Compliance in the public sector feedback requested on draft guide for compliance agencies

Issue 24 – February 2011

A draft document Achieving Compliance – a guide for compliance agencies in New Zealand (the Guide) is available for comment until 14 March 2011. The Guide aims to improve performance and productivity across the compliance sector by identifying core principles and good practices for compliance. The Guide will be published as a free on-line resource in mid-2011 and will be regularly updated to reflect best practice.

The target audience for the Guide includes senior managers, operational managers, and compliance officers in central and local government agencies. The Guide may also assist individuals and organisations within regulated sectors, and will be a useful reference source for legislators, policy-makers, and those undertaking compliance qualifications.

Feedback is requested to ensure the Guide meets the needs and interests of a broad range of central and local government agencies.

Improving compliance within central and local government agencies

The Department of Internal Affairs sponsored the development of the Guide. The development process has been managed by Standards New Zealand and overseen by an advisory group of senior public service compliance practitioners.

The Guide has been developed as part of the Compliance Common Capability Programme (CCCP). The CCCP aims to improve the capability of compliance functions within central and local government agencies. The CCCP consists of the project to develop the Guide, and the National Compliance Qualifications Project.

Core principles and good practices for compliance

The Guide identifies core principles and good practices for compliance. Compliance activities include auditing, licensing, education, monitoring, surveillance, and investigation. Compliance activities are usually carried out by agencies within central and local government that have regulatory functions, to ensure that people and organisations adhere to rules and regulations for the public good.

The Guide:

  • is intended to be used by central and local government agencies when establishing new or improving existing compliance functions, and as a source of reference for qualifications being developed for public sector compliance personnel
  • focuses on principles and examples in the areas of regulatory context, organisational design, and compliance strategy
  • provides easy access to compliance information and a comprehensive view of options for designing effective compliance organisations and strategies
  • includes best-practice guidelines, case studies, examples, checklists, and references and links to other sources of information
  • uses a principles-based approach that recognises that compliance agencies vary in the approaches they adopt to their compliance work to fulfil their statutory responsibilities
  • deals with the work of agencies in administering and enforcing existing regulation, including encouraging voluntary compliance, monitoring non-compliance, and taking appropriate action in response to non-compliance.

Feedback welcomed on the Guide

Feedback is invited on all parts of the Guide. Please submit comments by 14 March 2011 by completing the on-line comments form.

Download a copy of the draft 'Achieving compliance – A guide for Compliance agencies in New Zealand', and the on-line comments form.

Standards New Zealand will collate all comments on the draft. The advisory group will review all feedback in March 2011. By mid-2011 the Guide will be published as an on-line resource document.

For more information about the Guide, the CCCP, or the NCQ Project, please contact Peter Burke, Manager Strategic Development and Support, Department of Internal Affairs, peter.burke@dia.govt.nz, telephone 04 495 9456.

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