Complexities of Compliance 2017

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

https://www.rotarygbi.org/media/2017/02/RI-THEME-2017-18-LOGO-PACK.zip



Domestics

Welcome

Fire Evacuation

Toilets

Mobile phones

Break




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

Here we go, another lecture on political correctness gone mad!




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 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




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




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




Stephan (for Dorothy Dix)

RIBI Equality and Diversity Policy – Reviewed April 2017



https://www.rotarygbi.org/media/members/2017/04/RIBI-Equality-and-Diversity-Policy-Reviewed-April-2017.pdf


Race Relations Act - 1965

Equal Pay Act - 1970

Sex Discrimination Act - 1975

Trade Union and Labour Relations Act - 1974

Disability Discrimination Act -1994




Equality Act 2010 - Protected Characteristics




Equality Act 2010 - Protected Characteristics

Age

Race & Ethnic Origin

Disability

Gender Reassignment

Gender

Pregnancy / Maternity

Marriage / Civil Partnership

Religion / Religious Belief

Sexual Orientation




Direct Discrimination

Discrimination because of

a protected characteristic




Indirect Discrimination

A policy that applies to everybody, but has a

disproportionate effect on people with a

particular characteristic




Associative Discrimination

Discrimination against a person because they are

associated with someone with a protected

characteristic




Harassment

Violating the dignity of an individual by reference

to a protected characteristic




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?




A positive approach makes your club:

Compliant

Friendly

Welcoming

It may even attract new members!




Data ProtectionRIBI Data Protection Policy For Global Database and

DMS – Reviewed April 2017

Yashpaul Anderson



https://www.rotarygbi.org/media/2016/08/RIBI-Data-Protection-Policy-2016-17-For-Global-Database-and-DMS.pdf


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




RIBI Dispute Resolution

RIBI Dispute Management Process (Revised Aug 2017)

Process for Determining Disputes

Helal (Stephan) Stephan



https://www.rotarygbi.org/media/2017/07/RIBI-Dispute-Management-Process-Aug-17.pdf


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.




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




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




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



https://www.rotarygbi.org/media/members/2017/04/Safeguarding-Policy-Children-Reviewed-April-2017.pdf

https://www.rotarygbi.org/media/members/2017/04/Safeguarding-Policy-Vulnerable-Adults-Reviewed-April-2017.pdf

https://www.rotarygbi.org/media/2015/11/2015-Safeguarding-Guidance-Manual-Master-Issue-2.pdf


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




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




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




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.




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




‘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




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.




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.




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




Safeguarding and Rotary




Health & SafetyRIBI Health and Safety Guidance – Aug 2016

RIBI Health and Safety Policy Statement – Reviewed April 2017

Helal (Stephan) Stephan



https://www.rotarygbi.org/media/2016/08/Health-and-Safety-Guidance-2016.pdf

https://www.rotarygbi.org/media/members/2017/04/Health-and-Safety-Policy-Statement-Reviewed-April-2017.pdf


Nov 2013, August 2016 & April 2017 Updates,ApprovedbyGeneralCouncilRIBI




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




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




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 – Health & Safety

Risk Assessments

What is a risk ?The chance that a hazard will cause

something harmful to

happen




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





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







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: ___________











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




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




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




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




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




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




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
















Website




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

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

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?”




A positive & proactive approach

makes your club:

Compliant

Friendly

Welcoming

It may even attract new members!




Dorothy Dix – E&[email protected]. 07898 784113

Sian Lindo - [email protected]. 07449 976523

Yashpaul Anderson – [email protected]. 07449 109406

Stephan Stephan - [email protected]. 01628 783318 / 07475 771471

Any Questions?



mailto:E&[email protected]

mailto:[email protected]



Government & Nonprofit

Complexities of Compliance 2017