Nominate the roles and

Nominate the roles and responsibilities of personnel

Nominate the roles and responsibilities of personnel for regulatory compliance in policies and proceduresCompliance personnelPersonnel 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 staffAs 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.P a g e | 31ConsiderationsPersonal responsibilityEvery 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 patternShift 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 authorityThe 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 qualificationsRoles 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.P a g e | 32Agreeing on roles and responsibilitiesThe 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.P a g e | 33Activity 2BP a g e | 342.3 Distribute policies, procedures and legal information to personnel at appropriate timesDistributing policies, procedures and legal information at appropriate timesEmployees 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 workers 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.P a g e | 35Activity 2CP a g e | 362.4 Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal complianceInformation updatesUpdates 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 informationIt 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 updatesThere 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.P a g e | 37Activity 2DP a g e | 38 Ensure compliance with legal requirements3.1. Communicate with regulatory authorities when planning business operations and submit required documentation3.2. Maintain business and occupational licences and check contractor compliance to avoid risk to business3.3. Continuously evaluate business operations for non-compliance and implement modifications

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