Tips and Traps for Regulators provides guidance for public sector agencies with regulatory responsibilities.
The report explains the principles of good regulatory practice from a public sector perspective and illustrates those principles by using case studies drawn from investigations conducted by our Office.
It contains recommendations about how agencies can improve the effectiveness, consistency, and accountability of their regulatory practices.
It also includes a Regulator’s Audit Tool based on the report’s recommendations that agencies can use in reviewing their own regulatory systems.
Tips and Traps for Regulators - Full Report (PDF format 4.1MB)
Regulator’s Audit Tool (PDF format 291K)
Report structure
Chapter 1 Introduction explains the role of the Ombudsman and the purpose of this report.
Chapter 2 Ensuring knowledge, skills and values examines how effective recruitment practices and ongoing training affect the skills and values of enforcement officers.
Chapter 3 Discretion and the role of risk management focuses on the regulator’s discretion to choose the enforcement action it will take in relation to a potential breach (or class of potential breach) of a regulatory scheme; the chapter also highlights the importance of balancing reactive and proactive work.
Chapter 4 Investigative practices looks at the impact of poor investigative planning and offers advice to improve investigative practices.
Chapter 5 Systems for effective regulation examines systems (including policies and procedures) that can be implemented to support effective regulatory practice.
Chapter 6 Regulators working together discusses issues that arise where regulators’ responsibilities overlap and provides advice on how regulators can effectively work together.
Chapter 7 Communication with the public deals with the importance of effectively communicating regulatory policies and practice to improve compliance as well as communicating with notifiers and those with an interest in the outcome of an investigation.
Chapter 8 Regulatory scheme defines the components of a good regulatory scheme.
Chapter 9 Regulatory independence deals with issues of independence where a regulator receives notification that another regulator is a potential offender.
Chapter 10 Recordkeeping talks about the importance of regulators making and keeping appropriate records of all significant operational activity.
Chapter 11 Electronic data capture explains how regulators can ensure electronic data is captured effectively as part of the recordkeeping and case management process.
Chapter 12 Complaint management discusses the importance of regulators having in place effective complaints management systems for dealing with complaints about their actions and the requirements of an effective system.
Chapter 13 Audits of regulators outlines how audits can identify efficiencies and explains how to use the Regulator’s Audit Tool found at Appendix B.
Chapter 14 Conclusion encourages regulators to use the report as a resource for reviewing and evaluating the effectiveness of their regulatory systems.