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.

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.


Enforceable undertakings

The Enforceable undertakings guidelines PDF (175 KB PDF) set 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 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 the NSW Office of the Director of Public Prosecutions prosecution guidelines.