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Based on our review of compliance efforts around the world, PSG has identified eight strategies that can form the basis of an effective compliance effort:
- Build Support for Standards - Build support among the intended compliers for community norms and expectations, often by engaging them directly in the standards-setting process.
- Make Regulations Performance Based - Create performance-based rather than prescriptive, process-based regulations. Seek compliance with a result, not with how the result is produced.
- Educate Compliers - Invest heavily in educating compliers on how best to achieve compliance.
- Make Compliance Easy - Make compliance as easy as possible. Simplify processes and provide mechanisms that facilitate compliance.
- Make Agency Delivery to Compliers Consequential - Establish standards for agency performance of its compliance process, publish the standards so that compliers will know what to expect when they deal with the agency, offer guarantees about meeting the standards and provide redress to compliers when the standards are not met.
- Report Compliance Information - Regularly collect and publish performance information regarding levels of compliance.
- Base Complier Treatment on Performance - Treat compliers differently based on their past performance, their motivation to comply, and their ability to comply. This is also known as “situational compliance.”
- Employ a Continuum of Consequences - Apply consequences for compliance along a continuum from public recognition and reward for those who comply to application of penalties to those who - after being given the opportunity to avail themselves of the preceding steps - refuse to comply.
These eight strategies constitute opportunities to improve the way public organizations attempt to win compliance. These strategies can be used as a basis for the review and redesign of compliance activities throughout government.
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