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Regulator Performance Framework

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15 December 2016

Contents

Introduction

The Regulator Performance Framework has been established to assess regulators’ performance when interacting with business, the community and individuals whilst carrying out their functions.

The objective of the Framework is to improve the way regulators operate, reduce the costs incurred by business, individuals and the community from the administration of regulation, and to increase the public accountability and transparency of regulators.

The Regulator Performance Framework (the Framework) comprises six outcomes-based key performance indicators (KPIs) to articulate the Government’s overarching expectations of regulator performance:

  1. Regulators do not unnecessarily impede the efficient operation of regulated entities
  2. Communication with regulated entities is clear, targeted and effective
  3. Actions undertaken by regulators are proportionate to the regulatory risk being managed
  4. Compliance and monitoring approaches are streamlined and coordinated
  5. Regulators are open and transparent in their dealings with regulated entities
  6. Regulators actively contribute to the continuous improvement of regulatory frameworks.

These KPIs are supported by measures of good regulatory performance to assist regulators in assessing their achievement of the KPIs.

The Framework requires regulators to undertake an annual self-assessment. The first reporting period is from 1 July 2015 to 30 June 2016. Further information on the Framework is available at the Cutting Red Tape website.

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Assessing our achievement of the KPIs

In consultation with the Australian Industry Greenhouse Network, Carbon Markets Institute and Clean Energy Council, we have developed a series of qualitative and quantitative output based activities to measure our performance against the six KPIs.

The first report assessing our achievement of the KPIs will be available following completion of the first assessment period (30 June 2016), and annually thereafter.

These reports will focus on our performance as a regulator and our engagement with stakeholders.

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The Clean Energy Regulator Performance Framework - KPIs

Key Performance Indicator 1: The Clean Energy Regulator does not unnecessarily impede the efficient operation of regulated entities

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

1.1 The Clean Energy Regulator demonstrates an understanding of the operating environment of the industry, or organisation, or the circumstances of individuals and the current emerging issues that affect the sector.

1.1.1 Documented knowledge base of regulated entities, their environment and issues impacting them.

1.1.2 Demonstrated review and continuous improvement of the knowledge base of regulated entities.

1.2 The Clean Energy Regulator takes actions to minimise the potential for unintended negative impacts of regulatory activities on regulated entities or affected supplier industries and supply chains.

1.2.1 Regular, ongoing consultations or engagement with stakeholders including independent experts, service providers and industry associations.

1.2.2 Documented responsiveness to feedback from regulated entities, including feedback from existing complaint mechanisms and surveys of regulated entities.

1.3 The Clean Energy Regulator implements continuous improvement strategies to reduce the costs of compliance for those they regulate.

1.3.1 Demonstrated engagement with similar organisations, including where relevant international agencies, to learn from peer experiences and share better practice.

1.3.2 Documented initiatives to reduce the regulator burden including the costs of compliance.


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Key Performance Indicator 2: The Clean Energy Regulator communicates with regulated entities in a clear, targeted and effective manner

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

2.1 The Clean Energy Regulator provides guidance and information that is up to date, clear, accessible and concise through media appropriate to the target audience.

2.1.1 Timely publication of accurate and accessible information sufficient to facilitate regulated entities’ understanding and compliance with their obligations.

2.2 The Clean Energy Regulator considers the impact on regulated entities and engages with industry groups and representatives of the affected stakeholders before changing policies, practices or service standards.

2.2.1 Regular, ongoing consultations or engagement with stakeholders on policies and procedures, including independent experts and industry associations.

2.2.2 Documented responsiveness to feedback from regulated entities, including feedback from complaint mechanisms and surveys of regulated entities.

2.3 The Clean Energy Regulator’s decisions are provided in a timely manner, clearly articulating expectations and the underlying reasons for decisions.

2.3.1 Maximum, minimum and average time for decisions evidenced by publication of timeframes for decision making subject to the decisions.

2.3.2 Demonstrated mechanisms for affording procedural fairness and escalation points for prospective decisions.

2.4 The Clean Energy Regulator’s advice is consistent and supports predictable outcomes.

2.4.1 Documented procedures for communications are available for staff use when interacting with regulated entities.

2.4.2 Demonstrated advice provided to regulated entities is consistent with communication policies.


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Key Performance Indicator 3: Actions undertaken by the Clean Energy Regulator are proportionate to the regulatory risk being managed

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

3.1 The Clean Energy Regulator applies a risk-based, proportionate approach to compliance obligations, engagement and regulatory enforcement actions.

3.1.1 Documented risk management policies and procedures are available to regulator staff and the public.

3.1.2 The Clean Energy Regulator maintains risk management capability in its regulatory workforce.

3.2 The Clean Energy Regulator’s approach to regulatory risk is regularly reviewed. Strategies, activities and enforcement actions are amended to reflect changing priorities, evolving threats, without diminishing regulatory certainty​ or impact.

3.2.1 Documented approaches in place to review risk approaches.

3.2.2 Documented risk based approach to enforcement (and evidence to support approach being used in practice).

3.3 The Clean Energy Regulator recognises the compliance record of regulated entities, including using earned autonomy where this is appropriate. All available and relevant data on compliance, including evidence of relevant external verification is considered.

3.3.1 Documented enforcement strategy which allows for the compliance records of regulated entities to be considered in determining regulatory actions.

3.3.2 Demonstrated engagement with regulated entities to inform them of the regulators’ expectations.


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Key Performance Indicator 4: Compliance and monitoring approaches are streamlined and coordinated

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

4.1 The Clean Energy Regulator’s information requests are tailored and only made when necessary to secure regulatory objectives, and only then in a way that minimises impact.

4.1.1 Evidence of collected information being acted upon, stored and re-used, where appropriate.

4.1.2 Documented decision-making procedures for use of coercive information requests (including the necessity and impact of the request).

4.2 The Clean Energy Regulator’s frequency of information collection is minimised and coordinated with similar processes including those of other regulators so that, as far as possible, information is only requested once.

4.2.1 Documented re-use of information both intra- and inter-agency.

4.2.2 Evidence of streamlining information sharing across jurisdictions and in relation to information sharing amongst regulators.

4.3 The Clean Energy Regulator utilises existing information to limit the reliance on requests from regulated entities and shares the information among other regulators, where possible.

4.3.1 Evidence of collected information being acted upon, stored and re-used, where appropriate.

4.3.2 Evidence of established information sharing practices and arrangements, including MOUs.

4.4 The Clean Energy Regulator bases monitoring and inspection approaches on risk and, where possible, takes into account the circumstance and operational needs of the regulated entity.

4.4.1 Monitoring and inspection methodologies that allows for a range of regulatory responses depending on risk.


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Key Performance Indicator 5: The Clean Energy Regulator is open and transparent in its dealings with regulated entities

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

5.1 The Clean Energy Regulator’s risk-based frameworks are publicly available in a format which is clear, understandable and accessible.

5.1.1 Enforcement strategy and risk approach are published.

5.1.2 Demonstrated communications with regulated entities include clear and consistent reasons for the communication and, where relevant, linkage with the risk framework.

5.2 The Clean Energy Regulator is open and responsive to requests from regulated entities regarding the operation of the regulatory framework, and approaches implemented by the Clean Energy Regulator.

5.2.1 Demonstrated advice and guidance is available to all stakeholders.

5.2.2 Documented responsiveness to feedback from regulated entities, including feedback from complaint mechanisms and surveys of regulated entities.

5.3 The Clean Energy Regulator’s performance measurement results are published in a timely manner to ensure accountability to the public.

5.3.1 Performance measurement results are published.


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Key Performance Indicator 6: The Clean Energy Regulator actively contributes to the continuous improvement of regulatory frameworks

Measure of good regulatory performance required by Regulator Performance FrameworkOutput/activity-based evidence

6.1 The Clean Energy Regulator establishes cooperative and collaborative relationships with stakeholders to promote trust and improve the efficiency and effectiveness of the regulatory framework.

6.1.1 Documented procedures are in place to allow active and regular engagement with stakeholders.

6.1.2 Feedback mechanisms are available and made known to all stakeholders.

6.2 The Clean Energy Regulator engages stakeholders in the development of options to reduce compliance costs. This could include industry self-regulation, changes to the overarching regulatory framework, or other strategies to streamline monitoring and compliance approaches.

6.2.1 Number of stakeholder events held to facilitate participation in the development and/or amendment of regulatory frameworks.

Linked to Measure 1.3.

6.3 The Clean Energy Regulator regularly shares feedback from stakeholders and performance information (including from inspections) with policy departments to improve the operation of the regulatory framework and administrative processes.

6.3.1 Documented procedures are in place to facilitate the flow of information between the regulator and policy departments.

6.3.2 Evidence of performance data, feedback from regulated entities, and/or advice provided by the regulator to the policy departments.


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