4. A Framework for Achieving Compliance
11. Achieving cost effective compliance requires consideration, development and implementation of appropriate strategies to achieve it by policy makers and regulators. Such strategies will normally be developed in consultation with stakeholders and will be informed by a thorough understanding of the regulatory context and environment.
12. Effective compliance strategies will be proportionate and sensitive to the size and nature of the regulatory problem, the purpose and objectives of the regulation, related policy outcomes and objectives and related regulatory interventions (both domestically and internationally).
13. Effective compliance strategies will also take account of the particular regulatory context and the nature of the population or sector being regulated including its willingness, capacity and capability to comply. They will also take account of any:
- any policy or operational constraints that might impact on achieving compliance;
- the particular characteristics of the regulatory environment that might have implications for the design of compliance strategies
- any related regulatory interventions or compliance strategies that can be built upon to achieve compliance.
14. The extent to which compliance is achieved and the effectiveness of particular strategies for achieving it should be measurable and reviewed over time to ensure they keep pace with the changing regulatory context and environment.
15. The need for compliance and appropriate strategies to achieve it may change over time as the regulatory environment and context changes. This means these guidelines should not be regarded as linear, nor applied only at a particular point in time. Instead, assumptions should be tested and revisited in light of real world experience and changing policy and operational circumstances.
16. These guidelines have been organised so that both policy makers and regulators, in their design, implementation and management of compliance strategies, take into account:
- The purpose, outcomes and objectives that the regulation is intended to contribute to and the wider policy and socio-economic context in which its is being implemented
- The specific regulatory context including the capabilities and attitudes to regulation of those being regulated
- How measures to achieve compliance will be implemented
- How compliance and the effectiveness of compliance strategies will be measured
17. This framework is summarised in figure 1 below. While it is shown as a series of related steps to be worked through by policy makers, in practice each step may need to be considered more than once as compliance strategies are developed, implemented and reviewed. For instance, a change in the situation being regulated, such as less positive attitudes to compliance by those being regulated (than assumed by policy makers) may require reconsideration of strategies and measures part way through implementation.
Figure 1: A framework for considering compliance
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