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)
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 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:
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 –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)
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)
Q8: Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law.
Q9: Describe how to comply with Australian Consumer Law (ACL) and what practices are prohibited by law.
How to comply
Q10: What are the six fundamental principles needed for a contract to be legally binding?
Q11: Define these consequences of not complying with a contract.
Cancellation of the contract. Everything returns to as though the contract never repeated
Orders one party to do something.
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:
Pay super to employees under the age of 18, who:
Q13: What are the record keeping requirements for super?
You must keep records that show:
Q14: List four ways to comply with taxation laws.
Q15: Identify six records you should keep to prove you are complying with taxation laws.
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.
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.
Q19: Describe two key components of the Fair Work system created under the Fair Work Act 2009.
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.
Q21: List six things an employer must do to comply with their duty of care and legal obligations under WHS legislation.
Duty of care:
Q22: List four employees’ responsibilities under WHS legislation.
Q23: Workers’ compensation insurance is compulsory. What does it cover you for?
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 amount of money you are subscribed to pay is known as compensation.
Q25: Name four practices prohibited under RSA.
Q26: What are two record keeping requirements of RSA?
Q27: Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three of them.
Q28: What two practices are prohibited when it comes to gaming?
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.
Q30: Explain four ways a travel agent could support the Criminal Code Act 1995.
Q31: What maximum fine could a corporate body face if found complicit with sexual offences against children?
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?
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.
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?
Q37: Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy.
Q38: You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law.
Q39: Name two places you can keep policies and procedures so they’re accessible to all staff.
Q40: Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance.
Q41: Who should you distribute policies, procedures and legal information to?
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.
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.
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.
Q45: List four ways to monitor and continually evaluate your business compliance system.
Q46: What are the three components of risk management?
Q47: What is a risk assessment used to measure?
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.
A manager advertises a vacant position for a female receptionist.
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.
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.
Q51: List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements?
Q52: Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?
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