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» Compliance programmes checklist

A compliance programme is an organisation-wide set of structures and procedures designed to ensure that your organisation complies with its legal obligations. It’s far better to invest in developing a compliance programme than to be prosecuted for failing to follow the law or sued for damages in a civil claim.

No single formula for a compliance programme will suit all organisations. However, some key elements that should be addressed in all compliance programmes include:

  • management commitment
  • division of responsibility
  • staff education and training
  • a complaints-handling procedure
  • monitoring systems and record keeping
  • regular reviews
  • risk management programmes.

The risks if you don’t have a compliance programme

Not only will a compliance programme help avoid any breaches of your legal obligations, having one will also make it less likely that you will be held responsible for any breaches that do occur. When deciding to prosecute, regulatory agencies will take into account the steps an organisation has taken to ensure compliance. Similarly, the Courts will also consider any steps taken to ensure compliance when imposing penalties:

“…if the employer has done everything reasonably required of him to avert … misconduct on the part of [his employees] then, so far as the employer is concerned, his culpability in respect of the event would be technical and not reprehensible. A penalty imposed in such a case would reflect this.” (A judge in a Fair Trading Act case)

The risk of fines, civil damages and compliance costs are not the only disadvantages if your organisation is prosecuted or sued. Legal costs, negative publicity, disclosure of sensitive information and general disruption to your organisation are also part of criminal and civil litigation.

Answer the following questions to check what you have in place to ensure compliance with the law. If you answer any of the questions with “No” or “Unsure”, make it a priority to find out more or take the necessary action as soon as possible. You can find out more information about these issues from a range of resources, including www.community.net.nz.

Yes Unsure
/No
Management Commitment:

  • Do you have a policy statement outlining your commitment to compliance with the law in all you activities?
  • Do you have written policies and procedures for maintaining your legal responsibilities?
Division of responsibility:

  • Have you identified all areas in which you have legal responsibilities?
  • Are managers and supervisors aware of these responsibilities?
Staff education and training:

  • Are your legal responsibilities covered in your induction and training programme for all staff and volunteers?
  • Do you have a provision for continuing education or the circulation of updates of legal responsibilities?
Complaints handling procedure:

  • Do you have a written complaints policy?
  • Do you keep records of complaints and actions?
  • Does the procedure comply with the requirements of natural justice?
Monitoring system and record keeping:

  • Do you carry out checks for any new legislation that may affect your organisation?
Regular reviews:

  • Do you regularly review that you are meeting your legal responsibilities?


Remember to print this checklist out once you've completed it.

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