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SITXGLC001 Research and comply with regulatory requirements Learner guide Research and comply with regulatory requirements SITXGLC001 Disclaimer While every effort has been made to ensure that the information contained in this product is free from errors and omissions and is not misleading in any way, Didasko Digital makes no representations or warranties and is not liable for any loss or damage or injury of any kind (however caused) under any theory of law including negligence resulting from or in any way connected with the use of its products. Version number 2.0 Copyright 2016 © This product and the concepts, information and material contained in it are the copyright of Didasko Digital ACN 167 648 062 and may not be used or reproduced in whole or in part without the prior written consent of Didasko. All rights reserved. © 2016 Didasko Digital. All Rights Reserved. Contents Overview ................................................................................................................. 3 Section 1: Research information required for legal compliance ................................ 3 Section 2: Develop and communicate policies and procedures for legal compliance .............................................................................................................79 Section 3: Ensure compliance with legal requirements ...........................................87 Section 4: Maintain personal and organisational knowledge of regulatory requirements ...........................................................................................................97 Glossary ............................................................................................................... 105 Please note the following condition This Didasko learning resource should be used as a training tool for students and trainers. While the information contained within addresses the elements and performance criteria, and the knowledge and performance evidence of individual competencies it remains the responsibility of the training organisation to ensure it meets training framework requirements and to provide additional documentation where necessary. This page has been intentionally left blank. SITXGLC001 Research and comply with regulatory requirements 2016 Edition 3 Overview There are regulatory requirements for nearly everything you do in the tourism, travel, hospitality and event industries: processing payments, protecting customers, preparing meals, employing staff, advertising products and services, paying super, wages and taxes. The list goes on and on and on. How do you comply with the laws? Do you have to be a lawyer? No. But you do need to have a detailed understanding of laws that all businesses must follow as well as licensing which is specific to your establishment. This means doing some research! Ignorance is no excuse. You must be responsible and keep up to date with your business’s legal requirements. If you don’t, you could end up in jail! Nobody wants that to happen. Let’s look at what you will learn on completion of this unit. Section 1: Research information required for legal compliance Section 2: Develop and communicate policies and procedures for legal compliance Section 3: Ensure compliance with legal requirements Section 4: Maintain personal and organisational knowledge of regulatory requirements Section 1: Research information required for legal compliance In this section you will learn the following. • How to identify sources of information for compliance. • How to determine scope of business compliance requirements. • How to access regulatory information. • How to identify risks, penalties and consequences of non-compliance. • How to assess and act on need for specialist legal advice. 1 SITXGLC001 Research and comply with regulatory requirements 2016 Edition 4 Research and comply with regulatory requirements… Or else! Click on the icon to find out what happened to the manager who didn’t comply. James started out quite happy with his new position as a senior manager of Silvers, a trendy five-star hotel. Unfortunately, he didn’t know very much about complying with the law (and thought it was a boring waste of time, frankly). He much preferred socialising in the cocktail bar and delegating compliance to others. Even more unfortunately, he didn’t ensure his staff were trained properly in compliance either. One of them served alcohol to a minor who then crashed her car driving over the limit and was very lucky to survive. James lost his job, was fined $11,000 and sentenced to 12 months in jail. Don’t let this happen to you. Do your research. Comply with the law. Meet the new (organised!) manager Managing business compliance is certainly not a responsibility you’d delegate without careful consideration. Senior personnel and operational managers are usually the most qualified to ensure compliance because they have the following qualities. • Thorough understanding of business operations • Knowledge of the laws and licensing requirements • The ability to communicate responsibilities clearly to others • Planning and organisational skills Watch the video and meet the new, more organised manager of Silvers Hotel. Hi I’m Gary, and I’ll be joining you on your journey through this unit. It looks like James has left the hotel in a bit of a mess so I’m here to pick up the pieces. Compliance means more than just making sure internal systems are working. There are also regulatory requirements that every organisation needs to follow. Silvers is a huge hotel with several different departments: accommodation, licensed bar, restaurant, gaming machines, tour information desk, shuttle services, swimming pool and an outdoor marquee for holding one-off events. Getting our business compliance system in order requires planning and organisation. I’ve broken it down into three stages to make it easier. SITXGLC001 Research and comply with regulatory requirements 2016 Edition 5 Stage 1: Research your business requirements Stage 2: Establish your business compliance system Stage 3: Monitor your business compliance system These three stages will be covered in this unit. In a nutshell If you summed up the three stages this unit covers, you could say that first you do your research, then you establish your compliance system and once it’s up and running, you set up a monitoring system to keep it high quality. STAGE 1: RESEARCH THE REQUIREMENTS You can use your own observations, past experience, training, etc. to get information about laws and licensing for business operations. However, every workplace is different. You may need to consult your union or other outside sources to help you comply with regulatory requirements. Click on the pictures to learn where you can get the information you need. Internet You can use the Internet in many ways. • Read about industry changes. • Follow legal discussions. • Obtain online advice. • Order resources and reference material. • Access information from lawyers, libraries, industry associations, business compliance experts, state and federal government departments, etc. Be careful! It’s risky to rely solely on the Internet. Use a combination of resources to ensure that you tap into all areas related to business compliance. Professional networks Develop your professional networks and promote discussions with others. • Business associates • Experienced industry experts • Professional and industry associations • Colleagues • Suppliers • Contractors SITXGLC001 Research and comply with regulatory requirements 2016 Edition 6 Reference books • Obtain these from industry experts, government departments, libraries, industry associations and suppliers. • Keep them in your work area or office. • Refer to them when revising policies and procedures that could impact on business compliance. • Ensure your reference material is the most current version available. • Never use old sources of information when making important decisions about your business operations. Media The media includes magazines, television, radio and newspapers. • Learn about government proposals to change legislation. • Listen to discussions from industry experts on legislation, regulations and licensing requirements which impact owners and managers. • Learn valuable lessons by reading or listening to