PROJECT – C
Learner assessment guide and evidence
This assessment requires you to create a business compliance system for one area of business operations through researching information required, establishing the compliance system and monitoring it.
You are required to do the following.
• Complete Tasks 1, 2, 3 and 4.
• You are to provide answers to each of the questions in a separate document using MS Word or similar word processing tools. Your document should be professionally formatted with question retyped and answered,
• You must answer all questions satisfactorily to achieve competency in the unit.
Task 1: Research business compliance requirements
Question and answer
Q1: You’re the manager of a new travel, tourism, and hospitality or events business. Describe the nature of your business and its operations. (Describe 5 scenarios)
Some of scenarios you could use as the basis for your project include the following.
The manager of a tour company that specialises in walking nature tours in the local area.
The manager of a licensed bar in a hotel that is open to hotel guests only.
An events manager for a hotel that provides conference facilities to groups of 20 to 100 participants.
The manager of a travel company that sells state-wide bus transportation and accommodation.
A restaurant manager who is responsible for food and beverage staff only (separate to the role of bar manager, financial manager or head chef).
Upon the moment of requesting a hosting service, some of the requirements and needs arise, as well as peacefulness and good service, the need for personalized attention. However, the services are not as personalized or exclusive as those provided in KEMPINSKY HOTEL. This city has become in recent years an attractive city, in terms of tourism and work, both in nationals and foreigners, however, at the moment there is not a hotel with an infrastructure that this according to the requirements or services in other parts of the city where the attention and services of the site play an important role like ours. Our idea is this market form opening an exclusive KEMPINSKY HOTEL in the history centre of the city which we intend to satisfy a current need of the city, improve competitiveness in the sector and boost the economy taking advantage of the great market opportunity in the hospitality sector. The type of hotel that we have has its origin in Europe, is luxurious, nonconventional environments and built in old houses in historical places of the citadel. The big chains are differentiated to offer a level of accommodation, services and facilities, exceptional and personalized. They are usually smaller than conventional hotels, from 3 to 30 rooms. These types of hotels are very attractive for corporate travellers, young and old couples, groups of friends or people of any type or age who seek privacy and comfort, people who give great importance to features such as exclusivity, luxury, excellent service and personalized attention
Q2: You’re responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements. Which area of business operations would you like to start with? (List minimum 3 examples)
KEMPINSKY HOTEL, firmly believes in the prevention of risks and the positive results it has on the health of workers and the efficiency of operations. For this reason, it will support the following principles:
Compliance with all legal regulations in force in the country on Occupational Risk Prevention.
Protect and maintain the physical and mental health of all employees, providing safe and hygienic conditions in order to avoid work accidents and occupational diseases.
Implement and monitor compliance with safety regulations and use of personal protection elements, as an essential part of any work to prevent the occurrence of work accidents or the potential of a risk.
Responsibility of all levels of Management for providing a safe and healthy work environment, through appropriate equipment, procedures and programs.
Facilitate the means to promote and execute the different occupational health and safety activities and ensure that they are also an active part of the daily tasks that each of the staff performs.
Q3: Which of the regulatory requirements listed do you need to research for the area of operations you chose in question 2? Tick/list them. (Individual response required based on chosen operation)
Anti-discrimination (including EEO and harassment)
ACL (including refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts)
Contracts
Employer superannuation contributions
Environmental protection (including hazard identification, minimal impact practices and incident reporting)
Fair Work Act 2009 (including NES)
Local community protection (including land management, land access and protecting neighbours’ lifestyles)
Taxation
Workplace/industrial relations
Insurances (including public liability and workers’ compensation which also includes injury reporting and occupational rehabilitation)
WHS
Workers’ compensation especially injury reporting and occupational rehabilitation
Criminal Code Act 1995 – child sex offences outside Australia
European Package Travel Directive
Food safety and Food Standards Australia New Zealand Act 1991
Liquor licensing and RSA
Responsible conduct of gaming
Queensland Tourism Services Act 2003
Residential Tenancies Act 1997
Travel agents licensing
Q4: Consult with regulatory authorities and evaluate your area of business operations to determine the scope of compliance requirements. List the local, state, territory and commonwealth government laws, codes, standards or licensing requirements you need to comply with and the consequences of non-compliance for you as the manager and for the business as a whole. (List minimum 6)
Task 1.1 Communicate with regulatory authorities
• Communicate with regulatory authorities to acquire any necessary forms and complete them so they’re ready for submission.
• Submit the completed forms with this Task
Question and answer
Q1: List all the sources you accessed and authorities you contacted to gather regulatory information specific to your area of business operations.
https://qha.org.au/wp
https://www.cciq.com.au
https://www.business.qld.gov.au/
Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave.
I will be required to understand what I will have to comply with a gaming license, I contacted Miller Harris lawyers https://www.millerharris.com.au/our-services/business-legal-services/hospitality-tourism-and-gaming/
The above lawyers confirm that:
No person, other than a person permitted under the Act, is to touch an internal part of a gaming machine.
A gaming machine may be reserved by a person without play for a maximum period of 3 minutes.
A person under the age of 18 years must not play a gaming machine.
A gaming employee may determine that 1 gaming machine only may be played by a person at the same time.
A gaming employee must refuse to pay a cancelled credit or jackpot if he or she believes on reasonable grounds that:
-the gaming machine credits were not accumulated, or the winning combination was not obtained, during permitted hours of gaming under section 235 of the Act; or
-the person claiming the cancelled credit or jackpot payout is not the person entitled to the payment or a person acting on behalf of that person; or
-the Act has been contravened by the person claiming the cancelled credit or jackpot payout.
Task 2: Establish a business compliance system
• Based on your research in Task 1, develop the necessary regulatory policies and procedures and document them in a format that workers can access and understand.
• Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference.
• Remember to include the following as they relate to your business and area of compliance.
Staff roles and responsibilities for regulatory compliance including:
• any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
• how to adhere to mandatory codes of conduct enshrined in legislation
• rights and responsibilities of employees and employers
• other specific actions that must be taken for legal compliance.
Key practices prohibited by law.
Auditing and inspection regimes.
Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.
Requirements for record keeping and acceptable record keeping mechanisms.
Statutory reporting requirements for businesses.
Submit the documented policies and procedures to your assessor.
Question and answer
Q1: Describe how you intend to get updated information on laws and licensing requirements (List 3 examples)
From the web pages and applications; checking periodically in the news sections; also attending to seminars and congress about the industry o I can get in touch with the new laws.
Q2: Describe how and at what times you are going to distribute the policies, procedures, information updates and associated legal information to personnel. (List 6 examples)
At the moment when it is possible, via E-mail, in the bulletin board, updating the workers manual, conducting a staff meeting were the new policies will be introduced.
Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance? (List 3 examples)
Through a Q&A, and a test on the subject, also by overseeing is they are using the new policies.
Q4: How is a compliance policy used to manage regulatory compliance?
A policy-procedure manual provides staff with the information to act decisively, consistently, and legally. It also promotes confidence and professional conduct among staff, it also gives the steps to comply with relevant laws, policies, and regulations
Q5: What insurances will you need to purchase to minimise risk to the business? (List 3 examples)
a. Workers’ compensation,
b. Third party personal injury insurance
c. Personal or loss of income insurance
d. permanent disability insurance
e. Public liability insurance
f. Income protection or disability insurance,
g. Life insurance, Total and, Trauma insurance
Task 3: Monitor the compliance system
Question and answer
Q1: What system will you use to maintain business and occupational licences? (List 2 examples)
Through having a master list of all renewal dates. In addition to having the renewal dates, with the information and costs needed to obtain the renewal.
Q2: How will you check contractor compliance? (List 2 examples)
-Employee training in contractor safety procedures
-Verify evidence of accident and injury reporting and management processes
-Evaluate the contractors Risk Assessment Process and Safe Work Method Statements
Q3: Evaluate your area of business operation over a period of time. List any non-compliance you identified and describe how you implemented modifications to comply in each case. If you created a fictitious scenario for this assessment task, create an area of non-compliance on which to base your response to this question. For example, if you developed a policy for inducting new employees on correct handling of confidential files, you might describe a non-compliance such as employees sharing login details to the customer database
Some employees have sold liquor to minors, the mistake occurs because the employees did not ask for an identification and assumed the age of the client, that is a violation of the law, to ensure that it does not happen again a warning is made and the employees are trained so that they always request the identification of every client, also coordinates with police agencies to dictate a course in recognition of false identifications.
Q4: Describe any opportunities you identified to maintain knowledge of current regulatory requirements. What new information did you learn in each case? If you used a fictitious scenario for this assessment activity, describe the type of opportunities you would look for to maintain currency of knowledge. (List minimum 5 examples)
By attendance of industry seminars, also reviewing via web in the pages of the regulatory commissions, schedule a day of the month to catch up with the new laws, also talking to other people in the sector.
Q5: How did you, or would you, communicate the updated regulatory information in question 4 to others? (List 7 examples)
Determine the best way to measure the understanding of the new policies and procedures
-Determine the best format of policies for your different audiences.
-Make Policies and Procedures easily accessible to the employees.
-Meeting with staff supervisors to ensure the policies and procedures being created are feasible for individual departments.
-Setting deadlines for each policy and procedure to be acknowledged.
Task 3.1 Revise your policies
• Review and change two of the policies or procedures you wrote in Task 2 in light of the updated information so that they comply with the most current laws and licensing requirements.
• Highlight the changes.
• Submit the revised documents to your assessor.
Task 4: Portfolio of evidence
Q1: In tasks 1 to 3, you researched and documented policies and procedures for one area of business compliance. In this task, you must access and interpret regulatory information for an additional five areas of compliance.
Use table provided below as a sample to record your answers and submit to your assessor.
Area of compliance Relevant industry, legislative or regulatory requirements Relevant sources of information Policies and procedures required
Privacy Privacy Act
National Privacy Principles www.oaic.gov.au Privacy policy
Anti-Discrimination
Racial Discrimination ActSex Discrimination Act
Workplace Gender Equality Act www.wgea.gov.au
www.adcq.qld.gov.au
www.humanrights.gov.au
Equal Employment Opportunity PolicyConsumer protection
Australian Consumer LawThe federal Competition and Consumer Act www.nt.gov.au
www.fairtrading.nsw.gov.au
www.commerce.wa.gov.au
Consumer policy
Taxation Income Tax Assessment Act
Goods and Services Tax Act
www.revenue.act.gov.auwww.osr.nsw.gov.au
www.osr.qld.gov.au
Taxation policyEnvironmental protection Environment Protection and Biodiversity Conservation Act www.environment.nsw.gov.au
www.environment.act.gov.au
www.ntepa.nt.gov.au
Environment policy
Workplace relations Fair Work Act www.fairwork.gov.au
www.industrialrelations.nsw.gov.au
Workplace policy.
Task 4.1 Document the required policies and procedures
• Document the required policies and procedures you identified in the table in question 1.
• Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference.
• Remember to include the following where they relate to your business and area of compliance.
Staff roles and responsibilities for regulatory compliance including:
• any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
• how to adhere to mandatory codes of conduct enshrined in legislation
• rights and responsibilities of employees and employers
• other specific actions that must be taken for legal compliance.
Key practices prohibited by law.
Auditing and inspection regimes.
Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.
Requirements for record keeping and acceptable record keeping mechanisms.
Statutory reporting requirements for businesses.
• Submit your completed policies and procedures for each of the five areas of compliance to your assessor.
Key legislation
Competition and Consumer Act 2010
Australian Consumer Law (ACL)
National trade measurement legislation
State liquor licensing
State restricted trading days.
-Food Standards Code
Australia New Zealand Food Standards Code are legislative instruments under the Legislation Act 2003
-Franchising code of conduct
franchising code 1 January 2015
-Licences & permits
preparing and/or selling food
selling and/or consumption of alcohol
erecting/displaying signage
restricted trading days
outdoor dining
playing video/sound recordings
disposal of waste.
-Employment
-Finance & tax
Goods and Services Tax (GST)
Tax concessions
The ATOs record keeping information and advice
Tax for general taxation information
Finance for details on how to manage your finances.
-Levies & charges
-Grants
-Workplace Health & Safety (WHS)
Occupational noise management
Standards for protective clothing and equipment
Standards for occupational safety signage
National standard for manual handling
Prevention of burns from hot liquids, surfaces or steam
Prevention and response to workplace bullying
Prevention of workplace violence
Electrical safety.
Work Health and Safety Act 2011
-Insurance
-Intellectual Property
-Industry training
-Environment
-Penalties for non-compliance
Compliance officers and Queensland police officers can issue you, your staff and patrons infringement notices for breaches of legislation related to the Liquor Act 1992 and Wine Industry Act 1994.
Failure to comply with the law can lead to enforcement action including one or more of the following:
on-the-spot fines
prosecution, which carries a maximum fine of $13,055
disciplinary action, ranging from fines to cancellation of the licence.