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SITXGLC001 – Research & Comply with Regulatory Requirements
Assessment 1 – Written Questions
Question 1
[a] Sole Trader
Legal responsibilities as well as liabilities pertaining to managers/ directors at sole trader firms shall include: [1] being legally responsible with respect to all of the aspects concerning their business, and [2] being responsible to liabilities of their business, that is liability can be noted to be unlimited.
[b] Company
Legal responsibilities as well as liabilities pertaining to managers/ directors at company shall include the following: [1] having legal obligations in terms of performing the duties as well as management of company’s affairs in the manner outlined in Corporations Act, 2001, and [3] Company will be considered as distinct legal entity, and hence personal liability is limited.
[c] Partnership
Legal responsibilities as well as liabilities pertaining to managers/ directors at a partnership shall include the following: [1] being legally responsible with respect to all of the aspects concerning their business, and [2] being responsible to liabilities of their business, that is liability can be noted to be unlimited.
Question 2
    Reference Books
    Information on hospitality industry related policies/ procedures, and acquiring recent and updated information
    Media
    Government proposals for changing legislation, requirements concerning licensing / regulations / legislation which shall impact the managers and the owners, and learning key lessons from mistakes of others in terms of non-compliance and its consequences.
    Industry Journals
    Updated information concerning industrial/ legislative changes, and minute details concerning the same
    Internet
    Industry changes, obtaining online advice, following legal discussions, ordering reference/ resource materials
    Computer Data
    Statistics, quantitative, transactional, and other non-transactional data when analysed using data analytics offer insight into risk assessment of potential non-compliance
    Legal Experts / Lawyers
    Staying within actual expertise area, conducting thorough investigation, knowing ways for operating specific issue, understanding ethical requirements, providing secure and clear reports, knowing litigation process/ solutions for combating litigations, knowing critical legal terms/ concepts
    Discussion with the Industry Personnel
    requirements concerning licensing / regulations / legislation which shall impact the managers and the owners
    Training Courses
    Aiding to fill gap in-between theoretical knowledge and that of practical demands in adhering with validation and regulations process, aid for process as well as establishing of laws which control industries for working in an appropriate manner, and for delivering products/ services aligned with laws, regulatory standards, policies and specifications
    Unions
    Ensuring fair treatment of employees and making them feel secure and comfortable, increased levels of political influence, enhanced public relations, educating workforce and improving working conditions at the industry-wide scale
    Seminars
    Identify as well as address varied regulatory and legal compliance requirements for the purposes of implementing workplace standard process
    Accreditation Operators
    Offer legislation / regulatory related enforcement services
    Plain English Documentation explaining operational requirements of the legislations
    Provide understanding and reference into required processes, controls, and actions to ensure compliance with legislations
    Networking with the Customers & Suppliers
    Strengthening relationships, getting fresh ideas, accessing opportunities, newer information, and support/ advise
    Developers of Codes of Conduct of Ethics or Conduct
    Guiding principles and expectations for work place behaviour that is appropriate
Question 3
For NSW
    Area
    Regulatory Authority
    Functions
    Regulation / Legislation
    Gambling & Liquor
    Office for Liquor, Gaming & Racing
    [1] ensuring people enjoy dynamic and vibrant, as well as responsible and safer, gaming and liquor environments
[2] ensuring that regulatory efforts undertaken are evidenced-informed, co-ordinated, as well as targeted on where risks seem to be greatest
    [1] Liquor Regulation, 2018 [NSW]
[2] Gaming Machines Regulation, 2010 [NSW]
    Food Safety
    Food Standards Australia New Zealand [National] and Food Safety Regulation [NSW]
    [1] ensuring business produce foods which are safe as well as suitable for eating
[2] enforcement of the food standards
    [1] Food Safety Act, 1991 [National]
[2] Food Standards Code
    Work Safety
    Safe Work NSW
    [1] investigation of workplace incidents
[2] enforcement of work health & safety laws across NSW
    [1] Work Health & Safety Act, 2011
[2] WHS Codes of Practice.
    Environmental Protection
    NSW Environment Protection Authority
    [1] issuance of environment protection licences.
[2] imposing fines/ prosecution of individuals as well as organisations who break law.
    [1] Protection of Environment Legislation Amendment Act, 2011
[2] Forestry Act, 2012
Question 4
1. Legal Experts / Lawyers    
Staying within actual expertise area, conducting thorough investigation, knowing ways for operating specific issue, understanding ethical requirements, providing secure and clear reports, knowing litigation process/ solutions for combating litigations, knowing critical legal terms/ concepts
2. Media    
Government proposals for changing legislation, requirements concerning licensing / regulations / legislation which shall impact the managers and the owners, and learning key lessons from mistakes of others in terms of non-compliance and its consequences.
3. Seminars
Identify as well as address varied regulatory and legal compliance requirements for the purposes of implementing workplace standard process
Question 5
Policies establish specific set of parameters with respect to decision-making and yet provide room to be flexible. They essentially illustrate the rationale behind a specific action. In contrast to this, procedures, essential explain or establish how this specific action need to be undertaken. They offer step-by-step form of instructions with respect to undertaking specific and routine tasks. procedures shall at times also include process steps / checklist for being followed. Policies and procedures, when they are well-aligned and follow clearly established objectives, aid organisations in the overall management of regulatory compliance at the organisational level bringing in standardized and process-dependent approach and effective control with respect to the same.
Question 6
· Background / Purpose
· Scope
· Definitions
· Policy Statements
· Procedures
Question 7
    Employer Superannuation Contributions:
    
As per the federal law in Australia, employers shall be mandated for paying superannuation contributions in superannuation funds that are approved. Contribution percentage based on latest available data is 9.5% of ordinary time earnings concerning employees, that in general comprises of wages / salaries, allowances, commissions, and not overtime.
    Worker’s Compensation:
    Worker's compensation can be noted to be managed from state as well as territory legislation, and in each of the scheme, specific employer shall be required in taking out policy for worker's compensation that covers all of the employees that shall in addition be needed for covering specific independent contractors, apprentices and trainees.
    Provision for Injury Reporting:
    In case a worker suffers from injury whilst undertaking work, the said worker shall be entitled to the provisions.
    Provision for Occupational Rehabilitation:
    In case a worker suffers from injury whilst undertaking work and this injury leads to disability or severe outcomes requiring rehabilitation, the said worker shall be entitled to the provisions
    Workplace Relations:
    Workplace relations entails complex form of interrelations in-between employers as well as employees, labour / trade unions, employer firms and state.
    3 Contract Types Used in Hospitality:
    [1] Hotel Lease
[2] Management Contract
[3] Hybrid Contract
    Goods and Service Tax (“GST”):
    GTS represents broad-based tax to the extent of 10% over most of the goods, services as well as other items that are consumed / sold across Australia.
    Principle of “Duty of Care:”
    The principle concerning “duty of care” shall be that one has the obligation for avoiding acts or else omissions, that shall be foreseen reasonably for...