Regulator Performance Framework- Key Performance Indicators
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidenceKPI 1 / 1. Regulators demonstrate an understanding of the operating environment of the industry or organisation, or the circumstances of individuals and the current and emerging.
2. Regulators take actions to minimise the potential for unintended negative impacts of regulatory activities on regulated entities or affected supplier industries and supply chains.
3. Regulators implement continuous improvement strategies to reduce the cost of compliance for those they regulate. / Maintain the GEMS Product Register, including seeking information and documentation from regulated entities, approving registrations and suspensions of products
Charge a fee for services (registration of products) / The Regulator will work with other relevant agencies to inform suppliers of their obligations under the Act
The Regulator will meet the time frames and expectations detailed in the Statement of Service
Processing of registrations occurs in accordance with the timeframes as set out in the Statement of Service
The Regulator will notify a registrant when a product registration has been approved or cancelled
The charge of a fee for the registration of products are reviewed in line with stakeholder feedback and monies are used to support the administrative and compliance monitoring aspects of the Act / Formal biannual meetings with the E3 Review Committee (or as required) to discuss work plan and administration of the Regulator’s functions
Participation in relevant industry forums
An intelligence led, risk based, and targeted approach to compliance monitoring activities
Annual publication of Regulator’s performance in accordance with the Statement of Service
Formal consultation with stakeholders on any changes to fees for registering products
Annual publication of costs of providing Regulator functions and of fees received
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidence
KPI 2 / 1. Regulators provide guidance and information that is up to date, clear, accessible and concise through media appropriate to the target audience.
2. Regulators consider the impact on regulated entities and engage with industry groups and representatives of the affected stakeholders before changing policies, practices or service standards.
3. Regulators’ decisions and advice are provided in a timely manner, clearly articulating expectations and the underlying reasons for decisions.
4. Regulators’ advice is consistent and supports predictable outcomes. / Provide information and advice in relation to:
(i) GEMS determinations; and
(ii) product classes that are, or could be, covered by a GEMS determination; and
(iii) the operation of this Act / The Regulator will make all reasonable efforts to keep all stakeholders (including registrants, manufacturers, suppliers, industry bodies and consumer organisations) informed of the determinations governing GEMS products
The Regulator will hold regular consultative forums with stakeholders on products that are in consideration for future inclusion under the GEMS legislation
The Regulator will adhere to the processes and timelines as set out in the Statement of Service
The Regulator will maintain regular engagement with stakeholders regarding the operation of the GEMS Act / Formal biannual meetings with the E3 Review Committee (or as required) to discuss work plan and administration of the Regulator’s functions
Regular information provision through the E3 Newsletter (Energy Efficiency Standard
Regular forums with stakeholders
Provision of public tool to allow registration database searches
Publication of the Statement of Service
Reporting of administrative activities in the department’s Annual Report
Collaborative engagement with stakeholders to provide effective and targeted information
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidence
KPI 3 / 1. Regulators apply a risk-based, proportionate approach to compliance obligations, engagement and regulatory enforcement actions.
2. Regulators’ preferred approach to regulatory risk is regularly reassessed. Strategies, activities and enforcement actions are amended to reflect changing priorities that result from new and evolving regulatory threats, without diminishing regulatory certainty or impact.
3. Regulators recognise 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. / Enforce compliance with the GEMS Act
Exempting products from GEMS determinations / A risk based approach is applied to the compliance monitoring activities, including the selection of products for check testing and in store surveillance
The Regulator will hold regular consultative forums with stakeholders on products that are in consideration for future compliance monitoring activities under the GEMS legislation
Aggregated results of product check testing and in store surveillance will be considered when developing the monitoring plan
Aggregated results of registration, suspension and exemption activities will be considered when developing the monitoring plan
The Regulator will record and monitor compliance with any conditions placed on an exempted product
The Regulator will ensure products with an approved exemption are registered / Publication of the risk management approach employed by the compliance team
An intelligence led, risk based, and targeted approach to compliance monitoring activities.
Formal biannual meetings with the E3 Review Committee (or as required) to discuss compliance risk approach
Regular formal and informal forums with stakeholders
Public reporting of compliance monitoring activities, including the department’s Annual Report
Enforcement responses to contraventions of the GEMS Act consider the regulated entity’s history, behaviour, motivation, and intention, and are proportionate to the risk posed by the contravention
Public reporting of administrative activities, including the department’s Annual Report
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidence
KPI 4 / 1. Regulators’ information requests are tailored and only made when necessary to secure regulatory objectives, and only then in a way that minimises impact.
2. Regulators’ 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.
3. Regulators utilise existing information to limit the reliance on requests from regulated entities and share the information among other regulators, where possible.
4. Regulators base monitoring and inspection approaches on risk and, where possible, take into account the circumstances and operational needs of the regulated entity. / Monitoring compliance with the Act / Stakeholders are kept informed of compliance activities and formally notified of requirement to participate
Compliance processes and procedures are reviewed annually to reduce regulatory burden or duplication where possible
Data and information sourced from publicly available sources where possible and/or other agencies where appropriate
Results of compliance activities are reported directly to affected registrants / Information publicly available on program website
Collaborative engagement with registrants on planned monitoring activities
Compliance monitoring and enforcement activities follow best practice internal governance policies and processes which are regularly reviewed
Coordinated and collaborative engagement with State and Territory governments and cross portfolio engagement with Department of Environment and other agencies to reduce duplication.
Public reporting of compliance monitoring activities, including the department’s Annual Report
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidence
KPI 5 / 1. Regulators’ risk-based frameworks are publicly available in a format which is clear, understandable and accessible.
2. Regulators are open and responsive to requests from regulated entities regarding the operation of the regulatory framework, and approaches implemented by regulators.
3. Regulators’ performance measurement results are published in a timely manner to ensure accountability to the public. / Administration of the Act / Frameworks, processes and procedures are reviewed annually to reduce regulatory burden or duplication where possible
Stakeholders are able to easily access public information on administrative processes
The Regulator will maintain and update a live Register of Industry Issues, including documenting actions and status reports
Enquiries will be dealt with and resolved in accordance with the process and timeframes detailed in the Statement of Service / Information publicly available on program website
Public provision of the work plan
Communication to stakeholders regarding program updates
Development of an enhanced compliance web presence
Items listed on the E3 Review Committee meeting agendas
Minutes from E3 Review Committee meetings made readily available
Quarterly reports on the progress of the Register of Industry Issues provided to the E3 Review Committee
Ad hoc issues requiring immediate attention also reported in the quarterly report on the Register of Industry Issues
Public reporting of performance measurement results and identified improvement opportunities
Public reporting of performance, including on program website and Annual Report
KPI / Measure / Regulatory Role and Function / Metric / Examples of output/activity based evidence
KPI 6 / 1. Regulators establish cooperative and collaborative relationships with stakeholders to promote trust and improve the efficiency and effectiveness of the regulatory framework.
2. Regulators engage stakeholders in the development of options to reduce compliance costs. This could include self-regulation, changes to the overarching regulatory framework, or other strategies to streamline monitoring and compliance approaches.
3. Regulators regularly share feedback from stakeholders and performance information (including from inspections) with policy departments to improve the operation of the regulatory framework and administrative processes. / Assist in developing GEMS determinations, including by undertaking or commissioning research in relation to:
(i) GEMS determinations; or
(ii) product classes that are, or could be, covered by a GEMS determination / The GEMS Regulator will actively engage stakeholders in the work program through:
- Direct consultation for product investigations and potential standards development and the development of voluntary measures and legislative determinations (including regulatory impact statements processes where applicable)
- Direct engagement in the development, implementation and review of compliance, registration and administrative mechanisms and activities.
The GEMS Regulator will maintain a public programme of works for comment and review by stakeholders
The GEMS Regulator will hold regular forums with policy stakeholders to share feedback from stakeholders and performance information / Agendas and Minutes from stakeholder forums and consultation sessions made publicly available
Formal biannual meetings with the E3 Review Committee (or as required) to discuss work plan and administration of the Regulator’s functions
Information publicly available on program website
Public provision of the work plan and Newsletter
Aggregated results of product check testing and in store surveillance reported publicly on an annual basis (program website)
Aggregated results of registration, suspension and exemption activities reported publicly on an annual basis (program website)
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Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS) industry.gov.au