Research and comply with regulatory

requirements
2017
SITXGLC001
V1.0 2020

Learner Guide

Student Name:
Student ID:
 Page |1

Table of Contents

Unit of Competency .......................................................................................................................... 3

Application ........................................................................................................................................... 3
Performance Criteria............................................................................................................................ 4
Foundation Skills .................................................................................................................................. 5
Assessment Requirements ................................................................................................................... 6
1. Research information required for legal compliance..................................................................... 11
1.1 – Identify sources of information for compliance with laws and licensing for business operations12
Legal compliance................................................................................................................................ 12
Specific requirements ........................................................................................................................ 12
Sources of information for legal compliance ..................................................................................... 13
1.2 – Evaluate areas of business operation and determine scope of compliance requirements ......... 14
Scope of compliance requirements ................................................................................................... 14
Business operations ........................................................................................................................... 15
1.3 – Access regulatory information relevant to specific business operation ....................................... 16
Business operations ........................................................................................................................... 16
Applying regulations to business operations ..................................................................................... 16
Accessing regulatory information ...................................................................................................... 16
1.4 – Identify risks, penalties and consequences of non-compliance ................................................... 17
Risks, penalties and consequences .................................................................................................... 17
Identifying consequences .................................................................................................................. 18
1.5 – Assess and act on need for specialist legal advice ........................................................................ 19
Assess need for specialist legal advice ............................................................................................... 19
Act on need for specialist legal advice ............................................................................................... 19
2. Develop and communicate policies and procedures for legal compliance ...................................... 20
2.1 – Develop and clearly articulate regulatory policies and procedures in a format readily accessible
to all personnel ...................................................................................................................................... 21
Regulatory policies and procedures................................................................................................... 21
Presenting policies and procedures to employees ............................................................................ 21
Articulating policy and procedure...................................................................................................... 22
2.2 – Nominate the roles and responsibilities of personnel for regulatory compliance in policies and
procedures ............................................................................................................................................. 23
Compliance personnel ....................................................................................................................... 23
 Page |2

Roles and responsibilities for general staff ........................................................................................ 23

Considerations ................................................................................................................................... 24
Agreeing on roles and responsibilities ............................................................................................... 25
2.3 – Distribute policies, procedures and legal information to personnel at appropriate times .......... 26
Distributing policies, procedures and legal information at appropriate times ................................. 26
2.4 – Organise information updates for personnel to ensure their knowledge of roles and
responsibilities for legal compliance...................................................................................................... 27
Information updates .......................................................................................................................... 27
Organising information updates ........................................................................................................ 27
3. Ensure compliance with legal requirements ................................................................................. 28
3.1 – Communicate with regulatory authorities when planning business operations and submit
required documentation........................................................................................................................ 29
Regulatory authorities ....................................................................................................................... 29
Communicating with regulatory authorities...................................................................................... 30
Licensing............................................................................................................................................. 31
Required documentation ................................................................................................................... 31
3.2 – Maintain business and occupational licences and check contractor compliance to avoid risk to
business.................................................................................................................................................. 32
Maintain business and occupational licenses .................................................................................... 32
Contractor compliance....................................................................................................................... 32
3.3 – Continuously evaluate business operations for non-compliance and implement modifications 34
Compliance testing ............................................................................................................................ 34
Implement modifications ................................................................................................................... 35
4. Maintain personal and organisational knowledge of regulatory requirements .............................. 36
4.1 – Identify and use a range of opportunities to maintain knowledge of current regulatory
requirements ......................................................................................................................................... 37
Maintaining current knowledge......................................................................................................... 37
4.2 – Use organisational communication methods to share updated regulatory knowledge .............. 38
Organisational communication methods .......................................................................................... 38
4.3 – Continuously review and distribute plans, policies and procedures for compliance with current
laws and licensing requirements ........................................................................................................... 39
Review plans, policies and procedures .............................................................................................. 39
Distribute plans, policies and procedures.......................................................................................... 39
References ............................................................................................................................................. 41
 Page |3

Unit of Competency
Application

This unit describes the performance outcomes, skills and knowledge required to comply with laws and
licensing requirements for specific business operations. It requires the ability to access and interpret
regulatory information, determine scope of compliance, and develop, implement and continuously
review and update policies and practices for business compliance.

The unit applies to regulatory requirements for day-to-day business operations in all tourism, travel,
hospitality and event sectors and to special requirements for one-off events.

It applies to senior personnel who operate independently or with limited guidance from others and who
are responsible for making a range of operational business and regulatory compliance decisions.

No occupational licensing, certification or specific legislative requirements apply to this unit at the time
of publication.

Unit Sector

Cross-Sector
 Page |4

Performance Criteria
Element Performance Criteria
Elements describe the Performance criteria describe the performance needed to
essential outcomes. demonstrate achievement of the element.

1. Research information 1.1 Identify sources of information for compliance with laws and
required for legal licensing for business operations
compliance 1.2 Evaluate areas of business operation and determine scope of
compliance requirements
1.3 Access regulatory information relevant to specific business
operation
1.4 Identify risks, penalties and consequences of non-
compliance
1.5 Assess and act on need for specialist legal advice

2. Develop and 2.1 Develop and clearly articulate regulatory policies and
communicate policies procedures in a format readily accessible to all personnel
and procedures for 2.2 Nominate the roles and responsibilities of personnel for
legal compliance regulatory compliance in policies and procedures
2.3 Distribute policies, procedures and legal information to
personnel at appropriate times
2.4 Organise information updates for personnel to ensure their
knowledge of roles and responsibilities for legal compliance

3. Ensure compliance 3.1 Communicate with regulatory authorities when planning

with legal business operations and submit required documentation
requirements 3.2 Maintain business and occupational licences and check
contractor compliance to avoid risk to business
3.3 Continuously evaluate business operations for non-
compliance and implement modifications

4. Maintain personal and 4.1 Identify and use a range of opportunities to maintain
organisational knowledge of current regulatory requirements
knowledge of 4.2 Use organisational communication methods to share
regulatory updated regulatory knowledge
requirements 4.3 Continuously review and distribute plans, policies and
procedures for compliance with current laws and licensing
requirements
 Page |5

Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the
performance criteria that are required for competent performance.

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
 Page |6

Assessment Requirements
Performance Evidence
Evidence of the ability to complete tasks outlined in elements and performance criteria of this unit in
the context of the job role, and:

➢ 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 business operations

o use of policies and procedures in managing regulatory compliance.

Knowledge Evidence
Demonstrated knowledge required to complete the tasks outlined in elements and performance criteria
of this unit:

➢ Legal responsibilities and liabilities of managers and directors in varying business

structures

➢ Sources of information and advice on regulatory compliance:

o local, state, territory or commonwealth government departments or regulatory

agencies

o industry associations

o plain English documentation that explains the operational requirements of

legislation

o computer data

o the internet

o discussions with experienced industry personnel

o industry:

▪ accreditation operators

▪ associations and organisations

▪ developers of codes of conduct or ethics

▪ journals

▪ seminars
 Page |7

o lawyers

o networking with:

▪ colleagues

▪ suppliers

o libraries

o media

o personal observations and experience

o reference books

o training courses

o unions

➢ 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 and that cover:

o anti-discrimination, especially provisions for equal employment opportunity

(EEO) and harassment

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

o contracts

o employer superannuation contributions

o environmental protection especially provisions for environmental hazard

identification, use of minimal impact practices and reporting of incidents

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

o local community protection, especially provisions for land management and

access and protecting the lifestyle of neighbouring residents

o taxation
 Page |8

o workplace relations

o public liability and duty of care

o work health and safety

o workers’ compensation, especially provisions for injury reporting and

occupational rehabilitation

➢ 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:

o Copyright Act 1968

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

o European Economic Directive of Foreign Travel

o food safety

o Food Standards Australia New Zealand Act 1991

o liquor licensing, especially as it relates to the responsible service of alcohol

o Privacy Act 1988

o Queensland Tourism Services Act 2003

o Residential Tenancy Act

o responsible conduct of gaming regulation

➢ 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

 Page |9

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:

o discussions with experienced industry personnel

o networking with colleagues and/or suppliers

o participating in industry accreditation schemes

o participating in industry seminars

o membership of professional industry associations

o participating in training courses

o subscribing to regulatory newsletters

Assessment Conditions
Skills must be demonstrated in an operational tourism, travel, hospitality or events business operation
for which a tailored set of regulatory requirements can be researched and compliance management
implemented. This can be:

➢ An industry workplace

➢ A simulated industry environment.

Assessment must ensure 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
 P a g e | 10

o lawyers

o local, state, territory or commonwealth government departments or regulatory

agencies.

Assessors must satisfy the Standards for Registered Training Organisations’ requirements for assessors.

Links
Companion Volume Implementation Guide: - http://www.serviceskills.com.au/resources
 P a g e | 11

1. Research information required for legal compliance

1.1. Identify sources of information for compliance with laws and licensing for business operations

1.2. Evaluate areas of business operation and determine scope of compliance requirements

1.3. Access regulatory information relevant to specific business operation

1.4. Identify risks, penalties and consequences of non-compliance

1.5. Assess and act on need for specialist legal advice

 P a g e | 12

1.1 – Identify sources of information for compliance with laws and licensing for
business operations

Legal compliance
Within every organisation there will be legal requirements that the organisation must fulfil. Laws and
licensing are in place to ensure that business operations are regulated, fair and safe, and to ensure that
customers and staff are protected from injury, harm, discrimination or other mistreatments. Laws and
licensing can also regulate the quality of goods and services and ensure that they meet national
standards.

Laws and licensing may relate to, for example:

➢ Best practice standards for work tasks
➢ Training and qualifications requirements for staff
➢ Restrictions for the sale of certain goods and
services, e.g. alcohol, cigarettes, age-restricted
media, etc.
➢ Anti-discrimination law
➢ Grievances procedures
➢ WHS law.

Specific requirements
The exact legal requirements for an organisation will vary depending on its industry and location. Legal
requirements may also differ for persons of different job roles. It is important that those in
management or supervisory positions are aware of their personal legal requirements and of the legal
requirements of their organisation as a whole as they relate to their specific industry and/or location.

This will include knowledge of:

➢ 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
 P a g e | 13

Sources of information for legal compliance

Sources of information and advice on regulatory compliance may include:
➢ Local, state, territory or commonwealth government departments or regulatory
agencies

➢ Industry associations

➢ Plain English documentation that explains the operational requirements of legislation

➢ Computer data

➢ The internet

➢ Discussions with experienced industry personnel

➢ Industry:

o accreditation operators

o associations and organisations

o developers of codes of conduct or

ethics

o journals

o seminars

➢ Lawyers

➢ Networking with:

o colleagues

o suppliers

➢ Libraries

➢ Media

➢ Personal observations and experience

➢ Reference books

➢ Training courses

➢ Unions.

You should refer to these sources regularly to ensure that your knowledge stays current.
 P a g e | 14

1.2 – Evaluate areas of business operation and determine scope of compliance

requirements

Scope of compliance requirements

The scope of compliance requirements relates to recognising which laws and licensing requirements
relate to your specific industry, the goods its sell or the services it provides.

For example, many industries may fall into the category of ‘hospitality’, but even within this category,
the types of organisations and services can vary greatly and therefore have very different legal
requirements.

All organisations
All organisations must comply with legislation relating to the following:
➢ 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.
 P a g e | 15

You must ensure that you know the specifics of your own organisation’s requirements in fulfilling their
legal obligations in these areas, such as particular tax status or strategies for ensuring EEO, for example.

Industry-specific requirements
Not all legal requirements apply to every organisation. Some are industry-specific, or specific to the
goods or services that an organisation provides.

These may include:

➢ 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.
For example, a hotel which has a restaurant will be required to comply with all laws and licensing
relating to food and food safety, whereas these would not be applicable to an organisation which does
not offer food – such as a water sports company, for example.

Business operations
To be compliant with all relevant laws and licensing requirements, it is necessary that you know which
are applicable to your organisation. This means evaluating the areas of business operation to evaluate
scope.

For example:
➢ Types of goods and services
➢ WHS considerations
➢ Location
➢ Import/Export
➢ Record keeping
➢ Finance.
 P a g e | 16

1.3 – Access regulatory information relevant to specific business operation

Business operations
Business operations are the tasks and activities undertaken in an organisation’s daily work practice in
order to achieve outcomes.

A hotel, for example, may undertake the following business operations:

➢ Taking bookings
➢ Checking guests in and out
➢ Preparing and cleaning rooms
➢ Handling complaints and issues
➢ Meeting the special requirements of guests
➢ Taking payments.
For each of these specific business operations, relevant regulatory
information may apply.

Applying regulations to business operations

For example:
➢ When taking bookings, you may need to comply with anti-discrimination law and
privacy and confidentiality law.
➢ When preparing and cleaning rooms may be subject to WHS requirements to ensure
that minimum hygiene standards are maintained
➢ When handling complaints and issues, Australian Consumer Law (ACL) may apply.
This example of a hotel demonstrates how regulations may apply to specific business operations. In a
management or supervisory role, it is important that you are able to access regulatory information
relevant to these specific business operations.

Accessing regulatory information

Sources of regulatory information is outlined in section 1.1 of this unit.

Specific documents may also include:

➢ Codes of practice
➢ Industry guidelines
➢ Organisational policy and procedure
o policy and procedure documents
o employee handbook
o safety directions and signs.
These may be researched through the relevant business or industry association and the relevant
authority, or through one of the sources outlined in section 1.1 of this unit.
 P a g e | 17

1.4 – Identify risks, penalties and consequences of non-compliance

Risks, penalties and consequences

Laws and licensing regulations are in place to protect customers and employees and to ensure that
business operations run fairly, honestly and to acceptable standards. The risks, penalties and
consequences of non-compliance with laws and licensing regulations, therefore, can be severe.

Potential consequences of non-compliance for individuals include:

➢ Counselling

➢ Disciplinary action

➢ Transfer, demotion, dismissal

➢ Legal liability

➢ A fine.

Potential consequences of non-compliance for the organisation include:

➢ Losing a license

➢ Fines

➢ Temporary closure

➢ Paying compensation

➢ Criminal prosecution.

Potential consequences of non-

compliance for the client include:
➢ Injury

➢ Dissatisfaction.

The legal consequences of non-compliance should not be the only consideration when it comes to
organisational legislation framework. Legislation is in place to protect the rights of both employers and
employees and to keep workers safe. Workplaces which do not adhere to legislation and guidelines can
be unsafe, unfair and unregulated, which has all kinds of ramifications for the health and wellbeing of its
workers and any visitors to the site.
 P a g e | 18

Identifying consequences
The consequences of non-compliance with laws and licensing regulations will relate directly to the law
or regulation which is not followed and is often proportional to the degree of non-compliance.
Familiarity with the applicable laws and licensing regulations is necessary, therefore, to identify the
potential consequences of non-compliance.

For example, breach of anti-discrimination, e.g. EEO, can result in:

➢ Up to a $50,000 penalty for a corporation

➢ Up to a $10,800 penalty for an individual

➢ Also: injunctions, reinstatement, compensation.

Fair Work Ombudsman, June 2016

For example, breach of Australian Consumer Law
(ACL) may result in:
➢ Formal written warnings

➢ Infringement notices

➢ Public warnings

➢ Court orders

➢ Injunctions

➢ Compensation orders

➢ Civil penalties.

Commonwealth of Australia, 2010

Sources for identifying the risks, penalties and consequences of non-compliance with specific laws and
regulations are the same as those outlined in section 1.1 of this unit, but may also include the item of
legislation itself, e.g. the Fair Work Act 2009. These may be researched through Australia’s Federal
Register of Legislation: https://www.legislation.gov.au/ (Access date: 06/06/16).
 P a g e | 19

1.5 – Assess and act on need for specialist legal advice

Assess need for specialist legal advice

Specialist legal advice may need to be sought by an organisation for a number of reasons.

For example:
➢ A complaint brought forth by an employee against an employer cannot be resolved
without a third party, e.g. court proceedings

➢ A complaint brought forth by a customer against the organisation cannot be resolved

without a third party, e.g. court proceedings

➢ The organisation has been accused of non-compliance by a regulatory body

➢ The organisation is unsure of their legal obligations and/or how to fulfil them

➢ The organisation is unsure of how to obtain the necessary licenses.

Specialist legal advice can help to ensure that the organisation’s response to any issues or grievances is
done legally and that proper record is kept of actions taken than can be used if necessary in a legal
setting, such as in countering a compensation claim.

Specialist legal advice may be sought, therefore, where there is uncertainty about how to fulfil legal
obligations or the correct manner to respond to a complaint or grievance. Legal advice may also be
sought where an organisation wishes to protect itself should legal proceedings take place.

Act on need for specialist legal advice

Obtaining specialist legal advice may involve:
➢ Consulting with in-house lawyers or legal
representatives

➢ Hiring an external legal consultant, lawyer or law

firm

➢ Seeking advice from an agency with specialist legal

knowledge, for example:

o the Fair Work Commission

o the Australian Competition and Consumer

Commission

o the Australian Department of Employment.

Where no legal advice is available within the organisation, external help may be sought. This may
involve contacting law firms/lawyers that have been used by the organisation before, or consulting with
relevant government or industry agencies that can advise on a proper course of action for a range of
issues of legal concern.
 P a g e | 20

2. Develop and communicate policies and procedures for legal

compliance
2.1. Develop and clearly articulate regulatory policies and procedures in a format readily accessible
to all personnel

2.2. Nominate the roles and responsibilities of personnel for regulatory compliance in policies and
procedures

2.3. Distribute policies, procedures and legal information to personnel at appropriate times

2.4. Organise information updates for personnel to ensure their knowledge of roles and
responsibilities for legal compliance
 P a g e | 21

2.1 – Develop and clearly articulate regulatory policies and procedures in a

format readily accessible to all personnel

Regulatory policies and procedures

Regulatory policies and procedures are instructions for how to complete work tasks and activities safely
and to the required standard. Policies and procedures largely incorporate the organisation’s legal
obligations into instructions for work practice which staff must follow.

It is important to ensure that workers are aware of the regulatory policies and procedures with which
they must comply. This helps to ensure that the business is operating in accordance with its legal
obligations and that the work area remains a safe space for customers and employees.

Presenting policies and procedures to employees

Policies and procedures may be presented to employees in a number of ways.

For example:
➢ Employee
handbook/written policies
and procedures

➢ Presentations

➢ Orientation training and

refresher training

➢ Group meetings

➢ Practical demonstrations

➢ Role plays

➢ Online learning platform

➢ Mentorship or coaching.

Learning styles
The individual learning style of each employee may affect their ability to retain information depending
on the format in which it is delivered. Delivering regulatory policies and procedures in a range of
formats can help to ensure that all employees have understood the materials presented, as well as
using activities or assessment to determine comprehension.
 P a g e | 22

Articulating policy and procedure

Policy and procedure may be more clearly articulated if:
➢ Instructions and explanations are given that are suitable for the knowledge and
experience of the group

o avoid technical ‘jargon’

o use specific terms where helpful

➢ Policy and procedure is explained in the context of specific job roles

➢ Policy and procedure is explained in terms of how it may be applied to specific work
tasks.

Further considerations
Employees should be given the opportunity to ask questions where they are unsure and to receive
further support where necessary. This may involve further training, mentorship and Q&A, or the
provision of materials suited to an employee’s specific needs.

For example:
➢ Materials in an employee’s first language, where their first language is not English

➢ Materials for those with physical impairments or learning difficulties.

 P a g e | 23

2.2 – Nominate the roles and responsibilities of personnel for regulatory

compliance in policies and procedures

Compliance personnel
Personnel from within the organisation or external candidates may be elected to oversee and enforce
compliance with regulatory policies and procedure. This person may be given the title of ‘compliance
officer’ or ‘compliance manager’.

The roles and responsibilities of the compliance officer may include:

➢ To identify risks, i.e. where regulatory policies and
procedures are not being fulfilled

➢ To prevent risks, i.e. to put control measures in place to

manage compliance with regulatory policies and
procedures

➢ To monitor and report on the effectiveness of these

control measures

➢ To address non-compliance where it occurs

➢ To report back on compliance issues to the organisation

and to advise on compliance issues.

All or some of these responsibilities may be assigned to one worker, depending on the structure of the
organisation and how it delegates the responsibilities of ensuring regulatory compliance.

Where a single employee, i.e. a compliance officer, is not in place, these roles and responsibilities may
fall to other relevant members of staff, such as department heads, supervisors and managers, for
example.

Roles and responsibilities for general staff

As well as the appointment of staff specifically to monitor and ensure compliance with regulatory
policies and procedures, individual staff members at every level of the organisation may have their own
responsibilities for monitoring and enforcing compliance, depending on their level and job role.

The roles and responsibilities of each member of staff in relation to compliance may be determined
by:
➢ Job role and job level

➢ Work area

➢ Specialist knowledge or qualifications, e.g. safety officer, first aid officer, etc.

➢ Shift pattern

➢ Necessity.
 P a g e | 24

Considerations
Personal responsibility
Every member of staff should take personal responsibility for complying with policies and procedures
that relate directly to their own job role and the work activities that they undertake. For example, a
hotel receptionist may be responsible for taking down the payment details of each guest that arrives
before checking them into a room.

However, the area manager for the hotel may be

responsible for monitoring the compliance of all the
receptionists and taking any necessary action to
combat non-compliance, such as giving warnings or
initiating disciplinary procedures.

Shift pattern
Shift pattern may also mean that a particular worker
must take responsibility for a certain regulatory task.
For example, it may be the first person to arrive to the
workplace who must conduct certain inspections, or
the last person to leave who is responsible for
switching off machinery.

Level of authority
The authority level of a staff member may determine
their responsibilities. For example, if only one staff
member has the keys to a certain area or a safe, then
only they will be able to take responsibility for
requirements relating to these areas.

Expert knowledge or qualifications

Roles and responsibilities may be designated according to the particular knowledge, experience or
qualifications of an individual worker. For example, the person with the highest level of qualification in a
certain area, may be given the greatest responsibility for monitoring regulatory compliance in that area,
as they may have the greatest ability to recognise risk due to their increased knowledge and
understanding.
 P a g e | 25

Agreeing on roles and responsibilities

The roles and responsibilities of each worker in relation to regulatory compliance must be clear to them
and to others so that every compliance requirement is fulfilled within each area of business operations
and so that staff members know the correct person to whom to refer compliance issues or concerns.

Roles and responsibilities of individuals in relation to regulatory compliance may be reflected in:
➢ Employment contracts

➢ Workplace schedules

➢ Other written record, which may be on display

➢ Any written instructions where responsible

personnel are identified.

Employees should know their own responsibilities and the

responsibilities of their colleagues. This information may be
circulated through meetings, memos, written instructions,
schedules or in any other appropriate format.
 P a g e | 26

2.3 – Distribute policies, procedures and legal information to personnel at

appropriate times

Distributing policies, procedures and legal information at appropriate times

Employees need to be aware of their legal obligations and also their legal rights. This can be achieved by
providing staff with sufficient information about policies, procedures and relevant sections of the law.

Appropriate times to distribute this information may include:

➢ Initial training or orientation

➢ Refresher training

➢ When there are changes in policy, procedure or the law

➢ In response to an instance or
repeated instances of non-
compliance

➢ When there is a change in a worker’s

personal role or set of
responsibilities.

Distributing information about policies, procedures

and legal information to workers at appropriate
times can help to ensure that they have sufficient
knowledge to complete work tasks in accordance
with the relevant regulatory requirements for their
role.

Information may be distributed:

➢ In handbooks or written formats

given to employees

➢ In relevant group meetings

➢ During training sessions

➢ In feedback sessions

➢ On online learning portals.

 P a g e | 27

2.4 – Organise information updates for personnel to ensure their knowledge of

roles and responsibilities for legal compliance

Information updates
Updates are important to ensure that employees’ knowledge stays current, as well as providing an
opportunity for knowledge of older materials to be refreshed.

Updates may be required when:

➢ There are changes in policies, procedures or law

➢ There are changes in or additions to usual business operations within the organisation,
which requires adherence to new or further regulations.

Acquiring update information

It may be your responsibility to source information about the most current regulatory requirements for
your organisation.

This may involve:

➢ Subscribing to regulatory newsletters

➢ Using the sources outlined in section 1.1 of this unit.

Organising information updates

There are a number of ways that information updates may be organised. Some of these may depend on
the systems that the organisation has in place, such as online portals for staff and messaging systems
and structures for sharing information.

They may include:

➢ Organised training
sessions or group
meetings

➢ Annual/bi-annual
sessions

➢ Re-issue of handbooks or
other materials

➢ Updates on online portals

and learning systems

➢ Circulated notices

➢ Presentations.
 P a g e | 28

3. Ensure compliance with legal requirements

3.1. Communicate with regulatory authorities when planning business operations and submit
required documentation

3.2. Maintain business and occupational licences and check contractor compliance to avoid risk to
business

3.3. Continuously evaluate business operations for non-compliance and implement modifications
 P a g e | 29

3.1 – Communicate with regulatory authorities when planning business

operations and submit required documentation

Regulatory authorities
Regulatory authorities are the governing bodies for compliance with policies and procedures in their
respective fields. The governing regulatory body for specific business operations will vary depending on
the business operation and its industry.

Some may be national or international bodies, but often regulatory authorities are specific to individual
States/Territories.

Examples of regulatory authorities in the hospitality/tourism industry include:

➢ Food safety

o ACT Health Directorate,

http://www.health.act.g
ov.au/

o NSW Food Authority,

http://www.foodauthori
ty.nsw.gov.au/

o NT Department of
Health,
http://www.health.nt.go
v.au/

o QLD Department of
Health,
http://www.health.qld.g
ov.au/

o SA Department of Health, http://www.sahealth.sa.gov.au/

o TAS Department of Health and Human Services, http://www.dhhs.tas.gov.au/

o VIC Department of Health, http://www.health.vic.gov.au/

o WA Department of Health, http://www.health.wa.gov.au/

 P a g e | 30

➢ Gaming

o ACT Gambling and Racing Commission, www.gamblingandracing.act.gov.au

o NSW Office of Liquor, Gaming and Racing, www.olgr.nsw.gov.au

o NSW Independent Liquor and Gaming Authority, www.ilga.nsw.gov.au

o NT Department of Business, www.dob.nt.gov.au

o QLD Office of Liquor and Gaming Regulation, www.olgr.qld.gov.au

o SA Consumer and Business Services, www.cbs.sa.gov.au

o TAS Department of Treasury and Finance, www.treasury.tas.gov.au

o VIC Commission for Liquor and Gaming Regulation, www.vcglr.vic.gov.au

o WA Department of Racing, Gaming and Liquor, www.rgl.wa.gov.au

Access date: 07/06/16

Different regulatory bodies will exist for other aspects of operating a business in the leisure, tourism or
hospitality industries. You should ensure that you are familiar with which are relevant to your specific
industry and its business operations.

Communicating with regulatory authorities

It may be necessary to communicate with regulatory authorities for a wide number of reasons that may
relate to requesting to undertake certain business activities, to declare certain activities, or to request
information.

For example, communication with a regulatory authority may be required in order to:
➢ Submit an application for a license or permit

➢ Renew licenses or permits

➢ Present business information

for review

➢ Submit tax returns

➢ Declare activities

➢ Request materials, etc.

 P a g e | 31

Licensing
Communication with regulatory authorities may be required in order to obtain a license to run certain
business operation in Australia.

Examples of activities that require licensing include:

➢ Sale of alcohol (Liquor license)

➢ Gaming (Gaming license)

➢ Charter fishing

➢ Operating in protected areas.

ABLIS
The Australian Business Licence and Information Service (ABLIS) can be used to source tailored
information about licensing requirements within your industry and for specific business operations.

Applications for licenses or permits may also be submitted through ABLIS.

The website can be accessed at: https://ablis.business.gov.au/pages/home.aspx (Access date:

07/06/16).

Required documentation
Various types of documentation may be required by regulatory authorities in order to authorise or
monitor business operations.

For example:
➢ Permit/license applications

➢ Financial summaries

➢ Proof of qualifications or
training

➢ Incident or injury reports

➢ Proof of compliance.

Precise requirements will vary. You should ensure that you are familiar with which documents must be
submitted to which regulatory authorities for your own organisation.
 P a g e | 32

3.2 – Maintain business and occupational licences and check contractor

compliance to avoid risk to business

Maintain business and occupational licenses

ABLIS
The Australian Business Licence and Information
Service (ABLIS) is a primary source of information
about required business and occupational
licenses. This service can be used to research
business and occupational license requirements
and to submit applications for the issuing or
renewal or business and occupational licenses.

The website may be accessed at:

https://ablis.business.gov.au/pages/home.aspx
(Access date: 07/06/16).

Timely application and renewal

Timely application and renewal of business and
occupational licenses is important to ensure that
the proper licenses are in place when the
business activities which require them are in
operation.

Record should be kept of when licenses are valid – the start date and the end date. Application for
renewal of required licenses must be done in advance of current licenses running out and becoming
invalid. You should ensure that you are aware of how long the application process takes for these
licenses and that you submit your application in plenty of time.

Responsibility for business and occupational licenses

It is vital that it is known who is responsible for applying for and renewing business licenses and that
these processes are still fulfilled even if this person should be absent for any reason. Reminders for
application deadlines may be sent to multiple personnel to ensure that action is taken in time.

Contractor compliance
Contractors are workers who are not members of the organisation, but who complete work on behalf of
the organisation. Contractors may be from any industry, such as events managers for one-off
promotional days or tradesman for expanding a building’s premises.

It is the responsibility of the organisation to ensure that the contractors it employs are compliant with
the regulations that govern their field and that they are sufficiently trained and qualified to complete
the work for which they are hired.
 P a g e | 33

Contractors may need to have:

➢ Proper insurance

o public liability insurance

o professional indemnity insurance

o WorkCover insurance

➢ All necessary licenses

➢ Trained and qualified staff

➢ Safety compliance.

Evidence of contractor compliance

Evidence of contractor compliance may include:
➢ Documentation of licenses, permits, etc.

➢ Registration with relevant industries and

associations

➢ Relevant accreditations, etc.

Some research may be done from within the organisation, such as using online searches to check
whether companies are registered with the relevant industry bodies and agencies and whether they
really have any advertised accreditations. Alternatively, external research agencies may be able to verify
a company’s legitimacy and legality.

Researching contractors
Some agencies also provide services for researching contractors. This may involve auditing contractors
to check that they have all relevant licenses, permits and qualifications and that their business is
recognised by the governing bodies and regulatory authorities for their field. Their findings may be
reported back to the organisation to verify whether the contractor is meeting all its legal requirements
and operating to the required standards of the organisation.
 P a g e | 34

3.3 – Continuously evaluate business operations for non-compliance and

implement modifications

Compliance testing
Compliance testing is an assessment of an organisation’s compliance with its legal obligations against
standards set out by the regulatory authority.

Testing is usually divided into sections according to the different work areas of the business and follows
a template which usually comes in the form of a checklist, which may be provided by the regulatory
authority.

These can be used to ensure organisational

compliance with regulatory requirements and
legal obligations.

The organisation may also develop its own

compliance manual, which may outline
procedures for assessing and evaluating
compliance. You must ensure that you are familiar
with this manual and these procedures where
they exist.

Frequency of compliance testing

Compliance testing, or audits, should not be one-off procedures, but continual processes. The frequency
of compliance testing may vary from work area to work area or depending on the risk associated with
non-compliance. Where the consequences of non-compliance are greater, the frequency of compliance
testing may be higher.

Keeping record
The results of compliance testing (audits) should be kept as evidence for the regulatory authority to
prove compliance with regulatory requirements and legal obligations by the organisation.
 P a g e | 35

Implement modifications
Modifications may be required to business operations when they are continuously non-compliant with
regulatory policy and procedure. Where this occurs, modifications to business operations should be
developed that will ensure compliance.

This will require:

➢ Creating procedures for work practice that enforce regulatory requirements (control
measures)

➢ Informing staff of changes and providing training where necessary

➢ Monitoring new control measures

➢ Updating written policy and procedure.

Continuously evaluating the compliance of the organisation with its regulatory requirements and
implementing necessary modifications can help to ensure that the organisation is fulfilling all its legal
obligations and operating safely.
 P a g e | 36

4. Maintain personal and organisational knowledge of

regulatory requirements
4.1. Identify and use a range of opportunities to maintain knowledge of current regulatory
requirements

4.2. Use organisational communication methods to share updated regulatory knowledge

4.3. Continuously review and distribute plans, policies and procedures for compliance with current
laws and licensing requirements
 P a g e | 37

4.1 – Identify and use a range of opportunities to maintain knowledge of

current regulatory requirements

Maintaining current knowledge

Maintaining a current knowledge of regulatory requirements is crucial in ensuring that your
organisation is operating legally and is protected from any legal liability which may occur as a result of
non-compliance.

Opportunities to maintain knowledge of regulatory requirements may include:

➢ Discussions with experienced industry
personnel

➢ Networking with colleagues and/or

suppliers

➢ Participating in industry accreditation

schemes

➢ Participating in industry seminars

➢ Membership of professional industry

associations

➢ Participating in training courses

➢ Subscribing to regulatory newsletters.

You should ensure that you participate in as many of the above activities as possible in order to ensure
that you are kept informed of important changes in the industry that may be reflected in changes in the
legal requirements for your own organisation.
 P a g e | 38

4.2 – Use organisational communication methods to share updated regulatory

knowledge

Organisational communication methods

Organisational communication methods are the ways in which information and ideas are shared
between members of the same organisation. In the context of sharing regulatory knowledge, this will
often be in the form of downward communications, i.e. senior staff members passing on information to
staff at lower levels, although this may not be the case if external training agents are brought into the
organisation or if mentorship or coaching techniques are used.

Organisational communication methods for the

sharing of regulatory knowledge may include:
➢ Team meetings/briefings

➢ Updates to online learning portals

➢ Email

➢ Re-issuing of policy and procedure,

e.g. employee handbook

➢ Change of signs and notices in works

spaces

➢ Notice boards or other memos

➢ Training sessions / presentations.

You should ensure that you are familiar with the organisational communication methods available
within your organisation and that you use these to their fullest effect.
 P a g e | 39

4.3 – Continuously review and distribute plans, policies and procedures for
compliance with current laws and licensing requirements

Review plans, policies and procedures

Plans, policies and procedures must be regularly reviewed to ensure that they are current and accurate.

During a review, you may check that:

➢ Plans, policies and procedures
have the most current
information and ensure that
work practice is to the most
current standards

➢ Plans, policies and procedures

cover all business operations;
especially relevant if the
organisation has initiated new
work practices, such as offering
new services or working with
new equipment

➢ Plans, policies and procedures are worded in a way that can be easily understood; non-
compliance in the workplace could indicate instructions that are vague or poorly
worded

➢ The correct personnel (by name or job title) are indicated in procedures.

In your organisation’s plans, policies and procedures there should be no inaccurate information and no
room for misinterpretation. Regular review can help to ensure that plans, policies and procedures
remain suitable and relevant.

Distribute plans, policies and procedures

Plans, policies and procedures must be distributed to all staff members so that they can be aware of
their personal roles and responsibilities and of the legal obligations of themselves and the organisation.

Plans, policies and procedures may be distributed:

➢ In initial training/orientation

➢ In handbooks, which may be re-issued in part or in whole when changes are made

➢ During presentations, training sessions, WHS lectures, etc.

Updates may be issued in part or in whole when there are changes in plans, policies and procedures.
This may be done formally, such as in a group meeting or training session, or relatively informally, such
as through an email attachment. However, it is important to confirm and verify that copies have been
received by all personnel and that somebody is available to answer employee questions if necessary.
 P a g e | 40

Summative Assessments
At the end of your Learner Workbook, you will find the Summative Assessments.

This includes:

➢ Skills assessment

➢ Knowledge assessment

➢ Performance assessment.

This holistically assesses your understanding and application of the skills, knowledge and performance
requirements for this unit. Once this is completed, you will have finished this unit and be ready to move
onto the next one – well done!
 P a g e | 41

References

These suggested references are for further reading and do not necessarily represent the contents of
this unit.

Websites
Fair Work Ombudsman, Australian Government, https://www.fairwork.gov.au

Australian Competition and Consumer Commission, https://www.accc.gov.au

Federal Register of Legislation, https://www.legislation.gov.au/

Department of Employment, https://www.employment.gov.au/

Tourism Australia, http://www.tourism.australia.com/

Safe at Work, http://www.safeatwork.org.au/

Hospitality Alliance Training, https://www.hospitalityalliancetraining.edu.au

Publications
‘Compliance and enforcement: How regulators enforce the Australian Consumer Law’, Commonwealth
of Australia 2010

‘Doing Business in Australia: Employment Law’, K&L Gates 2013,

http://www.klgates.com/files/Upload/DoingBusinessInAustralia_Employment_Law.PDF

All references accessed on and correct as of 08/06/16, unless other otherwise stated.