Approved procedures for Templates exist and are used for decisions communications (including and enforcement actions. scripts if relevant) are available for staff use when interacting with regulated entities. Advice provided to regulated entities is Advice is consistent with DVA’s consistent with communication policies. Communications Framework. KPI 3 Actions undertaken Risk management policies and Draft Handbook, available to staff, contains – by regulators are procedures are available to regulator procedures. proportionate to the staff and the public. regulatory risk being Compliance and enforcement strategies, Compliance and enforcement strategies managed consistent with agreed risk management contained in Guidelines. policies are published. Documented enforcement strategy Draft Handbook contains enforcement which allows for the compliance records strategy. of regulated entities to be considered in determining regulatory actions. Documented enforcement strategy includes options for graduated compliance actions consistent with regulators’ powers. KPI 4 Compliance and Information shared and received among Nine matters referred to Army Brand – monitoring approaches are regulators. Manager. streamlined and One referral received from Army Brand coordinated Manager. Evidence of collected information being Register of interactions with regulated acted upon, stored and re-used. entities stored in Department’s TRIM system. TRIM register consulted wherever complaint received. Regular review and assessment of Two groups of entities given earned agreed monitoring and compliance autonomy. strategies, including use of earned One entity with above-average degree of autonomy approaches. autonomy due to assessed ongoing risk. Enforcement strategy and risk approach Compliance and enforcement strategies are published. contained in Guidelines. KPI 5 - Regulators are open and transparent in their Performance measurement results are No results published. dealings with regulated published. entities Number of responses to requests from No timeframes specified. regulated entities provided within specified timeframes. Advice and guidance is widely available Guidelines published on DVA website. to stakeholders, with feedback mechanisms in place to support and inform continuous improvement. KPI 6 Regulators actively Feedback mechanisms are available and Shared mailbox address published on DVA – contribute to the made known to all stakeholders. website.
Approved procedures for communications (including scripts if relevant) are available for staff use when interacting with regulated entities. Templates exist and are used for decisions and enforcement actions. Advice provided to regulated entities is consistent with communication policies. Advice is consistent with DVA’s Communications Framework. KPI 3 – Actions undertaken by regulators are proportionate to the regulatory risk being managed Risk management policies and procedures are available to regulator staff and the public. Draft Handbook, available to staff, contains procedures. Compliance and enforcement strategies, consistent with agreed risk management policies are published. Compliance and enforcement strategies contained in Guidelines. Documented enforcement strategy which allows for the compliance records of regulated entities to be considered in determining regulatory actions. Draft Handbook contains enforcement strategy. Documented enforcement strategy includes options for graduated compliance actions consistent with regulators’ powers. KPI 4 – Compliance and monitoring approaches are streamlined and coordinated Information shared and received among regulators. Nine matters referred to Army Brand Manager. One referral received from Army Brand Manager. Evidence of collected information being acted upon, stored and re-used. Register of interactions with regulated entities stored in Department’s TRIM system. TRIM register consulted wherever complaint received. Regular review and assessment of agreed monitoring and compliance strategies, including use of earned autonomy approaches. Two groups of entities given earned autonomy. One entity with above-average degree of autonomy due to assessed ongoing risk. KPI 5 - Regulators are open and transparent in their dealings with regulated entities Enforcement strategy and risk approach are published. Compliance and enforcement strategies contained in Guidelines. Performance measurement results are published. No results published. Number of responses to requests from regulated entities provided within specified timeframes. No timeframes specified. Advice and guidance is widely available to stakeholders, with feedback mechanisms in place to support and inform continuous improvement. Guidelines published on DVA website. KPI 6 – Regulators actively contribute to the Feedback mechanisms are available and made known to all stakeholders. Shared mailbox address published on DVA website.