance and enforcement.

It gives guidance on the high level compliance expectations, enforcement processes and regulatory methods that we will use to ensure that obligations under the legislation that we administer are met.

Engagement and public consultation policy

The Engagement and public consultation policy [PDF, 202.41 KB] outlines the framework for stakeholder engagement and public consultation.

Fit and proper person policy

The Fit and proper person policy [PDF, 226.19 KB] provides community and industry with guidance as to the meaning of the fit and proper person test and how it is applied. This policy operates only as a guide to the legislative provisions and does not substitute for those provisions.

Innovation policy

The purpose of the Innovation policy [PDF, 286.48 KB] is to make clear how we will ensure that the regulatory framework for work health and safety at mines and petroleum sites:

  • supports continuous improvement of health and safety through design, technology, product and system innovation and development
  • does not directly, or indirectly, inhibit investment in the development and adoption of improved technologies and products.

To ensure there are clear pathways for the consideration of innovations currently prevented by legislation or technical standards the policy provides for the submission of an innovation policy application [DOCX, 97.38 KB].

Public comment policy

The Public comment policy (172 KB PDF) explains when we comment publicly on our activities, our general approach to public comment and limitations on informing the public of our regulatory activities.

Sponsorship policy

The NSW Resources Regulator does not use sponsorship as a primary tool in conducting its core business. However, sponsorship may be used in very limited circumstances where there are tangible benefits to the Regulator that will likely lead to improved safety, environmental or community outcomes in relation to the regulation of the NSW mining, extractive and petroleum industry. Our Sponsorship Policy helps clarify our requirements and conditions for using industry funds for sponsorship activities.

If you are looking for the Regulator to sponsor your event or activity, please call 1300 814 609 or email industry.engagement@planning.nsw.gov.au to request an application form.


Enforceable undertakings

The Enforceable undertakings guidelines PDF (175 KB PDF) sets out the general process for proposing an enforceable undertaking under the  Mining Act 1992, Petroleum (Onshore) Act 1991 and Work Health and Safety Act 2011, and the general purpose of an enforceable undertaking.

View a list of the enforceable undertakings accepted by the NSW Resources Regulator.

Prosecution guidelines

The Prosecution guidelines PDF (1.6 MB PDF) explains the approach that the NSW Resources Regulator will take when considering prosecution action in response to breaches of the various legislation it governs. The department will approach prosecution in line with prosecution guidelines of the NSW Office of the Director of Public Prosecutions.

The Mine Safety Assessment and Review Committee (ARC) has been established by the Secretary of the Department of Regional NSW to ensure the consistent application of the Resource Regulator’s Compliance and Enforcement Policies and Guidelines. The ARC consists of the following members:
a) Independent Chairperson appointed by the Secretary
b) A representative of SafeWork NSW
c) Executive Director Legal and Governance, General Counsel
d) Director Regulatory Programs
e) Chief Investigator
f) Chief Inspector Mine Safety Inspectorate.