SITXGLC001 - Research and Comply with Regulatory Requirements Assessment Workbook

This is an assessment workbook for SITXGLC001 - Research and Comply with Regulatory Requirements. It covers topics such as identifying sources of information for compliance, determining the scope of business compliance, accessing regulatory information, penalties and consequences of non-compliance, obtaining specialist legal advice, and more. The workbook also discusses regulatory policies and procedures, the role and responsibility of personnel in regards to Responsible Service of Alcohol (RSA), communication with regulatory authorities, and methods of monitoring business operations.

SITXGLC001 - Research and comply with regulatory
requirements
Assessment Workbook
Student
Signature
Assessor judgement based on knowledge and performance evidence:
 C - Competent
 NYC – Not Yet Competent
Reasonable Adjustment  No
 Yes - Description of adjustment
Assessor
Signature Date

Assessment Tool Instructions
This assessment tool is to be completed by the Assessor and the Student. The assessment tool
has been developed to collect and record evidence to assess the Student’s understanding and
application of the performance criteria, performance evidence and knowledge evidence. If
there are multiple units listed above, they have been integrated and are co-assessed
holistically. This assessment tool must be completed using a black or blue pen and all
relevant sections are to be completed.
Instructions to the Assessor
The assessor will provide the assessment tool to the Student and explain the assessment
requirements, providing guidance to the Student as required. Verbal challenging may apply
and the Assessor is required to record these notes in the Assessor’s comments section. Please
ensure that all signatures and dates are accurately recorded, all sections have been marked
and that comments have been included where necessary.
Instructions to the Student
You will be required to read through the assessment activities and prepare for the
assessment. If the assessment involves written responses, you can write your answers in the
spaces under the question. Please ensure that you complete all required sections of the
assessment tool. All questions must be answered in full. Your assessor may verbally challenge
your answer by asking you to clarify or further explain your answer. At the end of this
assessment task, your assessor will provide you with feedback on areas for continuous
professional development. Unless specified, answers should be approximately 100 word in
length.
Before commencing the assessment, please complete the pre-assessment checklist below to
confirm that you, the Student, are ready for assessment.
I have been given access to all of the resources for this assessment  YES  NO
I have had my rights and the appeal system fully explained to me  YES  NO
The assessor has discussed special needs assistance with me  YES  NO
I understand that I have to complete all tasks/questions myself  YES  NO
I acknowledge that I am ready for an assessment for the unit  YES  NO
I acknowledge that I have had the assessment process explained to me  YES  NO
I understand that plagiarism is not accepted  YES  NO
I agree to undertake assessment tasks in this assessment tool  YES  NO
16.02.2018 1

Q # Questions
Satisfactory
√ = Yes
X = No
1. Identify at least 3 sources of information for compliance with
laws and licensing for business operations.
In order to operate legally, every business has to comply with
specific requirements relating to the organization’s transaction,
safety procedures and labor practices. Compliance regulations is
classified into two types- internal and external. External compliance
relates to the requirements that is imposed by state while internal
compliance are enforced by the company’s staff. The three sources
of information for compliance with laws and licensing for business
operations include-
 Networking with employees and suppliers
 Discussion with the experienced business personnel
 Internet and social media
2. In order to determine the scope of your business compliance,
what must you know?
At the outset, the enterprise must know to make decision
regarding which risk areas it aims to address through
compliance program. They must prepare assessment which
identifies all compliance risk relating to business. They should
know to score these identified risks based on likelihood of risk
materializing and effect of risk on the enterprise. The
organization can determine the scope of its business compliance
by choosing risk areas it intends to address. For achieving
highest scope of business compliance, the enterprise must first
address higher ranking area of risk. They should also know to
address risk areas based on three standards such as - company
values, contracts, laws and regulations.
16.02.2018 2

3. Identify 5 ways to access regulatory information relevant to
specific business operation.
Regulatory information refers to enterprise’s adherence to laws,
guidelines, regulations and specifications relating to business.
The five ways in which regulatory information can be accessed
relevant to particular business operations involves-
 Attain from briefings prior to – commencement of the
service period, delivery of the tours, event operation
 Information can also be obtained from internal memos
 It can also be accessed from staff meetings
 Regulatory information can also be attained from training
sessions
 Information relevant to particular business information
can also be attained from handbooks of staffs
16.02.2018 3

4. Identify the penalties and consequences of non-compliances in
regards to Work Health and Safety in your local area.
The penalties of non- compliance in regards to work Health and
Safety in local area includes-
 Administrative fines where the service holder is basically
subject to variable fine that are imposed by the enforcing
authority or regulatory
 Conditional cautioning which means that if an individual
fails to comply with conditions attached to caution, this
might result to criminal proceedings
 The person can also have to pay fixed fines that are issued
by the enforcing authority specifically subsequent to
health and safety inspection
The consequences of non- compliances regarding Work Health
and Safety in local area are given below-
 Injury or ill health of members of public
 Damage to work equipment, workplace and work data
 Economic damage to business through decrease in
production
 Economic damage to the society occurring from cost of
treatment for injury and ill health of person
16.02.2018 4

5. Outline 5 reasons why you may need to obtain specialist legal
advice.
The reasons behind the need for attaining specialist legal advice
in business are illustrated below-
 Effectively navigating the procedure of business
formation
 Protecting the intellectual property of the enterprise as
this are considered as valuable assets
 Developing credibility as well as strong relationships with
new investors. This in turn increases the probability of
success as well as adds intrinsic value to the enterprise.
 Assuring effective contract management as this is
important to quality relating to business transactions.
 Avoiding or acquiring help settling lawsuits, which can be
sometimes detrimental to the organization.
6. Where could you obtain legal advice from?
Advice relating to legal matters can be obtained from different
sources such as-
 Citizens advice Bureau- This is a kind of national charity
that offers huge range of support as well as advice to
facilitate individual resolve their issues regarding debt,
16.02.2018 5

discrimination, housing, employment.
 Law centers- This can facilitate the individual with the
legal advice regarding welfare, discrimination, criminal
justice
 Private solicitors- Solicitors provide services huge range
of legal matters. In some cases, these solicitors cannot
facilitate the individual with all kinds of requirements.
7. Discuss regulatory policies and procedures including formats for
and inclusions in policies and procedures.
Regulatory policies and procedures mainly establishes rules of
conduct within the enterprise, thereby outlining certain
responsibilities of employees as well as employers. Regulatory
policies as well as procedures includes-
 A certain code of conduct that sets the standard of
workplace behavior and ethical conduct that should be
adhered to and amended as required.
 Disciplinary policy is also essential in outlining various
process that the employer will follow in issuing warning
and terminating employment.
 Leave policy which identifies kinds of leave that is
available and procedure that should be followed for
16.02.2018 6

accessing leave.
 Policies regarding workplace discrimination, harassment
and bullying in order to create good work culture.
16.02.2018 7

8. Discuss the role and responsibility of personnel in regards to
Responsible Service of Alcohol (RSA) for regulatory compliance.
RSA is about providing rules as well as strategies for different
kinds of business which sell alcohol with the main aim to reduce
alcohol related issues, integrate best practice in sale and prevent
neighborhood disturbance. The roles and responsibility of the
personnel in regards to RSA laws for regulatory compliance are
described below-
 They must identify the intoxication signs
 They should not serve the individual who reflects
intoxication signs
 They should not serve the individual who arrives
intoxicated
 The personnel should understand the meaning of
standard drink as well as level of drink driving
 They must understand the effect of alcohol in the
community
 They should discourage patrons from the actions that
might cause harm
9. Discuss how the general process used to distribute policies,
16.02.2018 8

procedures and legal information to personnel in the workplace.
The processes that are used for distributing policies, procedures
and legal information to the personnel in workplace are given
below-
 The employees of the enterprise is informed about how
the enterprise will work regarding development of
policies as well as procedures
 The employees are them asked for feedback relating to
policies that is to be implemented in business
 A meeting is then conducted with staff in order to take
their views in regards to policies, procedures and legal
requirement
 The employees is then asked to review the policy manual
so that it does not create any confusion after distribution
 Training is also provided in some cases when needed
 The employees are then requested to sign the document
 Lastly, the completed handbook is then distributed to the
personnel in workplace
10. Who is responsible in ensuring all personnel are compliant and
aware of their roles and responsibilities for legal compliance?
The compliance officer is mainly responsible for ensuring that all
personnel are compliant and aware of their roles as well as
responsibilities for any kind of legal compliance. Compliance
officer are the vital component of corporate governance as they
determines how the enterprise will be managed and directed.
16.02.2018 9

The compliance officer communicates with the personnel
regarding compliances related problems across each divisions of
the enterprise. The policies that the officer makes the personnel
complaint and thus this ensures that all of them are aware of
their roles and responsibilities of legal compliance.
11. Identify 4 ways you communicate with regulatory authorities
when planning business operations.
While planning business operations, effective communication
with the regulatory authorities is essential for achieving
complete regulatory submission and streamlining review
process. The four ways by which an individual can communicate
with the regulatory authorities are-
 Firstly, the person should decide on convictions and have
confidence to share the ideas of work
 Secondly, the individual must defend his ideas if in case
any opposition comes from senior management
 Thirdly, While communicating with higher authority, an
individual must show respect to them
 Fourthly, an individual must be willing to challenge the
authority regarding their views of planning business
operations.
16.02.2018 10

12. Discuss the following occupational licences and why each is
required to maintain a business in the hospitality industry.
a. alcohol licensing
b. Tobacco licensing
c. Food licensing
It has been evident from few evidences that sale of alcohol,
tobacco, food helps the hospitality industry to boost profit
margin in business. The hospitality industry must have licensing
in these three products so that the managers of the hotels do not
face any difficulty regarding selling of alcohol to the public in any
circumstances. Food license is one of the basic needs to attain
license under FSS regulations 2011. This license is required by
this industry as it serves an approval by authority as well as
assures the customers that food of that hotel affirms to food
safety standards of a specific nation. In addition to this, liquor
and tobacco license is also required as without this the hotel has
to incur huge penalty and forced to shut its business.
16.02.2018 11

13. Identify 5 methods of monitoring business operations.
The five methods that are used to monitor business operations
are discussed below-
 Developing a proper action plan in order to provide
business with coherent direction according to business
goals
 Formulating quality system for business according to
industry standards and compliance requirements
 Developing the performance measures, operational
targets and quality procedures to conform with business
plan, involving measurement of business performance as
well as customer satisfaction
 Cultivate several strategies for innovation, which might
involve existing technologies for making business
performance better
16.02.2018 12

 Identifying all possible risk factors which might affect the
business including environmental issues and so on.
14. What is involved in the modification of business operations?
Business operation is mainly the facet of an enterprise in which
most of labor occurs. The vital elements that are involved in the
modification of the business operation includes-
 Supply-The enterprise should bring in supply to work
when it comes to operational management. Few
businesses also implement strategies relating to supply
management for locating best prices.
 Efficiency-Business operations also involve efficiency as
the basic goal. Change in efficiency is required in order to
improve the business operations.
 Reliability and Adaptability-Business operations must
also be reliable and adaptable. This is because the
business usually need both of these to change with the
present market as well as technology.
 Quality control-Quality control is also vital for change in
business operations as it examines the final commodity
before producing it to the market.
16.02.2018 13

15. Determine 5 ways to maintain knowledge of current regulatory
requirements.
The five ways of maintaining knowledge of present regulatory
requirements are described below-
 Enrolling in newsletters with the updates from legislator.
This in turn enables to know the requirements as well as
deadlines
 Participate in seminars and conferences which inform
that new regulation will be adopted
 Checking all the internal process and implements various
ways of introducing new needs into existing process
 Informing all the staffs of an enterprise regarding new
legal requirements as well enhance their knowledge
 Keeping the database with all regulations that is
concerned with the organization.
16. Provide 3 examples of organisational communication methods to
share updated regulatory knowledge.
Organizational communication method is the process in which
the message is sent as well as received between two employees.
The three examples of organizational communication methods
that helps to share regulatory knowledge are-
Formal communication- This involves departmental meetings,
conference, special interviews. The advantage behind this is that
regulatory knowledge is easily obtained through this method.
Informal communication- Individuals at executive level use this
communication as they find it highly difficult in collecting
information from workers
Downward communication- this type of communication usually
flows from superiors to the subordinates. The executives mainly
16.02.2018 14

exercise these power for achieving desired objectives of
business.
17. Discuss the principles of continuous improvement.
The four principles regarding continuous improvement in
business are-
 First principle is that focus must be on procedure and its
methodologies and creativity. This means fixing must be
stopped and improvement should be started
 Second principle is that all the employees of an enterprise
must be engaged for recognizing innovative ideas in
business
 Third principle is that changing behavior is vital than
changing procedure
 Fourth principle is that experiments must be tried
continuously even if it fails
18. Why must you continuously review and distribute plans, policies
and procedures?
16.02.2018 15

The managers or leaders of an organization continuously
reviews as well as distribute plans, policies and procedures in
order to make successful business operations. Continuous
monitoring of policies, planning and process helps the managers
of the enterprise to find out the error relating to these policies.
Apart from this, it also facilitates the leaders to monitor the
performance of employees and schedule the task to them
accordingly. Moreover, this strategy aids the managers to
increase business productivity and performance.
19. Identify possible consequences of non-compliance in the
hospitality industry.
The possible consequences of non- compliance in the hospitality
industry are given below-
 The enterprise might have to give fines or revoke
licenses. The company can also shut down due to this
non- compliance
 The enterprise might result in unforcea0ble contracts ,
which in turn might make the matters worse
 This might lead to increase in additional insurance as well
as superannuation obligations.
16.02.2018 16

20. Explain the use of policies and procedures in managing
regulatory compliance.
Regulatory compliance illustrates the goal which the enterprise
aspire for achieving in their effort to assure that they becomes
aware of and taking steps for complying with pertinent laws
regulations and policies. The hospitality industry uses the
policies and procedures in varied ways for managing and
improving regulatory compliance. These are described below:
 Tracking workers comprehension of the updated policies
 Avoiding costly litigation as well as criminal action
 Delivering detailed reporting in real time
 Reducing operational inefficiencies as well as subsequent
costs that is connected with copying and distribution of
policies.
21. Determine the 4 methods for receiving updated information on
laws and licensing requirements.
The four methods that are used for receiving updated
information on laws and licensing requirements are-
 Internal memos
 Staff meetings
 Training and development sessions
 Handbooks of staffs
16.02.2018 17

22. Discuss the functions and general operating procedures of the
regulatory authorities in the hospitality, tourism and events
industry.
The functions and procedure of regulatory functions of
regulatory authorities in hospitality involves-
 Deducting the accurate amount of the payroll tax – ATO
and State or territory Revenue office
 Maintaining safe workplace environment according to the
Fair Work Act 2009
 Assuring that the advertisements are legal
16.02.2018 18

Satisfactory (please circle) Yes No
Feedback to the Student:
16.02.2018 19

P # Projects
Satisfactory
√ = Yes
X = No
1. For this activity you are to use your knowledge of regulatory
requirements and your research skills to discuss each of the
following.
Discuss, in your own words, the objectives and primary
components of each of the following:
1. Anti-discrimination, especially provisions for equal
employment opportunity (EEO) and harassment
2. Australian Consumer Law (ACL) especially provisions
for refunds, exchanges and cancellations, terms and
conditions of quotations and consumer contracts
3. Contracts
4. Employer superannuation contributions
5. Environmental protection especially provisions for
environmental hazard identification, use of minimal
impact practices and reporting of incidents
6. Fair Work Act 2009, especially provisions for National
Employment Standards (NES)
7. Local community protection, especially provisions for
land management and access and protecting the
lifestyle of neighbouring residents
8. Taxation
9. Workplace relations
10. Public liability and duty of care
11. Work health and safety
12. Workers’ compensation, especially provisions for
injury reporting and occupational rehabilitation
16.02.2018 20

This report is based on having an understanding of
various aspects in relation to laws and the compliance acts in
relation to hospitality. It is seen that Anti-discrimination and the
provision of equal employment creates the opportunity for every
individual to get jobs and eliminates the chances of
discrimination based on gender, class, sex and any other aspects.
Australian Consumer Law has the aim of providing
benefits to the consumers in accordance to any kind of
grievances that have been faced by the consumers in relation to
the manufacturers. The consumers can make use of this law in
case refunds and exchanges and any kind of other cancellations
and grievances in the contracts.
The objective of a contract is to maintain a treaty
regarding any kind of agreements that have been made among
two or more parties. This act as a record that can be looked
down upon when required.
The employer superannuation contribution is helpful in
providing remuneration to on behalf of the employer to their
employees and this money would be used by the employee after
their retirement period.
The process of environmental protection is helpful in the
creation of acts with the help of which the companies and the
other companies can maintain laws and regulations with the
help of which minimisation of the environmental impacts due to
emission of hazardous gases and wastes from the companies.
Fair Work Act 2009 is helpful in making the companies
and their employees to maintain ethical standards and thereby
perform in an ethical manner with the help of which better
performance can be maintained and false actions can be
eliminated.
Local community protection is helpful for the
management of land and maintains the lifestyle of the local
individuals so that their general living style would be
maintained.
Taxation is the process with the help of which taxes have
to be paid for the income generated which can be used for social
welfare by the government.
Workplace relations are helpful in the development of
better relationship among the employees and the management
and even between the peer colleagues so that better
performance and relationship can be maintained.
16.02.2018 21

Public liability and duty of care addresses the
maintenance of care for the individuals and the consumers with
the help of which they would be protected and better
communication can be maintained.
Work health and safety is required for all the companies
in order to maintain rules, regulations and tools with the help of
which safety and work health can be maintained and thereby
better performance and the motivation of the consumers can be
maintained.
Worker compensation is done for compensating the
employees in case of reporting and making rehabilitation to the
employees.
16.02.2018 22

Next you will need to choose a field of work in either the
tourism, hospitality and event industries and discuss, in your
own words, the objectives and primary components the
following (Only need to discuss the laws, codes, standards and
licensing requirements that are applicable to your chosen field):
13. Copyright Act 1968
14. Criminal Code Act 1995 as it relates to child sex
offences outside Australia
15. European Economic Directive of Foreign Travel
16. Food safety
17. Food Standards Australia New Zealand Act 1991
18. Liquor licensing, especially as it relates to the
responsible service of alcohol
19. Privacy Act 1988
20. Queensland Tourism Services Act 2003
21. Residential Tenancy Act
22. Responsible conduct of gaming regulation
The Criminal Code Act 1995 is helpful in the safeguarding
of the interests of the customers and the employees and
therefore restricts anyone from undertaking criminal and
unethical activities and offences.
European Economic Directive of Foreign Travel is helpful
in the maintenance of the ethics and the standards that are
helpful in proper hospitality and rules and the regulations that is
essential for economic foreign travels in Europe.
Food safety is essential with the help of which effective
quality of food can be maintained and thereby better food can be
provided to the customers.
The liquor licensing is given in order to eliminate the
16.02.2018 23

chances of ethical selling of liquor and encouraging responsible
drinking and service operations.
Privacy Act 1988 ensures the safety and of the personal
and private information so that all the information of an
individual can be maintained.
Queensland Tourism Services Act 2003 provides the
regulations with the help of which all the activities related to
tourism and hospitality can be maintained and better services
can be given.
Residential Tenancy Act acts as a mediator and provides
laws and regulations with the help of which all issues related to
tenancy for the purpose of residential purposes.
Responsible conduct of gaming regulation provides acts
and rules with the help of which the gaming process is
maintained.
16.02.2018 24

The final part to this assessment involves discussing each of the
follow points for each relevant law, code, standard and licensing
requirement that you detailed in the previous part:
16.02.2018 25

23. Key practices that are prohibited by the law
24. Auditing and inspection regimes
25. Main consequences of non-compliance
26. Need to apply for and maintain business or
occupational licensing and associated mandatory
training and certification requirements
27. Requirements for record keeping and acceptable
record keeping mechanisms
28. Statutory reporting requirements for businesses
29. Key business insurances required
30. Adherence to mandatory codes of conduct enshrined
in legislation
31. Requirements to develop and implement plans,
policies, codes of conduct or incorporate certain
business practices
32. Rights and responsibilities of employees and
employers
33. Other specific action that must be taken for legal
compliance
There are key practices that are prohibited by law that restricts
any unethical practices and anti discrimination practices and
even other practices that can have an impact on the individuals.
The key consequences of non-compliance lead to ineffective
communication and poor operational performances that would
reduce the extent of relationship among the management and
the employees. All the licenses and the training activities need to
be maintained with the help of which better services and
maintenance of the rules and the laws can be maintained. The
maintenance of record keeping is helpful for the preservation of
the documents with the help of which all the current and the
past records can be preserved and can be looked upon at a later
point of time. The key insurances required for the companies are
insuring the assets of the companies and insuring the overall
business in order to protect from any kind of unprecedented
16.02.2018 26

events. It becomes essential to adhere to the codes of conduct in
order to maintain a robust business and stay in line with the
regulations of the government. The development and the
incorporation of the plans is helpful in the creation of a model
and a structure according to which the operational activities of
the company can be maintained in an effective manner. the
rights and the responsibly of the employers should be performed
in order to bring out effective business activities and maintain
motivated employees. The maintenance of these actions would
be helpful in the maintenance of compliance and effective
hospitality services.
16.02.2018 27

2. For this assessment, you will need to research regulatory
requirements in a tourism, travel or hospitality industry develop
policies and procedures and discuss their integration, and will
require 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
16.02.2018 28

commercial publishers
 Current commercial policies and procedures used to
manage regulatory issues
 Sources of specialist legal advice:
o Compliance consultants
o Industry associations
o Lawyers
o Local, state, territory or commonwealth
government departments or regulatory
agencies.
This assessment will be split into 3 parts:
 Accessing and interpreting regulatory information
 Developing policies and procedures
 Discussion about their integration into compliance
planning activities and documentation
1. Accessing and interpreting regulatory information
For this part of the assessment you will need to access and
interpret regulatory information and determine the scope of
compliance for the operations of a tourism, travel, hospitality or
events business of your choice. You will need to do this in
relation to at least six different areas of compliance. A write a
report detailing your findings including:
a) Sources of information for compliance
b) Evaluation of the areas of business operation
and the compliance requirements for each
c) How and where you accessed regulatory
information
d) Any non-compliance risks, penalties and
consequences
e) How you assessed and could act on the need
for specialist legal advice
f) How you would maintain knowledge of current
regulatory requirements
g) How you plan to communicate with regulatory
authorities
h) Details on the required documentation
16.02.2018 29

i) Details on the licences you would need
j) How you would check contractor compliance
k) Steps you would take to continuously evaluate
business operations for non-compliance
l) How you could implement modifications
The report is based on the requirement to access as well as
interpret regulatory information and determine scope of
compliance for operations of tourism, events, hospitality and
business. The source of information for compliance includes-
internet, libraries, media, lawyers and so on.
Compliance requirements can be of two kinds- internal and
external. Internal compliance requirement are usually meant to
assure optimum as well as ethical operation of entity. External
compliance requirements are those in which penalties are
integrated by regulatory authorities.
The risk of penalties of non- compliance involve fines, insurance,
unforceable contracts, tax liability. The penalties of non-
compliance includes- on- spot fines, disciplinary actions that
ranges from cancellation of license, prosecution that carries
maximum fine. The consequences include- 5 year prison
sentence, withdrawal of sponsor and on- spot fines.
Owing to need for specialist legal advice, a person can take
advice over telephone and make face to face appointments.
Maintaining knowledge of current regulatory requirements can
be done by participating in seminars, checking internal
procedures, keeping excel sheet with KLYC status files of clients.
Communication with regulatory authorities can be done by –
upward, downward and vertical communication.
The hospitality industry would need licenses regarding liquor,
tobacco and food.
Contractor compliance can be checked by developing, reviewing
and monitoring policies as well as procedures.
The steps for evaluating business operations for non-
compliance include- prioritize activities, making regulatory
alerts and linking regulations with the policies.
Modifications in business can be implemented by adopting new
business policies, providing training and development to the
employees and improving communication system within the
enterprise.
16.02.2018 30

16.02.2018 31

2. Developing policies and procedures
For this part of your assessment you will be required to develop
policies and procedures for legal compliance with each of the
areas of compliance you have identified in the previous section.
For each of the area of compliance you must:
a) Develop at least one policy and procedure that
is in a clear and understandable format, you
must:
i. Detail how you can make it readily
accessible to all personnel
ii. Nominate and describe the roles and
responsibilities of personnel for
regulatory compliance
iii. Describe how you would distribute
policies, procedures and legal
information to personnel
b) Describe how you would organise information
updates for personnel, including:
i. The organisational communication
methods you would use
c) Describe review processes
The assessment also highlights on the development of policies
and procedures for legal compliance. One policy that can be
16.02.2018 32

developed for legal compliance is claims development and
submission. It can be readily accessible to the personnel if
standardized policies are designed in proper format. The policies
and procedures can be distributed to the personnel by first
informing the details of policy, attaining feedback from them,
providing training and requesting to sign the policy manual.
The information updates for the personnel can be updated by
implementing, downward, upward and vertical communication
methods.
The review process in business involves-
 Submission of the paper
 Appraisal by EIC (Editor in Chief)
 Invitation to the reviewers
 Acquiring response to invitations
 Lastly, the experts assess the reviews
16.02.2018 33

3. Discussion about their integration into compliance
planning activities and documentation
For this part of the assessment you will need to discuss with
your trainer/assessor how you would integrate the following
into compliance planning activities and documentation:
a) Sources of detailed information and advice on
regulatory compliance
b) Objectives and primary components of
relevant local, state, territory and
commonwealth government laws
16.02.2018 34

c) The use of policies and procedures for
managing regulatory compliance
Before discussing with your trainer/assessor, you should write
up notes that summarise the points that you wish to discuss with
your trainer/assessor you note must cover each of the above
requirements. You will be required to submit your notes after
this part of the assessment is complete.
This section focuses on the integration into compliance planning
activities and documentation. The sources of detailed
information as well as advice on regulatory compliance, staff
meetings, experienced personnel, compliance officer, assessor.
The policies and procedures for managing regulatory compliance
are –
 Tracking workers comprehension of the updated policies
 Avoiding costly litigation as well as criminal action
 Delivering detailed reporting in real time
 Reducing operational inefficiencies as well as subsequent
costs that is connected with copying and distribution of
policies.
16.02.2018 35

16.02.2018 36

Satisfactory (please circle) Yes No
16.02.2018 37

Feedback to the Student:
16.02.2018 38

PA # Practical Assessment
Satisfactory
√ = Yes
X = No
1. 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
2. develop policies and procedures for legal compliance with each
of the above areas of compliance
3. integrate into compliance planning activities and
documentation:
4.  sources of detailed information and advice on regulatory
compliance
5.  objectives and primary components of a broad range of
local, state, territory and commonwealth government
laws relevant to the specific to the business operations
6.  use of policies and procedures in managing regulatory
compliance
Satisfactory (please circle) Yes No
Feedback to the Student:
16.02.2018 39

SSO # Supervisor Sign Off
Satisfactory
√ = Yes
X = No
1. 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
2. develop policies and procedures for legal compliance with each
of the above areas of compliance
3. integrate into compliance planning activities and
documentation:
4.  sources of detailed information and advice on regulatory
compliance
5.  objectives and primary components of a broad range of
local, state, territory and commonwealth government
laws relevant to the specific to the business operations
6.  use of policies and procedures in managing regulatory
compliance
Satisfactory (please circle) Yes No
Feedback to the Student:
16.02.2018 40