The NSW Auditor-General has recently published a special report (Regulation Insights) that highlights themes and insights about effective regulation from the last six years of its audits. One particular observation in relation to compliance and enforcement is worth quoting:
Our audits have identified that some agencies lack compliance and enforcement policies, or that policies lack clear escalation thresholds to identify if further action, investigation or a particular enforcement response is appropriate. Where policies have been absent or inadequate, audits have also observed that enforcement responses are infrequent, or there is a lack of evidence that the range of available powers was considered. It can be unclear whether the level of enforcement action is consistent with the agency’s policy intent or reflects a failure to respond adequately to known breaches. An outcomes-focused regulatory approach requires that responses to non-compliance are tailored and that clear thresholds for different types of enforcement actions are established and understood (p.11).
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