week 5

Question 1

regulatory body powers

Answer 1

prohibition notice -stop related activities until fixed
suspension-can’t operate until fixed
closure-close all activities

Question 2

inspection types

Answer 2

check if an organisation is doing what it says it is doing or meant to be doing.
•pre-planned inspections: whereby organisations are informed in advance
•unannounced inspections: whereby the organisation is not informed in advance and receives no notice

Question 3

preparation for inspection

Answer 3

•staff meeting and discuss the inspection agenda
•liaise with staff to ensure that the items requested by the regulatory body are available for review
•regular ‘mock inspections’ internally to identify any gaps
•prepare all organisation documentation such as policies, procedures,

Question 4

impact of non compliance

Answer 4

job losses, budget reductions, no service for customers, customer dissatisfaction, fines, prohibition notices issues, suspensions issued

Question 5

risks of non compliance

Answer 5

operational, financial, reputational.

Question 6

approaches organisations to be compliant

Answer 6

•appointing a compliance manager
•undertaking regular internal inspections and having ‘mock inspections’
•using unannounced internal inspections
•regularly quality assuring staff