Social Landlord Service: Compliance Policy

1. Purpose

1.1 This policy establishes a unified framework to ensure all compliance workstreams operate consistently, effectively, and in alignment with applicable laws,  regulations, and internal standards.

2. Scope

2.1 The overarching policy applies to all compliance workstreams including asbestos, electrical, fire, gas, lifting equipment, and water safety across all Social landlord Service assets.

3. Objectives

3.1 The key objectives of the policies are to:

• ensure statutory compliance
• protect residents
• achieve 100% compliance across all workstreams
• provide assurance to Cabinet and the Executive Leadership Team

4. Governance

4.1 This compliance policy provides oversight and consistency across all compliance workstreams. Cabinet and the Executive Leadership Team will provide  oversight of all compliance policies and ensure Policies are approved and resourced. The Council Homes Director acts as the accountable person across  compliance workstreams. The Compliance Team will ensure the successful delivery of the compliance policies.

5. Workstream integration

5.1 All compliance areas follow consistent principles including risk assessment, inspections, remedial actions, and reporting.

6. Risk management

6.1 All risks are identified, assessed, recorded, and mitigated across all workstreams.

7. Monitoring and assurance

7.1 The Compliance Policy Framework tracker provides assurance through the monitoring of the workstreams including audits, inspections, compliance performance reporting, and independent assurance.

8. Incident management

8.1 All incidents are reported, investigated, and used to drive improvement.

9. Training

9.1 Mandatory training and checks ensures staff and contractors are competent.

10. Resident engagement

10.1 Residents are informed, supported, and expected to cooperate with safety activities. The implementation of all policies will consider any known vulnerabilities in ensuring compliance management is delivered successfully.

11. Data management

11.1The council will maintain accurate and auditable records and documentation across all compliance workstreams.

12. Continuous improvement

12.1The council will ensure that the approach considers learning from incidents, audits, and feedback to enhance compliance management and performance.

13. Policy review

13.1The council will review all compliance policies every two years or following significant change.

14. Three lines of defence model and assurance

14.1 The Council adopts a Three Lines of Defence model to ensure clear accountability, effective risk management, and independent assurance across all compliance workstreams.

First line - Operational management

• responsible for day-to-day management of compliance risks. This includes service managers, operatives, and contractors who deliver works such as inspections, servicing, and remedial actions. They ensure controls are implemented and risks are managed at source

Second line - Compliance and oversight

• the Compliance Team provides oversight, monitoring, and challenge. This includes managing compliance programmes, validating data, tracking performance, and ensuring policies are implemented effectively

Third line - Independent assurance

• internal Audit and external auditors provide independent assurance on the effectiveness of the compliance framework, controls, and governance arrangements

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