Compliance policy vs compliance strategy

Why they aren’t the same thing

Section 56 of the Natural and Built Environment Act (NBEA) introduced a new requirement for a local authority to have a compliance and enforcement strategy. Some councils already have an existing compliance and enforcement policy, but it is important to distinguish a policy from a strategy. They are fundamentally different, and serve different purposes for the regulator.

Why are they different?

In simple terms, a policy should tell the regulated community how they can expect to be treated by the regulator and how it manages its compliance and enforcement function Things such as the principles behind enforcement decision-making, and the objectives of fairness and transparency in the work that is undertaken.

The strategy should be setting out what the Council is committing to as an approach, what work they intend to carry out and how they will go about it. It provides a commitment to the community about where the efforts of the council will be focussed and an intended compliance work programme.

Do Councils need to have one?

Yes! Even if the NBEA is repealed, all councils should have a compliance and enforcement policy and strategy. This helps to ensure that limited resources are used in a focussed way and shows a commitment to their community about this incredibly important work they do. This shouldn’t be about requirements of a piece of legislation (but I do love that the NBEA includes this provision).

BUT let’s not overcook it   

These things don’t need to be complicated. A compliance and enforcement policy and strategy should be in plain language that everyone can understand and should be easy to find on a council’s website. I genuinely believe that if councils can better promote the compliance work that they do, and their role as a regulator, this will enhance the community’s awareness of the value and importance of this function. This will also improve compliance behaviour of communities.

Enhanced value means more investment in a historically under-resourced part of the resource management system in Aotearoa. That would be a great outcome.

Amanda De Jong – December 2023