Legal Compliance in the TH&E Industry: Semester 1 Report

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RESEARCH AND COMPLY WITH REGULATORY REQUIREMENTS
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Table of Contents
Assessment....................................................................................................................................3
Part A Question answer...........................................................................................................3
PART B.1......................................................................................................................................10
PART B.2......................................................................................................................................15
PART B.3......................................................................................................................................20
References...................................................................................................................................23
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Assessment
Part A Question answer
1. Name 4 sources of information you may use in order to research legal
information in your industry.
Response
For research, some essential sources are must for legal information in the industry,
which is mentioned below:
1. By relevant journals
2. Company website
3. Address the critical challenges in global
4. By secondary resources (Nagin, and Telep., 2017).
2. Name a website (for your state or territory) where you can get information for
small business owners and operators, particularly for legal compliance issues.
Response
Consumer affair site provides the facility to get the information and makes visible new
customers.
It is an online city guide which provides relevant information regarding small business
owners and operators.
3. Name 2 types of licences a business may require in TH&E industry.
Response
TH &E industry requires some licenses and permits which include:
1. Tax registrations: It is essential for the industry to take tax registrations licenses for its
business.
2. State issue occupational licenses: it is also needed for production to increase
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productivity.
4. Contracts formalise the agreement between two parties. They are binding legal
documents. List 6 types of contracts that you may need to enter into as part of
running a business.
Response
All these types of contracts are essential for running a business which mentioned in
below:
1. Services contracts
2. Confidentiality agreements
3. Website terms use the protocol
4. Stock purchase agreements
5. leases
6. loan agreements (Lawrence, et. al.,2016).
5. What are 3 consequences of businesses not complying with legislation and
regulatory compliance?
Response
1. Loss of reputation: This consequence is arisen due to a criminal conviction.
2. Loss of current as well as potential staff:
3. Downtime/ losses of productivity
All these consequences of business raise due to many reasons.
6. What are the penalties for failing to comply with the Travel Agents Acts?
Response
There are various types of penalties for failing to comply with travel agents acts which
mentioned below:
Interpretation act, regulations made a law which is under the section in respect breach
of provisions towards the imposition of penalties.
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7. What are the penalties for Australians who commit child sex offences while
overseas?
Response
In Australia law, penalties for offences which include imprisonment of above 25 years
for personal and charge fines, which are up to $825, 000 towards corporate bodies.
8. List 5 issues in your industry that you may need to seek specialist legal advice
about.
Response
1. Fear of break strong relationships
2. Proper contract management issue
3. Settling lawsuits
4. Problems arise in public relations
5. Business formation process issues
All these issues create problems for industry and essential to seek specialist legal
advice (Abou-Shouk, et. al., 2017).
9. How can standard operating procedures help ensure legal compliance?
Response
The standard operating procedure is a backbone of organizational personality. It set the
corporate cultural standards. It provides a method for comparing the quality and
organizational mission and vision and serves references for employees.
10. How can including an approval step in the SOP help you comply with WHS?
Response
Standard Operations Process make pre-existing layout, hierarchical steps and test
thoroughly and adjust complies with WHS. It allows the users to map the process and
identify the gaps.
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11. List 7 duties of a Compliance Manager
Response
Job duties and responsibilities of compliance manager are:
1. Conducting internal reviews to check the compliance procedures
2. Conduct direct inner investigation of compliance problems
3. Assess the products, risks and make strategies
4. Determine environment audits
5. Find compliance problems
6. Circulate written policies and procedure
7. Evaluate testing
12. List 3 ways that you can notify staff of updates to policies and procedures.
Response
There are many ways to communicate the policies and procedures to staff which
mentioned below:
1. By informing up-front
2. By asking feedbacks
3. Provide training where it is required (McCrie, and Haas., 2018).
13. List 3 ways you (or your personnel) can keep up to date with legislation
changes that may affect your industry.
Response
There are many ways which help to up to date the organization and directly affect the
company business, which mentioned below:
1. Using of internet
2. Market research
3. Personal Experiences
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14. Name a regulatory body from your industry that you may consult for
compliance advice.
Response
Legal vision regulatory for the industry consulted for compliance advice. It provides
benefits and helps to the business to stay compliant and also helps to accomplish
organizational goals and objectives.
15. Why must a business make sure that any contractors they employee, holds
the appropriate licences?
Response
It is essential for the contractors to hold the licenses for protection, security and safety.
It secures the business and deal and makes a trust for the other parties. For conducting
business, permits are essential (Palmirani and Governatori., 2018).
16. List 5 documents you may need to keep up to date as proof that you are
checking your businesses compliance on a regular basis.
Response
All these documents are essential for update and checking the business compliance,
which mentioned below:
1. Financial records of the company
2. Employee records
3. Work, health and safety records
4. Sales records
5. accounting journals
17. In a business with a partnership structure, who has the debt liability?
Response
In a partnership business structure, creditors are the debt liability, and they ask to the
firm to pay its own debts. If the firm not pays, then creditors ask partners personally to
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pay.
18. In a business with a Company structure, can the shareholders have personal
assets taken if the business assets are not enough to pay the debt?
Response
Generally, shareholders not liable to pay the debts of the corporation. In that situation,
creditors collect the debts by going through the assets of the corporation. Creditors
collect debts to reducing the risk of losses (Ghanavati and Hulstijn., 2015).
19. List 5 matters the Federal Department of the Environment oversees:
Response
Some federal department of environment oversees:
1. National heritage places
2. World heritage properties
3. Commonwealth marine areas
4. Barriers reef marine park
5. Nuclear actions and water resources
20. According to Australian law, everyone has an equal right to work and to be
treated fairly while at work. It is illegal to deny someone an opportunity to work
on the basis of what? (List 6 things).
Response
All these issues are illegal and against the Australian law in a workplace:
1. Age discrimination
2. Colour discrimination
3. Nationality issue
4. Gender issue
5. Babysitting
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6. Pay scale
21. Can your refund policy state ‘No refunds’? Why/Why not?
Response
No, the company have refunded the policy to pay the fund back to the customers. If they
cancel the booking before 24 hours, this strategy is made by the industry to gain the
customer's interest and build company image.
22. Give 5 examples of local or by-laws you might need to comply with in your
industry.
Response
1. Tax identification numbers
2. Licenses and permits
3. Employer identification number
4. LLC’s
5. Business laws and regulations
All these are examples of local, which is essential for the company for business (Sale,
et. al., 2016).
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PART B.1
1. Create a list or spreadsheet and categorically list all requirements, licences,
support info, timeframes (validity or due dates) and penalties where applicable.
Requirements: Licenses: Support
information
Timeframes: Penalties
1. Require
place of fishing,
handling
seafood
Seafood
processor
Give authority a
business to sell
seafood
Annual If license holder
breaks the
rules they give
fines.
2. Require for
stop the
wastages
License to
discharge trade
waste Victoria
This license is
applicable for
run the
industry,
business
Annual If person break
the norms law
they get
punishment.
3. Have
adequate
knowledge of
licensing law,
be at least 18
years old
Restaurant and
cafe licence
Victoria
Those persons
who start
business and
serves food,
alcohol.
8 weeks If someone
goes against
the law rules
they take
penalties
(Menéndez, et.
al., 2015).
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2. List all the licensing and legal requirements and permits you have identified.
Licensing:
Licensing Legal requirements
1. Seafood processor It is essential for the license to provide
original safe contract copy, transportation
license, approved accredited certification
is also requiring for transfer the food.
2. License to discharge trade waste
Victoria
It requires certification and registration of
business. It is mandatory to take the
permission of head authorities.
3. Restaurant and cafe licence Victoria RSA training, four copies of the red line
plans, restaurant planning permission is
also necessary for permits.
3. List the requirements to comply with the Food Act and the Australia New
Zealand Food Standards Code.
There are some requirements to comply with the food act and Australia New Zealand
food standards code, which is mention below:
1. In the food act, some elements are essentials which documented under chapter 3
food standards code; food safety is governed by food safety act 1991.
2. It also requires food safety programs for production, manufacturing and handles the
food.
3. Receipts of meals, maintenance of premises, fixing and fittings, equipment’s, food
transport vehicles.
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For New Zealand: It requires permitted additives, food safety requirements, food
labelling, and knowledge of food handlers.
4. List the requirements to comply with the Food Act at state and local levels.
Registered license is requiring, which is issued by local authorities, for distributor
identify food articles towards manufactures.
Food business registration, monitoring compliance, education and advice, enforcement
action is mandatory.
For state level: Risk analysis requirements, consumer interest, public consultation,
import and export requirements (Kennedy, 2018).
5. List the procedures and requirements to extend a liquor licence.
Requirements: Application form, planning permit, responsible service, new entrant
training, questionnaire, proclamation, four copies of red line plan, documents of patron
capacity, business name certificate all these are necessary to extend liquor license.
Procedure: pay application fee, declaration of the right towards premises, declaration of
associates, after submitting documents, lodge the form; wait for acceptation, if
application accepted email will send for further information. Payment procedure is
started, notification of declaration forwarded via email or post.
6. List the legislative requirements which apply for such a licence.
The person suitable for the liquor license, know about licensing law, should be at least
18 years old, not presently disqualified towards holding the license, ensure for current
business is undertaken premises and serve meals to protectors. All these are needed
for the licence.
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