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Research and comply with regulatory requirements

April Rose Kabigting, 10014

Instructor: Xavier Robinson

In its business sense, “compliance” refers to a company meeting its legal
obligations, often to protect the health, safety and welfare of others.
Simple examples of compliance include obtaining a business license in
your town and paying your taxes. The importance of compliance is more
evident as issues become more complex when your business grows. You
will have expanded responsibilities regarding your workers, covering
hiring, firing, discrimination, harassment, safety, wages, payroll and
benefits. The way you make and sell your product and service might fall
under the auspices of a government agency, such as a restaurant needing
to meet health department guidelines.



Occupational Health and Safety (OHS)

Occupational health and safety is a broad area of the law that can be divided into three

Common law rules - these laws made by the courts, such as negligence, trespass and
defamation are applicable throughout Australia and detailed in the National Occupational
Health and Safety Commission Act 1985.

State and territory laws that deal with general occupational health and safety issues and
with particular industries, work processes and equipment. These laws generally take the
form of a series of rules and penalties.

State and territory worker's compensation legislation that protects employees in the case
of on-the-job injuries.

Incident Reporting

The model WHS Act requires you notify your regulator of certain types of workplace
 You are only required to notify your regulator of the most serious safety incidents,
and they trigger requirements to preserve the incident site pending further direction
from your regulator.

Notifiable incidents are:

 The death of a person—whether an employee, contractor or member of the
 A serious injury or illness.
 A dangerous incident that exposes any person to a serious risk, even if no one is

If a notifiable incident occurs the model WHS Act states that:

 The regulator must be immediately notified.
 Written notification must be submitted within 48 hours if requested by the
 The incident site is preserved until an inspector arrives or directs otherwise.
However this doesn’t prevent any action to help an injured person or make the site
safe. Call 000 if there is an immediate risk to life.

Schedule: Every after an incident, Every 3 months full report

Checklist: Was the procedure during the incident followed? Does the policy adhere with
the law? Is the policy updated? Is the staff aware of what to do during the incident?
Action Plan: Check medical certificates, Check incident form
Compliance Officer: Monitor staff about policy knowledge and proper compliance

Hazardous Manual Handling - Victoria

Most jobs involve some form of manual handling. You will require this code if your
business involves manual handling to move products and equipment, designer of
buildings or a manufacturer or supplier. Manual handling is a broad term used to
describe a range of activities including:

 lifting, pushing, holding, throwing and carrying

 repetitive tasks such as packing, typing, assembling, cleaning and sorting
 using hand-tools
 operating machinery and equipment.

The code provides practical guidance for the presentation, identification,

assessment and control of risks within the workplace.

Meeting the requirements of a compliance code means that you have fulfilled your
occupational health and safety duties and obligations in relation to the matters
covered by the compliance code.

Please consult the responsible agency for more information and to ascertain the
level of compliance (if any) that may be required.

Service type
Code of Practice
A code of practice is a set of rules which details how people in a certain industry
should behave. A code of practice can be defined as a result of legislation or by
industry regulators and bodies.

Schedule: Every 6 months

Checklist: Was the policy followed? Was the action during the incident according to the
Action Plan: Check whether compliance is followed
Compliance Officer: Monitor and supervise staff

Superannuation Guarantee- Australian Government

The company has an obligation to pay superannuation contributions on behalf of all

eligible employees, in addition to their wages and salaries. This compulsory
superannuation guarantee requires you to:

 pay superannuation for all your employees

 contribute to their preferred super funds if available
 pay the contributions by the quarterly cut off dates: 28 October, 28 January, 28
April and 28 July.
Service type
A licence defines the need to obtain recognition / certification and registration to
undertake a certain business activity.

You are considered an employer if you employ workers under a verbal or written
employment contract on a full-time, part-time or casual basis. You may also be
considered an employer if you make payments to a worker under a contract.

Generally, you have to pay superannuation for your employees if they:

 are aged between 18 and 75

 are paid $450 (before tax) or more in a calendar month
 work full-time, part-time or on a casual basis (including family members and
company directors).
You may also have to pay superannuation for any employees who are visiting
Australia on an eligible temporary resident visa.

If you do not meet your obligations, including paying your employee

superannuation contributions to the correct fund, you may face penalties.

Please consult the Contact Officer for more information regarding eligibility

Schedule: Quarterly cut-off dates

Checklist: Was the employee given the right compensation and superannuation? Was
the superannuation remitted on time?
Action Plan: Check financial records of company, Check employee payslips
Compliance Officer: Monitor financial records and update policy according to law

Fair trading

Australian federal and state laws protect you, your business and your customers from
unfair trading practices. These laws, together with industry Codes of Practice, help your
business operate fairly and competitively, and make sure your customers are properly
informed and protected.

Warranties and refunds

If you sell goods

You must fulfil certain conditions and warranties set out by the Competition and
Consumer Act 2010 (CCA). Your goods must:

 be of merchantable quality—goods need to reach a basic level of quality given the

price of the goods and any description that is provided with the goods

 be fit for the purpose or job that they are meant to provide and fulfil purposes
made known to the consumer

 match any description or sample given to the consumer whether in promotional

material, over the phone, in person, on a website or on labelling or packaging
 be free from defects and faults

 be clear of finance or encumbrances not disclosed to the consumer so that the

consumer can have free title to the goods.

When you sell goods, you enter into a contract with the consumer. If you don't meet
your obligations, you may have to provide a refund or replacement.

If you provide a service

If you provide a service you're obliged to carry it out with due skill and care. Make
sure that any materials you provide as part of this service are fit for the purpose.

If you don't meet any of these obligations, you could have to repeat the service or
pay for someone else to carry it out. The consumer may also be able to claim
compensation for expenses incurred as a result, such as loss or damage. You may
have to bear this cost.

When do I have to give a refund or replacement?

If there is a problem with your products or services you must provide a refund,
replacement, repair or other remedy if you fail to meet your obligations under the
CCA (outlined above).

You don't have to provide a refund if the customer doesn't have proof of purchase
(eg. a receipt), has just changed their mind, if they have damaged the goods, or
they knew about a fault beforehand (eg. factory seconds).

Under Australian Consumer Law, you are required to provide a remedy if your
products or services:

 are faulty (even if the customer only found out it was faulty after using the

 don't match the sample or demo model

 don't match the description

 don't do what the salesperson said it would

 don't do what the customer asked for.

If a customer simply changes their mind, you aren't legally required to give them a

What type of remedy do I have to provide?

The problem with your product or service is major if it can't be fixed, would take too
long to be fixed, or is too difficult to fix.

In this instance, the customer can choose to:

 return the item and have it refunded or replaced

 keep the item and be compensated for its drop in value.

The problem with your product or service is minor if it can be fixed within a
reasonable time frame. In this case, your customer must give you the chance to fix
the issue. You can choose whether to refund, repair or replace the item. However, if
you are going to repair the item, you are responsible for dealing with the

Schedule: Every after incident reports, Monthly for full report

Checklist: Was the refund policy followed? Is the policy updated? Was the staff aware of
the policy?
Action Plan: Check incident report and give action according to the policy
Compliance Officer: Supervise employees, Check company compliance with the

Food Safety

Food Safety legislation governs the standards for all food processing, handling,
preparation, and storage in ways that prevent foodborne illness.

Responsible Service of Alcohol

Responsible Service of Alcohol (RSA) is a legal requirement under s73 of the Liquor
Act that ensures that licensees and staff understand their obligations in selling and
providing alcohol responsibly.

RSA is important as all persons working in the liquor industry are required to hold a
RSA competency card. RSA practices aim to minimise harm by ensuring that the
Objects of the Liquor Act are upheld.

The Objects of the Act include:

 The need to minimise harm associated with misuse and abuse of alcohol
 The need to encourage responsible attitudes and practices towards the
promotion, sale, supply, service and consumption of liquor
 The need to ensure that the sale, supply and consumption of alcohol contributes
to, and does not detract from, the amenity of community life.

Who is required to have RSA training?

A person supplying, serving or selling alcohol (on licence or off licence) is required
to hold a current RSA competency card. To gain a RSA competency card, a person
must complete an OLGR approved RSA training course and apply for a competency
card within 90 days of completing the course. RSA training is required of:
 Licensees
 Approved managers
 Staff
 Security officers
 RSA marshals
 Volunteers involved in the supply and service of alcohol
A person who is required to complete an RSA course must carry their competency
card on them while they are at work.

Supplying alcohol to an intoxicated person

It is an offence to supply alcohol to an intoxicated person. The licensee or staff can
be fined up to $11,000 or they can be issued with an on the spot penalty notice.
It is also an offence for a patron to supply alcohol to an intoxicated patron. The
patron supplying the alcohol can be fined up to a maximum of $1,100.
Making a complaint to OLGR about RSA practices Complaints can be made to OLGR
about breaches in RSA practices.

Complaints can be in relation to the sale and supply of alcohol to an intoxicated

patron, or the sale and supply to a minor.

The online form for lodging a complaint is available on the OLGR website. The
complaint form requires information on the complainant. Information is also required
on the licensed premise such as details about the date and frequency of the
complaint, if the complainant has raised the issue with anyone at the premises and if
the complainant has raised it with other interested parties such as police.

To assist in making a complaint the relevant Intoxication Guidelines should be

referred to. This will help with objectively assessing the observed levels of
intoxication of patrons consistent with the indicators referred to in the Intoxication

Schedule: Every month

Checklist: Does everyone in your staff know the policy regarding alcohol intake and how
to handle customers who had alcohol intake? Does your staff have the permit and
knowledge on how to sell alcohol?
Action Plan: Check RSA certificate of hired staff. Have staff training when possible on
how to handle incidents like stated above
Compliance Officer: Monitor and supervise staff, make sure all staff have enough
knowledge regarding the policy


The Privacy Act 1988

The Privacy Act 1988 (Commonwealth) is an Australian law which regulates the
handling of personal information about individuals. This includes the collection, use,
storage and disclosure of personal information. In terms of access to records about
an individual's time in institutional 'care', the Commonwealth Privacy Act may be
relevant to records held by a non-government organisation, where the organisation's
records are not covered by the state or territory's information privacy laws. New
privacy laws will come into effect in Australia on 12 March 2014.

The Act has 11 Information Privacy Principles that apply to the handling of personal
information by most Australian, ACT and Norfolk Island public sector agencies, and
10 National Privacy Principles that apply to the handling of personal information by
large businesses, all health service providers and some small businesses and non-
government organisations.

The following National Privacy Principles (or NPPs) are particularly relevant to records
relating to a person's time in 'care':

NPP 5: openness
An organisation must have a policy on how it manages personal information, and
make it available to anyone who asks for it.

NPP 6: access and correction

Gives individuals a general right of access to their personal information, and the right
to have that information corrected if it is inaccurate, incomplete or out-of-date.
NPP 10: sensitive information
Sensitive information includes information relating to health, racial or ethnic
background, or criminal records. Higher standards apply to the handling of sensitive

Privacy registers
The Office of the Australian Information Commissioner (OAIC) maintains a number of
privacy registers, including a codes register and an opt-in register.

The Australian Information Commissioner has the power to make determinations on
privacy complaints made to the OAIC.

CII reports
The Australian Information Commissioner has the power to undertake investigations
when they consider there may have been a privacy breach. This is called a
Commissioner initiated investigation.

The Australian Information Commissioner has the power to undertake an assessment
of public or private sector organisations that are covered by the Privacy Act.

Schedule: Monthly
Checklist: Is the staff aware of the importance of this policy? Does your staff adhere to
the policy?
Action Plan: Make sure the policy is updated and staff have enough knowledge about it
Compliance Officer: Monitor staff output, Check policy compliance


How to communicate policies and procedures to staff:

Inform employees up-front

At the start of the project, let employees know that the company will work on
developing (or updating) company policies and procedures.
Explain why the information is important and relevant, and what impact it will
have on them.
Ask for feedback
 To encourage employee involvement and buy-in, ask employees for their ideas
about what they think should be included in the employee handbook or policy manual.
 Incorporate as much of the employee feedback as possible.
 Involve employees in drafting particular sections of the policy document if it
makes sense.
Introduce final product
 Conduct a meeting with all staff to introduce the completed handbook or manual
and review its purpose.
 Reinforce its importance and how it should be used.
Ask employees to review employee handbook or policy manual
 Provide employees a chance to ask questions.
 Distribute the completed handbook or manual to staff, either in a hard copy or
advise them how to access the document electronically.
 Ask employees to provide feedback on improving the document.
Provide training where required
 Some policies and procedures may require more extensive and intensive training
to ensure that employees understand how the policy applies to them, so provide
employee training, as required.
 Training does not have to be provided all at once. You can schedule training
sessions on an on-going basis or on an as-needed basis.
Request employee sign-off
 It is important for staff to read the document to become familiar with the
company’s policies.
 Request each employee sign-off on having read the document.
 A copy of the sign-off should be placed in the employee’s personnel file.



Single Touch Payroll

From 1 July 2018, the Australian Taxation Office (ATO) will introduce the Single Touch
Payroll (STP). If you employ 20 or more employees, you will need to report to the ATO
each time you pay your employees. The information you need send to the ATO
includes your employees' salaries and wages, allowances, deductions (for example,
workplace giving) and other payments, pay as you go (PAYG) withholding and

Country of origin food labelling

From 1 July 2018, if your business grows, produces, manufactures, distributes, imports
or sells food in retail stores in Australia, you will need to comply with the new Country
of Origin Labelling laws. This means food products sold in Australian supermarkets or
retail outlets must display the new food labels.

Changes to gift card expiry dates and fees for NSW

From 31 March 2018, gift cards and gift vouchers purchased in NSW will have a three
year expiry date. NSW businesses that issue gift cards or gift vouchers will need to
honour the purchase if it’s within that period. Businesses issuing gift cards or gift
vouchers prior to this date are not affected by the changes.

Updates to the National Privacy Act – Data Breach Changes

From 22 February 2018, businesses with an annual turnover of more than $3 million
are required to comply with the Notifiable Data Breaches scheme under the Privacy
Act 1988. A data breach occurs when unauthorised personal information is accessed
or released. If the breach is likely to cause serious harm to an individual, businesses
are obligated to notify both the individual involved, and the Office of Australian
Information Commissioner (OAIC).

Changes to casual & part-time entitlements in some awards

From 1 January 2018, the Fair Work Commission made changes to some award rates
and minimum shift entitlements for casual and part-time employees come into effect.
This means business owners need to pay staff affected the updated award from the
first full pay period after 1 January 2018.


Effects can vary depending on which changes the business face because of the change in
law. It can impact both the business and staff either in a positive way or in the opposite

For example, as what we have above, the change in the entitlements of the casual and
part-time worker. This can affect the staff in a positive way because the will get extra
income in the form of the award they are now entitled to. On the other hand, it will cost
the business some additional expense.

Also, the new law created by the legislation can give some additional work to the
business and might cause the change for the business whether it can still continue to
operate or not. That is why the business needs to always be compliant and updated with
the law trend.



Policies need to be provided and explained to new and existing employees for it to be

In the unfortunate occasion where courts and tribunals will be involved with an
employer to employee case, it is unlikely to uphold dismissals for breach of
workplace policies if the policies have not been communicated properly to
employees or have not been applied consistently.

Informing your staff of their legal and ethical obligations is an important aspect of
ensuring legal compliance. This should form part of the selection and induction
process, as well as part of your regular staff training.

For example, if you serve alcohol over the bar or in your restaurant, you need to
ensure that the business and its staff are appropriately licensed and qualified. When
hiring bar staff, most businesses state RSA and/or RCG qualifications as selection
criteria. During the induction process, the staff should be informed about the policies
governing alcohol service in the particular establishment. For long-serving staff
members, refresher courses and update sessions would be appropriate to ensure
ongoing legal compliance with the Liquor Acts.

In larger establishments that employ Finance and HR staff, it is essential that they
understand the latest legislation. At least one member of the staff should attend
periodic seminars on the latest developments in the relevant laws. This staff member
can then hold debriefing sessions at which they outline the key points to the rest of
the staff. Procedures and policies should also be updated following these sessions.

In small businesses it is usually the owner or senior manager's responsibility to

ensure legal compliance. This means that this person will need to keep all staff
informed of requirements. This would involve recording, interpreting and distributing
relevant legal information to the appropriate people. In most cases it is important to
inform colleagues and employees of the best way to ensure compliance in their
particular areas. Organisation-wide issues such as WHS should be discussed with the
entire staff, not just individuals.

Policy and Schedule Checklist Action Plan Compliance

Procedure Officer
Incident Every after an Was the Check Monitor staff
Reporting incident, procedure during medical about policy
Every 3 the incident certificates, knowledge
months full followed? Does Check and proper
report the policy adhere incident form compliance
with the law? Is
the policy
updated? Is the
staff aware of
what to do
during the
Hazardous Every 6 Was the policy Check Monitor and
Manual months followed? Was whether supervise staff
Handling the action during compliance is
the incident followed
according to the

Superannuatio Quarterly cut- Was the Check Monitor

n Guarantee off dates employee given financial financial
the right records of records and
compensation company, update policy
and Check according to
superannuation? employee law
Was the payslips
remitted on
Warranties and Every after Was the refund Check Supervise
Refunds incident policy followed? incident employees,
reports, Is the policy report and Check
Monthly for updated? Was give action company
full report the staff aware according to compliance
of the policy? the policy with the

Responsible Every month Does everyone in Check RSA Monitor and

Service of your staff know certificate of supervise
Alcohol the policy hired staff. staff, make
regarding alcohol Have staff sure all staff
intake and how training when have enough
to handle possible on knowledge
customers who how to regarding the
had alcohol handle policy
intake? Does incidents like
your staff have stated above
the permit and
knowledge on
how to sell
Privacy Act Monthly Is the staff aware Make sure Monitor staff
1988 of the the policy is output, Check
importance of updated and policy
this policy? Does staff have compliance
your staff adhere enough
to the policy? knowledge
about it

**Compliance Officer are the managers, supervisors and officeholders of the