requirements for record keeping and acceptable record keeping mechanisms

Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide.

1. Research information required for legal compliance.

1.1 Identify sources of information  for compliance with laws and licensing  for business operations.

1.2 Evaluate areas of business operation and determine scope of compliance requirements.

1.3 Access regulatory information relevant to specific business operation .

1.4 Identify risks, penalties and consequences of non compliance.

1.5 Assess and act on need for specialist legal advice .

2. Develop and communicate policies and procedures for legal compliance.

2.1 Develop and clearly articulate regulatory policies and procedures  in a format readily accessible to all workers.

2.2 Nominate the roles and responsibilities of personnel for regulatory compliance within policies and procedures.

2.3 Distribute policies, procedures and legal information to personnel at appropriate times.

2.4 Organise information updates  for personnel and ensure knowledge of roles and responsibilities for legal compliance.

3. Ensure compliance with legal requirements.

3.1 Communicate with regulatory authorities when planning business operations and submit required documentation.

3.2 Maintain business and occupational licences and check contractor compliance to avoid risk to business.

3.3 Continuously evaluate business operations for non-compliance and implement modifications.

4. Maintain personal and organisational knowledge of regulatory requirements.

4.1 Identify and use a range of opportunities  to maintain knowledge of current regulatory requirements.

4.2 Use organisational communication methods to share updated regulatory knowledge.

4.3 Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements.

This section describes the skills and knowledge required for this unit.

Required skills 

• communication skills to:

• consult with regulatory authorities to determine the scope of compliance requirements
• provide clear and accurate information to personnel about roles and responsibilities in regulatory compliance

• critical thinking skills to evaluate areas of business operation and determine scope of compliance
• learning skills to proactively maintain current knowledge of regulatory requirements
• literacy skills to:

• read and interpret unfamiliar and complex materials describing regulatory requirements
• research regulatory requirements specifically applicable to the business operation
• write comprehensive yet easily accessible regulatory policies and procedures; complete complex documentation required by regulatory authorities

• planning and organising skills to research, establish and regularly monitor all components of a business compliance system
• problem-solving skills to evaluate business operations for non-compliance and implement changes to practices
• self-management skills to take responsibility for regulatory compliance
• teamwork skills to share updated regulatory knowledge with personnel.

Required  knowledge 

• legal responsibilities and liabilities of managers and directors in varying business structures
• sources of information and advice on regulatory compliance including:

• local, state, territory or commonwealth government departments or regulatory agencies
• industry associations
• plain English documentation that explains the operational requirements of legislation

• functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries
• methods of receiving updated information on laws and licensing requirements
• use of policies and procedures in managing regulatory compliance
• a range of formats for and inclusions of policies and procedures
• objectives and primary components of a broad range of local, state, territory and commonwealth government laws to which all types of businesses must comply including those that cover:

• anti-discrimination especially provisions for Equal Employment Opportunity (EEO) and harassment
• Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
• contracts
• employer superannuation contributions
• environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents
• Fair Work Act 2009 especially provisions for National Employment Standards (NES)
• local community protection especially provisions for land management and access and protecting the lifestyle of neighbouring residents
• taxation
• workplace relations
• public liability and duty of care
• work health and safety
• Workers Compensation especially provisions for injury reporting and occupational rehabilitation

• objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators within the tourism, hospitality and event industries; chosen to be applicable to the individual’s context these could include:

• Criminal Code Act 1995 - 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
• Queensland Tourism Services Act (2003)
• Residential Tenancy Act
• responsible conduct of gaming
• travel agents licensing

• for each relevant law, code, standard and licensing requirement, the depth of knowledge must cover any:

• 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 including public liability and workers compensation
• 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.