Q30: Explain four ways a travel agent could support the
Criminal Code Act 1995.

Q31: What maximum fine could a corporate body face if found complicit with sexual offences against children?

Q32: Do you need a licence to be a travel agent? Yes/no

Q33: What are two objectives of the Queensland Tourism Services Act?

Q34: Does the
Residential Tenancies Act 1997
apply to hotels, motels or temporary mobile homes? Yes/no

Q35: List two minimum standards the European Package Travel Directive lays out to protect customers.

SECTION 2: develop and communicate policies and procedures for legal compliance

Q1: Whose legal responsibility is it to ensure all staff have the knowledge and skills needed to carry out their duties in compliance with the law

Q2: Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy.

Q3: You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law.

Q4: Name two places you can keep policies and procedures so they’re accessible to all staff.

Q5: Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance.

Q6: Who should you distribute policies, procedures and legal information to?

Q7: Describe six ways you could distribute, communicate and share policies, procedures, legal information and updates in an organised way so staffs know their roles and responsibilities regarding compliance.

SECTION 3: ensure compliance with legal requirements

Q1: You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first.

Q2: A staff member is about to have a meeting with a representative of the WHS authority to determine the scope of compliance requirements for the new restaurant. Provide them with seven communication tips.

Q3: List four ways to monitor and continually evaluate your business compliance system.

Q4: What are the three components of risk management?

Q5: What is a risk assessment used to measure?

Q6: Read the following two scenarios. Describe any potential breaches of legislation you identify. An employee continues to serve alcoholic drinks to an intoxicated customer who is playing pokies in an establishment. A manager advertises a vacant position for a female receptionist.

Q7: Choose one of the breaches from Q6. Describe step-by-step how you’d implement modifications to your business compliance plan with your team to ensure compliance.

SECTION 4: maintain personal and organisational knowledge of regulatory requirements

Q1: Identify four methods you can use or opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements.

Q2: List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements?

Q3: Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?

SITXGLC001 - Research And Comply To Regulatory Requirements

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)

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)

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.

Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave.

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.

ð 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.

ð Key practices prohibited by law.

ð Auditing and inspection regimes.

ð Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.

ð Requirements for record keeping and acceptable record keeping mechanisms.

ð Statutory reporting requirements for businesses.

ð 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)

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)

Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance? (List 3 examples)

Q4: How is a compliance policy used to manage regulatory compliance?

Q5: What insurances will you need to purchase to minimise risk to the business? (List 3 examples)

Task 3: Monitor the compliance system

Question and answer

Q1: What system will you use to maintain business and occupational licences? (List 2 examples)

Q2: How will you check contractor compliance? (List 2 examples)

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.

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)

Q5: How did you, or would you, communicate the updated regulatory information in question 4 to others? (List 7 examples)

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.

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.

ð 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.

ð Key practices prohibited by law.

ð Auditing and inspection regimes.

ð Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.

ð Requirements for record keeping and acceptable record keeping mechanisms.

ð Statutory reporting requirements for businesses.

· Submit your completed policies and procedures for each of the five areas of compliance to your assessor.

Assessor checklist

To be completed by the assessor.

Did the learner successfully demonstrate evidence of their ability to do the following?

Completed

Demonstrated the legal knowledge required to take responsibility for regulatory compliance. (In-depth knowledge requirements specified in knowledge evidence.)