Regulator Performance Framework- Key Performance Indicators
KPI 1
• Regulators do not unnecessarily impede the efficient operation
of regulated entities
KPI 2
• Communication with regulated entities is clear, targeted and
effective
KPI 3
• Actions undertaken by regulators are proportionate to the
regulatory risk being managed
KPI 4
• Compliance and monitoring approaches are streamlined and
co-ordinated
KPI 5
• Regulators are open and transparent in their dealings with
regulated entities
KPI 6
• Regulators actively contribute to the continuous improvement of
regulator frameworks
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
KPI
KPI
1
Measure
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.
Regulatory Role and Function
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)
Metric
Examples of output/activity
based evidence
The Regulator will work with other
relevant agencies to inform
suppliers of their obligations under
the Act
Formal biannual meetings with
the E3 Review Committee (or
as required) to discuss work
plan and administration of the
Regulator’s functions
The Regulator will meet the time
frames and expectations detailed in
the Statement of Service
Participation in relevant
industry forums
Processing of registrations occurs
in accordance with the timeframes
as set out in the Statement of
Service
An intelligence led, risk based,
and targeted approach to
compliance monitoring
activities
The Regulator will notify a registrant
when a product registration has
been approved or cancelled
Annual publication of
Regulator’s performance in
accordance with the Statement
of Service
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
industry.gov.au
Formal consultation with
stakeholders on any changes
to fees for registering products
Annual publication of costs of
providing Regulator functions
and of fees received
2
KPI
KPI
2
Measure
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.
Regulatory Role and
Function
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
Examples of output/activity
based evidence
Metric
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
industry.gov.au
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
3
KPI
Measure
Regulatory Role
and Function
Examples of output/activity based
evidence
Metric
A risk based approach is applied
to the compliance monitoring
activities, including the selection
of products for check testing and
in store surveillance
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.
The Regulator will hold regular
consultative forums with
stakeholders on products that
are in consideration for future
compliance monitoring activities
under the GEMS legislation
Enforce
compliance with
the GEMS Act
Exempting
products from
GEMS
determinations
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
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
industry.gov.au
4
KPI
KPI
4
Measure
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.
Regulatory
Role and
Function
Examples of output/activity based
evidence
Metric
Stakeholders are kept
informed of compliance
activities and formally
notified of requirement to
participate
Monitoring
compliance
with the Act
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
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
industry.gov.au
5
KPI
Measure
Regulatory Role
and Function
Examples of output/activity
based evidence
Metric
Information publicly available on
program website
Public provision of the work plan
Communication to stakeholders
regarding program updates
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.
Frameworks, processes and
procedures are reviewed annually
to reduce regulatory burden or
duplication where possible
Administration of
the Act
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
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
industry.gov.au
6
KPI
KPI
6
Measure
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.
Regulatory Role and
Function
Examples of
output/activity based
evidence
Metric
The GEMS Regulator will actively engage
stakeholders in the work program
through:
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
-
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
Regulator Performance Framework- Greenhouse and Energy Minimum Standards (GEMS)
industry.gov.au
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)
7