Compliance process

Table 2 sets out the steps involved in the compliance process and the standard deadlines. The process from the release of the standard compliance return will depend upon the type of regulatory engagement necessary for the Registrar to have sufficient information on which to make a compliance determination.

Table 2: Steps and timetable for a compliance return 

Step Provider/Registrar Lead time to complete Description

Analyst contacts Provider

Registrar Week before return released to provider To confirm provider contacts
Release of Compliance return with FPR excel template
Registrar Compliance start date Provider will receive an email to prompt  provider that the return is now available
Completion of compliance return Provider 6 weeks Provider has six weeks to complete and provide/attach  evidence
Compliance assessment
Registrar 8 weeks

The analyst will check on completeness of return and if it looks reasonably accurate. If further information or clarification required they will contact provider and set new deadline. The time taken to carry out the assessment will depend upon whether in addition to the standard return further regulatory engagement is necessary.  

Composed of two elements:

  • Standard review and
  • Additional lines of enquiry

where necessary to reach a decision on compliance.

Release of Draft determination Registrar Will vary as noted above
Provider feedback
Provider Within  2 weeks from receipt of draft determination
Release of Final determination Registrar Within 2 weeks from the receipt of provider’s feedback 

Step 1   Analyst contacts provider

Around one week before the standard compliance assessment is due to start the provider’s nominated main contact will be contacted by the Analyst from the Registrar’s office. The Analyst will confirm contact details.

Step 2 – Release of compliance return with FPR excel template

The nominated main contact will receive an email Invitation to begin the Compliance Process. Attached to this email is the Financial Performance Report (FPR) template for the Tier in which the provider is registered. The online return is also made available to the provider to commence the compliance assessment.

Step 3 – Completion of compliance return

The standard compliance return (the return) will be completed and submitted through the CHRIS portal. There is no requirement to re-submit the same evidence required during registration or the previous compliance assessment if there are no changes to it.

The focus of the return is on the minimum information needed to allow Registrars to make an informed judgement about compliance with outcomes at a point in time and to assess the risk of non-compliance in the future.

The provider is responsible for validating their financial and performance data before submission. By approving the submission of the compliance return the governing body is providing assurance of data reliability.

Step 4 - Compliance assessment

The analyst will check on completeness of return and if it looks reasonably accurate. If further information or clarification required they will contact provider and set a new deadline. The time taken to carry out the assessment will depend upon whether in addition to the standard return further regulatory engagement is necessary. 

The compliance assessment involves:

  • Reviewing information and evidence submitted in the return
  • Reviewing the results of the last assessment where the provider has already submitted evidence that was recorded as demonstrating that the provider is compliant
  • Collating evidence from other sources including:
    • notification by the provider of changes that may have an adverse impact on compliance
    • the Registrar’s record of any enforcement action
    • the Registrar’s record of any additional, targeted monitoring triggered by a change of circumstances, risks or performance
    • the Registrar’s record of complaints and notifications under the National Law
    • the relevant state housing authority or authorities (this might include information about the provider’s funding terms or leases, or compliance with a housing policy or contract)
    • other government agencies (this might include information about the provider’s funding terms or compliance with a policy or contract, or housing-related service delivery)
    • other regulatory authorities (this might include information about regulatory engagement with the provider)
    • the public record (this might include information about the provider’s body corporate status, court or tribunal decisions, or media).
  • Identifying where the evidence (or the lack of evidence) indicates that the provider is not achieving the outcomes and requirements in the National Law
  • Following up on the lines of enquiry (requesting supplementary evidence) which have been identified, with the provider. This may include:
    • requests for additional information to provide more comprehensive or rigorous evidence of the achievement of the outcome
    • requests to attend a meeting to discuss the interpretation of the evidence about the achievement of the outcome
    • requests for an on-site visit to validate the evidence about the achievement of the outcome.
  • Seeking advice from the relevant state and territory housing authority or other government agencies where appropriate
  • Applying the principles of good decision-making and preparing a draft compliance determination report for the provider. The draft compliance determination report will include:
    • a brief statement confirming compliance or non-compliance with the National Law
    • any findings outlining areas where the provider could take action prior to the next Standard Compliance Return to improve the comprehensiveness and rigour of evidence submitted to better demonstrate the achievement of the outcomes

Step 5 – Release of draft determination report

Once the assessment is complete the provider will receive an email notifying them that the draft determination has been completed and the draft determination report is available. The provider will need to log into the Community Housing Regulatory Information System (CHRIS) to access the draft report.

The compliance determination report will state whether the provider is compliant or non-compliant overall with the NRC. Where a determination is made that the provider is compliant there may be performance outcomes where compliance is determined ‘compliant with recommendations’. In these cases the report will include recommendations or actions to assist the provider improve performance and bring them to full compliance.

The provider receives a draft determination report for comment before the final compliance determination report is issued.

Step 6 – Provider feedback

Providers have two weeks from the date the email was sent to comment on the draft determination report. Comments are made through the CHRIS portal.

The Analyst will consider any feedback and may contact you to clarify matters before issuing the final determination. If the provider does not comment within the allocated two weeks, the draft determination will be adopted as final.

Step 7 – Release of final determination report

The release of the Final Determination Report signifies that the compliance process is now completed. Providers receive an email from their assigned Analyst advising that the Final determination report is now available on the Provider’s report page in the CHRIS portal.

Where the provider is determined to be non-compliant, enforcement action will be taken.

Changes to scale, scope or primary Registrar

During their initial review of a provider return the Analyst will check that the current tier of registration remains applicable. If the initial review suggests a significant change in scale and/or scope the provider will receive an email which will explain what, if any, additional evidence applicable to the new Tier is required.

Changes to the category of registration will be confirmed when the compliance determination is made.

If the evidence submitted shows that the provider’s main community housing business is now conducted in another state or territory a decision may be made to change the Primary Registrar. If a change to the Primary Registrar occurs the provider will be notified by email. The assessment will generally be carried out by the new Primary Registrar who will contact the provider to make arrangements.

Further information for registered community housing providers

For more information on using the Community Housing Regulatory Information System to complete your return see  CHRIS steps for completing a Return. 

Last updated:

19 Jul 2022

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