SITXGLC001 assessment B short answer

SITXGLC001 RESEARCH AND COMPLY WITH REGULATORY REQUIREMENTS – Short answer

Assessment B – Short answer

SECTION 1: REsearch information required for legal compliance

Q1: State the three stages of creating a business compliance system.

Stage 1: Research your business requirements

Stage 2: Establish your business compliance system

Stage 3: Monitor your business compliance system

Q2: List six sources of information you can use to check and help to keep up to date with compliance, laws and licensing requirements applicable to your business. (choose page 5,6,7)

  • Internet
  • Professional networks
  • Reference books
  • Media
  • Industry journals
  • Local government offices.

Q3: For these four areas of business, list the systems or procedures you would implement to ensure compliance with relevant legal and licensing requirements.

Liquor licence

Liquor license –Responsible service of alcohol (RSA) is part of the hospitality industry's response to changing community attitudes towards alcohol abuse. There are strict laws that dictate:

  • when and where alcohol may be absorbed
  • who can purchase and consume it
  • when service must be refused.

Gaming licence

Gaming license –Responsible conduct of gaming (RCG) State and territory governments are responsible for the regulation of gambling and provision of gambling services. They specify who can obtain a gambling license, and under what conditions. They also determine the amount of tax payable on gaming revenue and when this must be paid

Consumer protection


Consumer protection –Australian consumer law (ACL) ensures business is conducted in a way that guards customers against unfair practices (fraud, unsafe products, price fixing, misrepresentation of goods and services)

EEO and anti-discrimination

EEO and anti-discrimination –Work, health and safety (WHS) is about providing a fair go for all. There are nine federal Acts and comparable state and territory laws that govern EEO and anti- discriminatory practices in the workplace

Q4: What organisations would you consult to access regulatory information and requirements relevant to the following business operations in travel, tourism, hospitality and events?

Deducting the correct amount of payroll tax.

ATO and State/Territory Revenue Office

Maintaining a safe workplace.

The Fair Work Act 2009

Ensuring advertisements are legal.

The Australian Competition and Consumer Commission (ACCC)

Paying the right amount of super to employees.


The Fair Work Act 2009

Q5: List five risks, penalties and consequences of not complying with the Food Standards Australia New Zealand Act 1991. (choose pg 72)

  • Business owners, employers, workers and food handlers can be held liable for breaches of food safety
  • Civil action from affected people can be instigated.
  • The business faces legal action.
  • If found guilty all parties face prosecution, heavy fines, and / or imprisonment.
  • If found guilty, you'll have a criminal record which may affect your ability to work in, own or operate a food business in the future.
  • The business may be permanently or temporarily closed.

Q6: A colleague has accused you of sexual harassment. Despite the involvement of your manager and trade union representative, the issue remains unresolved.

Do you need specialist legal advice in this situation? If so, who would you contact? If not, why not?

In this regard, I will need the help of the appropriate government agency. It may go to Sex discrimination Act 1984 for further referral.

Q7: The following sentence describes your legal responsibility as a manager when it comes to EEO. Complete this sentence in five different ways.

Under the Australian Human Rights Commission Act 1986, it’s illegal to discriminate against people because of their: (choose pg 12)

  • Age
  • Gender
  • Colour
  • Marital or parental status
  • Lawful sexual activity
  • Pregnancy
  • Race or cultural background

Q8: Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law.

  • Treat customers and colleagues justly according to natural laws and/or their rights.
  • Deal fairly, equally, respectfully and sensitively with everyone.
  • Don't show partially or favouritism for one person over another.
  • Don’t grant special favours to someone just because they have certain social or cultural attributes.
  • Don’t discriminate against, threaten, humiliate or intimidate people because of their social or cultural attributes.

Q9: Describe how to comply with Australian Consumer Law (ACL) and what practices are prohibited by law.

How to comply

  • Bona fide supplier
  • Goods are of acceptable quality
  • Descriptions are accurate
  • Right to a refund
  • Warnings given about cancellation fees.

Prohibited practices

  • Substituting products
  • Misleading pricing
  • False advertising
  • Misleading prize giveaways and competitions

Q10: What are the six fundamental principles needed for a contract to be legally binding?

Intention

Agreement

Offer

Acceptance

Consideration

Capacity

Genuine consent

Legality

Q11: Define these consequences of not complying with a contract.

Rescission

Cancellation of the contract. Everything returns to as though the contract never repeated

Mandatory injunction

Orders one party to do something.

Prohibitory injunction


Orders one party to stop doing something.

Q12: Which employees are employers legally obligated to pay super to?

Pay super to employees aged 18 or over, who:

  • are paid $ 450 (before tax) or more in a calendar month, and
  • work full-time, part-time or casually.

Pay super to employees under the age of 18, who:

  • earn $ 450 (before tax) or more in a calendar month, and
  • work more than 30 hours per week.

Q13: What are the record keeping requirements for super?

You must keep records that show:

  • The amount of super you paid for each employee and how it was calculated
  • That you have offered your eligible employees a choice of super fund
  • How you calculated any reportable employer super contributions.

Q14: List four ways to comply with taxation laws.

  • Make sure all of your employees have a registered TFN.
  • Calculate GST, CGT, FBT properly.
  • Submit your BAS on time.
  • Calculate and lodge payments and forms by set dates

Q15: Identify six records you should keep to prove you are complying with taxation laws.

  • Expenses (check stubs, receipts, invoices, credit card statements, petty cash logs, etc.)
  • Income and sales records (records of cash sales, cash register tapes, receipt books, invoices, etc.)
  • Records Regarding employees (wages, allowances, super payments, etc.)
  • FBT calculations
  • TFN declarations or withholding declarations
  • Contracts and Agreements
  • Asset purchase records or register

Q16: What organisation conducts tax audits?

Australian Taxation Office (ATO).

Q17: State the basic components of environmental protection laws

The regulatory requirements of environmental law can impact every area of your business so it's important to understand how you can comply with them.

  • Federal
  • State and territory
  • Environmental hazard identification
  • Following minimal impact practices
  • Reporting incidents
  • Managing land and access to land
  • Protecting the lifestyle of neighbors residents

Q18: What are three consequences of non-compliance with environmental law?

Significant penalties exist for any individual or business acting in breach of environmental laws.

  • Heavy fines
  • Jail sentences
  • Clean-up orders

Q19: Describe two key components of the Fair Work system created under the Fair Work Act 2009.

  1. Enterprise agreements – These define the conditions of employment for a group of employees at one or more workplaces. There are three types of enterprise agreements under the FW Act. Each one is a type of collective agreement. They must comply with the minimum standards specified in the NES.
  2. Modern Awards - These define the minimum working conditions for employers and employees throughout Australia, who work in the same industries and occupations.

Q20: The National Employment Standards (NES) sets out ten minimum entitlements that apply to all employees and employers in the national workplace relations system. List five of these entitlements.

  1. Maximum weekly hours of work
  2. The right to request flexible working arrangements
  3. Parental leave and related entitlements
  4. Annual leave
  5. Personal/ carer’s leave and compassionate leave.

Q21: List six things an employer must do to comply with their duty of care and legal obligations under WHS legislation.

Duty of care:

  • Provide and maintain a safe and healthy working environment.
  • Provide and maintain safe plant and work systems.
  • Ensure that the use, handling and storage and transport of plant and substances are safe and without risk to health
  • Provide facilities for the welfare of employees.
  • Provide information, instruction, training and supervision as necessary to enable employees to work safely and without risks to health and safety.
  • Provide personal protective equipment, such as lifting harness, back support braces, gloves, etc

Legal obligations:

  • Maintain the health of their employees.
  • Monitor conditions in the workplace.
  • Maintain health and safety records of employees at the workplace.
  • Engage persons suitably qualified in WHS to provide appropriate advice.
  • Nominate a person with an appropriate level of seniority and training to be the
  • employer's Health and Safety Representative (HSR) when health and safety issues
  • Where appropriate, provide information about health and safety in different languages

Q22: List four employees’ responsibilities under WHS legislation.

  • Ensure your own safety as well as that of other workers and people in the workplace.
  • Take responsibility and participate in WHS safety practices.
  • Follow safety directions from supervisors and managers and obey their requests to comply with WHS policies and procedures if it's 'reasonably practicable' to do so.
  • Cooperate with their employer on any action taken by the employer to comply with WHS legal requirements

Q23: Workers’ compensation insurance is compulsory. What does it cover you for?

  • A water pipe bursts and floods your restaurant!
  • The tour bus crashes!
  • Your front office is broken into and burgled.
  • An electrical surge fries your computer system!
  • A bushfire destroys your building!
  • A concert-goer is hurt in the mosh pit!

Q24: What does public liability insurance cover you for?

Public liability insurance covers you if someone sues you and you are found negligent and gathering for:

  • The death or injury of a person
  • Loss or damage caused to someone else's property
  • Economic loss results from your negligence.

The amount of money you are subscribed to pay is known as compensation.

Q25: Name four practices prohibited under RSA.

  1. Customers who are under the age of 18 (minors)
  1. Customers purchasing on behalf of minors
  1. Intoxicated customers
  1. Customers affected by the consumption of illicit or other drugs.

Q26: What are two record keeping requirements of RSA?

  1. Training records of staff participation in RSA training.
  1. An incident records.

Q27: Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three of them.

  • Staff involved in gaming must hold a special employee license and undertake an Approved Responsible Conduct of Gaming Course. Gaming staff must also have training in how to approach and deal with customers who are suspected of having a gambling problem.
  • Gaming establishment owners must display certain state / territory approved signs warning customers of the risks of gambling and help that is available. Laws dictate where these signs must be displayed, such as on poker machines, ATMs and at the cash exchange counter.
  • Establishment owners must have responsible gaming and referral material available to give to customers who they think may have a gambling problem, or who ask for it. (This includes information in languages other than English.

Q28: What two practices are prohibited when it comes to gaming?

  • Gaming operators should not permit a customer to play more than one machine at a time. Signs should be displayed stating this requirement and consequences (such as removal from the gaming area) should apply to customers who do not comply.
  • Gaming operators must not offer alcohol as a reward or to entice or promote continued gambling.

Q29: The Australia New Zealand Food Standards Code is a mandatory code of conduct enshrined in the Food Standards Australia New Zealand Act 1991. State four of its basic principles.

  • Any food sold from the premises must be safe and suitable for human consumption.
  • The premises (including the equipment, appliances and utensils used in the premises) must be kept in a clean and sanitary condition.
  • Prepared food is stored in a manner that protects it from contamination (glossary).
  • Food handlers must take all reasonable measures to ensure the safety and suitability of the food they help produce.

Q30: Explain four ways a travel agent could support the Criminal Code Act 1995.

  • Establish a corporate ethical policy against commercial sexual exploitation of children.
  • Train personnel in the country of origin and travel destinations to be aware of and report child sex tourism.
  • Introduce clauses in contracts with suppliers, stating a common repudiation of sexual exploitation of children.
  • Provide information to travelers through catalogs, brochures, in-flight films, ticket-slips, websites, etc

Q31: What maximum fine could a corporate body face if found complicit with sexual offences against children?

  • Fines of up to $825,000
  • 25 years imprisonment for engaging in sexual relationship with a child over a period of time

Q32: Do you need a licence to be a travel agent?

One major change is travel agents are no longer required to hold a travel agent's license. However, they must still comply with all other laws, such as the Australian Consumer Law (ACL). The Australian Federation of Travel Agents (AFTA) has developed a voluntary accreditation scheme, establishing industry standards for accreditation, education and training.

Q33: What are two objectives of the Queensland Tourism Services Act?

  1. Establishing a registration system for inbound tour operators
  1. Providing for codes of conduct for inbound tour operators and tour guides

Q34: Does the Residential Tenancies Act 1997 apply to hotels, motels or temporary mobile homes?


They don’t apply to hotels, motels, or temporary mobile homes.

Q35: List two minimum standards the European Package Travel Directive lays out to protect customers.

  • Information provided to the customer
  • Formal requirements for package travel contracts

SECTION 2: develop and communicate policies and procedures for legal compliance

Q36: Whose legal responsibility is it to ensure all staff have the knowledge and skills needed to carry out their duties in compliance with the law?

A Manager.

Q37: Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy.

  • State how your intent to comply with legislative requirements.
  • Make sure the policy is relevant to the organisation’s overall vision, mission and objectives.
  • State your commitment to continuous improvement.
  • Nominate and define the roles and responsibilities of all parties in the workplace to ensure regulatory compliance.
  • State your commitment to consultation with employees

Q38: You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law.

  • Accident and incident reporting
  • Counselling and discipline
  • Customer service
  • Cancellations, refunds and exchanges
  • EEO
  • Food handing and hygiene

Q39: Name two places you can keep policies and procedures so they’re accessible to all staff.

  • Reception
  • Operation manager's office
  • Intranet

Q40: Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance.

  • The documents act as a reference point for all employees involved.
  • The documents clearly define what's expected of staff.

Q41: Who should you distribute policies, procedures and legal information to?

Personnel

Q42: Describe six ways you could distribute, communicate and share policies, procedures, legal information and updates in an organised way so staff know their roles and responsibilities regarding compliance.

  • Set yourself a schedule and deadline for communicating compliance information and changes.
  • Communicate compliance information and changes to staff immediately. You don’t want some employees working under the old system and some under the new.
  • Conduct briefings prior to commencement of service periods, delivery of tours, operation of events, functions, etc.
  • Have a communication plan in place to ensure all staff are informed of compliance information, any changes that impact on their role, and when they come into effect.
  • List all employee names. Remember to communicate to volunteers, trainees, casuals, part-time employees and employees on maternity leave, long service leave, personal leave, annual leave, etc.
  • Issue a written notice to employees with their pay slip.

SECTION 3: ensure compliance with legal requirements

Q43: You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first.

  • Office of Fair Trade
  • ACCC
  • ATO
  • State Revenue Offices
  • APRA
  • ASIC

Q44: A staff member is about to have a meeting with a representative of the WHS authority to determine the scope of compliance requirements for the new restaurant. Provide them with seven communication tips.

  • Maintain eye contact
  • Be professional
  • Speak clearly
  • Use the right tone
  • Know what you are talking about

Q45: List four ways to monitor and continually evaluate your business compliance system.

  • Conduct internal audits and inspections
  • Maintain business and occupational licenses
  • Check contractor compliance
  • Implement a risk management system to avoid risk to business

Q46: What are the three components of risk management?

  • Risk identification
  • Risk assessment
  • Risk control

Q47: What is a risk assessment used to measure?

  • Effectiveness of current compliance.
  • Likelihood that a breach of legal or licensing requirements will occur.
  • Severity of the consequences to the business.
  • Urgency to take action.

Q48: Read the following two scenarios. Describe any potential breaches of legislation you identify.

An employee continues to serve alcoholic drinks to an intoxicated customer who is playing pokies in an establishment.

  • RSA
  • Gamming Act.

A manager advertises a vacant position for a female receptionist.

  • EEO
  • Discrimination

Q49: Choose one of the breaches from Q48. Describe step-by-step how you’d implement modifications to your business compliance plan with your team to ensure compliance.

A manager advertises a vacant position for a female receptionist.

  1. Identify opportunity for improvement
  2. Discuss improvement ideas with key personnel
  3. Develop and agree upon proposed changes
  4. Develop new policy procedures systems of work or make amendments to existing conditions
  5. Communicate changes to business compliance to all staff so they can take implementation from them

SECTION 4: maintain personal and organisational knowledge of regulatory requirements

Q50: Identify four methods you can use or opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements.

  1. Conferences
  2. Conventions
  3. Seminars
  4. Industry awards

Q51: List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements?

  1. Discussion with trainee
  2. Discussion with their colleagues
  3. Discussion with key personnel
  4. Your observation

Q52: Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?

  • When you subscribe to an industry accreditation scheme, you're agreeing to comply with the minimum standards outlined by the accreditation body on an ongoing basis
  • It's not enough to pass the initial test. You must continue to ensure that all practices comply with the requirements on an ongoing basis.
  • Staff need to be aware of the requirements and how this affects their role. Failing to comply with set criteria could result in the establishment being deregistered and losing the right to use the recognised logo
  • Whenever changes are identified to laws or licensing requirements, it's your responsibility to review and distribute new plans, policies and procedures. It's not enough to simply point out the change. You must document it and ensure it's communicated, understood and accepted by all personnel
  • New information must always be incorporated into the rising operation and workplace planning
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