Reference no: EM132553209
SITXGLC001 Research and comply with regulatory requirements - Mastery Institute Australia
Activity 1A
Objective To provide you with an opportunity to identify sources of information for compliance with laws and licensing for business operations.
Make a list of sources of information for compliance with laws and licensing for your specific organisation's business operations.
Activity 1B
Objective To provide you with an opportunity to evaluate areas of business operation and determine scope of compliance requirements.
Evaluate the areas of your own organisation's business operation and determine the scope of your compliance requirements.
Activity 1C
Objective To provide you with an opportunity to access regulatory information relevant to specific business operation.
Access regulatory information relevant to your organisation's specific business operation. Use the information you have researched to create a 10-minute PowerPoint presentation on compliance to your class.
This activity will need to be observed, and a signed record of this observation (completed by the assessor or third party) should be uploaded in your answer. It should detail what was done, when it was done, the time it was completed in, the completed actions and the overall outcome of the tasks.
Research may be completed outside of class time, if preferred by the assessor.
Activity 1D
Objective To provide you with an opportunity to identify risks, penalties and consequences of non-compliance.
Using the scope of compliance that you have identified in previous questions, outline the risks, penalties and consequences of non-compliance with at least THREE mandatory regulations/Acts, etc.
Activity 1E
Objective To provide you with an opportunity to describe the circumstances that may require specialist legal advice.
Under what circumstances might an organisation need to seek specialist legal advice?
How might you seek specialist legal advice?
Activity 2A
Objective To provide you with an opportunity to develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.
Write a section for inclusion in an employee handbook. It may cover any aspect of regulation, policy and/or procedure that you choose. What you write should be clearly worded and suitable for your audience. It must also accurately reflect policy, procedure and legal requirements for staff in your organisation.
Activity 2B
Objective To provide you with an opportunity to outline the roles and responsibilities of personnel for regulatory compliance in policies and procedures.
What may be the roles and responsibilities for a designated compliance officer?
Identify at least THREE work members in your organisation. What are their individual compliance roles and responsibilities? Why do you think they were nominated for these?
Activity 2C
Objective To provide you with an opportunity to distribute policies, procedures and legal information to personnel at appropriate times.
During a class, distribute the section of an employee handbook that you created in Activity 2B. Respond to any questions or concerns from class members.
Activity 2D
Objective To provide you with an opportunity to discuss information updates.
When may an information update be required on policies, procedures and legal requirements?
How might information updates be organised?
Activity 3A
Objective To provide you with an opportunity to identify the relevant regulatory authorities.
Which are the regulatory authorities that govern your industry and/or industry sector for your location? List them.
Activity 3B
Objective To provide you with an opportunity to maintain business and occupational licences and check contractor compliance to avoid risk to business.
Using the Australian Business Licence and Information Service (ABLIS), conduct a search for which business and occupational licenses your organisation must have to operate legally.
What are some of the things that a contractor may need to have to be operating legally?
What are some things that may indicate that a contractor is acting in compliance with their legal requirements?
Activity 3C
Objective To provide you with an opportunity to continuously evaluate business operations for non-compliance and implement modifications
Assess one area of business operations within your organisation for its compliance with regulatory policy and procedure (an audit). Where a template for this exists, e.g. a checklist, this should be used. Write a summary of your findings.
Activity 4A
Objective To provide you with an opportunity to identify opportunities to maintain knowledge of current regulatory requirements.
What are some of the methods you can use to maintain knowledge of current regulatory requirements?
Activity 4B
Objective To provide you with an opportunity to list organisational communication methods to share updated regulatory knowledge.
Which organisational communication methods are used within your organisation to share updated regulatory knowledge?
Activity 4C
Objective To provide you with an opportunity to review plans, policies and procedures for compliance with current laws and licensing requirements.
Review one of your organisation's plans, policies or procedures for compliance with current laws and licensing requirements.
Section A: Skills activity
Objective: To provide you with an opportunity to show you have the required skills for this unit.
This activity will enable you to demonstrate the following skills:
Reading skills to:
» Interpret unfamiliar and complex materials describing regulatory requirements
» Research regulatory requirements specifically applicable to the business operation Writing skills to:
» Write comprehensive yet easily accessible regulatory policies and procedures
» Complete complex documentation required by regulatory authorities Oral communication skills to:
» Consult with regulatory authorities to determine the scope of compliance requirements Problem-solving skills to:
» Evaluate areas of business operation and determine scope of compliance Planning and organising skills to:
» Research, establish and regularly monitor all components of a business compliance system
Answer the activity in as much detail as possible, considering your organisational requirements.
1. Read the Copyright Act 1968. How could the requirements of this Act be incorporated into organisational policy and procedure?
2. Complete an application form for a license that your organisation requires. Do not submit this, but attach the completed form to your workbook.
3. Consult with a relevant regulatory authority to determine the scope of compliance in ONE business area.
4. Outline all components of your organisation's business compliance plan. Where one does not exist, use your knowledge of your organisation's legal and regulatory requirements to draft one.
Section B: Knowledge activity
Objective: To provide you with an opportunity to show you have the required knowledge for this unit.
The answers to the following questions will enable you to demonstrate your knowledge of:
» Legal responsibilities and liabilities of managers and directors in varying business structures
» Sources of information and advice on regulatory compliance
» Functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries
» Methods of receiving updated information on laws and licensing requirements
» Use of policies and procedures in managing regulatory compliance
» Formats for and inclusions in policies and procedures
» Objectives and primary components of local, state, territory and commonwealth government laws to which all types of businesses must comply
» Objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators in the tourism, hospitality and event industries; chosen to be applicable to the individual's context
» For each relevant law, code, standard and licensing requirement, the depth of knowledge must cover:
o key practices that are prohibited by the law
o auditing and inspection regimes
o main consequences of non-compliance
o need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements
o requirements for record keeping and acceptable record keeping mechanisms
o statutory reporting requirements for businesses
o key business insurances required
o adherence to mandatory codes of conduct enshrined in legislation
o requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
o rights and responsibilities of employees and employers
o other specific action that must be taken for legal compliance
» Opportunities to maintain knowledge of regulatory requirements
Answer each question in as much detail as possible, considering your organisational requirements for each one.
1. What are your legal responsibilities in the context of your own business structure? What liabilities will you face if you fail to fulfil these responsibilities?
2. Give examples of specific sources of information for your organisation from each of the following categories:
» Industry associations
» Government departments or regulatory agencies
» Reference books
3. Outline the functions and general operating procedures of at least ONE regulatory authority for your specific industry/sector.
4. What are some methods of receiving updated information on laws and licensing requirements?
5. How are policies and procedures used in your organisation to manage regulatory compliance?
6. Detail the proper format for and inclusions in policies and procedures for your organisation.
7. Describe the objectives and primary components of at least THREE local, State, Territory and Commonwealth government laws to which all businesses must comply and that cover:
» Anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
» Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
» Contracts
» Employer superannuation contributions
» Environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents
» Fair Work Act 2009, especially provisions for National Employment Standards (NES)
» Local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents
» Taxation
» Workplace relations
» Public liability and duty of care
» Work health and safety
» Workers' compensation, especially provisions for injury reporting and occupational rehabilitation
8. Describe the objectives and primary components of laws, codes, standards and licensing requirements of at least THREE of the following, in the context of your specific industry or sector:
» Copyright Act 1968
» Criminal Code Act 1995 as it relates to child sex offences outside Australia
» European Economic Directive of Foreign Travel
» Food safety
» Food Standards Australia New Zealand Act 1991
» Liquor licensing, especially as it relates to the responsible service of alcohol
» Privacy Act 1988
» Queensland Tourism Services Act 2003
» Residential Tenancy Act
» Responsible conduct of gaming regulation
9. Create a presentation on ONE relevant law, standard or licensing requirement, which shows the following depth of knowledge:
» Key practices that are prohibited by the law
» Auditing and inspection regimes
» Main consequences of non-compliance
» Need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements
» Requirements for record keeping and acceptable record keeping mechanisms
» Statutory reporting requirements for businesses
» Key business insurances required
» Adherence to mandatory codes of conduct enshrined in legislation
» Requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
» Rights and responsibilities of employees and employers
» Other specific action that must be taken for legal compliance
10. List possible opportunities to maintain knowledge of regulatory requirements. Make these specific to your organisation where possible.
Section C: Performance activity
Objective: To provide you with an opportunity to demonstrate the required performance elements for this unit.
This activity will enable you to demonstrate the following performance evidence:
» 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
» Develop policies and procedures for legal compliance with each of the above areas of compliance
» Integrate into compliance planning activities and documentation:
o sources of detailed information and advice on regulatory compliance
o objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations
o use of policies and procedures in managing regulatory compliance.
Answer the activity in as much detail as possible, considering your organisational requirements.
1. Access and interpret regulatory information and determine the scope of compliance for the operations of your organisation in relation to at least SIX different areas of compliance.
2. Develop policies and procedures for legal compliance with each of the areas of compliance selected in question 1.
3. Integrate into compliance planning activities and documentation:
» Sources of detailed information and advice on regulatory compliance
» Objectives and primary components of a broad range of local, State, Territory and Commonwealth government laws relevant to the specific business operations
» Use of policies and procedures in managing regulatory compliance
This activity will need to be observed, and a signed record of this observation (completed by the assessor or third party) should be uploaded in your answer. It should detail what was done, when it was done, the time it was completed in, the completed actions and the overall outcome of the tasks.
Attachment:- Research and comply with regulatory requirements.rar