Understanding compliance effectiveness

Compliance effectiveness is the extent to which the actual outcomes of our compliance strategies align with our desired outcomes. Did our strategies have the effect or impact on compliance behaviour and/or community confidence that we wanted them to?

The compliance effectiveness methodology is the tool we use to plan the right mix of strategies, measure our effectiveness and identify opportunities for continuous improvement. We use it for both planning and evaluation purposes. What we learn about our effectiveness informs our future planning and helps re-shape our compliance improvement strategies.

There are four iterative phases in our methodology (figure 1).

  • Phase 1 is about understanding and articulating the risk and making sure it aligns with our intent.
  • Phase 2 is about clearly expressing our desired outcomes and what would be different if we are successful. It also involves identifying the right mix of treatment strategies which treat the drivers of compliance behaviour, and not just the behaviour.
  • Phase 3 involves identifying potential indicators and validating them to ensure they are viable and useful. The suite of indicators should be capable of providing a defensible picture of our effectiveness.
  • Phase 4 deals with evaluating and reporting on the extent to which we have been effective in changing compliance behaviour, building community confidence, or both, over the immediate, intermediate and long term.

Phases 1 and 2 focus on planning to be effective, while phases 3 and 4 focus on evaluating the extent to which we have been effective.

    Last modified: 13 Jan 2015QC 25789