Application
This unit describes the performance outcomes, skills and knowledge required to comply with laws and licensing requirements for specific business operations. It requires the ability to access and interpret regulatory information, determine scope of compliance, and develop, implement and continuously review and update policies and practices for business compliance.
The unit applies to regulatory requirements for day-to-day business operations in all tourism, travel, hospitality and event sectors and to special requirements for one-off events.
It applies to senior personnel who operate independently or with limited guidance from others and who are responsible for making a range of operational business and regulatory compliance decisions.
No occupational licensing, certification or specific legislative requirements apply to this unit at the time of publication.
Elements and Performance Criteria
ELEMENTS | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Research information required for legal compliance. | 1.1.Identify sources of information for compliance with laws and licensing for business operations. 1.2.Evaluate areas of business operation and determine scope of compliance requirements. 1.3.Access regulatory information relevant to specific business operation. 1.4.Identify risks, penalties and consequences of non-compliance. 1.5.Assess and act on need for specialist legal advice. |
2. Develop and communicate policies and procedures for legal compliance. | 2.1.Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel. 2.2.Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. 2.3.Distribute policies, procedures and legal information to personnel at appropriate times. 2.4.Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. |
3. Ensure compliance with legal requirements. | 3.1.Communicate with regulatory authorities when planning business operations and submit required documentation. 3.2.Maintain business and occupational licences and check contractor compliance to avoid risk to business. 3.3.Continuously evaluate business operations for non-compliance and implement modifications. |
4. Maintain personal and organisational knowledge of regulatory requirements. | 4.1.Identify and use a range of opportunities to maintain knowledge of current regulatory requirements. 4.2.Use organisational communication methods to share updated regulatory knowledge. 4.3.Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements. |
Evidence of Performance
Evidence of the ability to complete tasks outlined in elements and performance criteria of this unit in the context of the job role, and:
access and interpret regulatory information and determine the scope of compliance for the operations of a specific tourism, travel, hospitality or events business in relation to at least six different areas of compliance
develop policies and procedures for legal compliance with each of the above areas of compliance
integrate into compliance planning activities and documentation:
sources of detailed information and advice on regulatory compliance
objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations
use of policies and procedures in managing regulatory compliance.
Evidence of Knowledge
Demonstrated knowledge required to complete the tasks outlined in elements and performance criteria of this unit:
legal responsibilities and liabilities of managers and directors in varying business structures
sources of information and advice on regulatory compliance:
local, state, territory or commonwealth government departments or regulatory agencies
industry associations
plain English documentation that explains the operational requirements of legislation
computer data
the internet
discussions with experienced industry personnel
industry:
accreditation operators
associations and organisations
developers of codes of conduct or ethics
journals
seminars
lawyers
networking with:
colleagues
suppliers
libraries
media
personal observations and experience
reference books
training courses
unions
functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries
methods of receiving updated information on laws and licensing requirements
use of policies and procedures in managing regulatory compliance
formats for and inclusions in policies and procedures
objectives and primary components of local, state, territory and commonwealth government laws to which all types of businesses must comply and that cover:
anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
contracts
employer superannuation contributions
environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents
Fair Work Act 2009, especially provisions for National Employment Standards (NES)
local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents
taxation
workplace relations
public liability and duty of care
work health and safety
workers’ compensation, especially provisions for injury reporting and occupational rehabilitation
objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators in the tourism, hospitality and event industries; chosen to be applicable to the individual’s context:
Copyright Act 1968
Criminal Code Act 1995 as it relates to child sex offences outside Australia
European Economic Directive of Foreign Travel
food safety
Food Standards Australia New Zealand Act 1991
liquor licensing, especially as it relates to the responsible service of alcohol
Privacy Act 1988
Queensland Tourism Services Act 2003
Residential Tenancy Act
responsible conduct of gaming regulation
for each relevant law, code, standard and licensing requirement, the depth of knowledge must cover:
key practices that are prohibited by the law
auditing and inspection regimes
main consequences of non-compliance
need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements
requirements for record keeping and acceptable record keeping mechanisms
statutory reporting requirements for businesses
key business insurances required
adherence to mandatory codes of conduct enshrined in legislation
requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
rights and responsibilities of employees and employers
other specific action that must be taken for legal compliance
opportunities to maintain knowledge of regulatory requirements:
discussions with experienced industry personnel
networking with colleagues and/or suppliers
participating in industry accreditation schemes
participating in industry seminars
membership of professional industry associations
participating in training courses
subscribing to regulatory newsletters.
Assessment Conditions
Skills must be demonstrated in an operational tourism, travel, hospitality or events business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented. This can be:
an industry workplace
a simulated industry environment.
Assessment must ensure access to:
computers, software programs, printers and communication technology used to administer regulatory requirements
current legislation
current plain English regulatory documents distributed by government regulators
codes of practice and standards issued by regulatory authorities
regulatory information and business management manuals issued by industry associations or commercial publishers
current commercial policies and procedures used to manage regulatory issues
sources of specialist legal advice:
compliance consultants
industry associations
lawyers
local, state, territory or commonwealth government departments or regulatory agencies.
Assessors must satisfy the Standards for Registered Training Organisations’ requirements for assessors.
Foundation Skills
Foundation skills essential to performance in this unit, but not explicit in the performance criteria are listed here, along with a brief context statement. | |
SKILLS | DESCRIPTION |
Reading skills to: | interpret unfamiliar and complex materials describing regulatory requirements research regulatory requirements specifically applicable to the business operation. |
Writing skills to: | write comprehensive yet easily accessible regulatory policies and procedures complete complex documentation required by regulatory authorities. |
Oral communication skills to: | consult with regulatory authorities to determine the scope of compliance requirements. |
Problem-solving skills to: | evaluate areas of business operation and determine scope of compliance. |
Planning and organising skills to: | research, establish and regularly monitor all components of a business compliance system. |
Sectors
Cross-Sector
Competency Field
Governance and Legal Compliance