Assessment Tool For Compliance And Regulatory Information

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I have had my rights and the appeal system fully explained to me

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The assessor has discussed special needs assistance with me

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I understand that I have to complete all tasks/questions myself

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I acknowledge that I have had the assessment process explained to me

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I agree to undertake assessment tasks in this assessment tool

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Q #

Questions

Satisfactory

√ = Yes

X = No

1. 

Identify at least 3 sources of information for compliance with laws and licensing for business operations.

Corporate lawyers are one of the major sources of information due to the reason that they can help in giving the understanding of legal compliances for the business. Government information sites are another source by providing data about the rules and regulations. The last one is legal authorities, which will provide the guidance in aligning with the legal standards.

2. 

In order to determine the scope of your business compliance, what must you know?

It is important to have the fair understanding about the rules and regulation standards to be followed. In addition, it is also important to know the extent to which the organizational process is aligned to that of the regulation standards. This information will only help in determining the scope of the business compliance.

3. 

Identify 5 ways to access regulatory information relevant to specific business operation.

1. Applying for the direct access to the site of the regulatory authority.

2. Taking the help of the external sources such as lawyers and advocates.

3. Taking the help of law firms who will look after the legal formalities of the business.

4. Determining the regulatory factors of the competitors will also help in having the fair understanding.

5. Identify the global standards.

4. 

Identify the penalties and consequences of non-compliances in regards to Work Health and Safety in your local area.

Penalties for non compliance with the work health and safety include fines and imprisonment. This will include no limitations of the penalties and it will be decide by the court of law based on the consequences. On the other hand, extent of imprisonment will also be decided based on the severity of the incident.

5. 

Outline 5 reasons why you may need to obtain specialist legal advice.

1. Specialist legal advice will be important in having proper understanding of the legal situations.

2. It is also important for having the understanding about the particular lawsuits and cases.

3. They will be most effective in helping the firm in avoiding legal actions.

4. They are having the best idea about how to deal with external legal factors.

5. They will be the best in complying with the legal standards.

6. 

Where could you obtain legal advice from?

Legal advice can be best obtained from the corporate law firms. They are responsible for providing the best legal solutions to the clients. In addition, government agencies can also help in gaining legal advice.

7. 

Discuss regulatory policies and procedures including formats for and inclusions in policies and procedures.

Some of the policies are workplace health and safety acts and customer standard acts. These policies discuss about the basic standards to be followed by the organizations. It is required for the companies to submit their standards in written forms to the authorities for approval.

8. 

Discuss the role and responsibility of personnel in regards to Responsible Service of Alcohol (RSA) for regulatory compliance.

It is important for the personnel to have the fair understanding of law for complying with it.  In addition, he should be responsible in meeting the standards given also to report any deviation in the organization by other internal stakeholders (Steurer 2013).

9. 

Discuss how the general process used to distribute policies, procedures and legal information to personnel in the workplace.

The most widely used process is sending emails to the employees. This helps in communicating about the legal rules and regulations to the maximum employees at once. In addition, written hard copy is also being given that is duly signed by the respective employees (Kalyvas and Mamatzakis 2014). This also helps in maintaining the authenticity of the entire process.

10. 

Who is responsible in ensuring all personnel are compliant and aware of their roles and responsibilities for legal compliance?

Majority of the large scale businesses are having dedicated legal departments, which look after these factors. However, it is the responsibility of the human resource manager to aware the employees regarding their roles and responsibilities for legal compliance. Human resource manager also ensures that each of the employees is aware about the changes in the corporate legal obligations (Bagautdinova et al. 2014).

11. 

Identify 4 ways you communicate with regulatory authorities when planning business operations.

One of the major ways is by directly accessing to official sites of the regulatory authorities. They will be able to report the authorities in periodical manner. Another way is communicating through the legal firms, which are having connections directly with the authorities. Another way is through the promoters, who will help in bridging the gap between the authorities and the company (Reed, Reed and Utting 2013). The last way is to involve the corporate lawyers to communicate with the authorities.

12. 

Discuss the following occupational licences and why each is required to maintain a business in the hospitality industry.

a. alcohol licensing

b. Tobacco licensing

c. Food licensing

Alcohol licensing is important due to the reason that in the hospitality industry, alcohol license will ensure that alcoholic drinks can be served to the customers.

Tobacco licensing is important due to the reason that without it, business cannot serve tobacco based items to the customers.

Food licensing is important because hospitality company should have this for serving food items to the customers.

13. 

Identify 5 methods of monitoring business operations.

The five methods are benchmarking, variance analysis, trend analysis, and customer retention management and employee feedback (Korutaro and Biekpe 2013).

14. 

What is involved in the modification of business operations?

All the departments including the operation department are involved in modification of the business operation. In addition, stakeholder management is also involved in order to manage the internal stakeholders according to the modified business operation (Allen and Aldred 2013).

15. 

Determine 5 ways to maintain knowledge of current regulatory requirements.

· Enrolling with the newsletter to be maintained with legislator.

· Maintaining own database for the regulatory requirements.

· Having dedicated legal departments.

· Gaining feedback from the employees about the current external regulations.

· Appointing compliance officer for full time.

16. 

Provide 3 examples of organisational communication methods to share updated regulatory knowledge.

Sending emails is one of the most used communication methods. This helps in sharing the regulatory knowledge to large number of employees.

Notice and circulars can also be effective in communicating the regulatory knowledge

Meetings with the employees in periodical manner (Eberlein et al. 2014).

17. 

Discuss the principles of continuous improvement.

Some of the principles of continuous improvement are challenging the status quo, think process, paying people for thinking, and making people responsible. Challenging the status quo involves initiating continuous change. More thinking will lead to emergence of new ideas. Making people responsible will improve internal operation and improved effectiveness.

18. 

Why must you continuously review and distribute plans, policies and procedures?

Continuous review policy is important due to the reason that it will help to identify the potential issues in the initial stage and can be mitigated effectively. In addition, continuous review process will also help in enhancing the effectiveness of the employees due to the reason that their challenges will be managed in short time.

19. 

Identify possible consequences of non-compliance in the hospitality industry.

One of the major consequences will be the legal actions and lawsuits from the authorities, which may cause closure of the business. Another consequence will be the issues with the employees if the workplace health and safety is not being maintained.

20. 

Explain the use of policies and procedures in managing regulatory compliance.

The major use of policies and procedures in managing the regulatory compliance is maintaining the singular format and approach. This will help in simplifying the entire process of regulatory submissions.

21. 

Determine the 4 methods for receiving updated information on laws and licensing requirements.

Involving dedicated lawyers, involving the external law firms, maintaining network with the authorities and reviewing the current business standards.

22. 

Discuss the functions and general operating procedures of the regulatory authorities in the hospitality, tourism and events industry.

The major functions for regulatory authorities in the hospitality sector are to maintain the adherence to the legal standards and monitor the deviation. In addition, they also look after the legal issues being faced by the entities. They mainly operate through different agencies to connect with the entities.

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P #

Projects

Satisfactory

√ = Yes

X = No

1. 

For this activity you are to use your knowledge of regulatory requirements and your research skills to discuss each of the following.

Discuss, in your own words, the objectives and primary components of each of the following:

1. Anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment

· To prevent unfair discrimination in the workplace

Primary components- recruitment letter, transfer letter, terms of employment

2. Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts

· To assist the business in understanding the legal obligations

Primary component- general law draft guide, consumer guarantee draft guide, product safety guide and sales practice draft guide

3. Contracts

· To obtain mutual consent between the parties involved

Primary components- offer and acceptance

4. Employer superannuation contributions

· Seek broader political agreement for public reporting on achieving long term objectives

Primary components- Government reports, certificates from the workplace

5. Environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents

· To prevent environmental hazards

Primary components- statistical data

6. Fair Work Act 2009, especially provisions for National Employment Standards (NES)

· To provide balanced framework for generating productive workplace relations

Primary components- brochures related to fair work ombudsman

7. Local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents

To develop land management strategies

Primary components- Permission letter from the environmental agencies for conducting field experiments.

8. Taxation

· To increase resources for aligning with the economic condition

Primary components- provincial grants, user fees and other sources of revenue

9. Workplace relations

· To improve the stability in the relationship between the professionals

Primary components- brochures related to the acts and legislations

10. Public liability and duty of care

· To expose reasonability in preventing harm to others

Primary components- certified level of care to be provided, grants from the governmental agencies

11. Work health and safety

· To reduce the risks for the workers, contractors and visitors

Primary components- OHS principles, reports of risk levels

12. Workers’ compensation, especially provisions for injury reporting and occupational rehabilitation

· To provide insurance and medical benefits to the workers injured during the employment course

Primary components- medical benefits kit, medical insurance, cash benefits and rehabilitation services.

Next you will need to choose a field of work in either the tourism, hospitality and event industries and discuss, in your own words, the objectives and primary components the following (Only need to discuss the laws, codes, standards and licensing requirements that are applicable to your chosen field):

13. Copyright Act 1968

· To clarify the dynamics related to copyright ownership

Primary components- Photocopy, scans and films

14. Criminal Code Act 1995 as it relates to child sex offences outside Australia

· To codify the general principles of criminal responsibilities

Primary components- laws laid down in the commonwealth, elements of offence

15. European Economic Directive of Foreign Travel

To guide the customers regarding availing services related to travelling

Primary components- Travel directives, European Union rules and regulations

16. Food safety

· To provide quality food to the customers

Primary components- reports of tested food quality

17. Food Standards Australia New Zealand Act 1991

· To protect public health and safety

· To provide adequate information about food

Primary components- prescribed purpose of the standards

18. Liquor licensing, especially as it relates to the responsible service of alcohol

· To serve liquor to the customers according to license and standards

Primary components- standards and directives of liquor

19. Privacy Act 1988

· To promote protection for the individuals

Key components- report of the extra territorial operations

20. Queensland Tourism Services Act 2003

· To establish a registered system for inbound tour operators

Primary components- registrations, penalty reports

21. Residential Tenancy Act

· To create rental housing systems for protecting tenants

Primary components- transition letters, savings, grants, tenancy agreement

22. Responsible conduct of gaming regulation

· To assess that the employees align to the standards and protocols of Code of Conduct

Primary components- online training reports.

The final part to this assessment involves discussing each of the follow points for each relevant law, code, standard and licensing requirement that you detailed in the previous part:

23. Key practices that are prohibited by the law

· Corporal punishment

24. Auditing and inspection regimes

Investigations through checklists

25. Main consequences of non-compliance

Data breach

26. Need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements

Grants and permission from the respective authority

27. Requirements for record keeping and acceptable record keeping mechanisms

Allowance, assess to the websites and records

28. Statutory reporting requirements for businesses mandatory submission of reports to the government agencies

29. Key business insurances required

· Property

· Workers compensation

· Business interruption

· Professional liability

· Business owner’s policy

30. Adherence to mandatory codes of conduct enshrined in legislation

Alignment with industry and community requirements, voluntary service, Minimum standard of protection to the clients and the customers.

31. Requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices

· Identification of stakeholders

· Collecting information

· Analysis of the idenitified requirements

· Keeping Specific documents at hand

· Communicate the essential information to the groups

· Monitoring the performance

32. Rights and responsibilities of employees and employers

Employers- appoint and dismiss workers in accordance to the procedures

Employees- Perform the allocated tasks according to the identified objectives

33. Other specific action that must be taken for legal compliance

Development of Legal Complaince Policy for assessing that the tasks are being executed in an appropriate manner.

2. 

For this assessment, you will need to research regulatory requirements in a tourism, travel or hospitality industry develop policies and procedures and discuss their integration, and will require access to:

· Computers, software programs, printers and communication technology used to administer regulatory requirements

· Current legislation

· Current plain English regulatory documents distributed by government regulators

· Codes of practice and standards issued by regulatory authorities

· Regulatory information and business management manuals issued by industry associations or commercial publishers

· Current commercial policies and procedures used to manage regulatory issues

· Sources of specialist legal advice:

o Compliance consultants

o Industry associations

o Lawyers

o Local, state, territory or commonwealth government departments or regulatory agencies.

This assessment will be split into 3 parts:

· Accessing and interpreting regulatory information

· Developing policies and procedures

· Discussion about their integration into compliance planning activities and documentation

1. Accessing and interpreting regulatory information

For this part of the assessment you will need to access and interpret regulatory information and determine the scope of compliance for the operations of a tourism, travel, hospitality or events business of your choice. You will need to do this in relation to at least six different areas of compliance. A write a report detailing your findings including:

a) Sources of information for compliance

This falls under compliance management, where the managers assess whether the clients have access to the standards and codes of legislations (Korutaroand Biekpe2013).

b) Evaluation of the areas of business operation and the compliance requirements for each

Human resource management helps in assessing the capacity of the employees in effective handling of the resources. This covers the areas of marketing, sales and customer service (Bagautdinova et al. 2014).

c) How and where you accessed regulatory information

Company websites

d) Any non-compliance risks, penalties and consequences

Contacting the authorities helps in gaining an insight into the risks and the consequences.

e) How you assessed and could act on the need for specialist legal advice

Gaining information on the issue and surveying the clients helped in me assessing the risk level and the legal advice provided by the specialists.

f) How you would maintain knowledge of current regulatory requirements

Regular tracking of websites

g) How you plan to communicate with regulatory authorities

Taking prior permissions

h) Details on the required documentation

Referring to the standards and protocols of the legislations

i) Details on the licences you would need

Governmental websites

j) How you would check contractor compliance

Surveys, feedbacks, checklists

k) Steps you would take to continuously evaluate business operations for non-compliance

Investigations, risk assessment, implementing strategies and plans

l) How you could implement modifications Meetings

2. Developing policies and procedures

For this part of your assessment you will be required to develop policies and procedures for legal compliance with each of the areas of compliance you have identified in the previous section. For each of the area of compliance you must:

a) Develop at least one policy and procedure that is in a clear and understandable format, you must:

i. Detail how you can make it readily accessible to all personnel

Customer Service Policy can be made available to the personnel through social media, website notifications and meetings

ii. Nominate and describe the roles and responsibilities of personnel for regulatory compliance

Legal compliance officer needs to cater to effective handling of the complaints and seeking prospective solutions for solving the problems

iii. Describe how you would distribute policies, procedures and legal information to personnel

Distributing brochures, uploading the information on social media and websites

b) Describe how you would organise information updates for personnel, including:

i. The organisational communication methods you would use

Saving the documents securely in a folder, preparing reports on the communication methods

c) Describe review processes

Stakeholder meetings, surveys and feedbacks

3. Discussion about their integration into compliance planning activities and documentation

For this part of the assessment you will need to discuss with your trainer/assessor how you would integrate the following into compliance planning activities and documentation:

a) Sources of detailed information and advice on regulatory compliance

b) Objectives and primary components of relevant local, state, territory and commonwealth government laws

c) The use of policies and procedures for managing regulatory compliance

Before discussing with your trainer/assessor, you should write up notes that summarise the points that you wish to discuss with your trainer/assessor you note must cover each of the above requirements. You will be required to submit your notes after this part of the assessment is complete.

Accessing the website is fruitful in terms of gaining detailed information about regulatory compliance. Logging in to the government websites is assistance in terms of enriching the information on objectives and primary components of state, territory and commonwealth government laws. Establishing contact with the respective authorities support in gaining familiarity with the latest updates related to the management of regulatory compliance (Reed et al. 2013).

Satisfactory (please circle)                              YesNo

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PA #

Practical Assessment

Satisfactory

√ = Yes

X = No

1. 

access and interpret regulatory information and determine the scope of compliance for the operations of a specific tourism, travel, hospitality or events business in relation to at least six different areas of compliance

2. 

develop policies and procedures for legal compliance with each of the above areas of compliance

3. 

integrate into compliance planning activities and documentation:

4. 

· sources of detailed information and advice on regulatory compliance

5. 

· objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations

6. 

· use of policies and procedures in managing regulatory compliance

Satisfactory (please circle)                              YesNo

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