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New Compliance programmes Standard – available now

1 May 2009

New (adopted) Compliance programmes Standard – available now

Standards New Zealand has just published NZS/AS 3806 – a Compliance programmes Standard.

The Standard helps organisations to develop a compliance programme that demonstrates commitment to compliance with legislative requirements, industry codes, and organisational standards, as well as standards of good corporate governance, ethics, and community expectations.

‘This Standard will help proactive businesses take appropriate steps to ensure they comply with laws, regulations, and other obligations,’ says John Horner, Partner at Quigg Partners, and a member of the development committee for NZS/AS 3806. ‘Those businesses that apply the Standard will be likely to spend less time and fewer reῳources reacting to incidents of non-compliance and enforcement action than they otherwise might.™

NZS/AS 3806:2006 is a modified adoption of the Australian Standard AS 3806, with a New Zealand-only amendment. Amendment 1 makes minor modifications to AS 3806 so it is suitable for use in New Zealand. No changes have been made to the technical content of the Standard.

‘The Compliance programmes Standard has been adopted in New Zealand as a voluntary guide for organisations to customise and develop their own compliance systems,’ says Martin Tolar, Chief Executive Officer of the Australasian Compliance Institute, which sponsored the adoption in New Zealand.

‘The Standard provides both public and private sector organisations in New Zealand with standardised guidance on the principles for developing, implementing, and maintaining effective compliance programmes – and harmonisation with the compliance methods used by Australian organisations.’

The Compliance programmes Standard will be of particular interest to:
- company directors and CEOs who are responsible for ensuring the establishment and maintenance of the governance frameworks within their organisations
- accountants – New Zealand Institute of Chartered Accountants members are required to comply with specific compliance programmes
- organisations concerned with public record-keeping
- the legal profession – the Standard provides a practical framework for compliance by legal practitioners
- advisors and those responsible for investigating and certifying compliance – the Standard provides guidance for investigators and advisors to inform their work and to guide their clients
- managers in the public and private sector – organisations of all sizes that operate under legislative or regulatory compliance frameworks can benefit from applying the Standard's guidance.

‘The Standard provides a best practice framework for organisations of all sizes and sectors, to follow,’ says Martin. It sets out four elements, which should be common to all effective compliance programmes – commitment, implementation, monitoring and measuring, and continual improvement. These elements are then underpinned by tῷelve principles that will help organisations identify and remedy deficiencies in their compliance withᾠlaws, regulations, and codes; and develop processes for continual improvement in this area.

The Australasian Compliance Institute and its New Zealand members identified a need for the Standard to be used in New Zealand. Committee members involved with compliance, who reviewed the Australian Standard for adoption, included representatives from New Zealand Institute of Chartered Accountants, New Zealand Law Society, NZX, Archives New Zealand, Commerce Commission, Business New Zealand, Reserve Bank of New Zealand, Securities Commission, and the Australasian Compliance Institute.

To order or download NZS/AS 3806:2006 with Amendment 1 incorporated, visit and enter keyword 3806, or call 0800 782 632 during business hours. If you already have a copy of AS 3806, you can download the New Zealand-only Amendment 1 for free. (Note that a charge applies for hard copies of amendments.)

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