Criteria for determining appropriate responses In determining appropriate responses to non-compliance, the Regulator will use a risk-based approach that takes into account participants’ behaviours and motivations. The continuum at Figure 1 (below) shows these behaviours and motivations, with the Regulator’s potential response according to the level of risk these behaviours pose. Behaviours and motivation Voluntary Compliance Accidental Opportunistic Intentional Informed self Not yet compliant Resistance to Deliberate assessment Attempting compliance Management is compliance (eg Lack of indication of Criminal intent or compliance-oriented developing internal intention to comply fraud control systems to (eg no indication of Other illegal activity ensure compliance) systems in place to ensure compliance) Clean Energy Regulator’s response Help and Support Educate and Provide Correct Behaviour Enforce the Law Feedback The Regulator will The Regulator will The Regulator will Where appropriate, release information provide additional respond to detected the Regulator will and guidelines to guidance to targeted non-compliance initiate assist understanding participants according to the investigations, of participants’ an apparent severity (eg pursue civil action or obligations non-compliance is accepting refer any relevant The Regulator will identified, the enforceable cases for criminal provide Regulator will undertakings, giving prosecution opportunities for provide relevant infringement notices, complying parties with an revocation and participants to ask opportunity to suspension) questions, discuss respond Contraventions that issues of concerns The Regulator will have a serious and participate in provide feedback on impact will be educational and adequacy of systems with accordingly discussion forums and arrangements to Publication of The Regulator will ensure compliance information about use proactive audits breaches and to develop a better enforcement understanding of activities capabilities to comply
Criteria for determining appropriate responses In determining appropriate responses to non-compliance, the Regulator will use a risk-based approach that takes into account participants’ behaviours and motivations. The continuum at Figure 1 (below) shows these behaviours and motivations, with the Regulator’s potential response according to the level of risk these behaviours pose. Behaviours and motivation Voluntary Compliance Accidental Opportunistic Intentional Informed self assessment Management is compliance-oriented Not yet compliant Attempting compliance (eg developing internal control systems to ensure compliance) Resistance to compliance Lack of indication of intention to comply (eg no indication of systems in place to ensure compliance) Deliberate Criminal intent or fraud Other illegal activity Clean Energy Regulator’s response Help and Support Educate and Provide Feedback Correct Behaviour Enforce the Law The Regulator will release information and guidelines to assist understanding of participants’ obligations The Regulator will provide opportunities for complying participants to ask questions, discuss issues of concerns and participate in educational and discussion forums The Regulator will use proactive audits to develop a better understanding of capabilities to comply The Regulator will provide additional guidance to targeted participants an apparent non-compliance is identified, the Regulator will provide relevant parties with an opportunity to respond The Regulator will provide feedback on adequacy of systems and arrangements to ensure compliance The Regulator will respond to detected non-compliance according to the severity (eg accepting enforceable undertakings, giving infringement notices, revocation and suspension) Contraventions that have a serious impact will be with accordingly Publication of information about breaches and enforcement activities Where appropriate, the Regulator will initiate investigations, pursue civil action or refer any relevant cases for criminal prosecution
CER-Compliance-Education-and-Enforcement-policy_March%202015.docx