Regulator

Regulators support the operations of contracted services and administer recognition of service providers: this may include accreditation, certification, registration and licensing, depending on the program.

They provide a further layer of assurance regarding the operations of service providers, relevant to the regulator’s jurisdiction, as a complement to contract-level monitoring.

Human services contract management, and its associated performance monitoring and reporting, does not seek to duplicate the role of regulators in assessing and monitoring performance against legislative-based requirements and standards.

The two roles are complementary.

The Partnerships directorate and program and contract managers rely on information about the registration or accreditation status of contracted service providers when monitoring performance and assessing risk.

We liaise with regulators to share high-level information in relation to service providers’ performance, subject to relevant privacy and confidentiality requirements. Note that we are obliged to formally report certain matters to regulators; notably, when the matter is systemic or far-reaching, related to criminal activity, or involves fraud or corruption.

Responsibilities of regulators

Recognition

• Provide official recognition of compliance with the regulator’s requirements, through accreditation, certification, registration or licensing.

Enforcement

• Enforce laws; take appropriate action if breaches of requirements have been identified, including seeking penalties and/or criminal charges.
• Make decisions about compliance with recognition requirements and legislation within jurisdiction.
• Monitor and assess service providers’ ongoing compliance with the regulator’s requirements.
• Assess matters to determine if within jurisdiction and whether investigation is warranted.
• Assess matters referred by us to determine whether further investigation is warranted.
• Investigate matters within jurisdiction to determine if a serious breach of requirements has occurred.

Communication and consultation

• Provide reliable and timely information about matters within jurisdiction.