Library of best practice

This library brings together supporting material – including practical case studies, responses to frequently asked questions, and other relevant documentation – to support entities with regulatory functions in demonstrating best practice performance, capability and culture, and embed the Resource Management Guide - Regulator Performance (RMG 128)  into their operations.

The library also offers a location to showcase the existing best practice regulator performance that is occurring at the Commonwealth and state and territory levels and internationally.

This is a living library that will be added to over time. Entities with regulatory functions and their stakeholders are invited to contribute case studies, questions or reference material to support the regulator community by contacting us.

Communities of Practice

Case studies

Continuous improvement and building trust (Principle 1)

The following case studies are examples of continuous improvement and building trust:

Australian Skills Quality Authority (ASQA)

In late 2019 the Government commissioned a review of ASQA’s regulatory practices, governance and culture. The review found that changes were needed to improve ASQA’s engagement with the sector, ensure a risk-based and proportionate regulatory approach…

Commissioner for Better Regulation and Red Tape

Victoria’s approach to regulatory reform and regulation scrutiny is based on the foundation principles of ensuring that regulation is necessary and, where it is, that it is:

New Zealand Ministry of Business, Innovation and Employment (MBIE) regulatory system assessment

MBIE’s role in regulatory system stewardship, across these regulatory systems includes the use of a system of assessment of regulatory systems and regulatory charters. Regulatory system assessments are described below. MBIE undertakes a program of…

Services Australia - ‘Money You Owe’

Money You Owe is a service that allows customers to view and update details relating to their Centrelink debts. In July 2020, the Services Australia began planning for the future recommencement of debt raising and recovery activities, including taking…

Victorian Essential Services Commission: Regulator reputation

The Victorian Essential Services Commission committed to improving its reputation as a regulator by understanding and measuring the direct experiences of stakeholders, their perceptions about the value of what the Commission does, and perceptions about…

WA Small Business Friendly Approvals Program

Western Australia’s Small Business Development Corporation (SBDC) is an independent statutory authority established under the Small Business Development Corporation Act 1983 (WA). Its core objective is to provide advice and support to small businesses…

Risk-based and data-driven (Principle 2)

The following cases studies present examples of risk-based and data-driven regulatory practice:

ACMA Data Program

In 2018–19 the ACMA prioritised building its data capability to leverage our data for efficient and effective regulatory compliance and enforcement, and to monitor risks and outcomes for consumers and regulated entities. 

ATO administration of JobKeeper

In 2020, the Australian community witnessed the delivery of one of the largest economic support measures in our country’s history –the JobKeeper Program administered by the ATO.

Australian Building and Construction Commission (ABCC)

A core aspect of the ABCC’s role and one of its Key Performance Indicators is the conduct of site visits, underpinning its strategic objective to advise and assist building industry participants. During COVID-19, Government restrictions required the…

Australian Competition and Consumer Commission (ACCC), COVID-19 response

In February 2020, the ACCC identified potential consumer impacts from the initial travel restrictions and cancellations in response to the novel coronavirus.

Australian Prudential Regulation Authority’s data-driven approach

The Australian Prudential Regulation Authority (APRA) is responsible for the supervision of, amongst other regulatory responsibilities, the bulk of Australia’s $3.4 trillion superannuation industry, with around $2.3 trillion currently in APRA-regulated…

Australian Taxation Office (ATO), Sharing Business Data to support disaster recovery and economic recovery efforts

Throughout 2020, the ATO, through the Australian Business Register (ABR), provided core business data to local, state and Commonwealth government agencies to help them connect with businesses in their community. During the 2019–20 Australian bushfires,…

Dairy RegTech – DFSV's new service delivery model

The experience of Dairy Food Safety Victoria (DFSV) is an example of a regulator modifying their regulatory approach to encourage voluntary compliance where possible and focus compliance and enforcement activity where the risks and the impact of harm is…

NOPSEMA, Compliance strategy to address complex risks

NOPSEMA is federal regulator for offshore energy. Its main functions are to regulate the compliance of offshore petroleum activities to ensure they are conducted in accordance with environmental and safety regulations. The regulator follows a standard…

Using data to support compliance and better client experiences

Case studies from the Australian Bureau of Statistics, Australian Financial Security Authority, the Australian Taxation Office and the Department of Agriculture, Water and the Environment.

Victorian Commission for Gambling and Liquor Regulation, Data sharing to inform risk-based inspections

The Victorian Commission for Gambling and Liquor Regulation (VCGLR) regulates Victoria’s gambling and liquor industries to ensure that Victorians and others can enjoy safe and responsible gambling and liquor environments. The VCGLR aims to reduce the…

Collaboration and engagement (Principle 3)

The following cases studies present examples of collaboration and engagement in regulation:

ACCC Energy Door to Door – Integrated Compliance & Enforcement Project

In 2011, the ACCC identified significant numbers of consumer complaints related to door-to-door trading practices by energy retailers, including practices targeting consumers experiencing vulnerability and disadvantage.

ACMA - Misinformation / Disinformation June 2020

Online search engines, such as Google Search and Bing, and social media services, such as Facebook and Twitter are the go-to source for news and information for many Australians. A key finding of the Australian Competition and Consumer Commission’s 2019…

AER Statement of Expectations of energy businesses: Protecting customers and the energy market during COVID-19

The AER was proactive in moving quickly to respond to the pandemic by issuing its initial Statement of Expectations (the Statement) to energy businesses in March 2020.

Australian Financial Security Authority (AFSA)

The Hayne Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, highlighted the role of culture in influencing a broad range of conduct and behaviour, not only in an organisation, but also in an industry.

Hand sanitiser and the Therapeutic Goods Administration

The response by TGA (part of the Department of Health) to the COVID‐19 pandemic has been an exemplar in collaboration and engagement. The TGA has engaged with international regulators, other Commonwealth agencies, jurisdictions and industry, health…

Tertiary Education Quality and Standards Agency (TEQSA)

During the COVID-19 outbreak, the Tertiary Education Quality and Standards Agency (TEQSA) identified a need for a two-way dialogue with its regulated community to provide support. 

The Pension Regulator (UK), stakeholder engagement

The Pensions Regulator (TPR) in the UK ensures that all actors in the pension system fulfil their duties to pension scheme members. The UK’s pension environment changed substantially with the introduction of automatic enrolment in the last decade. The UK…