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Compliance Presentation – 11th October 2017 - Benson
THE COMPLEXITIES OF
COMPLIANCE
Presentation by
Stephan Stephan, District 1090 H&S Adviser
Yashpaul Anderson, District 1090 Data Protection
Sian Lindo, District 1090 Safeguarding Adviser
Dorothy Dix, District 1090 Equality & Diversity Adviser
Compliance Presentation – 11th October 2017 - Benson
Domestics
Welcome
Fire Evacuation
Toilets
Mobile phones
Break
Compliance Presentation – 11th October 2017 - Benson
Agenda• Introductions
• Object of Seminar
• Compliance Policies & Responsibilities
• Equality & Diversity
• Data Protection
• Dispute Resolution
• Safeguarding - Protection of Children & Vulnerable Adults
• Health & Safety
• Risk Assessment
• Insurance
• RI & District 1090 Website
• Summary
• AOB
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE
Here we go, another lecture on political correctness gone mad!
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE
1. Child injured by firework at Rotary display
2.Participant collapses on fun run
3.“You must be the speaker, dear. Thankfully our club hasn’t made the mistake of letting women in, let
alone making them president.”
4.“I don’t think you would enjoy our club. You wouldn’t be able to join in, being in a wheelchair”
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE IS ABOUT:
- Upholding Rotary principles and ethics
- Treating people decently
- Protecting YOUR club
- Complying with the law
- It is not about preventing you from running your events or providing
Rotary service
Compliance Presentation – 11th October 2017 - Benson
General Council Secretary/CEO
Executive CommitteeHealth & Safety and Protection
Committee
Districts(Governors)
Clubs(Presidents)
RIBI
Advisers
Compliance Responsibility
Corporate Responsibility … Duty of Care
District Advisers
Club Advisers
Compliance Presentation – 11th October 2017 - Benson
RIBI Commitments to:
a. Promote & encourage safe practice
b. Provide information & advice
c. Establish systems & procedures
d. Develop & encourage Compliance communication
e. Exchange ideas & promote best practice
Rotary Clubs – Overall Responsibility to:
> Plan, organise & deliver in a safe & legal manner
Compliance Presentation – 11th October 2017 - Benson
Stephan (for Dorothy Dix)
RIBI Equality and Diversity Policy – Reviewed April 2017
Compliance Presentation – 11th October 2017 - Benson
Race Relations Act - 1965
Equal Pay Act - 1970
Sex Discrimination Act - 1975
Trade Union and Labour Relations Act - 1974
Disability Discrimination Act -1994
Compliance Presentation – 11th October 2017 - Benson
Equality Act 2010 - Protected Characteristics
Compliance Presentation – 11th October 2017 - Benson
Equality Act 2010 - Protected Characteristics
Age
Race & Ethnic Origin
Disability
Gender Reassignment
Gender
Pregnancy / Maternity
Marriage / Civil Partnership
Religion / Religious Belief
Sexual Orientation
Compliance Presentation – 11th October 2017 - Benson
Direct Discrimination
Discrimination because of
a protected characteristic
Compliance Presentation – 11th October 2017 - Benson
Indirect Discrimination
A policy that applies to everybody, but has a
disproportionate effect on people with a
particular characteristic
Compliance Presentation – 11th October 2017 - Benson
Associative Discrimination
Discrimination against a person because they are
associated with someone with a protected
characteristic
Compliance Presentation – 11th October 2017 - Benson
Harassment
Violating the dignity of an individual by reference
to a protected characteristic
Compliance Presentation – 11th October 2017 - Benson
If in doubt ask two questions:
1. Does our action comply with the Four
Way Test?
2. How would I expect to be treated in
that situation?
Compliance Presentation – 11th October 2017 - Benson
A positive approach makes your club:
Compliant
Friendly
Welcoming
It may even attract new members!
Compliance Presentation – 11th October 2017 - Benson
Data ProtectionRIBI Data Protection Policy For Global Database and
DMS – Reviewed April 2017
Yashpaul Anderson
Compliance Presentation – 11th October 2017 - Benson
Data Protection Act 1998
8 Principles - Obtaining & Storing Personal data
- Handled Fairly & Lawfully
- Purpose
- Personal Data only – identifiable living people
- Adequate & Relevant
- Accurate & Up to Date
- Held no longer than needed
- Processed in line with rights of the person
- Safe & Secure - Not sent outside EU (with exceptions)
EU General Data Protection Regulations
www.ico.gov.uk
Compliance Presentation – 11th October 2017 - BensonUK Data Protection Bill 2017
Replaces the Data Protection Act 1998 with a new law that :
- provides a comprehensive and modern framework for data
protection in the UK with stronger sanctions for malpractice- Announced in the Queen’s Speech on 21 June 2017.
- It will implement the government's manifesto commitments to update data protection laws
- As part of this the Bill, applies the EU’s GDPR standards, preparing Britain for Brexit
- By having strong data protection laws and appropriate safeguards, businesses will be able to operate across international borders
- Makes data protection laws fit for the digital age – an ever increasing amount of data is being processed
- Ensures that the UK is prepared for the future after we have left the EU
- Allow the Commissioner to levy higher administrative fines on data controllers and processors for the most serious data breaches,
- up to £17m (€20m) or 4% of global turnover for the most serious breaches
Compliance Presentation – 11th October 2017 - Benson
RIBI Dispute Resolution
RIBI Dispute Management Process (Revised Aug 2017)
Process for Determining Disputes
Helal (Stephan) Stephan
Compliance Presentation – 11th October 2017 - Benson
Complaints, Investigation & Disciplinary
Disputes:• Between club or former members & Rotary family• Complaints on RI, RIBI & Districts Officers• Also, with 3rd parties
Resolution of:• All disputes in a spirit of Fairness, Impartiality,
Confidentiality & Transparency
Excludes:• Disputes regarding internal club administration
such as timings, structures, custom & practice etc.
Compliance Presentation – 11th October 2017 - Benson
Defamation, slander and malicious falsehood
Complaints:• Libel = a defamatory statement in writing - wide
spread use of email & social media platforms
• Slander = a defamatory statement made by word of mouth or gesture
• Excludes Any dispute regarding internal club administration such as timings, structures, custom and practice etc.
• All Club Members deemed to consent to the RIBI process of Dispute Resolution
Compliance Presentation – 11th October 2017 - Benson
Dispute Resolution:
Conversations & Discussions:Speak face to faceMeet in a neutral placeConsider the other person's point of view Clarify the problemDiscuss the facts & difference of opinionFind common ground and go from there Realise that there is a great potential to learn from
Mediation: Neutral third impartial party intervenes in a dispute who will,
through a sequence of steps, guide to an agreed solution
Arbitration – Final & Binding:Formal process used to settle disputes and avoid large expense
Compliance Presentation – 11th October 2017 - Benson
Safeguarding in Rotary
- Children
- Vulnerable Adults• Safeguarding Policy (Children) – Reviewed April 2017
• Safeguarding Policy (Vulnerable Adults) – Reviewed April 2017
• 2015 SAFEGUARDING GUIDANCE MANUAL – ISSUE 2
Sian Lindo
Compliance Presentation – 11th October 2017 - Benson
Purpose of the RIBI Safeguarding PolicyTo give guidance and support to enable Districts, Clubs and individual Members to meet legislative requirements
To ensure Districts, Clubs and Members are covered by the RIBI Insurance Policy in all of their activities
To provide legal support and advice in the event of any allegation or claim being made against a District, Club or individual member
IT IS NOT JUST A BUREAUCRATIC EXCERCISE
Compliance Presentation – 11th October 2017 - Benson
Safeguarding General Statement
Every Rotary Club should annually sign up to the RIBI Safeguarding Policy with an entry into the Club Minutes, and appoint a person responsible for safeguarding issues
The protection and safeguarding of children and adults who may be vulnerable, is of paramount concern for every Rotarian
Any activity or project planned and carried out by a club MUST give consideration to the safety and well being of any child or vulnerable adult who is benefitting or participating in that event
Consideration must also be given as to whether any Rotarian or Volunteer participating requires a DBS check. This should form part of the Risk Assessment that must be carried out for all Rotary activities
Compliance Presentation – 11th October 2017 - Benson
Disclosure and Barring Service• A single Authority carrying out Criminal Record
Checks and Checking the Barred Lists (people who have been barred from working with Children or Adults)
• Because we are a voluntary organisation we can apply for a DBS check free-of-charge
• DBS filter spent, certain convictions, and minor Caution, reprimands and warnings from Criminal Records
Compliance Presentation – 11th October 2017 - Benson
Criteria for a DBS check ‘REGULATED ACTIVITY’ RELATING TO CHILDREN
Unsupervised Activities: teach, train, instruct, care for or supervise children, or provide advice/guidance on well-being, or drive a vehicle only for children, is REGULATED ACTIVITY as long as done regularly i.e. carried out by the same person frequently (once a week or more often), or on 4 or more days within a 30 day period, or overnight between the hours of 2am and 6am.
Compliance Presentation – 11th October 2017 - Benson
Criteria for DBS check (continued)
Or in a specified place; Schools, children’s homes and hospitals, juvenile Detention Centre, adult care home. (Unsupervised Activities –definition see above: if you are working directly to and under the instruction of a person who is DBS checked, e.g.
Teacher, hospital worker etc., you are in a supervised activity which does not require you to have a DBS clearance
Compliance Presentation – 11th October 2017 - Benson
‘Regulated Activity’ Relating to AdultsThe new definition of Regulated Activity relating to adults
no longer labels them as ‘Vulnerable.’ Instead, the definition identifies activities which, if any adult requires them, lead to that adult being considered vulnerable at that particular time. Also, there are no frequency/time constraints applicable to adults.
These are: Providing Health Care or Personal Care; providing Social Care; assistance with cash, bills or shopping; conveying an adult because of their age, illness or disability to a place where they receive Health Care, Personal Care or Social Care.
Proviso: This will not include family, friends or taxi drivers
Compliance Presentation – 11th October 2017 - Benson
PhotographyAt a Rotary organised event the organiser has the right to
prohibit the taking of photographs by spectators and a notice should be displayed to this effect.
No photographs should be taken of a child or person doing a vulnerable activity, on a one to one basis without another parent/adult/Rotarian being present.
The written permission of the parent/guardian should be obtained in advance before photographs are taken of children, and by the person responsible for an adult deemed to be vulnerable.
Compliance Presentation – 11th October 2017 - Benson
Photographs (continued)Additional written permission should be obtained for
photographs to be published on a web-site, social media, magazine or newspaper, and then only the child’s Christian name is to be used.
When an event is run in the public arena, photographs of a general nature e.g. crowds of people and/or activities does not present a problem. However, photos should not be taken of children in sports clothes (bathing costumes in particular) or in changing rooms. Common sense should always prevail.
Compliance Presentation – 11th October 2017 - Benson
Procedure for DBS applicationsProvide details of Rotarians to be checked and the reason
(s) for so doing through the District Safeguarding Officer. You will receive an application form and instructions for completion
Your Club Protection Officer or an Officer of the Club will need to see your passport and/or driving licence and certify those details on the application form
When the applicant receives a Certificate of DBS Clearance, that person can apply within 19 days for Continued Registration. This will obviate the need for further renewals in future
Compliance Presentation – 11th October 2017 - Benson
Safeguarding and Rotary
Compliance Presentation – 11th October 2017 - Benson
Health & SafetyRIBI Health and Safety Guidance – Aug 2016
RIBI Health and Safety Policy Statement – Reviewed April 2017
Helal (Stephan) Stephan
Compliance Presentation – 11th October 2017 - Benson
Nov 2013, August 2016 & April 2017 Updates,ApprovedbyGeneralCouncilRIBI
Compliance Presentation – 11th October 2017 - Benson
Same safety standards apply to voluntary activities
Duty of Care on organisers & individually on helpers
Each club is responsible for H&S of its own activities:
Club H&S system / processes / Policy
Risk assessments
Management and planning group
For each event a single named person responsible
RI Policy Principles
Compliance Presentation – 11th October 2017 - Benson
H&S
blamed to cancel lots of fun events
Victims:-
Plastic duck races, village fetes, banning of conkers,
firemen's poles, park benches & even Morris dancing
Compliance Presentation – 11th October 2017 - Benson
Continued:-
Permission (e.g. of owner/Local Authority)
Licensing (music, dance, performance, drinking, betting, late night refreshment and food, sale of motor vehicles)
Stewards / marshalling
Coping with disability
Catering
Lighting failure
Fire
Evacuation
First Aid
Basic First Aid Training
28 Oct & 1 Nov ‘17
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE – Health & Safety
Risk Assessments
What is a risk ?The chance that a hazard will cause
something harmful to
happen
Compliance Presentation – 11th October 2017 - Benson
H&S management in Rotary is not an option
- it is an obligation
RAs - carried out & recorded
- perceived risk?
Divide risk assessment for big events into parts
Then:
Carry out the risk control actions that result
from the risk assessments and write them down
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE – Health & Safety
Six Stages of a Risk Assessment1. What might cause harm (Hazard)?
- visit location
2. Who might be harmed and how?
3. What chance someone might be harmed (Risk)?
4. What precautions taken? Are they adequate?
5. Record findings / retain copies as evidence
6. Review RA as & when necessary
- particularly after the event
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Rotary Club/District - Health and Safety Risk Assessment Form
Ref No: ____ Task/Function: _____________________________ Location: ___________________________________________
Risk Assessor: _______________________ Date: __________ Persons at Risk: _______________________________________
Risk Levels:- L = Low; M = Medium; H = High (Use L-M, or M-H to indicate intermediate risk levels, if necessary)
(NB: Risk Levels in last column indicate anticipated scores after Action is taken)
Hazard
(What might cause
harm?)
Risk(s)
(What harm might be caused?)
Risk
Level
Before
Action
L/M/H
Current Control Measures and/or
Action to Reduce/Eliminate Risk
(Including action by whom and by when)
Risk
Level
After
Action
L/M/H
Signed: _______________________________ Risk Assessor Signed: ________________________________ Project Manager
Date: ________________ Date: ________________ Review Date: ___________
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE – Health & Safety
Risk Assessments
- Make sure that they recorded and accessible on the day
- Keep them as short as possible, and to the point
- They need to be easily understood
- Need to cover Health and Safety, Safeguarding and Environmental issues (& ideally commercial)
- Keep copies for future reference and repeat events
Compliance Presentation – 11th October 2017 - Benson
Traffic Management Plans - competencyMarshals are needed on roads:
MUST have Hi Vis jackets / tabardsAssist with emergency vehicle accessMUST NOT try to stop or control moving vehicles
Vehicle controlMarked routes, access and egressAvoid causing congestionAppropriate barriers & signageLevel crossing / swing bridges - need permission
Competence Training sessions for :Traffic Management
for Community Events
Roads and Vehicles
Compliance Presentation – 11th October 2017 - Benson
Insurance
Rotary Confirmation of Insurance 2017-18
Rotary Ecclesiastical Employers Liability Certificate 2017 - 18
2017-18 RIBI Insurance Guide – September 2017
Rotary Event Insurance Referral Form
Compliance Presentation – 11th October 2017 - Benson
RI Insurance Every Rotarian and volunteer
working on a Rotary event or
activity has insurance cover
… which provides a safety net
BUT:
Insurance is not a licence
for unsafe activities
NB - Health & Safety rules should never be used to restrict or cancel events
Requirements now also formanaging Club Accounts
Compliance Presentation – 11th October 2017 - Benson
Insurance Policies- Public, Products & Employers’ Liability - death, injury, damage
… £2m for each & every claim (£13m for any claim over £2m)
… £20m Public Liability Limit per Claim / £10m Product Liability Total Limit
… £10m Employer’s liability of each Claim (includes £1m Stallholder liability)
- Regalia & Money – Loss or damage to Regalia & Transit money… £1K to £6k maximum
- Officers & Club Indemnity – wrongful acts of officers… £500K per claim – max £2m
- Legal Expenses – criminal prosecution… £250K limit of Indemnity for defence
- Libel & Slander – Club Publications… £500K for damages costs & expenses
- Personal Accident – Rotarians & Volunteers… £7.5K to £30K for death and injuries / loss of limbs
Compliance Presentation – 11th October 2017 - Benson
Insurance & the Rotary Clubs
• Arranged by Bartlett Insurance Brokers
• Applies to Rotarians & volunteers for R Activities
• Covers all traditional Rotary Activities (All listed)
• Deaths & Injuries
• Excludes:
- Inner Wheel, RYLA & Friends of Rotary
- Fireworks Displays (unless by Specialists)
- Equipment, Property & Travel Insurance
- Cancellations & Abandonments
- Weather Insurance
- Prize Indemnity
Compliance Presentation – 11th October 2017 - Benson
Insurance & the Rotary Clubs
Also excludes:
- Aviation, hot air balloons & parachute
- Bungee Jumping & Abseiling
- Marine & water-borne risks & Motor racing
- Use of vehicles on & off public highways
- Any deliberate Acts or omission
- Contract conditions by others imposing Rotary liability
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
Website
Compliance Presentation – 11th October 2017 - Benson
RIBI Website – http://www.rotarygbi.org/
District 1090 Website – http://www.rotary-ribi.org/districts/homepage.php?DistrictNo=1090
Health, Safety, Protection & Environment
Club websites linked, if RIBI template
Policies, RA templates & Examples
Updates notified, if advised
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE
Rotary International in Great Britain and Ireland
Compliance Confirmation Form
The Rotary Club of _ _ _ _ _ _ confirms that it has adopted the following RIBI Policies:
(i) Equality and Diversity
(ii) Health and Safety
(iii) Safeguarding – Children
(iv) Safeguarding – Vulnerable Adults
(v) Data Protection
Compliance Presentation – 11th October 2017 - Benson
Compliance Presentation – 11th October 2017 - Benson
COMPLIANCE
Failure to complete and return the Compliance Form MAY invalidate your insurance if there is a claim
Failure to meet the standards of the various policies questions your club’s adherence to the Four Way Test
and decent practice
If in doubt, ask yourself the question:
“How would I expect to be treated in that situation?”
Compliance Presentation – 11th October 2017 - Benson
A positive & proactive approach
makes your club:
Compliant
Friendly
Welcoming
It may even attract new members!
Compliance Presentation – 11th October 2017 - Benson
Dorothy Dix – E&D@rotary1090.orgTel. 07898 784113
Sian Lindo - Protection@rotary1090.orgTel. 07449 976523
Yashpaul Anderson – Y_Anderson_UK@Yahoo.comTel. 07449 109406
Stephan Stephan - Safety@rotary1090.orgTel. 01628 783318 / 07475 771471
Any Questions?
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