Manage legal requirements for business compliance

Manage legal requirements for business compliance
D1.HML.CL10.05 D1.HRM.CL9.14 D2.TRM.CL9.07

Subject elements This unit comprises three Elements:
Research the legal information required for business compliance Ensure compliance with legal requirements Update legal knowledge Trainer advises this Unit comprises three Elements, as listed on the slide explaining: • Each Element comprises a number of Performance Criteria which will be identified throughout the class and explained in detail • Trainees can obtain more detail from their Trainee Manual • At times the course presents advice and information about various protocols but where their workplace requirements differ to what is presented, the workplace practices and standards, as well as policies and procedures must be observed.

Assessment Assessment for this unit may include: Oral questions
Written questions Work projects Workplace observation of practical skills Practical exercises Formal report from supervisor Trainer advises that assessment for this Unit may take several forms all of which are aimed at verifying they have achieved competency for the Unit as required. Trainer indicates the methods of assessment that will be applied to them for this Unit.

Element 1: Research the legal information required for business compliance
Introduce topic. Class Activity – General Discussion Ask general questions: Why is it important to research legal compliance? What legal requirements impact on a tourism business?

Research the legal information required for business compliance
Performance Criteria for this Element are: Identify sources of legal information and advice correctly Access, select and analyse information for relevance to the business Record and distribute information appropriately Trainer identifies the Performance Criteria for this Element, as listed on the slide.

Note The notes in this Learner Guide do not constitute professional legal advice and are provided as an overview of legal compliance requirements Given that the ASEAN community is made up of 10 different countries, all with their own specific laws and regulations, the common principles of law and legal compliance will be discussed Discussion Identify the importance that these notes do not provide specific legal advice but looks at general legal principles.

Note There are many, many pieces of legislation, licences, permits and fees that will apply They will differ from country to country and to different types of tourism and travel related businesses Discussion Identify the importance that these notes do not provide specific legal advice but looks at general legal principles. Explain differences of requirements in different ASEAN countries

Tourism definitions Definition of a tourism industry, operator and tourist What is the definition of: Tourism industry Operator Tourist Discussion The “tourist industry” means the industry which provides or gives services in return for remuneration, in connection with tourism within and outside the country. A “tourist industry operator” means a person who is engaging in tourist industry. A “tourist” means any person who freely travels from his normal place of residence to other place for temporary period with the objective other than to carry on his occupation or to earn income.

Tourism law Definition of a tourism law
A body of rules or principles of action which deals with the regulation, authority, relations and obedience among members of a society involved in tourist travel and accommodation Discussion What are examples of ‘tourism law’?

Tourism law Types of 'laws’
What are the different types of laws that affect a tourism industry and businesses? Which are legally binding? Which are non-legally binding? Discussion Discuss the questions in the slide

Tourism law Common legal terminology Law Legislation Common law
Act of Parliament Regulations Codes of Practice Ethical requirements Civil and criminal law Discussion Discuss the legal terms in the slide Provide examples

Legal information Sources of legal information Internet
Industry or employer associations Government agencies Reference books Media Industry journals Discussion & Activity Discuss different sources of legal information Provide examples and links to different sources of legal information Complete Activity

Legal information Sources of legal information Customers and suppliers
Legal experts Informal/formal research Legal glossaries ‘Frequently Asked Questions Register online COMPLETE ACTIVITIES 1&2 Discussion & Activity Discuss different sources of legal information Provide examples and links to different sources of legal information Complete Activity

Determining impact of laws
Steps in determining how regulations apply to the business Reading and examining regulations Taking training courses Contacting the appropriate authority Meeting with local officials Discussion Discuss these steps Identify the steps that may apply in your country

Determining impact of laws
Contacting authorities Visiting their website ing or telephoning contacts Visiting the office of the authority in person Checking their online FAQ section COMPLETE ACTIVITY 3 Discussion & Activity Discuss how to identify and contact authorities Complete Activity

Access, select and analyse information
Importance of implementing legislation It is essential you apply all regulations and legislation applicable to you to the business you are operating. This means it is not sufficient to merely obtain them, read them and understand them. You must implement their mandated requirements. Discussion Discuss importance of implementing legislation What happens if you don’t implement legislation?

Determining relevance of legal requirements The type of business you intend operation within the tourism industry Where it is to be physically located The products and services to be sold Your immediate need Possible future need or intentions Discussion What other factors influence the relevance of legal requirements?

Determining relevance of legal requirements Your workplace role and responsibilities. Potential problems, charges or offence you may be facing The changing nature of the tourism industry COMPLETE ACTIVITY 4 Discussion & Activity What other factors influence the relevance of legal requirements? Complete Activity

Areas of legislation General areas to which legal requirements apply
Business establishment Business operation Licensing Consumer protection and trade practices Duty of Care Fair trading legislation Food Liquor Discussion & identify legal requirements for each business area What are examples of legal requirements apply that apply to each business area? Identify pieces of legal information or rules that apply.

Tobacco Gaming Employment relations Employment of foreign workers Superannuation / Pension Funds Contributory Negligence Personal Injuries legislation Discussion & identify legal requirements for each business area What are examples of legal requirements apply that apply to each business area? Identify pieces of legal information or rules that apply.

Contracts Income & company taxation Goods and Services taxation Financial recording and management Anti-corruption Copyright Discussion & identify legal requirements for each business area What are examples of legal requirements apply that apply to each business area? Identify pieces of legal information or rules that apply.

Occupational health and safety (OHS) Fire Safety Environmental legislation Insurance requirements Discussion & identify legal requirements for each business area What are examples of legal requirements apply that apply to each business area? Identify pieces of legal information or rules that apply.

Areas of legislation Subsidiary legislation
Normally support or established under primary legislation Regulations Rules Notifications Amendments Discussion What is the importance of subsidiary legislation? What are examples of subsidiary legislation?

Areas of legislation Currency of legislation
Legislation changes over time Existing Acts and subsidiary legislation may be revoked, or amended New legislation may be introduced Always make sure the legislation you are reading is current Discussion Provide examples for each of these points. Identify examples of where legislation has changed

Business establishment
Legal requirements when starting a business Registering a company Business structure License and permits Owner’s responsibilities after registration COMPLETE ACTIVITIES 5,6,7,8 Discussion & Activity Discuss legal requirements when starting a business Complete Activity

Consumer protection and trade practices
Objectives of consumer protection Consumer protection laws deal with laws that have been developed to regulate the marketplace, in particular the commercial dealings between consumers and sellers or manufacturers Discussion What is consumer protection? What is trade practices? What are examples of consumer protection laws? Why are they important?

Objectives of consumer protection The major objective of consumer protection law is to strengthen the position of the buyer in the marketplace in everyday transactions for goods and services Caveat emptor - 'let the buyer beware’ COMPLETE ACTIVITY 9 Discussion & Activity Discuss concept of ‘Caveat emptor’ Complete Activity

Key consumer legislation Goods Act Fair Trading Act Trade Practices Act Unconscionable Conduct Discussion & Research Acts Discuss the purpose of these Acts Research and provide examples of these Acts, as they apply in your country

Duty of Care Principle of ‘Duty of Care’
Legislation notwithstanding, employers owe a common law ‘duty of care’ to their employees and to customers: Require a business to take reasonable care to ensure that ‘foreseeable harm’ does not occur to people COMPLETE ACTIVITY 10 Discussion & Activity Discuss principle of ‘Duty of Care Complete Activity

Food Areas of food legislation Sale of Food Food Regulations
Food Handling Food Storage Food Hygiene Food transportation COMPLETE ACTIVITY 11 Discussion & Activity Discuss areas of food legislation Provide examples of food legislation, especially for the points in this slide Complete Activity

Liquor Objectives of liquor legislation
To contribute to minimising harm arising from the misuse and abuse of alcohol To facilitate the development of a diversity of licensed facilities reflecting community expectations To contribute to the responsible development of the liquor and licensed tourism industries Discussion What are examples of liquor legislation that applies in your country?

Liquor Liquor legislation requirements
Obtaining a license to handle, sell or serve liquor Licensing hours Types of liquor to be sold Location to serve alcohol Responsible service of alcohol Handling intoxicated patrons Restrictions on who may be employed COMPLETE ACTIVITY 12 Discussion & Activity Discuss liquor legislation requirements Complete Activity

Tobacco Tobacco legislation requirements
Every country will have specific tobacco related laws relating to: The sale of tobacco Advertising and promotion tobacco products Restrictions on who tobacco can be sold to Rules regarding location and conditions of tobacco usage on the premises and in public areas. COMPLETE ACTIVITY 13 Discussion & Activity Discuss tobacco legislation requirements Complete Activity

Gaming Gaming legislation requirements
Regulation which regulate the use of restricted areas and cover issues such as: Location of gaming machines Supervision of gaming areas Entry and behaviour of patrons Consumption of food Provision of entertainment COMPLETE ACTIVITY 14 Discussion & Activity Discuss gaming legislation requirements Complete Activity

Employment relations Definition of employment relations
Includes all facets of the relationship between the employer and the employee: Terms and conditions of employment Employee benefits Workplace health and safety issues Enterprise bargaining Remuneration Employer/employee rights and responsibilities Discussion & provide examples of legislation What authorities govern employment relations in your country Obtain a copy of relevant legislation from those authorities Provide examples of legal compliance for each of these employment relations points

Employment relations Employment contracts
There exists between every employer and employee a contract of employment that: Establishes contractual rights and obligations of the parties Defines the nature of the employment relationship Review employment contracts What information needs to be included in an employment contract? What are the legal minimum requirements?

Employment relations Definition of employee What is an employee?
What classifications of ‘employees’ are there? What is the difference between an ‘employee’ and a ‘contractor’? What are the rights of employees? COMPLETE ACTIVITY 15 Discussion & Activity Discuss the questions in the slide Complete Activity

Employment regulatory requirements
Foreign manpower Passes and visas Applications for foreign worker permits Rights of foreign workers Conditions of employment of foreign workers Accommodation and living requirements Use of employment agencies Tax deductions COMPLETE ACTIVITY 16 Discussion & Activity Discuss points, providing examples of employment of foreign workers Use examples from employees from different ASEAN countries Complete Activity

Employment regulatory requirements
Employment practices Employment rights and conditions Part time employment Employment related services Fair employment Work Life Harmony Medical benefits Trade unions International labour relations Workplace diversity management COMPLETE ACTIVITY 17 Discussion & Activity Discuss employment practices Complete Activity

Employment agreements
Minimum requirements for agreements Pay Hours of work Annual leave Personal leave Unpaid parental leave What are minimum requirements in your country? Discussion & Outline minimum requirements Discuss minimum requirements for each of these points of an agreement

Employment agreements
Types of employment agreements Awards Formal or informal agreements Workplace Agreements Certified agreements What is the difference between each type of agreement? COMPLETE ACTIVITY 18 Discussion & Activity Discuss different types of employment agreements Discuss the questions in the slide Complete Activity

Equal employment opportunity
Types of laws Human Rights and Equal Opportunity Affirmative Action (Equal Employment Opportunity for Women) Racial Discrimination Sex Discrimination Disability Discrimination Equal Opportunity Act COMPLETE ACTIVITY 19 Discussion & Activity Discuss different types of EEO laws Complete Activity

Discrimination Definition of Discrimination
Within the context of the legislation, discrimination means treating someone unfairly because of the characteristics: What are characteristics people may be discriminated for? Discussion Discuss the questions in the slide

Discrimination Characteristics of discrimination Age Impairment
Industrial activity Lawful sexual activity Marital status Physical features Political belief or activity Discussion Discuss the characteristics, providing examples and personal experiences / stories

Discrimination Characteristics of discrimination Pregnancy Race
Religious belief or activity Sex Parental status or status as a carer Personal association Discussion Discuss the characteristics, providing examples and personal experiences / stories

Discrimination Anti-discrimination legislation prohibits discrimination in all aspects of employment, including: Recruitment and selection Terms and conditions of employment Training and development Promotion and transfer Termination Discussion & review anti-discrimination legislation Discuss types of anti-discrimination legislation Review pieces of anti-discrimination legislation

Discrimination ‘Harsh, unjust or unreasonable’ considerations
Many instances where an employee is not dismissed in accordance with the law What are examples? COMPLETE ACTIVITY 20 Discussion & Activity Discuss the questions in the slide Complete Activity

Sexual harassment Definition of sexual harassment
Sexual harassment is an unwelcome sexual advance or request for sexual favours or unwanted conduct of a sexual nature. It is NOT mutual attraction between people: What sorts of behaviour constitute sexual harassment? What are employer responsibilities? COMPLETE ACTIVITY 21 Discussion & Activity Discuss the questions in the slide Complete Activity

Superannuation / Pension Funds
Superannuation is a form of pension that is paid upon retirement to a worker who has contributed during their working life to a superannuation scheme COMPLETE ACTIVITY 22 Discussion & Activity Discuss types of superannuation / Pension Funds What are the obligations and requirements of both employers and employees in your country Complete Activity

Contracts Definition of a contract
Defined as ‘a legally enforceable agreement’ When you provide a tourism product or service in exchange for money you are entering into a contractual relationship A contract arises when two or more parties agree to do something in exchange for something else Discussion What are types of ‘contracts’ that takes place in a tourism organisation? When are the ‘binding’?

Contracts The essential elements of a contract
Intention to create legal relations Offer and acceptance Consideration or form Capacity to contract Reality of consent Legality of object Discussion Discuss the essential elements of a contract.

Contracts Terminating a contract How can a contract be terminated?
Are all terminations of contracts illegal? What are remedies available for illegal breach of contract? COMPLETE ACTIVITY 23 Discussion & Activity Discuss the questions in the slide Complete Activity

Tax Types of taxation Income tax Withholding tax
Goods and Services tax What other types of taxation does a business need to pay? COMPLETE ACTIVITY 24 Discussion & Activity Discuss the different types of tax that impact on a tourism business in your country. Complete Activity

Financial recording and management
Financial requirements In most countries the recording, maintenance and management of financial records will be governed by a range of legal requirements. What regulations apply in your country? COMPLETE ACTIVITY 25 Discussion & Activity Discuss the financial requirements that organisations must follow Discuss the questions in the slide Complete Activity

Anti-corruption Need for business transparency
Essentially individual pieces of legislation emphasise the need for transparency and accountability to combat corruption: Anti-corruption legislation Whistleblower legislation Discussion Discuss the business transparency initiatives that exist in your country

Copyright Copyright legislation
Operators in the tourism industry are frequently subject to certain aspects of the Copyright Act when they use or provide: Pictures Information Logos Videos Music COMPLETE ACTIVITY 26 Discussion & Activity Discuss the copyright legislation in your country Complete Activity

Occupational Health and Safety
Principles of Occupational Health and Safety (OHS) legislation To secure the health, safety and welfare of employees and others To eliminate risks to the health, safety or welfare To ensure that the health and safety of members of the public is not placed at risk To provide for the involvement when implementation of health, safety and welfare standards Discussion Discuss the principles of Occupational Health and Safety (OHS) legislation in your country

Areas of Occupational Health and Safety legislation WSH regulatory framework Safety and health management systems Monitoring and surveillance Programmes Work injury compensation Training Discussion Provide examples of Occupational Health and Safety (OHS) legislation for each of these areas

Areas of Occupational Health and Safety legislation Certification and registration General duties relating to health and safety Duties of employers to consult with employees Duties relating to incidents Incident reporting Discussion Provide examples of Occupational Health and Safety (OHS) legislation for each of these areas

Areas of Occupational Health and Safety legislation Requirements in relation to licences, registrations and permits Authorised representatives of registered employee organisations Inspectors and enforcement Legal proceedings Compliance codes Discussion Provide examples of Occupational Health and Safety (OHS) legislation for each of these areas

Areas of Occupational Health and Safety legislation What are the responsibilities of: Employers Employees Customers COMPLETE ACTIVITY 27 Discussion & Activity Discuss the questions in the slide Complete Activity

Environmental legislation
The primary role of legislation is to provide control and regulation over the specific areas of: Air Land Groundwater Noise Water Waste COMPLETE ACTIVITY 28 Discussion & Activity Discuss types of environmental legislation Complete Activity

Insurance Definition of ‘policy of insurance’
A legally enforceable agreement between two persons, being the insured and the insurer, under which the insurer agrees in return for a regular payment made by the insured, to indemnify the insured for any loss they may suffer on the happening of an event which may or may not occur Discussion Discuss importance of insurance? What types of insurance exists? What does insurance cover?

Insurance General principles of insurance Insurable interest
Utmost good faith Subrogation Indemnity Discussion Discuss importance of these principle of insurance?

Insurance Types of insurance Fire Liability Personal Property
COMPLETE ACTIVITY 29 Discussion & Activity Discuss types of insurance, including companies who provide insurance for each of these areas Complete Activity

Other legal requirements
WHAT ARE OTHER TYPES OF LEGAL REQUIREMENTS THAT APPLY TO A TOURISM BUSINESS? COMPLETE ACTIVITY 30 Discussion & Activity Discuss the question in the slide Identify, discuss and research other legal requirements that may affect a tourism business. Complete Activity

Share and distribute legal information
Importance of sharing information It is essential that once all the necessary legal information is collected and analysed, that it be collated into various documents for utilisation in a workplace Whilst it is essential that management of an organisation understand the legal requirements, it is just as important that staff understand their obligations in fulfilling these requirements Discussion Discuss importance of sharing information Describe how you do this in the workplace

Recording legal compliance information
Importance of sharing information Determine 'highly visible' documents Refer to previously prepared documents Involve all stakeholders Prepare a draft plan for each legal requirements Circulate it for comment and feedback Revise documents or legal information Circulate and communicate documents Discussion Discuss importance of sharing information Provide examples for each of these points

Recording legal compliance information
Contents of a legal compliance document List of legal requirements Actions to take Responsibilities for actions Timelines Resources COMPLETE ACTIVITY 31 Discussion & Activity Discuss contents of a legal compliance document Complete Activity

Strategies for legal compliance
Develop practical strategies to ensure legal compliance Information provision Resource provision Practical components Develop practical strategies to ensure legal compliance Provide examples of activities for each of these points

Information provision What information is needed? What formats can be used? How can information be provided? Who is the intended audience? What are examples of ‘information’ you would provide? Discussion Discuss the questions in the slide

Resource provision Money Time Documentation Training courses Physical resources Workplace infrastructure Develop practical strategies to ensure legal compliance Based on strategies identified in previous slide, identify: Examples of resources Activities that may be conducted Possible costs

Practical components Demonstrations of practice Opportunities for staff to practice Testing of competencies COMPLETE ACTIVITY 32 Discussion & Activity Discuss practical components Complete Activity

Communicating legal compliance information
It is essential that all stakeholders in an organisation are aware of: The legal requirements that an organisation must meet The role each stakeholder plays in ensuring legal compliance Discussion Discuss how can you ensure all stakeholders are aware of legal compliance.

Element 2: Ensure compliance with legal requirements
Introduce topic. Class Activity – General Discussion Ask general questions: How can you ensure compliance with legal requirements

Ensure compliance with legal requirements
Performance Criteria for this Element are: Assess the need for legal advice and seek assistance where appropriate Share information with appropriate work colleagues in a timely manner Organise information updates and training for colleagues and staff where appropriate Trainer identifies the Performance Criteria for this Element, as listed on the slide.

Ensure compliance with legal requirements
Performance Criteria for this Element are: Establish and monitor workplace systems and procedures to ensure compliance with legal requirements Identify aspects of operations which may infringe licensing laws and solicit advice on how to develop and implement modifications Trainer identifies the Performance Criteria for this Element, as listed on the slide.

Assess impact of legal requirements
Importance of legal compliance Compliance with legislated requirements, as we have seen, is not an optional matter for businesses and for staff Compliance is a legal requirement and severe penalties can be applied for breaches and continued non-compliance Discussion Why is it important to ensure compliance with legal requirements?

Assess impact of legal requirements
Steps associated with analysing impact of regulations on business Assessing the impact on trade Assessing the expense associated with compliance Talking to customers Determine your individual establishment response Provide feedback to government agencies Seeking legal advice Discussion Why is it important to ensure compliance with legal requirements?

Organise training in legal knowledge
Need for staff training It is the responsibility of all managers to ensure all staff are aware of their compliance obligations, and they are sufficiently trained to enable them to perform their work-related duties in full compliance of all relevant legislation Discussion What types of staff training can be conducted? What points would you cover in these training sessions?

Emphasis for staff training On-going training Ensure based as individual need dictates On-going supervision of staff On-going monitoring of staff performance Intervention to address non-compliance Discussion Discuss importance of these points. Discuss how you can meet these points.

Methods of staff training Induction and orientation In-house training External training Staff meetings Staff briefings Personal observation Written and practical testing Refresher training Discussion Discuss when you would use each of these methods of staff training.

Briefing clients Compliance requirements also apply, in some instances, to customers At times customers themselves play an active role in a tour and it is essential that any assistance provided, is done so in accordance with legal requirements COMPLETE ACTIVITY 33 Discussion & Activity Discuss how you can brief clients. Complete Activity

Develop systems and procedures
Ensure importance of systems and procedures to ensure legal compliance When a full and proper understanding of the legal compliance obligations facing the business have been obtained, the next step is to ensure these regulations are implemented and applied to the operation of the business: What systems and procedures need to be developed? Discussion Discuss the questions in the slide

Areas of workplace systems and procedures Recruitment, termination and other human resource management issues Training practices Approval processes and protocols for various work activities General work practices and work organisation approaches Review workplace systems and procedures Review workplace systems and procedures for each of these areas

Areas of workplace systems and procedures Workplace design Distribution of information within the enterprise Signage Occupational health, welfare and safety Review workplace systems and procedures Review workplace systems and procedures for each of these areas

Policies A policy is a statement of intent, principle or direction regarding a specific area of activity within the organisation: What examples of policies are developed to ensure legal compliance? Discussion Discuss the questions in the slide

A procedure is a statement of tasks and associated methods for the conduct of specific work activities: What examples of procedures are developed to ensure legal compliance? Discussion Discuss the questions in the slide

Policies and procedures topics Occupational health and safety Client and company responsibilities Training Recruitment Business ethics Compliance with legislation Public relations Vehicle control Provide examples of policies and procedures Provide examples of policies and procedures for each of these topics

Policies and procedures topics Equipment use Record keeping Financial management Emergency response Work procedures Confidentiality and privacy Quality assurance Provide examples of policies and procedures Provide examples of policies and procedures for each of these topics

Process for developing policies and procedures Establish the need for policies and procedures Consult with relevant stakeholders Prepare draft policies and procedures Circulate the drafts Revise the drafts Provide examples of developing policies and procedures Provide examples the processes involved in developing policies and procedures

Process for developing policies and procedures Develop the final policies and procedures Communicate the policies and procedures to staff Provide the resources to allow implementation Review the existing policies and procedures COMPLETE ACTIVITY 34 Discussion & Activity Discuss process for developing policies and procedures Complete Activity

Implement ethical requirements
Introduction to ethics Ethical requirements relate to issues about which a personal judgement has to be made regarding the way the business elects to conduct its business: What are ethics? What are examples of ethics? What is the importance of ethics? Discussion Discuss the questions in the slide

Aspects of business requiring an ethical component Products Service provision The environment People The community Over-booking Tipping Provide examples of ethics Provide examples of ethics / ethical behaviour that you would incorporate into a tourism organisation

Aspects of business requiring an ethical component Money Promotions and advertising Intellectual property Conflict of interests How do you develop ethically based policies and procedures? COMPLETE ACTIVITY 35 Discussion & Activity Discuss aspects of business requiring an ethical component Complete Activity

Licences, certificates and permits
Obtaining the necessary licences, certificates and permits Operating without necessary licences, certificates and permits constitutes a serious offence, and can jeopardise future applications. What licences, certificates and permits do you need? What are the methods to obtain them? What are the obligations when displaying them? Discussion Discuss questions in the slide

Licences, certificates and permits
Types of licences, certificates and permits Liquor Gaming Sale of travel products Security Trades Access to protected areas Quotations COMPLETE ACTIVITY 36 Discussion & Activity Discuss types of licences, certificates and permits Complete Activity

Monitor application of regulations
Importance of monitoring the application of regulations As a manager it is your role to monitor the application of regulations to ensure their enforcement: Why is this important? What regulations need to be monitored? How can you monitor the application of regulation? Discussion Discuss questions in the slide

Monitor application of regulations
Enforcement practices Giving each employee documents outlining their compliance obligations Including regulations as part of formal in-house training Including compliance with regulations in formal staff appraisal Active workplace monitoring of staff performance and compliance Discussion Discuss importance of these enforcement practices. What other enforcement practices can be implemented into business practice?

Regularly review organisation processes
To maintain compliance and to optimise the performance of the business it is common practice for many organisations to: Regularly review businesses processes Compare them against what is happening elsewhere Discussion Discuss how you can regularly review organisation processes.

Regularly review organisation processes
Benchmarking What is benchmarking? What are the areas for benchmarking? What are examples of ‘informal’ benchmarking? What are examples of ‘formal’ benchmarking? COMPLETE ACTIVITY 37 Discussion & Activity Discuss the questions in the slide Complete Activity

Review and analyse compliance outcomes
It is standard operating procedure for management to review most of their activities on a regular basis. The aims of these reviews include: Identifying progress that has been made Assessing progress against planned objectives Identifying any lessons that have been, or need to be, learned Discussion Discuss how you can regularly review and analyse compliance outcomes. Provide examples for the points in the slide.

Review and analyse compliance outcomes
Importance of reviewing compliance outcomes What are the areas for review and analysis? Why is it important to review personal compliance performance? What review methods can be used? What are the timing of reviews? How can you reviews to identify strategies for improving compliance outcomes? COMPLETE ACTIVITY 38 Discussion & Activity Discuss the questions in the slide Complete Activity

Identify breaches of legislation
Identification and penalties for breaches What are types of breaches? What are the penalties for breaches? What are the causes of breaches? Discussion Discuss the questions in the slide

Policies & procedures for legislation violation What are types of policies and procedures: For staff For customers Discussion Discuss the questions in the slide Identify types of policies and procedures used in cases of legislation violation

Strategies to mitigate risk of non-compliance What strategies can you implement? Who is responsible for strategies? How can you monitor strategies? Discussion Discuss the questions in the slide

Strategies to mitigate risk of non-compliance Using evidence as the basis for action Seeking input from the authorities Revising policies and procedures Implement training Improve supervision and management Discussion Provide examples for each of these points Discuss other strategies to mitigate risk of non-compliance

Strategies to mitigate risk of non-compliance Review your personal actions Provide necessary resources Revamp record keeping Insure against the results of non-compliance COMPLETE ACTIVITY 39 Discussion & Activity Discuss strategies to mitigate risk of non-compliance Provide examples for each of these points Complete Activity

Report compliance with legislative requirements What report methods can be used? What should be reported? Discussion Discuss the questions in the slide

Renewing licensing Develop procedures for renewing licensing
Obtain the updates such as alerts, updates, reports Read the material Seek advice and clarification Visit the relevant website and read articles of interest Make the necessary adjustments to the operation Discussion Identify licenses that must be renewed? Describe the processes for renewing these licences.

Element 3: Update legal knowledge
Introduce topic. Class Activity – General Discussion Ask general questions: How can you ensure you have the most ‘current’ legal information?

Update legal knowledge
Performance Criteria for this Element are: Use informal and formal research to update the legal knowledge required for business compliance Share updated knowledge with colleagues and incorporate into workplace planning and operations Trainer identifies the Performance Criteria for this Element, as listed on the slide.

Use research to update the legal knowledge
The continued successful, legal and profitable operation of any business you run depends implicitly on abiding by all the applicable laws: How can you identify ‘current’ legislation? How can legislation change? What are the causes of legislation change? Discussion Discuss the questions in the slide

Changes in legislation Legislation may be: Repealed Amended Introduced Discussion Provide changes of where legislation has been changed. Identify the impact it has had on tourism organisations

Importance of staying updated You need to stay current in order to: Plan to respond to upcoming changes of legislation or new laws Maintain full compliance with legal requirements, operating requirements and reporting or remittance requirements Learn new facts, information, industry statistics and trends Discussion Discuss the importance of these points

Importance of staying updated How can you stay updated? What is the role of authorities in updating businesses? Discussion Discuss the questions in the slide

Methods to stay up-to-date with legislation Prepare a calendar or schedule for compliance Liaising with authorities Maintain personal contact with key individuals at government agencies Register to receive newsletters, advisories, alerts, up-dates etc from the authorities Joining professional bodies or associations Discussion Provide examples of these methods used to stay up-to-date with legislation

Methods to stay up-to-date with legislation Develop a network of industry contacts. Attending meetings of industry bodies and associations Liaising with others in the industry Seeking advice from legal and professional sources Reading publications Discussion Provide examples of these methods used to stay up-to-date with legislation

Methods to stay up-to-date with legislation Allocate specific individuals to discharge nominate compliance responsibilities Document compliance information Conduct annual reviews COMPLETE ACTIVITY 40 Discussion & Activity Discuss methods to stay up-to-date with legislation Complete Activity

Manage legal requirements for business compliance

Similar presentations

Presentation on theme: "Manage legal requirements for business compliance"— Presentation transcript:

Similar presentations

About project

Feedback

Log in

Auth with social network:

Manage legal requirements for business compliance

Similar presentations

Presentation on theme: "Manage legal requirements for business compliance"— Presentation transcript:

Similar presentations

About project

Feedback