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Slide 1 D1.HML.CL10.05 D1.HRM.CL9.14 D2.TRM.CL9.07.

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MANAGE LEGAL REQUIREMENTS FOR BUSINESS COMPLIANCE Slide 1 D1.HML.CL10.05 D1.HRM.CL9.14 D2.TRM.CL9.07
Transcript
Page 1: Slide 1 D1.HML.CL10.05 D1.HRM.CL9.14 D2.TRM.CL9.07.

MANAGE LEGAL REQUIREMENTS FOR BUSINESS COMPLIANCE

Slide 1

D1.HML.CL10.05

D1.HRM.CL9.14

D2.TRM.CL9.07

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Subject elements

This unit comprises three Elements:

Research the legal information required for business compliance

Ensure compliance with legal requirements

Update legal knowledge

Slide 2

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Assessment

Assessment for this unit may include:

Oral questions

Written questions

Work projects

Workplace observation of practical skills

Practical exercises

Formal report from supervisor

Slide 3

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Element 1:Research the legal information required for business compliance

Slide 4

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Research the legal information required for business compliancePerformance Criteria for this Element are:

Identify sources of legal information and advice correctly

Access, select and analyse information for relevance to the business

Record and distribute information appropriately

Slide 5

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Note The notes in this Learner Guide do not constitute

professional legal advice and are provided as an overview of legal compliance requirements

Given that the ASEAN community is made up of 10 different countries, all with their own specific laws and regulations, the common principles of law and legal compliance will be discussed

Slide 6

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Note

There are many, many pieces of legislation, licences, permits and fees that will apply

They will differ from country to country and to different types of tourism and travel related businesses

Slide 7

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Tourism definitions

Definition of a tourism industry, operator and tourist

What is the definition of:

Tourism industry

Operator

Tourist

Slide 8

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Tourism law

Definition of a tourism law

A body of rules or principles of action which deals with the regulation, authority, relations and obedience among members of a society involved in tourist travel and accommodation

Slide 9

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Tourism law

Types of 'laws’

What are the different types of laws that affect a tourism industry and businesses?

Which are legally binding?

Which are non-legally binding?

Slide 10

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Tourism law

Common legal terminology

Law

Legislation

Common law

Act of Parliament

Regulations

Codes of Practice

Ethical requirements

Civil and criminal law

Slide 11

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Legal information

Sources of legal information

Internet

Industry or employer associations

Government agencies

Reference books

Media

Industry journals

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Legal information

Sources of legal information

Customers and suppliers

Legal experts

Informal/formal research

Legal glossaries

‘Frequently Asked Questions

Register online

COMPLETE ACTIVITIES 1&2 Slide 13

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Determining impact of laws

Steps in determining how regulations apply to the business

Reading and examining regulations

Taking training courses

Contacting the appropriate authority

Meeting with local officials

Slide 14

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Determining impact of laws

Contacting authorities

Visiting their website

Emailing or telephoning contacts

Visiting the office of the authority in person

Checking their online FAQ section

COMPLETE ACTIVITY 3

Slide 15

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Access, select and analyse informationImportance of implementing legislation

It is essential you apply all regulations and legislation applicable to you to the business you are operating.

This means it is not sufficient to merely obtain them, read them and understand them.

You must implement their mandated requirements.

Slide 16

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Access, select and analyse informationDetermining relevance of legal requirements

The type of business you intend operation within the tourism industry

Where it is to be physically located

The products and services to be sold

Your immediate need

Possible future need or intentions

Slide 17

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Access, select and analyse informationDetermining relevance of legal requirements

Your workplace role and responsibilities.

Potential problems, charges or offence you may be facing

The changing nature of the tourism industry

COMPLETE ACTIVITY 4

Slide 18

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Areas of legislation

General areas to which legal requirements apply

Business establishment

Business operation

Licensing

Consumer protection and trade practices

Duty of Care

Fair trading legislation

Food

Liquor Slide 19

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Areas of legislation

General areas to which legal requirements apply

Tobacco

Gaming

Employment relations

Employment of foreign workers

Superannuation / Pension Funds

Contributory Negligence

Personal Injuries legislation

Slide 20

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Areas of legislation

General areas to which legal requirements apply

Contracts

Income & company taxation

Goods and Services taxation

Financial recording and management

Anti-corruption

Copyright

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Areas of legislation

General areas to which legal requirements apply

Occupational health and safety (OHS)

Fire Safety

Environmental legislation

Insurance requirements

Slide 22

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Areas of legislation

Subsidiary legislation

Normally support or established under primary legislation

Regulations

Rules

Notifications

Amendments

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Areas of legislation

Currency of legislation

Legislation changes over time

Existing Acts and subsidiary legislation may be revoked, or amended

New legislation may be introduced

Always make sure the legislation you are reading is current

Slide 24

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Business establishment

Legal requirements when starting a business

Registering a company

Business structure

License and permits

Owner’s responsibilities after registration

COMPLETE ACTIVITIES 5,6,7,8

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Consumer protection and trade practicesObjectives of consumer protection

Consumer protection laws deal with laws that have been developed to regulate the marketplace, in particular the commercial dealings between consumers and sellers or manufacturers

Slide 26

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Consumer protection and trade practicesObjectives of consumer protection

The major objective of consumer protection law is to strengthen the position of the buyer in the marketplace in everyday transactions for goods and services

Caveat emptor - 'let the buyer beware’

COMPLETE ACTIVITY 9

Slide 27

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Consumer protection and trade practicesKey consumer legislation

Goods Act

Fair Trading Act

Trade Practices Act

Unconscionable Conduct

Slide 28

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Duty of Care

Principle of ‘Duty of Care’

Legislation notwithstanding, employers owe a common law ‘duty of care’ to their employees and to customers:

Require a business to take reasonable care to ensure that ‘foreseeable harm’ does not occur to people

COMPLETE ACTIVITY 10

Slide 29

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Food

Areas of food legislation

Sale of Food

Food Regulations

Food Handling

Food Storage

Food Hygiene

Food transportation

COMPLETE ACTIVITY 11 Slide 30

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Liquor

Objectives of liquor legislation

To contribute to minimising harm arising from the misuse and abuse of alcohol

To facilitate the development of a diversity of licensed facilities reflecting community expectations

To contribute to the responsible development of the liquor and licensed tourism industries

Slide 31

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Liquor

Liquor legislation requirements

Obtaining a license to handle, sell or serve liquor

Licensing hours

Types of liquor to be sold

Location to serve alcohol

Responsible service of alcohol

Handling intoxicated patrons

Restrictions on who may be employed

COMPLETE ACTIVITY 12 Slide 32

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Tobacco

Tobacco legislation requirements

Every country will have specific tobacco related laws relating to:

The sale of tobacco

Advertising and promotion tobacco products

Restrictions on who tobacco can be sold to

Rules regarding location and conditions of tobacco usage on the premises and in public areas.

COMPLETE ACTIVITY 13

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Gaming

Gaming legislation requirements

Regulation which regulate the use of restricted areas and cover issues such as:

Location of gaming machines

Supervision of gaming areas

Entry and behaviour of patrons

Consumption of food

Provision of entertainment

COMPLETE ACTIVITY 14 Slide 34

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Employment relations

Definition of employment relations

Includes all facets of the relationship between the employer and the employee:

Terms and conditions of employment

Employee benefits

Workplace health and safety issues

Enterprise bargaining

Remuneration

Employer/employee rights and responsibilities

Slide 35

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Employment relations

Employment contracts

There exists between every employer and employee a contract of employment that:

Establishes contractual rights and obligations of the parties

Defines the nature of the employment relationship

Slide 36

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Employment relations

Definition of employee

What is an employee?

What classifications of ‘employees’ are there?

What is the difference between an ‘employee’ and a ‘contractor’?

What are the rights of employees?

COMPLETE ACTIVITY 15

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Employment regulatory requirements

Foreign manpower

Passes and visas

Applications for foreign worker permits

Rights of foreign workers

Conditions of employment of foreign workers

Accommodation and living requirements

Use of employment agencies

Tax deductions

COMPLETE ACTIVITY 16 Slide 38

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Employment regulatory requirements

Employment practices

Employment rights and conditions

Part time employment

Employment related services

Fair employment

Work Life Harmony

Medical benefits

Trade unions

International labour relations

Workplace diversity management

COMPLETE ACTIVITY 17 Slide 39

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Employment agreements

Minimum requirements for agreements

Pay

Hours of work

Annual leave

Personal leave

Unpaid parental leave

What are minimum requirements in your country?

Slide 40

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Employment agreements

Types of employment agreements

Awards

Formal or informal agreements

Workplace Agreements

Certified agreements

What is the difference between each type of agreement?

COMPLETE ACTIVITY 18

Slide 41

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Equal employment opportunity

Types of laws

Human Rights and Equal Opportunity

Affirmative Action (Equal Employment Opportunity for Women)

Racial Discrimination

Sex Discrimination

Disability Discrimination

Equal Opportunity Act

COMPLETE ACTIVITY 19 Slide 42

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Discrimination

Definition of Discrimination

Within the context of the legislation, discrimination means treating someone unfairly because of the characteristics:

What are characteristics people may be discriminated for?

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Discrimination

Characteristics of discrimination

Age

Impairment

Industrial activity

Lawful sexual activity

Marital status

Physical features

Political belief or activity

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Discrimination

Characteristics of discrimination

Pregnancy

Race

Religious belief or activity

Sex

Parental status or status as a carer

Personal association

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Discrimination

Anti-discrimination legislation prohibits discrimination in all aspects of employment, including:

Recruitment and selection

Terms and conditions of employment

Training and development

Promotion and transfer

Termination

Slide 46

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Discrimination

‘Harsh, unjust or unreasonable’ considerations

Many instances where an employee is not dismissed in accordance with the law

What are examples?

COMPLETE ACTIVITY 20

Slide 47

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Sexual harassment

Definition of sexual harassment

Sexual harassment is an unwelcome sexual advance or request for sexual favours or unwanted conduct of a sexual nature. It is NOT mutual attraction between people:

What sorts of behaviour constitute sexual harassment?

What are employer responsibilities?

COMPLETE ACTIVITY 21

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Superannuation / Pension Funds

Superannuation / Pension Funds

Superannuation is a form of pension that is paid upon retirement to a worker who has contributed during their working life to a superannuation scheme

COMPLETE ACTIVITY 22

Slide 49

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Contracts

Definition of a contract

Defined as ‘a legally enforceable agreement’

When you provide a tourism product or service in exchange for money you are entering into a contractual relationship

A contract arises when two or more parties agree to do something in exchange for something else

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Contracts

The essential elements of a contract

Intention to create legal relations

Offer and acceptance

Consideration or form

Capacity to contract

Reality of consent

Legality of object

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Contracts

Terminating a contract

How can a contract be terminated?

Are all terminations of contracts illegal?

What are remedies available for illegal breach of contract?

COMPLETE ACTIVITY 23

Slide 52

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Tax

Types of taxation

Income tax

Withholding tax

Goods and Services tax

What other types of taxation does a business need to pay?

COMPLETE ACTIVITY 24

Slide 53

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Financial recording and management

Financial requirements

In most countries the recording, maintenance and management of financial records will be governed by a range of legal requirements.

What regulations apply in your country?

COMPLETE ACTIVITY 25

Slide 54

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Anti-corruption

Need for business transparency

Essentially individual pieces of legislation emphasise the need for transparency and accountability to combat corruption:

Anti-corruption legislation

Whistleblower legislation

Slide 55

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Copyright

Copyright legislation

Operators in the tourism industry are frequently subject to certain aspects of the Copyright Act when they use or provide:

Pictures

Information

Logos

Videos

Music

COMPLETE ACTIVITY 26 Slide 56

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Occupational Health and Safety

Principles of Occupational Health and Safety (OHS) legislation

To secure the health, safety and welfare of employees and others

To eliminate risks to the health, safety or welfare

To ensure that the health and safety of members of the public is not placed at risk

To provide for the involvement when implementation of health, safety and welfare standards

Slide 57

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Occupational Health and Safety

Areas of Occupational Health and Safety legislation

WSH regulatory framework

Safety and health management systems

Monitoring and surveillance

Programmes

Work injury compensation

Training

Slide 58

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Occupational Health and Safety

Areas of Occupational Health and Safety legislation

Certification and registration

General duties relating to health and safety

Duties of employers to consult with employees

Duties relating to incidents

Incident reporting

Slide 59

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Occupational Health and Safety

Areas of Occupational Health and Safety legislation

Requirements in relation to licences, registrations and permits

Authorised representatives of registered employee organisations

Inspectors and enforcement

Legal proceedings

Compliance codes

Slide 60

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Occupational Health and Safety

Areas of Occupational Health and Safety legislation

What are the responsibilities of:

Employers

Employees

Customers

COMPLETE ACTIVITY 27

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Environmental legislationEnvironmental legislation

The primary role of legislation is to provide control and regulation over the specific areas of:

Air

Land

Groundwater

Noise

Water

Waste

COMPLETE ACTIVITY 28 Slide 62

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Insurance

Definition of ‘policy of insurance’

A legally enforceable agreement between two persons, being the insured and the insurer, under which the insurer agrees in return for a regular payment made by the insured, to indemnify the insured for any loss they may suffer on the happening of an event which may or may not occur

Slide 63

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Insurance

General principles of insurance

Insurable interest

Utmost good faith

Subrogation

Indemnity

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Insurance

Types of insurance

Fire

Liability

Personal

Property

COMPLETE ACTIVITY 29

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Other legal requirements

WHAT ARE OTHER TYPES OF LEGAL REQUIREMENTS THAT APPLY TO A TOURISM

BUSINESS?

COMPLETE ACTIVITY 30

Slide 66

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Share and distribute legal information

Importance of sharing information

It is essential that once all the necessary legal information is collected and analysed, that it be collated into various documents for utilisation in a workplace

Whilst it is essential that management of an organisation understand the legal requirements, it is just as important that staff understand their obligations in fulfilling these requirements

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Recording legal compliance informationImportance of sharing information

Determine 'highly visible' documents

Refer to previously prepared documents

Involve all stakeholders

Prepare a draft plan for each legal requirements

Circulate it for comment and feedback

Revise documents or legal information

Circulate and communicate documents

Slide 68

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Recording legal compliance informationContents of a legal compliance document

List of legal requirements

Actions to take

Responsibilities for actions

Timelines

Resources

COMPLETE ACTIVITY 31

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Strategies for legal compliance

Develop practical strategies to ensure legal compliance

Information provision

Resource provision

Practical components

Slide 70

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Strategies for legal compliance

Information provision

What information is needed?

What formats can be used?

How can information be provided?

Who is the intended audience?

What are examples of ‘information’ you would provide?

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Strategies for legal compliance

Resource provision

Money

Time

Documentation

Training courses

Physical resources

Workplace infrastructure

Slide 72

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Strategies for legal compliance

Practical components

Demonstrations of practice

Opportunities for staff to practice

Testing of competencies

COMPLETE ACTIVITY 32

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Communicating legal compliance information It is essential that all stakeholders in an organisation are aware of:

The legal requirements that an organisation must meet

The role each stakeholder plays in ensuring legal compliance

Slide 74

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Element 2:Ensure compliance with legal requirements

Slide 75

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Ensure compliance with legal requirementsPerformance Criteria for this Element are:

Assess the need for legal advice and seek assistance where appropriate

Share information with appropriate work colleagues in a timely manner

Organise information updates and training for colleagues and staff where appropriate

Slide 76

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Ensure compliance with legal requirementsPerformance Criteria for this Element are:

Establish and monitor workplace systems and procedures to ensure compliance with legal requirements

Identify aspects of operations which may infringe licensing laws and solicit advice on how to develop and implement modifications

Slide 77

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Assess impact of legal requirements

Importance of legal compliance

Compliance with legislated requirements, as we have seen, is not an optional matter for businesses and for staff

Compliance is a legal requirement and severe penalties can be applied for breaches and continued non-compliance

Slide 78

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Assess impact of legal requirements

Steps associated with analysing impact of regulations on business

Assessing the impact on trade

Assessing the expense associated with compliance

Talking to customers

Determine your individual establishment response

Provide feedback to government agencies

Seeking legal advice

Slide 79

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Organise training in legal knowledge

Need for staff training

It is the responsibility of all managers to ensure all staff are aware of their compliance obligations, and they are sufficiently trained to enable them to perform their work-related duties in full compliance of all relevant legislation

Slide 80

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Organise training in legal knowledge

Emphasis for staff training

On-going training

Ensure based as individual need dictates

On-going supervision of staff

On-going monitoring of staff performance

Intervention to address non-compliance

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Organise training in legal knowledge

Methods of staff training

Induction and orientation

In-house training

External training

Staff meetings

Staff briefings

Personal observation

Written and practical testing

Refresher training

Slide 82

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Organise training in legal knowledge

Briefing clients

Compliance requirements also apply, in some instances, to customers

At times customers themselves play an active role in a tour and it is essential that any assistance provided, is done so in accordance with legal requirements

COMPLETE ACTIVITY 33

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Develop systems and procedures

Ensure importance of systems and procedures to ensure legal compliance

When a full and proper understanding of the legal compliance obligations facing the business have been obtained, the next step is to ensure these regulations are implemented and applied to the operation of the business:

What systems and procedures need to be developed?

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Develop systems and procedures

Areas of workplace systems and procedures

Recruitment, termination and other human resource management issues

Training practices

Approval processes and protocols for various work activities

General work practices and work organisation approaches

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Develop systems and procedures

Areas of workplace systems and procedures

Workplace design

Distribution of information within the enterprise

Signage

Occupational health, welfare and safety

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Develop systems and procedures

Policies

A policy is a statement of intent, principle or direction regarding a specific area of activity within the organisation:

What examples of policies are developed to ensure legal compliance?

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Develop systems and procedures

Procedures

A procedure is a statement of tasks and associated methods for the conduct of specific work activities:

What examples of procedures are developed to ensure legal compliance?

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Develop systems and procedures

Policies and procedures topics

Occupational health and safety

Client and company responsibilities

Training

Recruitment

Business ethics

Compliance with legislation

Public relations

Vehicle control

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Develop systems and procedures

Policies and procedures topics

Equipment use

Record keeping

Financial management

Emergency response

Work procedures

Confidentiality and privacy

Quality assurance

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Develop systems and procedures

Process for developing policies and procedures

Establish the need for policies and procedures

Consult with relevant stakeholders

Prepare draft policies and procedures

Circulate the drafts

Revise the drafts

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Develop systems and procedures

Process for developing policies and procedures

Develop the final policies and procedures

Communicate the policies and procedures to staff

Provide the resources to allow implementation

Review the existing policies and procedures

COMPLETE ACTIVITY 34

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Implement ethical requirements

Introduction to ethics

Ethical requirements relate to issues about which a personal judgement has to be made regarding the way the business elects to conduct its business:

What are ethics?

What are examples of ethics?

What is the importance of ethics?

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Implement ethical requirements

Aspects of business requiring an ethical component

Products

Service provision

The environment

People

The community

Over-booking

Tipping

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Implement ethical requirements

Aspects of business requiring an ethical component

Money

Promotions and advertising

Intellectual property

Conflict of interests

How do you develop ethically based policies and procedures?

COMPLETE ACTIVITY 35

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Licences, certificates and permits

Obtaining the necessary licences, certificates and permits

Operating without necessary licences, certificates and permits constitutes a serious offence, and can jeopardise future applications.

What licences, certificates and permits do you need?

What are the methods to obtain them?

What are the obligations when displaying them?

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Licences, certificates and permits

Types of licences, certificates and permits

Liquor

Gaming

Sale of travel products

Security

Trades

Access to protected areas

Quotations

COMPLETE ACTIVITY 36 Slide 97

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Monitor application of regulations

Importance of monitoring the application of regulations

As a manager it is your role to monitor the application of regulations to ensure their enforcement:

Why is this important?

What regulations need to be monitored?

How can you monitor the application of regulation?

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Monitor application of regulations

Enforcement practices

Giving each employee documents outlining their compliance obligations

Including regulations as part of formal in-house training

Including compliance with regulations in formal staff appraisal

Active workplace monitoring of staff performance and compliance

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Regularly review organisation processesTo maintain compliance and to optimise the performance of the business it is common practice for many organisations to:

Regularly review businesses processes

Compare them against what is happening elsewhere

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Regularly review organisation processesBenchmarking

What is benchmarking?

What are the areas for benchmarking?

What are examples of ‘informal’ benchmarking?

What are examples of ‘formal’ benchmarking?

COMPLETE ACTIVITY 37

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Review and analyse compliance outcomesIt is standard operating procedure for management to review most of their activities on a regular basis.

The aims of these reviews include:

Identifying progress that has been made

Assessing progress against planned objectives

Identifying any lessons that have been, or need to be, learned

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Review and analyse compliance outcomesImportance of reviewing compliance outcomes

What are the areas for review and analysis?

Why is it important to review personal compliance performance?

What review methods can be used?

What are the timing of reviews?

How can you reviews to identify strategies for improving compliance outcomes?

COMPLETE ACTIVITY 38 Slide 103

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Identify breaches of legislation

Identification and penalties for breaches

What are types of breaches?

What are the penalties for breaches?

What are the causes of breaches?

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Identify breaches of legislation

Policies & procedures for legislation violation

What are types of policies and procedures:

For staff

For customers

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Identify breaches of legislation

Strategies to mitigate risk of non-compliance

What strategies can you implement?

Who is responsible for strategies?

How can you monitor strategies?

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Identify breaches of legislation

Strategies to mitigate risk of non-compliance

Using evidence as the basis for action

Seeking input from the authorities

Revising policies and procedures

Implement training

Improve supervision and management

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Identify breaches of legislation

Strategies to mitigate risk of non-compliance

Review your personal actions

Provide necessary resources

Revamp record keeping

Insure against the results of non-compliance

COMPLETE ACTIVITY 39

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Identify breaches of legislation

Report compliance with legislative requirements

What report methods can be used?

What should be reported?

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Renewing licensing

Develop procedures for renewing licensing

Obtain the updates such as alerts, email updates, reports

Read the material

Seek advice and clarification

Visit the relevant website and read articles of interest

Make the necessary adjustments to the operation

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Element 3:Update legal knowledge

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Update legal knowledge

Performance Criteria for this Element are:

Use informal and formal research to update the legal knowledge required for business compliance

Share updated knowledge with colleagues and incorporate into workplace planning and operations

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Use research to update the legal knowledgeThe continued successful, legal and profitable operation of any business you run depends implicitly on abiding by all the applicable laws:

How can you identify ‘current’ legislation?

How can legislation change?

What are the causes of legislation change?

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Use research to update the legal knowledgeChanges in legislation

Legislation may be:

Repealed

Amended

Introduced

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Use research to update the legal knowledgeImportance of staying updated

You need to stay current in order to:

Plan to respond to upcoming changes of legislation or new laws

Maintain full compliance with legal requirements, operating requirements and reporting or remittance requirements

Learn new facts, information, industry statistics and trends

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Use research to update the legal knowledgeImportance of staying updated

How can you stay updated?

What is the role of authorities in updating businesses?

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Use research to update the legal knowledgeMethods to stay up-to-date with legislation

Prepare a calendar or schedule for compliance

Liaising with authorities

Maintain personal contact with key individuals at government agencies

Register to receive newsletters, advisories, alerts, up-dates etc from the authorities

Joining professional bodies or associations

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Use research to update the legal knowledgeMethods to stay up-to-date with legislation

Develop a network of industry contacts.

Attending meetings of industry bodies and associations

Liaising with others in the industry

Seeking advice from legal and professional sources

Reading publications

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Use research to update the legal knowledgeMethods to stay up-to-date with legislation

Allocate specific individuals to discharge nominate compliance responsibilities

Document compliance information

Conduct annual reviews

COMPLETE ACTIVITY 40

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