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Engaged, active and compliant clients

We want our clients to be informed, capable and willing to comply. To be effective, we need to attract and retain clients that meet the requirements of our voluntary schemes and can benefit from our schemes’ incentives. We also need to encourage compliance by assisting clients that have mandatory obligations under the schemes and to deter those not willing to comply.

Strategy

  • Invest in knowing our clients and communicating with them in a way that meets their needs.
  • Use client education and guidance materials to help potential clients understand how to participate in, and comply with, our schemes.
  • Set clear and consistent expectations with our clients.
  • Further develop tools that assist our clients to self-select in only if they have adequate capacity and capability to meet the requirements and achieve the anticipated results.
  • Manage non-compliance and influence client behaviour by communicating the regulatory responses and actions we take to address non-compliance, including the use of targeted enforcements to act as a deterrent.

Strategic priorities

  • Understand the impact of emerging technologies, changing business models and market behaviour on clients and our schemes.
  • Co-design system enhancements with our clients to provide self-service assessments to reduce the regulatory burden on clients and to improve administrative efficiency.
  • Enhance our compliance capability through data analytics and increased collaboration with stakeholders to deter or respond to non-compliance and effectively communicate the consequences of non-compliance.
  • Seek out and draw upon external technical expertise to further develop and improve existing guidance tailored to relevant sectors.
  • Provide proactive and timely communications to our clients and the market on any new scheme opportunities or obligations.
  • Evaluate the effectiveness and realise the benefits of changed client behaviour as a result of the regulatory actions we have taken in response to serious non-compliance.
  • Enable clients to benchmark against other industry participants.
  • Recalibrate controls in the Renewable Energy Target scheme after 2020.

Key Performance Indicators

  • Level of client satisfaction with engagement and guidance provided.
  • Proportion of client contacts resolved at first interaction.
  • Number of Australian carbon credit units issued.
  • Number of renewable energy certificates validated.
  • Proportion of applications processed within statutory or agreed timeframes.

Compliance Priorities

The approach we take to compliance sets the standard at which we engage with our clients in performing our functions as a regulator, ensuring that participants remain active in our schemes and that our clients comply with their obligations.

Our Compliance, Education and Enforcement Policy outlines the approach we take to optimise compliance with the schemes we administer. This includes taking a risk-based approach to verification, monitoring and enforcement, and focusing on individuals and organisations that pose material risks to our schemes.

Our compliance approach matures as we continue to learn more about our clients, market drivers and behaviours. To clearly communicate our compliance expectations to clients, we publish our annual compliance priorities. In setting our compliance priorities we use a risk-based approach to ensure that we maximise our effectiveness, support the integrity of the schemes we administer and send the right signals to encourage compliance while minimising the compliance burden on clients.

As outlined in detail in our Compliance Priorities 2018—19, our areas of focus for this year include:

  • ensuring Emissions Reduction Fund regeneration projects receive the correct amount of Australian carbon credit units
  • ensuring Emissions Reduction Fund contract deliveries are made on time
  • monitoring the accuracy of emissions and energy data reporting in the oil and gas, coal mining, power generation and transmission, and landfill sectors
  • monitoring the integrity of data reported under schemes where a greenhouse and energy auditor is used
  • assessing the accuracy of claims for calculated baselines for safeguard facilities
  • ensuring only eligible systems receive small-scale technology certificates
  • ensuring only eligible renewable generation receives large-scale generation certificates, and
  • ensuring relevant embedded generators on mine sites are properly identifying and reporting as Renewable Energy Target liable entities.
 

Our approach to regulation starts from the premise that responsibility for complying with scheme obligations rests with the individual person or organisation to which the legislation applies. We take a harm prevention approach to regulating and are clear about our objectives and what we want to achieve.

Mr Geoff Purvis-Smith, General Counsel

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