New Compliance Policy 21st November 2017

DNRME compliance_policy 2001 to 2008

2017 Pyramid

prosecution-policy 2018

The 7 step diagram has now been excised from the Policy

Principles

We achieve our regulatory objectives through compliance action that is systems-focussed and proportionate to the risk and/or circumstances.

In making decisions about the compliance action we may take, we have regard to:

• The nature of the particular risk;
• Whether the non-compliance is systemic and/or recurrent;
• The nature of the non-compliant behaviour, considering evidence of:

− disengagement with, or resistance to, safety and health regulation

−    the capacity of the obligation-holder

−    the extent to which the non-compliance was deliberate, negligent or accidental.

It is important to understand the broad characteristics of the different compliance actions that we may take in a given case. Our compliance activities may exhibit one or a combination of the following characteristics:

• Educational: Particular actions are taken with a view to ensuring relevant parties have the information, advice and support they need to achieve an acceptable level of risk in their activities and operations. We also strive to raise awareness and disseminate information about safety and health matters across stakeholder groups, with a view to improving performance.
• Corrective: In some cases, we take interventionist action to ensure that risk is at an acceptable level.
• Deterrent: We take action to deter substandard safety and health practices and incentivise behaviours that are conducive to improved safety and health. This action may be directed at specific persons, or industry in general.
• Punitive: Where it is in the public interest, we pursue punitive action in respect of recurrent, recalcitrant or particularly egregious non-compliance.

We balance all of these principles and characteristics in determining which actions are most appropriate for a given case. This is reflected in the diagram below, which depicts how we identify a regulatory response that is appropriate and effective

https://www.dnrm.qld.gov.au/?a=109113:policy_registry/prosecution-policy.pdf&ver=1.00