Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures
Compliance personnel
Personnel from within the organisation or external candidates may be elected to oversee and enforce compliance with regulatory policies and procedure. This person may be given the title of ‘compliance officer’ or ‘compliance manager’.
The roles and responsibilities of the compliance officer may include:
➢ To identify risks, i.e. where regulatory policies and procedures are not being fulfilled
➢ To prevent risks, i.e. to put control measures in place to manage compliance with regulatory policies and procedures
➢ To monitor and report on the effectiveness of these control measures
➢ To address non-compliance where it occurs
➢ To report back on compliance issues to the organisation and to advise on compliance issues.
All or some of these responsibilities may be assigned to one worker, depending on the structure of the organisation and how it delegates the responsibilities of ensuring regulatory compliance.
Where a single employee, i.e. a compliance officer, is not in place, these roles and responsibilities may fall to other relevant members of staff, such as department heads, supervisors and managers, for example.
Roles and responsibilities for general staff
As well as the appointment of staff specifically to monitor and ensure compliance with regulatory policies and procedures, individual staff members at every level of the organisation may have their own responsibilities for monitoring and enforcing compliance, depending on their level and job role.
The roles and responsibilities of each member of staff in relation to compliance may be determined by:
➢ Job role and job level
➢ Work area
➢ Specialist knowledge or qualifications, e.g. safety officer, first aid officer, etc.
➢ Shift pattern
➢ Necessity.
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Considerations
Personal responsibility
Every member of staff should take personal responsibility for complying with policies and procedures that relate directly to their own job role and the work activities that they undertake. For example, a hotel receptionist may be responsible for taking down the payment details of each guest that arrives before checking them into a room.
However, the area manager for the hotel may be responsible for monitoring the compliance of all the receptionists and taking any necessary action to combat non-compliance, such as giving warnings or initiating disciplinary procedures.
Shift pattern
Shift pattern may also mean that a particular worker must take responsibility for a certain regulatory task. For example, it may be the first person to arrive to the workplace who must conduct certain inspections, or the last person to leave who is responsible for switching off machinery.
Level of authority
The authority level of a staff member may determine their responsibilities. For example, if only one staff member has the keys to a certain area or a safe, then only they will be able to take responsibility for requirements relating to these areas.
Expert knowledge or qualifications
Roles and responsibilities may be designated according to the particular knowledge, experience or qualifications of an individual worker. For example, the person with the highest level of qualification in a certain area, may be given the greatest responsibility for monitoring regulatory compliance in that area, as they may have the greatest ability to recognise risk due to their increased knowledge and understanding.
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Agreeing on roles and responsibilities
The roles and responsibilities of each worker in relation to regulatory compliance must be clear to them and to others so that every compliance requirement is fulfilled within each area of business operations and so that staff members know the correct person to whom to refer compliance issues or concerns.
Roles and responsibilities of individuals in relation to regulatory compliance may be reflected in:
➢ Employment contracts
➢ Workplace schedules
➢ Other written record, which may be on display
➢ Any written instructions where responsible personnel are identified.
Employees should know their own responsibilities and the responsibilities of their colleagues. This information may be circulated through meetings, memos, written instructions, schedules or in any other appropriate format.
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Activity 2B
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2.3 – Distribute policies, procedures and legal information to personnel at appropriate times
Distributing policies, procedures and legal information at appropriate times
Employees need to be aware of their legal obligations and also their legal rights. This can be achieved by providing staff with sufficient information about policies, procedures and relevant sections of the law.
Appropriate times to distribute this information may include:
➢ Initial training or orientation
➢ Refresher training
➢ When there are changes in policy, procedure or the law
➢ In response to an instance or repeated instances of non-compliance
➢ When there is a change in a worker’s personal role or set of responsibilities.
Distributing information about policies, procedures and legal information to workers at appropriate times can help to ensure that they have sufficient knowledge to complete work tasks in accordance with the relevant regulatory requirements for their role.
Information may be distributed:
➢ In handbooks or written formats given to employees
➢ In relevant group meetings
➢ During training sessions
➢ In feedback sessions
➢ On online learning portals.
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Activity 2C
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2.4 – Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance
Information updates
Updates are important to ensure that employees’ knowledge stays current, as well as providing an opportunity for knowledge of older materials to be refreshed.
Updates may be required when:
➢ There are changes in policies, procedures or law
➢ There are changes in or additions to usual business operations within the organisation, which requires adherence to new or further regulations.
Acquiring update information
It may be your responsibility to source information about the most current regulatory requirements for your organisation.
This may involve:
➢ Subscribing to regulatory newsletters
➢ Using the sources outlined in section 1.1 of this unit.
Organising information updates
There are a number of ways that information updates may be organised. Some of these may depend on the systems that the organisation has in place, such as online portals for staff and messaging systems and structures for sharing information.
They may include:
➢ Organised training sessions or group meetings
➢ Annual/bi-annual sessions
➢ Re-issue of handbooks or other materials
➢ Updates on online portals and learning systems
➢ Circulated notices
➢ Presentations.
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Activity 2D
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- Ensure compliance with legal requirements
3.1. Communicate with regulatory authorities when planning business operations and submit required documentation
3.2. Maintain business and occupational licences and check contractor compliance to avoid risk to business
3.3. Continuously evaluate business operations for non-compliance and implement modifications
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