Stakeholder consultation and engagement Effective communication and engagement with stakeholders can reduce regulatory burden, facilitate improved regulator performance and lead to better regulatory outcomes. Stakeholder consultation and engagement includes sharing information, providing opportunities to express views and contribute to regulatory design (where appropriate), taking views into account and advising on the outcome of consultation. Forms, data requests and other administrative and compliance processes are regularly reviewed with feedback sought from stakeholders (for example, forms include a short feedback section with suggestions for improvement). The regulator provides feedback on the outcome of consultation exercises to who took part. The regulator understands the changing needs of business and the community throughout the regulatory cycle. Regulator routinely involves regulated parties and the community in identifying risk, analysis and evaluation. Consultation has a demonstrable impact on the design of regulatory processes. Accountability and transparency Administration of regulation should be subject to public scrutiny. Performance reporting can provide regulators, their stakeholders, the community and the government with a clearer picture of the strengths of Victorian regulators’ existing practices and processes, and where effort is needed to improve performance. However, unless the right things are measured and reported clearly, it is difficult to know how effective a regulator is in achieving its regulatory outcomes. The regulator is transparent about how they administer and, where appropriate, how they enforce regulation (for example, transparent complaints and disputes mechanisms and transparency about the reasons for enforcement decisions). Regulator collects and publishes data that enables it to measure its operational performance. Government priorities are addressed as part of regulator performance reporting. Regulator regularly reviews the efficiency and effectiveness of their regulatory practices and complaint handling processes in order to determine whether regulatory outcomes are being realised. Regulator publishes outcomefocused data on operational performance. Performance objectives Clear and consistent regulatory activities Inefficient practices represent a regulatory burden to regulated parties and the community. Ineffective enforcement practices can distort regulatory outcomes. Regulator has documented key administrative and compliance processes and activities. is a clear purpose for all information that is collected. Regulator is responsive to lessons learned. Regulator undertakes appropriate planning and resource management. Regulator strives to continuously improve administrative and compliance processes and activities. Enforcement activities are carried out in a way that minimises the impact on business (for example, inspections with other regulators, businesses are notified in advance of inspections).
Compliance related assistance and advice Effective assistance and advice reduces the risk of noncompliance. Poor or inaccessible advice may increase the time spent by regulated parties to understand regulatory requirements. Regulated parties should be able to access advice without fear of enforcement action. The regulator provides assistance and advice in order to secure compliance. Advice is: easily available (for example, accessible in appropriate formats); accurate; easy to understand (i.e. written in plain English); comprehensive (e.g. include illustrative examples); timely (e.g. provided in time for changes to regulation); and, regularly reviewed and updated in light of feedback. Administration and enforcement is accompanied by ongoing advice. Regulator judges the effectiveness of its assistance and advice by monitoring regulated parties’ awareness and understanding of the services. Regulators provide clarity about the status and objectives of advice (i.e. whether it is statutory or nonstatutory). Assistance and advice services cover the full range of regulated activities and is tailored where appropriate to different groupings of regulated parties.