Mineral Resources (Sustainable Development) (Extractive Industries) Regulations 2019

The Regulations introduce a set of operational and compliance concepts that define what a compliant extractive industry operation must document and how the Department administers oversight.

Key definitions and conceptual anchors:

• Quarrying hazard and rehabilitation hazard: defined to cover activities and circumstances that may pose a risk to the environment, the public, land, property or infrastructure (reg 5). These are the triggers for hazard identification (reg 9) and the risk management plan (reg 10).
• Safe, stable and sustainable: a defined standard used particularly for rehabilitation outcomes; it is defined to require that the land is not likely to cause injury or illness, is structurally, geotechnically and hydrogeologically sound, is non‑polluting and aligns with principles of sustainable development (reg 5; reg 11(2)(b)(i)).
• Work plan area: the geographic area where the work described in the work plan is or will be carried out (reg 5). The work plan must include a location map showing the work plan area and the 2 km surrounding area with sensitive receptors (reg 8(b)).
• Risk‑based work plans: the Regulations operationalise a risk‑based approach by requiring hazard identification (reg 9), a risk assessment that considers nature, likelihood and consequence (reg 9(d)), and a risk management plan describing measures, performance standards and management systems (reg 10).
• Rehabilitation plans with phased requirements: rehabilitation content depends on the date the work plan is lodged. Work plans lodged on or after 1 July 2021 must include detailed rehabilitation objectives, measurable criteria, a schedule of rehabilitation steps, identification and assessment of relevant risks and projected costs for post‑rehabilitation management (reg 11(1)-(2)). Earlier lodgements are subject to a different, lighter set of content requirements (reg 11(3)-(4)).
• Community engagement: work plans must contain a community engagement plan that identifies affected communities and sets out mechanisms for identifying community expectations, sharing information, receiving and analysing feedback, and registering and responding to complaints (reg 12).
• Declared quarries: where a quarry is “declared” the work plan must include the additional stability and process requirements in Schedule 5, and declared quarries have specialised 6‑monthly reporting tied to stability control measures, monitoring and review outcomes (reg 21; reg 22; Schedule 5).
• Measurement and product classification: reporting requires stone types and product types to be reported using Schedule 4 or a Department‑approved list (reg 19(3)(f),(g); reg 19(5)). Quantities may be reported in cubic metres or tonnes and require densities for conversion (reg 19(3)(f)(ii); reg 19(3)(g)(iv)).

Administrative authorities and discretion:

• Department Head: approves forms, may publish lists of stone types and product types, inspects records and receives royalty returns, and administers fees and forms (reg 6; reg 19(2)(b); reg 19(5); reg 27(2); reg 26(1)).
• Minister: may extend annual report lodgement periods and may nominate alternate 6‑month reporting dates for declared quarries (reg 19(7); reg 22(4)(a)).
• Chief Inspector: can request a written report following a reportable event and is the recipient of reportable event notifications (reg 20(1)).

Fiscal and enforcement mechanisms:

• Fees are tiered by operation type, blasting involvement and proximity to sensitive locations (Schedule 2), and annual fees are scaled to value of sales at gate (Schedule 3). Fees are expressed in fee units (Explanatory details, Fee Units).
• Royalties are prescribed by type and unit (reg 25), and the timing for payment depends on sale or removal and intended on‑site use (reg 25(2)).
• The Regulations identify specified offences as infringement offences with set infringement penalties (reg 28; Schedule 6). Monetary penalties are expressed in penalty units (Explanatory details, Penalty Units).

The Regulations therefore combine prescriptive documentary content, a graded fee structure, distinct obligations for higher‑risk sites (blasting, proximity to sensitive locations, declared quarries), and an infringement notice regime for certain statutory breaches.

Primary regulated parties:

• Holders of extractive industry work authorities and applicants for those authorities. The Regulations repeatedly frame duties and fees as applying to extractive industry work authority holders and applicants, for example fees on lodging a work plan (reg 6), work authority application and annual fees (regs 15-16; Schedule 3), and obligations to give annual reports and royalty returns (regs 19, 26).
• Quarry managers and on‑site personnel: the holder must ensure certain documents are kept at the worksite for use by the manager (reg 24), and the holder must keep records of activities undertaken at the site for verification (reg 23).

Secondary affected parties:

• The Department Head and officers authorised by the Department Head, who receive prescribed forms, may inspect retained records and approve lists and forms (reg 19(2)(b); reg 27(2); reg 19(5)).
• The Chief Inspector, who receives reports of reportable events and may request written follow‑up (reg 20).
• The Minister, who can grant reporting extensions or prescribe reporting dates for declared quarries (reg 19(7); reg 22(4)).
• Owners or occupiers of nearby land, listed community facilities and other “sensitive receptors” defined in the Regulations and Schedule 2, whose safety and amenity are the focus of hazard identification, community engagement and buffer definitions (reg 8(a); Schedule 2(1)).

Commercial and financial stakeholders:

• Quarry operators and their customers are affected by the royalty rates (reg 25), valuation method for “value of total sales at gate” (reg 19(4)), and the annual fee tiers that scale to sales (Schedule 3).
• Corporations face higher infringement penalties in several mapped items in Schedule 6 (for example items 3, 4, 7, 8, 10-13) which differentiates exposure by corporate status.

Others indirectly affected:

• Planning and environmental authorities and proponents for projects subject to Environment Effects Statements or planning permits. The Regulations expressly recognise different work plan fee categories for operations that are subject to EES or planning permits (Schedule 2) and therefore interact with those regimes.
• Parties involved in mining agreements under legacy legislation are captured to the extent Crown land and leased areas are included (reg 25(3) references the Mines (Aluminium Agreement) Act 1961).

Geographic and temporal scope:

• The Regulations apply to extractive industry operations in Victoria (the instrument is a Victorian Statutory Rule) and commenced operation on 26 January 2020 (reg 3). Certain rehabilitation plan content applies only to work plans lodged on or after 1 July 2021 (reg 11(1)-(2)), creating different obligations depending on the lodgement date. Transitional provisions preserve earlier requirements for the 2019-20 annual report and royalty procedures (regs 29-30).

In short, the Regulations affect any person or entity proposing or conducting quarrying or related extractive activities under the Act, impose duties on authority holders and impose inspection, reporting and payment obligations that engage operators, managers, the Department, the Chief Inspector and the Minister.

Duties imposed by the Regulations are procedural, documentary, financial and operational. They are expressed primarily as obligations on extractive industry work authority applicants and holders.

Documentary and planning duties

• A work plan lodged under s 77G(1) of the Act must be accompanied by the fee in Schedule 2 and contain the specific matters listed at reg 7 and corresponding subregulations: description of proposed work (reg 8), hazard identification (reg 9), a risk management plan (reg 10), rehabilitation plan content (reg 11) and a community engagement plan (reg 12).
• If the quarry is a declared quarry, the work plan must also include the mine stability requirements and processes in Schedule 5 (reg 21).
• An application to vary a work plan must be accompanied by the fee in Schedule 2 and must describe any new or changed hazards and include the relevant hazard and risk information and updated rehabilitation or community engagement information depending on lodgement date and the nature of the change (reg 13; reg 14).

Operational duties

• Holders must keep records of activities undertaken under the work authority for verification of information provided to the Minister (reg 23). There is a penalty of 20 penalty units for non‑compliance.
• A copy of the authority, any conditions and the current approved work plan must be kept at the worksite for the manager’s use (reg 24). Penalty: 10 penalty units.
• For declared quarries, holders must report twice yearly on implementation of control measures, monitoring results and outcomes of reviews, including any recommended changes to the work plan (reg 22(2)-(3)).

Reporting duties and timelines

• Annual reporting: for financial years commencing 1 July 2020 and later, an annual report containing detailed extraction, production and sales information is prescribed information under s 116A(1) and must be furnished in the Department Head’s approved form (reg 19(2)-(3)). The report must include stone types, densities, stratigraphic units, extraction depths, quantities (m3 or tonnes), product types produced and value of total sales at gate, plus the most recent stone resources estimate (reg 19(3)(f)-(h)). Timing: within 31 days after the end of each financial year unless the Minister extends the period (reg 19(6)-(7)).
• Reportable events: the holder must report specified events (explosion, slope failure, injury to a member of the public, uncontrolled gas outburst, unexpected groundwater inrush, fly rock ejection outside work plan area, spillages of harmful substances, breaches of conditions likely to cause risk, etc.) either orally or in writing with the basic details, and must provide a written report if requested by the Chief Inspector (reg 20(1)-(2)). Penalty for failure to comply with immediate reporting: 20 penalty units for non‑compliance with reg 20(3) and reg 20(4) (Schedule 6 items 15-16 also supply infringement penalties).

Financial duties

• Fees: applicants must pay fees for lodgement and variation according to Schedule 2; application for an authority must be accompanied by 88.5 fee units (reg 15); annual fees are payable per Schedule 3 based on value of sales at gate (reg 16; Schedule 3). Timing: annual fees due within 31 days after the end of the financial year to which they relate, except for the 2019-20 year which had a specific date (reg 16(2)-(3)).
• Royalties: prescribed royalty rates are set per item and unit (reg 25(1)). Royalty payment timing is within 30 days after the Department Head receives the production and royalty return for the financial year in which the stone is sold or removed, or if used on the quarry site for manufacture, in the financial year in which the stone is extracted (reg 25(2)). A royalty return must be provided within 31 days of the end of each financial year in the Department Head’s approved form (reg 26(1)-(2)).

Rights or administrative mechanisms available to regulated parties

• The Department Head approves the forms for annual report and royalty return and may publish an approved list of stone and product types to be used for reporting (reg 19(2)(b); reg 19(5)).
• The Minister may extend the annual reporting timeframe if requested within 31 days of the end of the financial year (reg 19(7)).
• Holders have a right to request variation or transfer of work authorities subject to payment of the prescribed fees (regs 17-18).
• The Department Head or authorised officers have a right to inspect retained books and records relating to royalties (reg 27(2)); this gives the Department a document‑access enforcement power for royalty verification.

Other duties that affect behaviour

• The requirement to identify sensitive receptors within a 2 km area and to map sensitive locations (reg 8(a)-(b)) and the fee differentials linked to proximity to sensitive locations and to whether blasting is involved (Schedule 2) create an explicit compliance and financial incentive to limit blasting or to avoid operations close to sensitive locations.
• Rehabilitation obligations, including the requirement to identify relevant post‑rehabilitation risks and projected costs for long‑term management (reg 11(2)(f)(iii)), assign a cost and administrative burden to closure planning and post‑closure monitoring.

Each of these duties carries a specified penalty (where stated) or is listed as an infringement in Schedule 6. The text of the Regulations often cross‑references the Act for procedural powers and enforcement mechanisms (for example, the use of infringement notices under Part 12 of the Act; reg 28).

The Regulations set out an infringement notice framework and specific statutory penalties for particular breaches, and they enable departmental inspection and Ministerial administrative measures.

Infringements and penalty units

• Regulation 28 prescribes certain offences under the Act as infringement offences and delegates the prescribed infringement penalties to Schedule 6. Schedule 6 matches specific Act provisions and a number of Regulation provisions to set infringement penalties in penalty units (reg 28; Schedule 6).
• Examples from Schedule 6 include:
  • Offences under section 8AA(a) and (b) of the Act: 10 penalty units each (Schedule 6 items 1-2).
  • Offences under section 8AB(1) and (2): 25 penalty units for a corporation or 5 penalty units for any other case (Schedule 6 items 3-4).
  • Offences under section 77Q(1) and (2) of the Act: 5 penalty units each (Schedule 6 items 5-6).
  • Several serious offences attract higher infringement penalties for corporations (for example, item 8 maps s 80(6) to 60 penalty units for corporations and 12 penalty units for others).
  • Regulation‑specific offences and penalties: reg 20(3) and reg 20(4) breaches have 5 penalty unit infringement penalties set out in Schedule 6 items 15-16; reg 23 breach has an item 17 penalty of 5 penalty units; reg 24 breach has item 18 penalty of 2 penalty units; reg 26(1) and reg 27(1) breaches appear as items 19 and 20 with 5 and 2 penalty units respectively (Schedule 6).
• Penalty units are monetary measures whose dollar value is fixed under the Sentencing Act and Monetaries Act regime; the Explanatory details set the unit values for FY 2019/20 as $165.22 per penalty unit and $14.81 per fee unit for fee calculations for FY 2019/20, and note that future values are fixed by the Treasurer and published (Endnotes, Explanatory details). The monetary exposure therefore changes over time with the statutory unit valuation.

Enforcement mechanisms and administrative powers

• The Department Head may inspect books and records retained under reg 27(1) “for the purposes of assessing or verifying the amount of royalties payable” and may authorise officers to inspect the books (reg 27(2)). This is a direct administrative compliance mechanism for royalties.
• The Chief Inspector can require a written report following a reportable event (reg 20(1)(b)). Failure to comply with report obligations under reg 20 attracts a penalty of 20 penalty units (reg 20(3)-(4)); Schedule 6 sets infringement penalties for reg 20(3) and (4) at 5 penalty units each (Schedule 6 items 15-16) in the infringement schedule mapping.
• Failure to produce required records or to keep documentation at the worksite is a specified regulatory breach with a penalty (reg 23 and reg 24; Schedule 6 items 17-18 provide infringement penalties of 5 and 2 units respectively).
• Annual report and royalty return obligations are enforceable: reg 19 prescribes annual report content and timing; reg 26(1) prescribes the royalty return requirement and timing with a penalty of 20 penalty units for non‑provision; Schedule 6 item 19 sets an infringement penalty of 5 penalty units for reg 26(1) (and item 20 sets 2 penalty units for failure to retain royalty records per reg 27(1)).

Criminal and civil interplay

• The Regulations mainly map breaches to administrative infringement penalties but also cross‑refer to the Act for offences which may carry different criminal sanctions under the Act itself. Parties must consult the Act for the substantive elements of offences such as those in sections mapped by Schedule 6 (reg 28; Schedule 6).
• The Regulations authorise administrative enforcement (inspection, infringement notices, penalties) rather than creating separate new criminal offences beyond those in the Act.

Practical enforcement consequence

• Corporations are exposed to materially higher fixed monetary infringement penalties in several items (Schedule 6). The Department’s inspection power for royalties (reg 27(2)) and the requirement to keep records and supplies of approved forms create an evidentiary base for enforcement. The Minister and Department Head retain administrative discretion (extensions, approval of forms and lists, and scheduling).

Users should calculate monetary exposure in current dollars using the Treasurer’s published fee and penalty unit values for the relevant financial year as set out in the Explanatory details and subsequent Treasurer notices.

The Regulations are expressly framed as subordinate legislation under the Mineral Resources (Sustainable Development) Act 1990 and integrate with multiple other legislative instruments.

Primary enabling and reference instruments

• The Regulations are made under s 124 of the Mineral Resources (Sustainable Development) Act 1990 (reg 2) and operationalise particular Act provisions including s 77G (work plan requirements), s 77H (variations), s 77I (application for authority), s 77J (annual fees), s 77KA (reportable events), and s 116A (information to be furnished to the Minister) as repeatedly cross‑referenced in regs 6-14, 15-18, 19, 20 and elsewhere.
• Part 12 of the Act (infringement regime) is engaged by reg 28 which prescribes certain Act offences as infringement offences, and Schedule 6 assigns the infringement penalties (reg 28; Schedule 6).

Other statutes and administrative frameworks referenced

• Environment Effects Act 1978: Schedule 2 distinguishes EES work plans and prescribes different fee categories and amounts for projects subject to EES (Schedule 2 cl 1(1) and the fee tables). This creates an interaction with the EES process, effectively treating an EES work plan as a distinct lodgement category.
• Planning permits: Schedule 2 similarly recognises “SE work plans” where a planning permit is required and sets fee categories accordingly, creating a direct interface with local planning approvals.
• Mines (Aluminium Agreement) Act 1961: reg 25(3) clarifies that references to Crown land include ‘leased area’ as defined in the Agreement in Schedule 1 to that Act. This integrates legacy aluminium mining arrangements into the royalty scheme.
• Monetary Units Act 2004 and Sentencing Act 1991: fees and penalties are expressed in fee units and penalty units, with the Explanatory details explaining valuation and adjustment mechanisms under those Acts. The calculation and publication procedures for fee/penalty unit values are governed by those statutes.
• Subordinate Legislation Act 1994: the instrument will sunset 10 years after making (Endnotes), invoking the subordinate legislation lifecycle under that Act.
• Interpretation of Legislation Act 1984 (ILA): the Endnotes emphasise that notes, headings, punctuation and examples form part of the instrument where the ILA requires this, so users must treat certain notes and examples as part of the legal text when interpreting the Regulations (Endnotes, ILA interpretation).

Operational and compliance overlap risk

• The Regulations deliberately align with planning and environmental processes by distinguishing EES and SE work plan categories and by requiring maps, sensitive receptor identification and community engagement (reg 8; reg 12; Schedule 2). This can create parallel compliance requirements for a project that is also undergoing planning permit or EES processes, and requires coordination between the proponent and statutory planning/environmental processes to avoid duplicated effort or inconsistent conditions.
• The royalty rules operate alongside contractual and commercial arrangements for sale; the definition of “value of total sales at gate” (reg 19(4)) is a valuation rule that affects annual fee tiering (Schedule 3) and must be applied consistently for reporting and royalty purposes.

Statutory cross-reference implications

• Many obligations reference sections of the Act for the substantive power or process (for example s 77G(3) and s 116A(1)), so a full compliance analysis requires reading the Act provisions to identify timing, review and appeal rights not reproduced in the Regulations.
• The Regulations’ mapping of Act offences to infringement penalties in Schedule 6 does not supplant the Act’s substantive offence elements; for enforcement and defence preparation, practitioners must combine the Regulations and the Act text.

In short, the Regulations are integrated with environmental assessment, planning, royalties and sentencing/monetary unit regimes and require operators to manage a multi‑statute compliance environment.

The Regulations were made by the Governor in Council under s 124 of the Act (reg 2), made on 10 December 2019 and commenced 26 January 2020 (reg 3; Endnotes). The instrument records revocation of the 2010 extractive industry Regulations and 2014/2015 amendments (Schedule 1 revoking S.R. Nos 3/2010, 154/2014 and 150/2015) (reg 4; Schedule 1).

Notable amendments and incorporated instruments

• The published version incorporates amendments as at 23 June 2020 (Version No. 002) and includes the Mineral Resources (Sustainable Development) (Extractive Industries) Amendment Regulations 2020, S.R. No. 55/2020, made 23 June 2020 and commencing 23 June 2020 (Endnotes, Table of Amendments). The text indicates reg 16(2) was substituted and reg 16(3) inserted by S.R. No. 55/2020 (see reg 16 annotation).
• Transitional provisions remain in force to save particular requirements for the financial year ending 30 June 2020: regulation 29 saves regulation 11 of the 2010 Regulations for the 2019-20 annual report; regulation 30 saves regulations 17 and 18 of the 2010 Regulations for royalty payments and returns for that year (regs 29-30).

Sunset and temporal structure

• The Explanatory details in the Endnotes state the Regulations will sunset 10 years after the day of making, i.e. 10 December 2029, under the Subordinate Legislation Act 1994 (Endnotes).
• Fee unit and penalty unit dollar values provided in the Explanatory details apply to the financial years commencing 1 July 2019 and 1 July 2020 respectively (fee unit $14.81; penalty unit $165.22 for the 2019/20 period as published in the Explanatory details). These values are subject to annual Treasurer determinations and publication requirements under the Monetary Units Act 2004 and the Sentencing Act 1991; subsequent fee/penalty calculations will track those updates.

Revocations and continuity

• Schedule 1 explicitly revokes the prior Extractive Industries Regulations (S.R. No. 3/2010) and its 2014 and 2015 amendments, thereby replacing the prior subordinate legislative architecture (Schedule 1).
• The transitional provisions (regs 29-30) are narrowly tailored to preserve reporting and royalty procedures for the 2019-20 financial year, indicating a controlled transitional approach rather than an unconditional repeal of prior obligations.

Practical implications of amendments

• The S.R. No. 55/2020 amendment that altered reg 16 demonstrates that the annual fee timing and payment arrangements were adjusted shortly after commencement; users must therefore consult the version in force for the relevant period (reg 16 and Endnotes). The Regulations’ endnotes and table of amendments should be checked to ensure the operative text corresponds to the time period under review.

The text of the Regulations and the Endnotes do not refer to any judicial decisions, appeals or litigation testing these specific Regulations. The instrument contains no citations to cases and does not record any judicial interpretation. Where Schedule 6 maps offences to infringement penalties, the substantive legal elements of those offences remain in the parent Act; any litigation arising out of alleged breaches would involve prosecution or appeal under the Act and the Act’s relevant sections rather than being initiated under the Regulations themselves (reg 28; Schedule 6).

Because the Regulations operate largely as procedural and fee‑setting subordinate legislation, the typical litigation pathways would be:

• Challenges to administrative decisions made under the Act (for example, refusal or imposition of work plan conditions) where the Act provides merits review or judicial review routes.
• Defences and appeals in prosecutions or infringement disputes where the Act sets out the offence elements (Schedule 6 maps the Act offences to infringement notices).
• Judicial review of Department Head or Ministerial exercise of discretion where statutory limits or procedural fairness issues arise (for example, refusal to accept a work plan or decisions on forms/approvals), though none of these potential disputes are referenced in the instrument.

Practitioners should therefore rely on the Act and subsequent case law (not referenced in the instrument) to analyse litigation risk, elements of offences mapped in Schedule 6, and grounds for review of administrative actions taken under the Regulations.

Several specific traps for operators and advisers arise from the text of the Regulations. These are concrete implementation issues and timing or measurement pitfalls that the Regulations themselves create.

Different content standards by lodgement date

• Rehabilitation plan content changes depending on when the work plan is lodged. Work plans lodged on or after 1 July 2021 must include substantially more prescriptive rehabilitation detail (reg 11(1)-(2)), including objectives, measurable criteria, timelines, identification and projected costs for relevant post‑rehabilitation risks. Work plans lodged before that date fall under a lighter transitional standard (reg 11(3)-(4)). Failure to recognise which regime applies to a variation or to a work plan may lead to incomplete lodgements or refusal.

Measurement units and density requirements

• Reporting requires quantities in cubic metres or tonnes and, where reported in cubic metres, requires reporting of density for the stone and product types (reg 19(3)(f)(ii); reg 19(3)(g)(iv)). Incorrect unit conversions or failure to provide density figures will produce inconsistent reporting and may hinder royalty and annual fee calculations. The Department Head may provide an approved list of stone and product types (reg 19(5)), which can change the reporting taxonomy.

Fee categorisation hinges on blasting and buffer definitions

• Schedule 2 divides work plan and variation fees by whether blasting is involved and by the presence of sensitive locations within specific buffer distances (200 m for non‑blasting, 500 m for blasting). The Schedule also excludes buffer zones from perimeter calculations (Schedule 2 cl 1(3)). Misinterpreting “sensitive location”, which excludes premises owned by the applicant (Schedule 2 cl 1(1)), or failing to exclude buffer zones when calculating proximity, can result in underpayment or overpayment of fees or incorrect categorisation.

Declared quarry special requirements and reporting cadence

• Declared quarries require inclusion of Schedule 5 materials in the work plan (reg 21; Schedule 5). Once declared, reporting periods are six months and may be nominated by the Minister; failing to follow that exact cadence or to include Schedule 5 content will create compliance gaps (reg 22). Schedule 5 requires geotechnical/hydrogeological risk assessments, groundwater control descriptions, monitoring plans and review processes,all technical inputs that typically require engineers/hydrogeologists.

Timing traps for payments and returns

• Annual reports and royalty returns have strict timing: annual report within 31 days after the end of each financial year unless extended by the Minister (reg 19(6)-(7)); royalty return within 31 days of the end of each financial year (reg 26(1)). Annual fees are payable within 31 days after the end of the financial year (reg 16(2)). For the 2019-20 year, reg 16(3) provided a specific payment date of 31 January 2021; transitional arrangements may vary between years. Missing these windows exposes operators to infringement penalties that are tied to penalty unit valuations.

Differences between extraction and removal for royalty timing

• Royalties become payable within 30 days after the Department Head receives the production and royalty return for either the financial year in which the stone is sold or otherwise removed from the land, or, if the product is to be used on site for manufacture, the financial year in which it is extracted (reg 25(2)). Practically this requires careful tracking of whether stone is removed/sold or retained for on‑site manufacture, as the timing and basis for payment differs.

Record retention and inspection

• Sales and extraction records must be retained for six years for royalty verification (reg 27(1)). The Department Head or authorised officers may inspect these records (reg 27(2)). Record fragmentation, offsite document storage or failure to archive sells and load‑out records may therefore be a practical compliance risk.

Infringement schedule differences for corporations and individuals

• Several mapped infringement penalties differentiate between corporations and other persons (Schedule 6 items 3-4, 7-8, 10-13). Corporations face higher fixed penalties. Where an operator is a corporate entity, the monetary exposure for infringement notices may be substantially larger.

Site documentation obligations are strict and low cost to enforce

• The obligation to keep a copy of the authority, its conditions and the approved work plan at the worksite (reg 24) is a simple audit point with a 10 penalty unit infringement if breached. Failure to maintain accessible documentation for the manager is a common operational failure mode.

Overlap with other approvals and the Department’s discretion

• The Regulations’ tie‑ins with EES and planning permit categories (Schedule 2) create potential duplication or timing conflicts between planning/EES processes and the work plan lodgement/approval under the Act. The Department Head’s approval of forms and lists and the Minister’s power to extend reporting periods introduce administrative discretion that may vary practice from site to site. Operators should avoid assuming uniform departmental practice.

Ambiguous or open phrases

• The Regulations use “as far as reasonably practicable” in the risk management plan requirement (reg 10(a)) and the Act provides further legal context. These phrases embed a reasonableness standard that requires documented evidence of risk assessment, selection of control measures and cost‑benefit analysis; inadequate documentation may not meet the standard.

Practical mitigation: identify these specific procedural and technical requirements early in project planning, ensure engineering and environmental inputs are commissioned to meet Schedule 5 and reg 11(2) standards as applicable, and build administrative processes to track reporting windows, royalty calculations (including density conversions), and record retention.

Compliance requires integrated project, environmental, technical and administrative controls. Below is a practical, source‑grounded compliance checklist mapped to the Regulations’ principal obligations.

1. Pre‑lodgement and work plan preparation

• Determine the correct category for fee purposes (Schedule 2): ascertain whether the project is an SE work plan (planning permit required), an EES work plan (subject to EES), involves blasting, and whether any sensitive locations are within the defined distances (Schedule 2 cl 1, fee tables). Exclude buffer zones when calculating perimeters (Schedule 2 cl 1(3)). Pay the appropriate lodgement fee when lodging the work plan (reg 6; Schedule 2).
• Prepare the work plan to include the information prescribed at reg 7 and its subregulations: description of proposed work (reg 8,maps, sensitive receptor identification within 2 km, geology, operations), detailed hazard identification (reg 9), a risk management plan with measures, performance standards and accountability (reg 10), a community engagement plan addressing identification of affected communities, information sharing and complaint handling (reg 12), and the rehabilitation plan content required for the lodgement date (reg 11(2) for lodgements on or after 1 July 2021; reg 11(4) for earlier lodgements).
• If the site is or may be declared a declared quarry, include Schedule 5 material in the work plan: geotechnical and hydrogeological assessments, groundwater control description, stability control measures, monitoring plan and review processes (reg 21; Schedule 5).

2. Technical inputs and documentation

• Engage qualified geotechnical and hydrogeological professionals to prepare the geotechnical risk assessment and monitoring plans required for declared quarries and for the risk assessments in reg 9 and Schedule 5.
• Document hazard likelihoods, consequences and control measures using evidence and, for each control, set measurable performance standards and monitoring/inspection procedures (reg 9; reg 10).
• Prepare maps at appropriate scale showing the work plan area and the 2 km surrounding area with sensitive receptors, Crown/private land status, infrastructure and riparian features (reg 8(b)).

3. Financial compliance and recordkeeping

• For royalty and annual fee calculations, set up an extraction and sales ledger that records quantities by stone type and product type consistent with Schedule 4 or with a Department‑approved list (reg 19(3)(f)-(g); reg 19(5)). Record density figures where cubic metre volumes are used (reg 19(3)(f)(ii); reg 19(3)(g)(iv)).
• Prepare to file the annual report (reg 19) and royalty return (reg 26) in the Department Head’s approved forms within 31 days of the end of the financial year. Build a calendar reminder and allocate responsibility for submission. For the annual fee payable under Schedule 3, populate the fee band using reported sales at gate (Schedule 3) and pay within 31 days of the financial year end (reg 16(2)). For the 2019-20 year, check reg 16(3) or transitional dates as applicable.
• Retain books and records of sales and extraction for six years and ensure they are accessible for departmental inspection (reg 27(1)-(2)). Maintain an auditable trail of load‑out tickets, weighbridge records, invoices and internal stock reconciliation.

4. On‑site documentation and site manager responsibilities

• Ensure a copy of the extractive industry work authority, any conditions and the current approved work plan are kept at the worksite or other place where the activity is being carried out, accessible to the manager (reg 24). Assign responsibility for on‑site document control and versioning.

5. Reporting, incident response and monitoring

• Establish incident reporting procedures that meet reg 20: immediate oral or written notification with date, time, place, description and immediate steps taken, and pre‑prepared templates for longer written reports if the Chief Inspector requests one (reg 20(1)). Train staff on the list of reportable events in reg 20(2) (explosion, slope failure, public injuries, uncontrolled gas, unexpected inrushes, fly rock beyond work plan, spills, breaches of conditions likely to cause risk, and other abnormal or significant events).
• For declared quarries, implement the monitoring plan from Schedule 5 clause 4 and prepare 6‑monthly reports that include implementation of control measures, monitoring results, outcomes of reviews and recommended changes to the work plan (reg 22(2)-(3)). Liaise with the Department to confirm reporting dates if the Minister has nominated alternative dates (reg 22(4)).

6. Community engagement and complaint handling

• Implement the community engagement plan required by reg 12. Maintain a complaints register that records the date, nature of complaint, investigation, response and resolution. Use the register to inform rehabilitation and operational adjustments and to satisfy any community consultation obligations in the work plan.

7. Variation, transfer and authority lifecycle

• If the project changes such that new or changed quarrying or rehabilitation hazards arise, prepare a variation application with the information required in reg 14 and pay the relevant variation fee in Schedule 2 (reg 13; reg 14). For transfers of work authorities, pay the transfer fee (reg 18). For requests to vary a work authority under s 77M, ensure the request is accompanied by the fee of 20 fee units (reg 17).

8. Internal controls and audit

• Establish internal controls to reconcile tonnes to cubic metres where necessary and to calculate royalties using the prescribed per‑unit rates (reg 25(1)). Document valuation of “value of total sales at gate” according to reg 19(4) to support annual fee band placement and for the annual report.
• Conduct periodic internal audits of compliance with record retention, on‑site documentation, incident reporting and rehabilitation milestones, and schedule reviews timed to feed into the Department’s monitoring and the declared quarry review requirements (Schedule 5 clause 5).

9. Administrative interactions and discretion

• Use the Department Head’s approved forms and any Department‑published lists for stone/product classification (reg 19(2)(b); reg 19(5)). If timing pressures exist, consider requesting a Ministerial extension for the annual report within 31 days of the financial year end (reg 19(7)).
• For uncertainties about the classification of “sensitive locations” (Schedule 2 cl 1), consult the Department or check Government Gazette notices for declared sensitive places. If in doubt about buffer zones or perimeter calculations, obtain a written departmental direction or confirmation.

10. Keep fee and penalty unit monitoring in place

• Because fees and penalties are expressed in units whose dollar value changes annually under the Monetary Units Act and the Sentencing Act (Endnotes, Explanatory details), update your fee/penalty calculations each financial year using the Treasurer’s published fee and penalty unit values.

Applying these steps creates a defensible compliance posture aligned with the Regulations’ documentary, financial and operational requirements. The legislative source maps precise content and timing obligations; a coordinated approach integrating technical specialists, community engagement processes and a dedicated compliance administrator will materially reduce enforcement risk.