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Texts by subject experts
COMPLIANCE STRATEGY GENERALLY
- Sparrow M. 1994. Imposing duties: Government’s changing approach to compliance. Praeger, Westport
- Sparrow M. 2000. The regulatory craft: Controlling risks, solving problems, and managing compliance, Brookings Institution Press, Washington DC
- Sparrow M. 2008. The character of harms: Operational challenges in control. Cambridge University Press, New York
- The conception of the ‘Compliance Pyramid’ is based originally on the work of Braithwaite J. 2002, Restorative justice and responsive regulation. Oxford University Press
- Peters T J. and Waterman R H. 1982. In search of excellence: Lessons from America’s best-run companies. Harper & Row, New York (the McKinsey framework). See also:
- Turner J, Mock T, and Srivastava R. 2003. An analysis of the fraud triangle
New Zealand government
COMPLIANCE POLICY AND STRATEGY GENERALLY- Department of Labour. 2009. Keeping work safe: The Department of Labour’s policy on enforcing the Health and Safety in Employment Act 1992
- Inland Revenue, Helping you get it right: Inland Revenue’s compliance focus 2010–11
- Land Information New Zealand (LINZ). 2009. Standard for disposal of land held for a public work
- Ministry of Economic Development, Radio Spectrum Management, Compliance guide: For users of the radio spectrum, for suppliers of electrical and radio products
- Ministry of Economic Development, Radio Spectrum Management, Compliance programme: Compliance audit programme for 2009/10 and beyond
- Ministry of Fisheries, Compliance fact sheets and other compliance information
- Parliamentary Commissioner for the Environment. 2006. Changing behaviour: Economic instruments in the management of waste.
- State Services Commission. 2002. Guidance on acceptance of gifts, benefits and gratuities
- State Services Commission. 2004. Best practice guidelines for departments responsible for regulatory processes with significant commercial implications
- State Services Commission. 2005. Walking the line: Managing conflicts of interest
- The Treasury. 2002. Treasury guidelines for setting charges in the public sector
- The Treasury. 2005. Guide to the Public Finance Act
- Ministry of Consumer Affairs. 2005. Review of industry-led regulation – Discussion paper
- Joint Australian/New Zealand and International Standard on risk management – AS/NZS IS0 31000: 2009, Risk management – Principles and guidelines
- Office of the Auditor-General. 2002. Matters arising from the 2009–19 long-term council community plans (2010)
- Office of the Auditor-General. 2002. Reporting public sector performance
- Office of the Auditor-General. 2007. Turning principles into action: A guide for local authorities on decision-making and consultation
- Office of the Auditor-General. 2008. The Auditor-General’s observations on the quality of performance reporting (discussion paper)
- Office of the Auditor-General good practice guides:
- Governance and oversight of large information technology projects. 2000. Available at: www.oag.govt.nz/2000/it-oversight
- Local authority codes of conduct. 2006, Available at: www.oag.govt.nz/2006/conduct
- Managing conflicts of interest: Guidance for public entities. 2007. Available at: www.oag.govt.nz/2007/conflicts-public-entities
- Guidance for members of local authorities about the law on conflicts of interest. 2007, Available at: www.oag.govt.nz/2007/conflicts-members
- Charging fees for public sector goods and services. 2008. This covers only the charging of fees for goods or services that the agency is required by statute to provide. It does not cover levies. Available at: www.oag.govt.nz/2008/charging-fees
- Procurement guidance for public entities. 2008. This covers good practice for public entities procuring goods and services. Available at: www.oag.govt.nz/2008/procurement-guide
- State Services Commission, Performance Improvement Framework – relevant documents at:
- Crown Law Office. 2005. The Judge over your shoulder – A guide to judicial review of administrative decisions
- State Services Commission. 2004. Best practice guidelines for departments responsible for regulatory processes with significant commercial implications (prepared by a chief executive reference group convened by the Ministry of Economic Development)
Australian publications
- Australian National Audit Office (ANAO). 2007, Administering regulation: Better practice guide
- Australian Taxation Office. 2008. Measuring compliance effectiveness: Our methodology
- Australian Taxation Office. 2008. Measuring compliance effectiveness: Applying our methodology – Guide for compliance officers
- Australian Government. 2010. Best practice regulation handbook
UK/European publications
- Department for Business Enterprise & Regulatory Reform (UK).2007. Regulators’ compliance code: Statutory code of practice for regulators
- Department for Business Innovation & Skills (UK) Better Regulation Executive. 2009. Striking the right balance: BRE annual review
- European Commission. 2006. Better regulation – Simply explained
- HM Treasury. 2005. Reducing administrative burdens: Effective inspection and enforcement (‘The Hampton Review: Final Report’)
- OECD. 2000. Reducing the risks of policy failure: Challenges for regulatory compliance
- OECD. 2004. Guidance note: Compliance risk management: Managing and improving tax compliance
- OECD 2009. Ensuring environmental compliance: Trends and good practices
Other publications
- AS/NZS ISO 9000:2006, Quality management systems – Fundamentals and vocabulary
- AS/NZS ISO 9001:2008 Quality management systems – Requirements
- AS/NZS ISO 9004:2000, Quality management systems – Guidelines for performance improvements
- Ayres I and Braithwaite J. 1992. Designing responsive regulatory institutions, The responsive community. Rights and Responsibilities 2 (3) Summer
- Baker et al. 2001. Guidebook to decision-making methods, US Department of Energy
- Braithwaite J. 2002. Restorative justice and responsive regulation. Oxford University Press
- Braithwaite J. 2002. Rewards and regulation. Journal of Law and Society. Vol 29, No 1
- Fisse B and Braithwaite J. 1983. The Impact of publicity on corporate offenders. State University of New York Press
- ISO/IEC 17011: 2004, Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies
- ISO/IEC 17021: 2011, Conformity assessment – Requirements for bodies providing audit and certification of management systems
- ISO/IEC 31010:2009, Risk management – Risk assessment techniques
- NZS/AS 3806:2006, Compliance programmes
- OPRA Consulting Group. 2009. Job analysis of the probationary constable role. New Zealand Police
- Yeung K. 2002. Is the use of informal adverse publicity a legitimate regulatory compliance technique? Paper presented to the Australian Institute of Criminology Conference, Current issues in regulation: Enforcement and compliance, Melbourne, 3 September 2002
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