Project Work (1) 937

COMPLIANCE MONITORING SHEET
CONTRACTS
Contract 1
Contractor Name Coastal Cleaning Services Pty Ltd
Start Date of Contract January 1, 2024
End Date of Contract APRIL 28, 2023
Washing and housekeeping services are required at a high-end hotel in Sydney,

which lies in the province of New South Wales. Legislation requires that
individuals must comply with sanitation requirements and workplace safety
Summary of Contract laws in order to avoid legal prosecution.
Terms
The hiring company has ensured that the entire hotel surroundings have been
kept at a remarkable level of clean. However, there have been sporadic
instances of shortages of workers, which have led to interruptions in service.
Summary of Contractor These events have occurred on a regular basis.
Conduct
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Compliance Monitoring Sheet Version 1.0 Produced 13 June 2023

© Precision RTO Resources Page 1
The Continent Hotel
Compliance Monitoring Sheet
Contract 2
Contractor Name Dynamic Marketing Solutions Pty Ltd
Start Date of Contract 2024-04-20
End Date of Contract 2024-04-28
Dynamic Marketing Solutions' job is to improve the client's business's online

visibility through a range of digital marketing services, such as social media
leadership, SEO optimisation, and email marketing programmes. In line with
Summary of Contract New South Wales consumer protection laws, the contract spells out
Terms deliverables, success policies, and payment schedules.
Dynamic Management Solutions has always done great work, going above and
beyond performance goals and helping their customer's online engagement and
sales rates grow by a large amount. There have been some delays in reporting
Summary of Contractor and talking, though, which needs to be fixed quickly to keep things clear and
Conduct keep clients happy.

OPERATIONAL AREA MONITORING
Operational Area 1
Operational Area
Date of Summary of Performance Possibilities of Non- Modification Required

Monitoring Compliance
a. Production targets met, Insufficient quality control Implement stricter QC

2024- but quality issues measures in place checks
04-27 observed
b. Decrease in productivity Lack of maintenance Establish regular

2024- due to machinery schedule leading to maintenance
04-25 breakdown equipment failures
c. Efficient operations, no Minor safety violations Conduct refresher safety

2024- major issues observed training
04-23
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Compliance Research Report Version 1.0 Produced 13 June 2023

The Continent Hotel
Compliance Research Report
Operational Area 2
Operational Area
Date of Summary of Performance Possibilities of Non- Modification Required

Monitoring Compliance
a. Operational efficiency Minor deviations in patrol For the reason of

January maintained routes achieving the goal of
15, ensuring that full
2024 coverage is provided, it is
of the utmost importance
to make modifications to
the frequency of the
patrols in order to
achieve the intended
outcomes. Such
adjustments are vitally
necessary.
b. Increased incidents of Lack of perimeter Enhancing the

March unauthorized access surveillance capability of
3, 2024 your perimeter
monitoring
equipment to
identify and
prevent illicit
entry is one
approach that
may be used to
boost the
efficacy of these
systems.
Increasing the
effectiveness of
these systems
can be achieved
in this manner.
c. Routine patrols Equipment malfunction Business will be able

April conducted, no incidents make sure that any
18, equipment that is
2024 malfunctioning will be
fixed as fast as possible
and that it will be ready

The Continent Hotel
to begin operations with a

plan maintenance. This
will allow business to
guarantee that business
will be able to start
operations.
COMPLIANCE RESEARCH REPORT
Operational Areas

The Continent Hotel
Operational Areas Evaluation
The production methods have been meticulously documented

and checked for compliance checks on a regular basis.
 . Production
Nevertheless, there is more potential for development in
terms of optimizing the utilization of resources.
 Finance
While the methods for managing finance with the existing
legal standards, there is a requirement for more openness in
reporting techniques in order to confirm complete compliance
with accounting standards.

The Continent Hotel
Legal Areas
Source of Legislative Information about

Legal Risk Legislation Source of Advice Compliance Risk
Information Requirements Non-Compliance
a. Contractual Law: Commercial Legal department Corporate legal Relevant Contractual Penalty: Monetary
Obligations Law Act documentation counsel Requirements: Obligations fines
Government Mandates outlined Ensuring contracts Legal disputes

legislative database in the Financial are fulfilled
Industry-specific Services Act (FSA)
Legal compliance legal consultants necessitate Proper
software stringent record- documentation
keeping of agreements
Commercial law
procedures. Handling disputes
experts
effectively
Regulation: Acceptable Record- Consequence:

Contract Law Keeping Breach of contract,
Regulations Mechanisms: potential lawsuits
Implementing
Code: CLA-202X- secure digital
003 databases with Damage to
encryption reputation and
protocols and business relations
regular audits to
ensure compliance
with the FSA.

The Continent Hotel
 b. Law: Compliance Regulatory agency Compliance officers Relevant b. Regulatory Penalty:

Regulatory Act publications Requirements: Compliance Regulatory fines
Complianc Adherence to the Adhering to legal
e Compliance officers Health Insurance standards
Legal updates Portability and Compliance orders
subscription Accountability Act Meeting industry
(HIPAA) to mitigate regulations
regulatory Managing changes in
liabilities. legislation
Regulation: Acceptable Record- Consequence:

Regulatory Keeping Legal sanctions,
Standards Mechanisms: suspension of
Amendment Utilizing HIPAA- operations
compliant cloud- Loss of licenses or
based storage permits
Code: RCA-20XX- solutions with
002 stringent access
controls and
comprehensive
logging
mechanisms to
meet regulatory
expectations
effectively.

The Continent Hotel
Source of Legislative Information about

Compliance Need Legislation Source of Advice Compliance Risk
Information Requirements Non-Compliance
Law: Employment Legal department Corporate legal Relevant Risk of data Penalty: Hefty
Ac documentation counsel < Requirements: breaches fines imposed by
a. Regular review of
Compliance with Act leading to loss regulatory
contractual br> Industry-
of sensitive authorities.
agreements to specific legal
<br> Government information.
ensure alignment consultants
legislative
with legal Risk of regulatory
database
requirements and penalties and fines for
business objectives. Regulation: Acceptable Record- violating data protection Consequence:
Workplace Safety laws. Loss of customer
Keeping Mechanisms:
Regulations | Electronic databases trust and
with encryption and reputation
regular backups to damage due to
Code: ensure data integrity. data breaches.
EA-202X-
a. Co Law: Federal Regulatory agency Compliance Relevant Risk of employees Penalty: Legal
ntinuous Regulations Act publications officers <br> Requirements: inadvertently actions and fines
monitoring Corporate Compliance with Data violating for violating
of compliance Protection Regulations compliance safety
regulatory <br> Legal advisors policies due to regulations.
changes updates lack of
and subscription understanding.
updates to Regulation: Acceptable Consequence:
Risk of non-compliance
adapt Regulatory Record- Increased risk of
incidents stemming
compliance Amendments Keeping workplace
from ignorance of

The Continent Hotel
processes Mechanisms: regulatory accidents leading

accordingly. Encrypted requirements. to injuries or
Code: FR-202X- digital fatalities, as well
005 storage as potential
systems with lawsuits.
access
controls and
audit trails

The Continent Hotel
Licensing Requirements
Business Licence Source of Information
Obtaining from local government offices Online business forums and communities
Occupational Licence Source of Information
State licensing board website Industry trade associations
Specialist Advice
Legal Area Where Specialist Corporate lawyer- Clarification on contract terms and legal obligations
Advice is Needed
Specialist to Consult Patent attorney- Guidance on patent registration process and

protection strategies
Advice Gathered from Property lawyer- Assistance with property transactions and lease
Specialist agreements

The Continent Hotel
END OF COMPLIANCE RESEARCH REPORT
LEGAL RISK MANAGEMENT PLAN
Legal Risk Management
Legal Risk 1
Legal Risk Compliance with Employment Laws
Fines or penalties for non-compliance

Disruption to workforce and operations
Possible Impact to Operations
Strategy to Manage Legal Risk  Regularly review and update employment policies and procedures to ensure compliance with
current NSW employment laws.

The Continent Hotel
 Provide regular training to HR staff and management on relevant employment laws and
regulations.
 Conduct annual reviews of employment policies and procedures.

 Monitor changes in NSW employment laws and update policies accordingly.
Procedures to Implement  Provide training sessions for HR staff and management on a bi-annual basis.
Strategy
 Legal counsel or consultant specializing in employment law

Resources Required  Training materials and resources on NSW employment laws
 HR Manager
Person(s) Responsible for  Legal Compliance Officer
Implementation
Legal Risk 2
Legal Risk Data Protection and Privacy Compliance

The Continent Hotel
Fines or penalties for data breaches

Damage to reputation and loss of customer trust
Possible Impact to Operations
 Implement robust data protection policies and procedures in compliance with the Privacy Act
Strategy to Manage Legal Risk 1988 (Cth) and the Australian Privacy Principles (APPs).
 Regularly assess and update data security measures to mitigate the risk of breaches.
 Conduct privacy impact assessments for new data processing activities.

 Implement encryption and access controls to safeguard sensitive data.
Procedures to Implement  Provide staff training on data protection and privacy obligations.
Strategy
 Data protection software and tools

Resources Required  Legal advice on compliance with privacy laws
 Chief Information Officer (CIO)

Person(s) Responsible for  Data Protection Officer (DPO)
Implementation

The Continent Hotel

The Continent Hotel
Compliance Need Management
Compliance Need 1
Compliance Need Environmental Regulations Compliance
 Fines or penalties for non-compliance with environmental regulations

Possible Impact to Operations  Damage to reputation and potential loss of business
 Develop and implement an environmental management system to ensure compliance with

Strategy to Manage Legal Risk relevant environmental laws and regulations.
 Regularly monitor and assess environmental performance to identify areas for improvement.
 Conduct regular environmental audits to assess compliance with regulations.

Procedures to Implement  Implement measures to reduce environmental impact, such as waste reduction and energy
Strategy conservation initiatives.
 Provide staff training on environmental responsibilities and best practices.
 Environmental consultants or experts

Resources Required
 Environmental management software or tools
 Environmental Manager
Person(s) Responsible for  Facilities Manager
Implementation

The Continent Hotel
Compliance Need 2
Compliance Need Occupational Health and Safety (OHS) Compliance
 Workplace accidents or injuries

 Legal liabilities and potential lawsuits
Possible Impact to Operations  Disruption to workflow and productivity
 Establish and maintain a comprehensive Occupational Health and Safety (OHS) management
system to ensure compliance with relevant laws and regulations.
Strategy to Manage Legal Risk
 Prioritize employee health and safety through regular risk assessments, training programs, and
safety protocols.
 Conduct regular workplace inspections to identify hazards and implement corrective actions.
 Provide ongoing training to employees on safe work practices and procedures.
Procedures to Implement  Develop emergency response plans and procedures for handling accidents or incidents.
Strategy
 OHS specialists or consultants

Resources Required  Safety equipment and facilities maintenance

The Continent Hotel
 OHS Manager
Person(s) Responsible for  Safety Committee members
Implementation

The Continent Hotel
Maintain Personnel Knowledge
Personnel to Receive Updated  All employees across departments, with a focus on relevant personnel such as team leaders,
Information department heads, and HR staff.
 Establish regular newsletters or email updates containing relevant industry news, policy changes,
Communication Method to and best practices.
Gather Updated Knowledge  Encourage employees to attend industry conferences, seminars, or workshops to stay updated
on the latest trends and developments.
 Host regular meetings or training sessions to disseminate important updates and information to
Communication Method to all staff members.
Share Updated Knowledge  Utilize a centralized online platform or intranet to share documents, articles, and resources
related to personnel knowledge.
 Designate a specific individual or team responsible for gathering and compiling relevant
information.
Procedures  Develop a schedule for distributing updates, ensuring timely dissemination of knowledge.
 Encourage feedback and discussion among employees to foster a culture of continuous learning
and knowledge sharing.
 Set up a knowledge management system so that all of the staff can easily find and access
essential papers and tools.
Best Practice
 Encourage employees to share their thoughts and knowledge with their coworkers in a way that
makes everyone feel safe.

The Continent Hotel
Maintaining Knowledge on Legal Compliance
Personnel to Receive Updated Information:
Everyone who works in the company, regardless of department, with a particular emphasis on professionals who are relevant, such as team leaders,
department heads, and HR staff.
Communication Method to Gather Updated Knowledge:
 Implement consistent newsletters or email updates that encompass pertinent industry developments, policy modifications, and optimal
methodologies.

Promote employee participation in industry conferences, seminars, and workshops as a means of remaining informed about the most recent
developments and trends.
Communication Method to Share Updated Knowledge:
 Conduct periodic staff meetings or training sessions to distribute critical updates and information.
 Leverage a centralized online platform or intranet to facilitate the exchange of legal compliance-related documents, articles, and resources.
Procedures:
 Assign a distinct individual or group with the responsibility of collecting and organising pertinent data.
 Plan the distribution of updates in a systematic manner to guarantee the prompt dissemination of information.
 Promote a culture of ongoing learning and knowledge exchange among staff members by encouraging feedback and discussion.

The Continent Hotel
Best Practices:
 Implement a knowledge management system to locate and retrieve vital documents and resources with ease.
 Promoting a culture where employees feel secure sharing their thoughts and knowledge with their colleagues is essential.


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COMPLIANCE MONITORING SHEET

Contractor Name Coastal Cleaning Services Pty Ltd

Start Date of Contract January 1, 2024

End Date of Contract APRIL 28, 2023

Washing and housekeeping services are required at a high-end hotel in Sydney,

Add more tables as necessary

Compliance Monitoring Sheet Version 1.0 Produced 13 June 2023

Contractor Name Dynamic Marketing Solutions Pty Ltd

Start Date of Contract 2024-04-20

End Date of Contract 2024-04-28

Dynamic Marketing Solutions' job is to improve the client's business's online

Add more tables as necessary

Compliance Monitoring Sheet Version 1.0 Produced 13 June 2023

Date of Summary of Performance Possibilities of Non- Modification Required

a. Production targets met, Insufficient quality control Implement stricter QC

b. Decrease in productivity Lack of maintenance Establish regular

c. Efficient operations, no Minor safety violations Conduct refresher safety

Add more rows as necessary

Compliance Research Report Version 1.0 Produced 13 June 2023

Date of Summary of Performance Possibilities of Non- Modification Required

a. Operational efficiency Minor deviations in patrol For the reason of

b. Increased incidents of Lack of perimeter Enhancing the

c. Routine patrols Equipment malfunction Business will be able

Compliance Research Report Version 1.0 Produced 15 June 2023

to begin operations with a

Add more rows as necessary

COMPLIANCE RESEARCH REPORT

Compliance Research Report Version 1.0 Produced 15 June 2023

Operational Areas Evaluation

The production methods have been meticulously documented

Add more rows as necessary

Compliance Research Report Version 1.0 Produced 15 June 2023

Source of Legislative Information about

Government Mandates outlined Ensuring contracts Legal disputes

Regulation: Acceptable Record- Consequence:

Compliance Research Report Version 1.0 Produced 13 June 2023

 b. Law: Compliance Regulatory agency Compliance officers Relevant b. Regulatory Penalty:

Regulation: Acceptable Record- Consequence:

Add more rows as necessary

Compliance Research Report Version 1.0 Produced 13 June 2023

Source of Legislative Information about

Compliance Research Report Version 1.0 Produced 13 June 2023

processes Mechanisms: regulatory accidents leading

Add more rows as necessary

Compliance Research Report Version 1.0 Produced 13 June 2023

Business Licence Source of Information

Add more rows as necessary

Occupational Licence Source of Information

State licensing board website Industry trade associations

Add more rows as necessary

Specialist to Consult Patent attorney- Guidance on patent registration process and

Add more tables as necessary

Compliance Monitoring Sheet Version 1.0 Produced 13 June 2023

END OF COMPLIANCE RESEARCH REPORT

LEGAL RISK MANAGEMENT PLAN

Legal Risk Management

Legal Risk Compliance with Employment Laws

Fines or penalties for non-compliance

Compliance Monitoring Sheet Version 1.0 Produced 13 June 2023

 Conduct annual reviews of employment policies and procedures.

 Legal counsel or consultant specializing in employment law

Add more tables as necessary

Legal Risk Data Protection and Privacy Compliance