Document ID: chunk:federal_register_of_legislation:F2021L01123:reg:4:p4
Version: federal_register_of_legislation:F2021L01123
Segment Type: reg
Provision Reference: reg 4 (pt 4/12)
Character Range: 8827–11871

when those arrangements apply.

    9.2 The ACMA recognises the importance of encouraging and facilitating compliance by all industry participants with statutory obligations. The ACMA's compliance activities may be both proactive and reactive. In undertaking these activities, the ACMA engages with the regulated community to achieve, to the greatest extent possible, voluntary compliance.

    9.3  The ACMA adopts a strategic risk-based approach to compliance and enforcement. The decision as to what, if any, enforcement action should be taken by the ACMA is made in the light of the facts of the matter and having regard to the objects the BSA and the regulatory policy underpinning it (sections 3 and 4 of the BSA).

    9.4 The ACMA's compliance and enforcement approach is to take action that is commensurate with the seriousness of the conduct which includes consideration of the nature and consequences of the conduct (section 5 of the BSA). There is a range of factors which may be considered by the ACMA in determining the appropriate enforcement response including:

                 whether the conduct was deliberate, reckless or inadvertent

                 whether the conduct has caused, or may cause, detriment to another person and the nature, seriousness and extent of that detriment

                 whether the conduct involved indicates systemic issues which may pose ongoing compliance or enforcement issues

                 whether the regulated entity or person has been the subject of prior compliance or enforcement action and the outcome of that action

                 the compliance history and culture of the regulated entity

                 the specific and general educative and/or deterrent effect of taking action

                 the seniority and level of experience of the person(s) involved in the conduct

                 what, if any, action has been taken to remedy and address the consequences of the conduct

                 whether the subject of the investigation has co-operated with the ACMA

                 whether the issues involved require urgent action or intervention by the ACMA.

    9.5 The circumstances of each contravention will be considered separately. In making enforcement decisions, the ACMA will not be influenced by bias, conflicts of interest or irrelevant considerations.

    9.6  The action which the ACMA may take to address and redress non-compliance may involve recourse to more than one enforcement option. Equally, the ACMA may consider that, in the light of the factual circumstances, no formal enforcement action should be taken. For example, the ACMA may consider, having raised the issue of non-compliance with the regulated entity, that it has, or will, adequately address the issues in question without the need for further action and intervention by the ACMA.

10 Suspension and cancellation of licences

    10.1 Under the BSA, the ACMA is empowered to suspend or cancel licences in certain circumstances. The relevant provisions set out