Identify sources of information for compliance with laws and licensing for business operations
Legal compliance
Within every organisation there will be legal requirements that the organisation must fulfil. Laws and licensing are in place to ensure that business operations are regulated, fair and safe, and to ensure that customers and staff are protected from injury, harm, discrimination or other mistreatments. Laws and licensing can also regulate the quality of goods and services and ensure that they meet national standards.
Laws and licensing may relate to, for example:
➢ Best practice standards for work tasks
➢ Training and qualifications requirements for staff
➢ Restrictions for the sale of certain goods and services, e.g. alcohol, cigarettes, age-restricted media, etc.
➢ Anti-discrimination law
➢ Grievances procedures
➢ WHS law.
Specific requirements
The exact legal requirements for an organisation will vary depending on its industry and location. Legal requirements may also differ for persons of different job roles. It is important that those in management or supervisory positions are aware of their personal legal requirements and of the legal requirements of their organisation as a whole as they relate to their specific industry and/or location.
This will include knowledge of:
➢ Key practices that are prohibited by the law
➢ Auditing and inspection regimes
➢ Main consequences of non-compliance
➢ Need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements
➢ Requirements for record keeping and acceptable record keeping mechanisms
➢ Statutory reporting requirements for businesses
➢ Key business insurances required
➢ Adherence to mandatory codes of conduct enshrined in legislation
➢ Requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
➢ Rights and responsibilities of employees and employers
➢ Other specific action that must be taken for legal compliance
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Sources of information for legal compliance
Sources of information and advice on regulatory compliance may include:
➢ Local, state, territory or commonwealth government departments or regulatory agencies
➢ Industry associations
➢ Plain English documentation that explains the operational requirements of legislation
➢ Computer data
➢ The internet
➢ Discussions with experienced industry personnel
➢ Industry:
o accreditation operators
o associations and organisations
o developers of codes of conduct or ethics
o journals
o seminars
➢ Lawyers
➢ Networking with:
o colleagues
o suppliers
➢ Libraries
➢ Media
➢ Personal observations and experience
➢ Reference books
➢ Training courses
➢ Unions.
You should refer to these sources regularly to ensure that your knowledge stays current.
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Activity 1A
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1.2 – Evaluate areas of business operation and determine scope of compliance requirements
Scope of compliance requirements
The scope of compliance requirements relates to recognising which laws and licensing requirements relate to your specific industry, the goods its sell or the services it provides.
For example, many industries may fall into the category of ‘hospitality’, but even within this category, the types of organisations and services can vary greatly and therefore have very different legal requirements.
All organisations
All organisations must comply with legislation relating to the following:
➢ Anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
➢ Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
➢ Contracts
➢ Employer superannuation contributions
➢ Environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents
➢ Fair Work Act 2009, especially provisions for National Employment Standards (NES)
➢ Local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents
➢ Taxation
➢ Workplace relations
➢ Public liability and duty of care
➢ Work health and safety
➢ Workers’ compensation, especially provisions for injury reporting and occupational rehabilitation.
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You must ensure that you know the specifics of your own organisation’s requirements in fulfilling their legal obligations in these areas, such as particular tax status or strategies for ensuring EEO, for example.
Industry-specific requirements
Not all legal requirements apply to every organisation. Some are industry-specific, or specific to the goods or services that an organisation provides.
These may include:
➢ Copyright Act 1968
➢ Criminal Code Act 1995 as it relates to child sex offences outside Australia
➢ European Economic Directive of Foreign Travel
➢ Food safety
➢ Food Standards Australia New Zealand Act 1991
➢ Liquor licensing, especially as it relates to the responsible service of alcohol
➢ Privacy Act 1988
➢ Queensland Tourism Services Act 2003
➢ Residential Tenancy Act
➢ Responsible conduct of gaming regulation.
For example, a hotel which has a restaurant will be required to comply with all laws and licensing relating to food and food safety, whereas these would not be applicable to an organisation which does not offer food – such as a water sports company, for example.
Business operations
To be compliant with all relevant laws and licensing requirements, it is necessary that you know which are applicable to your organisation. This means evaluating the areas of business operation to evaluate scope.
For example:
➢ Types of goods and services
➢ WHS considerations
➢ Location
➢ Import/Export
➢ Record keeping
➢ Finance.
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Activity 1B
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1.3 – Access regulatory information relevant to specific business operation
Business operations
Business operations are the tasks and activities undertaken in an organisation’s daily work practice in order to achieve outcomes.
A hotel, for example, may undertake the following business operations:
➢ Taking bookings
➢ Checking guests in and out
➢ Preparing and cleaning rooms
➢ Handling complaints and issues
➢ Meeting the special requirements of guests
➢ Taking payments.
For each of these specific business operations, relevant regulatory information may apply.
Applying regulations to business operations
For example:
➢ When taking bookings, you may need to comply with anti-discrimination law and privacy and confidentiality law.
➢ When preparing and cleaning rooms may be subject to WHS requirements to ensure that minimum hygiene standards are maintained
➢ When handling complaints and issues, Australian Consumer Law (ACL) may apply.
This example of a hotel demonstrates how regulations may apply to specific business operations. In a management or supervisory role, it is important that you are able to access regulatory information relevant to these specific business operations.
Accessing regulatory information
Sources of regulatory information is outlined in section 1.1 of this unit.
Specific documents may also include:
➢ Codes of practice
➢ Industry guidelines
➢ Organisational policy and procedure
o policy and procedure documents
o employee handbook
o safety directions and signs.
These may be researched through the relevant business or industry association and the relevant authority, or through one of the sources outlined in section 1.1 of this unit.
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