Compliance monitoring

Customer Liaison OfficerCreating compliance assessments, reviews, audits and inspections are all useful methods of compliance monitoring.  Seeking further education or training in business is recommended for those wishing to specialise in this area. 

Compliance monitoring effectively gathers information relating to the following points:

  • Identifying and resolving problems

  • Ensure that compliance regulations are met

  • Analyse the effectiveness and integrity of the organisation’s compliance program

  • Keep track of progress achieved in meeting policy commitments and other associated targets and objectives

  • Ensure that the most effective operational controls are in place

It’s important to identify the person responsible for developing and managing processes for compliance breaches.  You can either develop or adapt a system to suit your venue’s requirements.

Reporting incidents of non-compliance

Employees are required to report any breaches of legislation, but it is important to establish this system of reporting and whom to approach.  This is best planned with your Human Resources Manager.

Some incidents of non-compliance may include:

  • Inadequate work practices

  • Inadequate training

  • Miscommunication of legislative guidelines and policies; or

  • Inadequate facilities

When in the process of reporting non-compliance, any investigation should be fully documented.  To assist a chosen staff member who may require further training in this area, CTA have a variety of business and management courses available.

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