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Transcript of Slide 1 D1.HML.CL10.05 D1.HRM.CL9.14 D2.TRM.CL9.07.
MANAGE LEGAL REQUIREMENTS FOR BUSINESS COMPLIANCE
Slide 1
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
Slide 2
Assessment
Assessment for this unit may include:
Oral questions
Written questions
Work projects
Workplace observation of practical skills
Practical exercises
Formal report from supervisor
Slide 3
Element 1:Research the legal information required for business compliance
Slide 4
Research the legal information required for business compliancePerformance 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
Slide 5
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
Slide 6
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
Slide 7
Tourism definitions
Definition of a tourism industry, operator and tourist
What is the definition of:
Tourism industry
Operator
Tourist
Slide 8
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
Slide 9
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?
Slide 10
Tourism law
Common legal terminology
Law
Legislation
Common law
Act of Parliament
Regulations
Codes of Practice
Ethical requirements
Civil and criminal law
Slide 11
Legal information
Sources of legal information
Internet
Industry or employer associations
Government agencies
Reference books
Media
Industry journals
Slide 12
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 Slide 13
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
Slide 14
Determining impact of laws
Contacting authorities
Visiting their website
Emailing or telephoning contacts
Visiting the office of the authority in person
Checking their online FAQ section
COMPLETE ACTIVITY 3
Slide 15
Access, select and analyse informationImportance 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.
Slide 16
Access, select and analyse informationDetermining 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
Slide 17
Access, select and analyse informationDetermining 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
Slide 18
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 Slide 19
Areas of legislation
General areas to which legal requirements apply
Tobacco
Gaming
Employment relations
Employment of foreign workers
Superannuation / Pension Funds
Contributory Negligence
Personal Injuries legislation
Slide 20
Areas of legislation
General areas to which legal requirements apply
Contracts
Income & company taxation
Goods and Services taxation
Financial recording and management
Anti-corruption
Copyright
Slide 21
Areas of legislation
General areas to which legal requirements apply
Occupational health and safety (OHS)
Fire Safety
Environmental legislation
Insurance requirements
Slide 22
Areas of legislation
Subsidiary legislation
Normally support or established under primary legislation
Regulations
Rules
Notifications
Amendments
Slide 23
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
Slide 24
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
Slide 25
Consumer protection and trade practicesObjectives 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
Slide 26
Consumer protection and trade practicesObjectives 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
Slide 27
Consumer protection and trade practicesKey consumer legislation
Goods Act
Fair Trading Act
Trade Practices Act
Unconscionable Conduct
Slide 28
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
Slide 29
Food
Areas of food legislation
Sale of Food
Food Regulations
Food Handling
Food Storage
Food Hygiene
Food transportation
COMPLETE ACTIVITY 11 Slide 30
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
Slide 31
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 Slide 32
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
Slide 33
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 Slide 34
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
Slide 35
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
Slide 36
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
Slide 37
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 Slide 38
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 Slide 39
Employment agreements
Minimum requirements for agreements
Pay
Hours of work
Annual leave
Personal leave
Unpaid parental leave
What are minimum requirements in your country?
Slide 40
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
Slide 41
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 Slide 42
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?
Slide 43
Discrimination
Characteristics of discrimination
Age
Impairment
Industrial activity
Lawful sexual activity
Marital status
Physical features
Political belief or activity
Slide 44
Discrimination
Characteristics of discrimination
Pregnancy
Race
Religious belief or activity
Sex
Parental status or status as a carer
Personal association
Slide 45
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
Slide 46
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
Slide 47
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
Slide 48
Superannuation / Pension Funds
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
Slide 49
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
Slide 50
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
Slide 51
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
Slide 52
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
Slide 53
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
Slide 54
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
Slide 55
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 Slide 56
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
Slide 57
Occupational Health and Safety
Areas of Occupational Health and Safety legislation
WSH regulatory framework
Safety and health management systems
Monitoring and surveillance
Programmes
Work injury compensation
Training
Slide 58
Occupational Health and Safety
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
Slide 59
Occupational Health and Safety
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
Slide 60
Occupational Health and Safety
Areas of Occupational Health and Safety legislation
What are the responsibilities of:
Employers
Employees
Customers
COMPLETE ACTIVITY 27
Slide 61
Environmental legislationEnvironmental 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 Slide 62
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
Slide 63
Insurance
General principles of insurance
Insurable interest
Utmost good faith
Subrogation
Indemnity
Slide 64
Insurance
Types of insurance
Fire
Liability
Personal
Property
COMPLETE ACTIVITY 29
Slide 65
Other legal requirements
WHAT ARE OTHER TYPES OF LEGAL REQUIREMENTS THAT APPLY TO A TOURISM
BUSINESS?
COMPLETE ACTIVITY 30
Slide 66
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
Slide 67
Recording legal compliance informationImportance 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
Slide 68
Recording legal compliance informationContents of a legal compliance document
List of legal requirements
Actions to take
Responsibilities for actions
Timelines
Resources
COMPLETE ACTIVITY 31
Slide 69
Strategies for legal compliance
Develop practical strategies to ensure legal compliance
Information provision
Resource provision
Practical components
Slide 70
Strategies for legal compliance
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?
Slide 71
Strategies for legal compliance
Resource provision
Money
Time
Documentation
Training courses
Physical resources
Workplace infrastructure
Slide 72
Strategies for legal compliance
Practical components
Demonstrations of practice
Opportunities for staff to practice
Testing of competencies
COMPLETE ACTIVITY 32
Slide 73
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
Slide 74
Element 2:Ensure compliance with legal requirements
Slide 75
Ensure compliance with legal requirementsPerformance 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
Slide 76
Ensure compliance with legal requirementsPerformance 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
Slide 77
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
Slide 78
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
Slide 79
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
Slide 80
Organise training in legal knowledge
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
Slide 81
Organise training in legal knowledge
Methods of staff training
Induction and orientation
In-house training
External training
Staff meetings
Staff briefings
Personal observation
Written and practical testing
Refresher training
Slide 82
Organise training in legal knowledge
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
Slide 83
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?
Slide 84
Develop systems and procedures
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
Slide 85
Develop systems and procedures
Areas of workplace systems and procedures
Workplace design
Distribution of information within the enterprise
Signage
Occupational health, welfare and safety
Slide 86
Develop systems and procedures
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?
Slide 87
Develop systems and procedures
Procedures
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?
Slide 88
Develop systems and procedures
Policies and procedures topics
Occupational health and safety
Client and company responsibilities
Training
Recruitment
Business ethics
Compliance with legislation
Public relations
Vehicle control
Slide 89
Develop systems and procedures
Policies and procedures topics
Equipment use
Record keeping
Financial management
Emergency response
Work procedures
Confidentiality and privacy
Quality assurance
Slide 90
Develop systems and procedures
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
Slide 91
Develop systems 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
Slide 92
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?
Slide 93
Implement ethical requirements
Aspects of business requiring an ethical component
Products
Service provision
The environment
People
The community
Over-booking
Tipping
Slide 94
Implement ethical requirements
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
Slide 95
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?
Slide 96
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 Slide 97
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?
Slide 98
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
Slide 99
Regularly review organisation processesTo 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
Slide 100
Regularly review organisation processesBenchmarking
What is benchmarking?
What are the areas for benchmarking?
What are examples of ‘informal’ benchmarking?
What are examples of ‘formal’ benchmarking?
COMPLETE ACTIVITY 37
Slide 101
Review and analyse compliance outcomesIt 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
Slide 102
Review and analyse compliance outcomesImportance 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 Slide 103
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?
Slide 104
Identify breaches of legislation
Policies & procedures for legislation violation
What are types of policies and procedures:
For staff
For customers
Slide 105
Identify breaches of legislation
Strategies to mitigate risk of non-compliance
What strategies can you implement?
Who is responsible for strategies?
How can you monitor strategies?
Slide 106
Identify breaches of legislation
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
Slide 107
Identify breaches of legislation
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
Slide 108
Identify breaches of legislation
Report compliance with legislative requirements
What report methods can be used?
What should be reported?
Slide 109
Renewing licensing
Develop procedures for renewing licensing
Obtain the updates such as alerts, email 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
Slide 110
Element 3:Update legal knowledge
Slide 111
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
Slide 112
Use research to update the legal knowledgeThe 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?
Slide 113
Use research to update the legal knowledgeChanges in legislation
Legislation may be:
Repealed
Amended
Introduced
Slide 114
Use research to update the legal knowledgeImportance 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
Slide 115
Use research to update the legal knowledgeImportance of staying updated
How can you stay updated?
What is the role of authorities in updating businesses?
Slide 116
Use research to update the legal knowledgeMethods 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
Slide 117
Use research to update the legal knowledgeMethods 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
Slide 118
Use research to update the legal knowledgeMethods to stay up-to-date with legislation
Allocate specific individuals to discharge nominate compliance responsibilities
Document compliance information
Conduct annual reviews
COMPLETE ACTIVITY 40
Slide 119