2.3 Questions for response

Allocating policy oversight

1. Does your department use the regulatory scanning database set up by the Treasury and hosted in CFISnet for keeping track of the legislationthat it administers?
   
   
2. Does your department maintain a comprehensive database for keeping track of the legislation it administers, other than the database hosted in CFISnet? If so, please provide a copy or sample from that database.
   
   
3. Has your department clearly assigned policy oversight roles and responsibilities for each of the regulatory regimes it administers? (Clear assignment means an individual or team is fully aware of their responsibility for the regulatory regime). In answering this question, for each regulatory regime please provide details on:
1. Is the oversight assignment visible within the organisation (e.g. to senior management, or reception/telephonist staff) and outside the organisation?
2. Has the department clearly described the nature of, or set out minimum expectations for, this policy oversight role? If so, how?
   
   
4. Does the policy oversight role drive cross-agency collaboration or encourage feedback loops between departments? If so, how?

Policy development

5. Does your department's regulatory impact analysis (RIA) quality assurance (QA) process involve:
1. an independent QA panel
2. a designated independent person or persons, or
3. other (please explain).
   
   
6. Does your department's quality assurance review cover:
1. final assessment of preliminary impact and risk assessments (PIRAs) and regulatory impact statements (RISs) only
2. comments on drafts, and final assessment, of PIRAs and RISs
3. comments on drafts, and final assessment, of PIRAs, RISs, and discussion documents, or
4. other (please explain).

Implementation

7. For each of the regulatory regimes administered by your department that impose obligations on members of the public or businesses, does your department, or any other agency with responsibilities under that regime, have a documented compliance strategy?[2]
   
   If so, please provide a copy or sample from each documented compliance strategy.
   
   
8. For each of the regulatory regimes administered by your department but implemented (in full or part) by another entity[3], does your department maintain any specific systems for monitoring the approach taken to implementation, monitoring, and enforcement by that entity? If so, what are those systems?

Monitoring outcomes

9. Does your department have any systems or processes for encouraging feedback from the regulated community on the impact of regulation?
   
   
10. Does your department maintain any systems for collecting and recording information on:
    1. difficulties or problems in implementing legislation administered by the department (whether they are problems for the implementing agency or the regulated community), and
    2. errors or potential problems identified during implementation in the way legislation administered by the department has been drafted.
       
       
11. For each of the regulatory regimes administered by your department, does your department maintain any systems or processes for collecting and recording information on its regulatory impacts (positive and negative, intended or otherwise)? If so, what are those systems or processes?
    
    
12. For each of the regulatory regimes administered by your department that impose obligations on members of the public or businesses, does your department maintain any systems or processes for collecting and recording information on:
    1. levels of compliance by the regulated community
    2. the drivers or determinants of compliance levels, and
    3. the costs incurred by the implementing/administering agency to encourage or ensure compliance, including information provision and enforcement activity?

If so, please provide information about those systems or processes.

13. Do those responsible for policy oversight have ready access to the information provided by the systems and processes discussed in questions 10 to 12 above? How is this access facilitated?

Evaluation and review

14. What, if any, requirements does your department have for periodically formally reviewing and reporting on the performance of each of the regulatory regimes it administers?
    
    Please provide information on both external and internal requirements[4] (e.g. what are those regimes and requirements? What is the trigger point? What happens to the resulting report? Do certain regulatory regimes have no requirements for review, and why?).
    
    
15. Does your department, or any other agency, maintain any policies or processes (not already covered) for identifying, assessing, or testing possible vulnerabilities or performance risks for any of the regulatory regimes it administers? Please provide details.