Report

Compliance is the act of following the rules. While these rules are often external
requirements, compliance also involves following our organisation’s internal rules, policies
and procedures, and acting in accordance with ethical practices. Compliance management
refers to the way in which our organisation assures compliance in accordance with the rules,
regulations, laws and other requirements to which our organisation is subject.
The community trusts and expects service providers to uphold and apply proper legal and
ethical standards that underpin their work. As a manager, we have a great deal of
responsibility and must always act in a professional, competent and ethical manner. To do
this, we need to be familiar with all laws, rules, standards and regulations relevant to our
community services organisation. These protect the rights of both people in need of support,
and our team members, and also ensure high-quality and safe services are provided.

1) Work health and safety

It is within the work role boundary of everyone in the workplace to uphold work health and
safety principles. The Work Health and Safety Act 2011 is a national law that sets out
responsibilities for health and safety in the workplace. This Act replaces the existing
Occupational Health and Safety Act 1991 and the individual state and territory Acts for
health and safety. (Note that at the time of publication, not all state and territories have
harmonised with the new legislation; Western Australia and Victoria still use their own
legislation.) This legislation states that employers must take practical and reasonable steps to
protect the health and safety of employees at work, and that workers have a general duty of
care to ensure they work in a manner that is not harmful to their own health and safety, and
the health and safety of others. WHS legislation is designed to create safe working
environments and reduce work-related incidents and illness and their related costs. WHS
policies and procedures are based on legislation, regulations, codes of practice and standards.
As a manager, we need to access this information and ensure it is complied with in our
service.
Purpose of the policy: to ensure all the staff working in the business are aware of health and
safety issue , to create the safe working environment
Procedures to complaint: fill up the complaint form or  reporting the issue through
the workplace's hazard reporting procedures.
Person responsible; supervisor or the manager of the related departments

2) Industrial relations
Industrial relations is the management of work-related entitlements and obligations between
employers and their employees. Industrial relations is governed by the Fair Work Act 2009 .
In Australia, industrial relations laws cover employment issues such as minimum wages, pay
equity, employment standards, leave entitlements, hours of work, and protect all workers
from discrimination and unfair dismissal. The Community Sector Industrial Relations (CSIR)
service is for non-profit community services organisations seeking industrial relations and
human resource management advice and support. The CSIR provides professional industrial
relations advice and representation, consultancy and training, events and workshops, review
of contracts and classifications, access to updated awards and pay tables, and enterprise
agreement drafting and support.
Purpose of the policy: objective of industrial relations is to bring about good and
healthy relations between the two partners in the industry i.e., the management and the employee

Procedures to complain: Employees who wish to lodge a complaint against their employers
have a few options. The option that is often explored first involves going through the
organisation’s human resources department.

In the event this does not yield a satisfactory outcome, and all other possible avenues have
been exhausted, employees may request assistance from the Fair Work Ombudsman

Person responsible: supervisor or manager

3) Complaints management
A complaint is an expression of dissatisfaction in relation to a service provided. A complaint
may be formal, such as a written/emailed complaint; or informal, such as a discussion. A
complaints policy will include statements about how to manage a complaint fairly and
resolve it quickly. The policy may also include statements about the importance of using
complaints to improve services. All complaints must be dealt with confidentially and
discussed only with the people who are managing it. Depending on the organisation,
complaints may be handled as follows.
A) Manage complaints internally
Your organisation must have an internal complaints process in place to assist service users,
their families or workers to make a complaint. The process must be fair, non-discriminatory
and not penalise the person making the complaint. Steps to take include to: X listen to the
complaint without defending yourself or anyone else – take notes so you get all the facts
about the complaint and can remember the information later X validate the other person’s
feelings X tell the person what your plan of action will be; for example, you will report it to
senior management X report and record the complaint X make sure the complaint is followed
up and let the person know what is happening.
B) manage complaints Externally
We may need to engage the services of a qualified counsellor, the Commonwealth
Ombudsman, an advocate or services specifically designed to handle complaints about or
from older people, people with disabilities, or complaints relating to children.
Purpose of the policy: Complaints management is about resolving individual complaints and
identifying opportunities to make systemic improvements
Person responsible: supervisor or manager
 4) Equal employment opportunities
Equal opportunity principles are based on the right of all people to participate equally in all
areas of public life such as employment, housing, education or in accessing services. They
should be able to do this without fear of discrimination or unfavourable treatment such as
bullying or harassment. It is important that you have an understanding of your employer’s
and your own obligations under the law in order to ensure compliance. Federal and state anti-
discrimination and equal opportunity legislation makes it unlawful to discriminate against a
person in relation to employment. The Australian Human Rights Commission Act 1986
outlines requirements for equal opportunity in employment and deals with breaches in this
area, including discrimination on the grounds of colour, race, religion, gender, political or
religious beliefs, medical history, disability or impairment, age, criminal record, marital
status or nationality.
Purpose of the policy: Equality of Employment Opportunity (EEO) is about making sure the
workplace is free from all forms of unlawful discrimination and harassment, and that people
who are members of an EEO target group are able to compete for employment and promotion
as effectively as people who are not
Procedure to complaint: can fill up the complain file or talk with the person or manager
A job discrimination complaint may be filed by mail or in person at the nearest EEOC office.
Person responsible: supervisor or manager
5) Confidentiality
organisations and agencies have obligations under the Privacy Act 1988 to put reasonable
security safeguards in place and take reasonable steps to protect the personal information they
hold from misuse, unauthorised access, modification, disclosure, inference and loss. Personal
information breaches are not only limited to malicious actions such as theft, but may also
arise from internal errors or failure to follow information handling policies and procedures
that cause accidental disclosure or loss. If you identify a real risk of serious harm as a result
of data breach, the affected individuals should be notified to promote transparency and trust
in your organisation.
Purpose of the policy: confidentiality is to keep the number of employees and personnel who
have access to sensitive information to a necessary minimum.
Procedure to complaint; An employee receiving a complaint about a possible privacy
breach must refer the complaint and all associated material to the supervisior within 24 hours
of receipt. In the absence of the supervisor, the complaint must be referred to manager
Person responsible: supervisor or manager

6) Anti-discrimination and harassment policy

The Racial Discrimination Act 1975 covers all of Australia and prohibits racial
discrimination and offensive behaviour based on racial hatred. It covers discrimination based
on race, colour, descent and national or ethnic origin. It also protects those who may be
discriminated against based on their association with people of a particular ethnicity. The Act
applies to everyone in Australia and all organisations. The Racial Hatred Act 1995 (Cth) was
added to the Racial Discrimination Act in 1995 and provides an avenue for people to
complain about racist behaviour that offends, insults, humiliates or intimidates others in
public.
The Sex Discrimination Act 1984 explains that it is unlawful to discriminate against someone
based on their sex, marital status, pregnancy or potential pregnancy. It sets out laws against
sexual harassment as well as dismissal from work based on family duties including
pregnancy. According to the Act, it is unlawful to refuse to provide goods or services,
education or employment based on a person’s sex. The Act also covers discrimination within
awards and enterprise bargaining, insurance and superannuation, Commonwealth laws and
programs, and accommodation. Sexual harassment is included in the Act because it is a form
of discrimination to treat a person unfairly because of their sex.
Purpose of the policy: The objective of this Policy is to ensure that people are treated as
individuals, respected for their unique attributes and not excluded, harassed or bullied in any
way, through unconscious bias, stereotypes or unlawful actions that may form the basis
of discrimination, harassment, vilification or victimisation
Procedure to complain: file a complain file and if the matter is serious then can have a
straight talk with the department supervisor or manager
Person responsible: supervisor and manager

Regular update on policy and procedures and personal responsible:

Human resources staff are responsible for reviewing policies and updating them.

compliance officer:

is an employee of a company who helps that company maintain policies and procedures to
remain within an industry's regulatory framework. The duties of a compliance officer may
include reviewing and setting standards for outside communications by requiring disclaimers
in emails or examining facilities to ensure they are accessible and safe. Compliance officers
may also design or update internal policies to mitigate the risk of the company breaking laws
and regulations and lead internal audits of procedures.

A compliance officer must have a thorough knowledge of the company and an awareness of
where possible regulatory breaches may occur. It is essential that the compliance officer
effectively communicate the company’s key ethical principles and compliance regulations.
Compliance officers organize regular training sessions for employees to communicate key
regulatory changes and updates. This is particularly important in a heightened regulatory
environment where change is constant. The compliance officer must work with business units
and management to ensure appropriate contingency plans are in place that set guidelines on
how to respond to a possible compliance breach
Distribution of information to staff
You can help support workers understand their scope of practice with your service by
clarifying this with them when they first begin work, and discussing organisational objectives
and requirements, as described below. Ways to ensure you and your team members work
within your scope of practice
1) Discuss common issues that arise in team meetings and encourage workers to raise
any other issues where there is confusion or misunderstanding
2) Create a written FAQ (frequently asked questions) sheet that explains common
misunderstandings
3) Ensure all team members within the organisation understand who is responsible for
what areas of practice
4) Encourage team members to ask questions about any area of practice they are
confused about

Scope of practice considerations should be incorporated into workplace documentation that is

easily accessible to all workers, and made available to service users on request

Maintain knowledge of compliance requirements

Every service must confront the challenge of changing compliance requirements. New
governmental laws and regulations can be complicated, and non-compliance sometimes
carries significant penalties. Learning to stay ahead of current and emerging legal
requirements and ethical issues, consistently communicating with your team members and
service users, and assertively preparing for upcoming legislative changes, will ensure you are
in a much better position to turn these challenges into opportunities. As legislation,
regulations and standards change, you are provided with an opportunity to re-evaluate,
redesign and demonstrate value to your service users by consistently meeting compliance
requirements, highlighting the integrity of your service’s image.

ways to monitor and continually evaluate our business compliance system.

 Conduct internal audits and inspections

 Maintain business and occupational licenses
 Check contractor compliance
 Implement a risk management system to avoid risk to business

Research on a change in a legal regulation and impact on the business and staff
Governments establish many regulations and policies that guide businesses. Some rules,
like minimum wage, are mandatory, while other policies may influence your business
indirectly. Businesses need to be flexible enough to respond to changing rules and policies.
This is true not only at the national level but more locally as well, as states and
municipalities have their own sets of rules. Indeed, there are also international treaties that
can influence the way companies do business.

1) Political stability and political culture:

Government policy will always depend on the political culture of the moment. Policy
crafted in a politically stable country will be different that formed in an unstable country. A
stable political system can make business-friendly decisions that promote local businesses
and attract foreign investors.

Unstable systems present challenges that jeopardize the ability of government to maintain
law and order. This has a negative effect on the business environment

2) Regulations and permit

Trade regulations, the federal minimum wage, and the requirements for permits or licenses
have effects on business. For example, periodic health inspections must be carried out in all
restaurants. Businesses might spend a lot of money and time to comply with regulations
that ultimately prove to be ineffective and unnecessary. Fair and effective regulations,
however, promote business growth.

3) Setting interest rates

Government policy can influence interest rates, a rise in which increases the cost of
borrowing in the business community. Higher rates also lead to decreased consumer
spending. Lower interest rates attract investment as businesses increase production. The
government can influence interest rates in the short run by printing more money, which
might eventually lead to inflation. Businesses do not thrive when there is a high level of
inflation.

Notify Employees when Policies and Procedures Are Updated

As the business environment changes, policies and procedures need to be updated. Each time
the updates are made, it’s important to notify employees of the changes and have them
formally sign off that they have been made aware of the change. This is the only way of
legally holding them responsible for the new policies and procedures. More importantly,
though, it’s the only way to ensure that effective communication occurs when changes are
made so that employees can understand the new policies and abide by them.

When communicating changes in policies and procedures, be sure to share the “why” behind
the change. Employees at all levels tend to get frustrated if they perceive that changes are
arbitrary, especially if the new policies impact how they do their work. Change is difficult to
adapt to, but providing the reasoning behind the change helps communication be more
effective and helps employees buy into the new policies and procedures.
It’s important that all upper-level management adheres to policies and procedures. When
managers take policies and procedures seriously and see them as a vital part of the
organization’s function, their attitudes will be more likely to be adopted by other staff. When
you share the policies and procedures at orientation, during reviews and discipline, and
whenever there is a change, you’ll ensure that effective communication happens.
Communicating these key policies and procedures ensures that your organization will
continue to run smoothly in accordance with the values and ethics established by leadership.

Checklist and action plan

A legal compliance checklist is used to determine if an organization has met all regulatory
requirements in order to legally operate and avoid litigation. 
Grants likely to have IP provisions that would include provisions re allocation of rights and
requirements for protection of rights.
Compliant  Partially Compliant  Non-Compliant  N/A
Review licenses, contracts and other agreements relating to intellectual property and
computer software to which the organization is a party or a third party beneficiary
Compliant  Partially Compliant  Non-Compliant  N/A
Review policies and third party agreements relating to non-disclosure of confidential
information and ownership of intellectual property created by employees and contractors
Compliant  Partially Compliant  Non-Compliant  N/A
Review procedures for maintaining confidentiality of trade secrets
Compliant  Partially Compliant  Non-Compliant  N/A
Verify status of trademarks, trade names, domain names, and copyrights
Compliant  Partially Compliant  Non-Compliant  N/A
Check grants for document retention requirements and then check policy for conformance.
Compliant  Partially Compliant  Non-Compliant  N/A
Review existing policy for both hard copy and electronic documents
Compliant  Partially Compliant  Non-Compliant  N/A
Should the organization have a retention policy?
Compliant  Partially Compliant  Non-Compliant  N/A
Verify the existence of a policy against altering, destroying, or concealing documents in the
event of an anticipated or known government audit or investigation
Compliant  Partially Compliant  Non-Compliant  N/A
Review policies re public statements and speaking to the media
Compliant  Partially Compliant  Non-Compliant  N/A
Review compliance with Family and Medical Leave Act
 Compliant  Partially Compliant  Non-Compliant  N/A
Review compliance with federal and state laws prohibiting various forms of discrimination
Compliant  Partially Compliant  Non-Compliant  N/A
Review compliance with federal requirements for documentation of citizenship of employees
Compliant  Partially Compliant  Non-Compliant  N/A
Review employee manuals, handbooks and policies
Compliant  Partially Compliant  Non-Compliant  N/A
Review employment contracts and letter agreements
Compliant  Partially Compliant  Non-Compliant  N/A
Review existing tax qualified benefit plans
Compliant  Partially Compliant  Non-Compliant  N/A
Review FLSA compliance issues
Compliant  Partially Compliant  Non-Compliant  N/A
Review fringe benefits
Compliant  Partially Compliant  Non-Compliant  N/A
Review job application form, standard job posting and recruiting materials
Compliant  Partially Compliant  Non-Compliant  N/A
Review non-qualified deferred compensation plans
Compliant  Partially Compliant  Non-Compliant  N/A
Review procedures and practices for terminating employees
Compliant  Partially Compliant  Non-Compliant  N/A
Review procedures and practices for use of temporary workers
Compliant  Partially Compliant  Non-Compliant  N/A
Review recordkeeping for EEO/AAP compliance
Compliant  Partially Compliant  Non-Compliant  N/A
Review severance plans or policies
Compliant  Partially Compliant  Non-Compliant  N/A
Review whether individuals are properly classified as employees and independent contractors
Compliant  Partially Compliant  Non-Compliant  N/A
Verify filing of all IRS/DOL forms
Compliant  Partially Compliant  Non-Compliant  N/A
Consider option provisions and dates for exercise
 Compliant  Partially Compliant  Non-Compliant  N/A
If organization has entered into a lease, review to determine compliance with its provisions
Compliant  Partially Compliant  Non-Compliant  N/A
If organization planning to lease space, guidance on key issues
Compliant  Partially Compliant  Non-Compliant  N/A
Determine policy for internal contract review, external review by counsel, execution of
contracts
Compliant  Partially Compliant  Non-Compliant  N/A
Determine whether there are business relationships not covered by a written agreement
Compliant  Partially Compliant  Non-Compliant  N/A
Determine whether there are contracts with related parties and whether there was compliance
with procedures for disclosing conflicts of interest
Compliant  Partially Compliant  Non-Compliant  N/A
Review significant contracts and schedule notification of contract renewal dates
Compliant  Partially Compliant  Non-Compliant  N/A
Verify compliance with representations and warranties
Compliant  Partially Compliant  Non-Compliant  N/A
Review audited financial statements for last three cycles
Compliant  Partially Compliant  Non-Compliant  N/A
Review internal control procedures
Compliant  Partially Compliant  Non-Compliant  N/A
Review internal/external audit procedures
Compliant  Partially Compliant  Non-Compliant  N/A
Review management letter for the last three independent audit cycles
Compliant  Partially Compliant  Non-Compliant  N/A
Existing or threatened lawsuits
Compliant  Partially Compliant  Non-Compliant  N/A
Consider other legal barriers, including barriers to growth and success
Compliant  Partially Compliant  Non-Compliant  N/A
Legal barriers that affect day-to-day operations
Compliant  Partially Compliant  Non-Compliant  N/A
  Regulatory Compliance with an Action Plan

Regulatory Compliance is all about ensuring that an organization is adhering to the rules for
its industry. we are required to abide by the rules of an external authority. Not complying
with the regulations can have serious consequences.

Compliance action planning includes putting together compliance methodologies in place for
the organization to act. we can use these methodologies to comply with not just a single
regulation but with many.

Putting Together A Compliance Plan

Before putting a compliance plan in place, we first need to know:

 The laws that apply to we or our regulatory universe.

 The requirement of those laws
 The risks to our organization and (directors) for noncompliance: Risk assessment
 Whether our organization is already compliant with those laws
 Who in our organization is responsible to take the corrective action

Understanding the requirement of those laws

A good way to understand the requirement of those laws well is to attend webinars and
seminars where subject matter experts explain those laws and compliance thoroughly in a
simple and concise manner

Assessing the risks

Assessing whether our organization is compliant with the applicable laws

Once we learn the requirement of the laws, it becomes easy to assess whether our
organization is compliant with them. If not, we will need to take immediate compliance
action.

Who in our organization is responsible to take corrective action?

It takes an extraordinary leader to uphold the integrity of an organization. Such an individual

must be designated to take up the role. A comprehensive compliance risk assessment will
help us identify specific individuals for managing each type of risk.
ssReference:

https://www.business.gov.au/planning/new-businesses/legal-essentials-for-
business

https://www.safeworkaustralia.gov.au/

https://www.fairwork.gov.au/employee-entitlements