Responsibilities of management, designated officers and employees

1. Regulatory Concept & Core Standards

This video focuses on how to distinguish the responsibilities of those involved in the compliance programme. Follow the sequence of decisions in the example rather than simply memorising a list. Notice who is involved, what information is needed and the expected result. These points help turn the content into a practice that another person can verify. An integrity programme connects risks, behaviour, controls and reporting. Duties are assessed under Slovenian law. The preventive model is recommended practice unless a specific applicable duty is identified.

Management supplies conditions, a coordinator monitors the programme and operational teams perform controls. Under ZZPri the trusted person handles reports diligently, confidentially and independently. These roles are not automatically combined in one person. Programme oversight does not imply unrestricted access to every case.

Apply the following rule: Article 9 generally covers entities with at least 50 employees. A threshold of at least ten applies to the specified principal healthcare, water, waste and environmental activities. Listed state bodies and municipalities are covered irrespective of headcount, and additional sectoral requirements exist. The trusted person, zaupnik, is appointed from employees. An external provider may receive reports, but purchasing a platform does not replace the trusted person’s statutory tasks.

2. Practical Implementation & Procedure

For each activity, identify who performs it, who decides and who verifies it. Also define cover for absences and arrangements for handling conflicts. A simple matrix can connect risk-plan reviews to the responsible officer and channel management to the designated team. Access to reports must follow a functional need, not merely a senior position in the organisation. Before moving on, turn this procedure into a sequence you could explain to a colleague. Identify the first check, the action that depends on its outcome and the record that allows the decision to be reconstructed. Follow the sequence on screen and identify the point where an error would change the result.

3. Case Study & Compliance Action

A director wants every report. One concerns the director’s department and possible personal involvement. Summaries and independent oversight can support governance without unrestricted case access. Now read the case carefully. Separate established facts from information you would still need to confirm. Do not add motives or events that have not been described. This distinction matters when choosing a response proportionate to the information available.

The exercise is as follows: Does a management role give a right to every report? Choose an answer and write one sentence explaining it. During the pause, compare your choice with the criteria we have just considered. Also think about the material you would retain to explain the decision later.

No. Assess the concrete role, need to know and conflict. Hierarchy does not remove confidentiality or independent handling.

One mistake to avoid is: assigning all controls to the compliance officer and removing responsibility from operational teams.

Now apply the national rule to a second decision. A subsidiary copies its foreign headquarters’ procedure without its own assessment. What must it check?

Identify the Slovenian entity, employees, public or private status and article 9 exceptions. Appoint the trusted person and define tasks. Shared technology or external receipt does not replace national obligations.