SITXGLC001 - Research and Compliance with Regulatory Requirements

This assignment solution for SITXGLC001 delves into researching and complying with regulatory requirements in business operations. It identifies sources of information for compliance, outlines the scope of business compliance, and details how to access regulatory information relevant to specific business operations. The assignment further discusses penalties and consequences of non-compliance, reasons for obtaining specialist legal advice, and where to obtain such advice. It also explores regulatory policies and procedures, the role of personnel in Responsible Service of Alcohol (RSA), and methods for distributing policies and legal information. Furthermore, it identifies the responsible parties for ensuring personnel compliance and awareness, communication methods with regulatory authorities, and the importance of occupational licenses in the hospitality industry. The assignment concludes by identifying methods for monitoring business operations, offering a comprehensive overview of regulatory compliance.

SITXGLC001 - Research and comply with regulatory
requirements
Assessment Workbook
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Q # Questions
Satisfactory
√ = Yes
X = No
1. Identify at least 3 sources of information for compliance with
laws and licensing for business operations.
In order to operate legally, every business has to comply with
specific requirements relating to the organization’s transaction,
safety procedures and labor practices. Compliance regulations is
classified into two types- internal and external. External compliance
relates to the requirements that is imposed by state while internal
compliance are enforced by the company’s staff. The three sources
of information for compliance with laws and licensing for business
operations include-
 Networking with employees and suppliers
 Discussion with the experienced business personnel
 Internet and social media
2. In order to determine the scope of your business compliance,
what must you know?
At the outset, the enterprise must know to make decision
regarding which risk areas it aims to address through
compliance program. They must prepare assessment which
identifies all compliance risk relating to business. They should
know to score these identified risks based on likelihood of risk
materializing and effect of risk on the enterprise. The
organization can determine the scope of its business compliance
by choosing risk areas it intends to address. For achieving
highest scope of business compliance, the enterprise must first
address higher ranking area of risk. They should also know to
address risk areas based on three standards such as - company
values, contracts, laws and regulations.
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3. Identify 5 ways to access regulatory information relevant to
specific business operation.
Regulatory information refers to enterprise’s adherence to laws,
guidelines, regulations and specifications relating to business.
The five ways in which regulatory information can be accessed
relevant to particular business operations involves-
 Attain from briefings prior to – commencement of the
service period, delivery of the tours, event operation
 Information can also be obtained from internal memos
 It can also be accessed from staff meetings
 Regulatory information can also be attained from training
sessions
 Information relevant to particular business information
can also be attained from handbooks of staffs
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4. Identify the penalties and consequences of non-compliances in
regards to Work Health and Safety in your local area.
The penalties of non- compliance in regards to work Health and
Safety in local area includes-
 Administrative fines where the service holder is basically
subject to variable fine that are imposed by the enforcing
authority or regulatory
 Conditional cautioning which means that if an individual
fails to comply with conditions attached to caution, this
might result to criminal proceedings
 The person can also have to pay fixed fines that are issued
by the enforcing authority specifically subsequent to
health and safety inspection
The consequences of non- compliances regarding Work Health
and Safety in local area are given below-
 Injury or ill health of members of public
 Damage to work equipment, workplace and work data
 Economic damage to business through decrease in
production
 Economic damage to the society occurring from cost of
treatment for injury and ill health of person
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5. Outline 5 reasons why you may need to obtain specialist legal
advice.
The reasons behind the need for attaining specialist legal advice
in business are illustrated below-
 Effectively navigating the procedure of business
formation
 Protecting the intellectual property of the enterprise as
this are considered as valuable assets
 Developing credibility as well as strong relationships with
new investors. This in turn increases the probability of
success as well as adds intrinsic value to the enterprise.
 Assuring effective contract management as this is
important to quality relating to business transactions.
 Avoiding or acquiring help settling lawsuits, which can be
sometimes detrimental to the organization.
6. Where could you obtain legal advice from?
Advice relating to legal matters can be obtained from different
sources such as-
 Citizens advice Bureau- This is a kind of national charity
that offers huge range of support as well as advice to
facilitate individual resolve their issues regarding debt,
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discrimination, housing, employment.
 Law centers- This can facilitate the individual with the
legal advice regarding welfare, discrimination, criminal
justice
 Private solicitors- Solicitors provide services huge range
of legal matters. In some cases, these solicitors cannot
facilitate the individual with all kinds of requirements.
7. Discuss regulatory policies and procedures including formats for
and inclusions in policies and procedures.
Regulatory policies and procedures mainly establishes rules of
conduct within the enterprise, thereby outlining certain
responsibilities of employees as well as employers. Regulatory
policies as well as procedures includes-
 A certain code of conduct that sets the standard of
workplace behavior and ethical conduct that should be
adhered to and amended as required.
 Disciplinary policy is also essential in outlining various
process that the employer will follow in issuing warning
and terminating employment.
 Leave policy which identifies kinds of leave that is
available and procedure that should be followed for
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accessing leave.
 Policies regarding workplace discrimination, harassment
and bullying in order to create good work culture.
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8. Discuss the role and responsibility of personnel in regards to
Responsible Service of Alcohol (RSA) for regulatory compliance.
RSA is about providing rules as well as strategies for different
kinds of business which sell alcohol with the main aim to reduce
alcohol related issues, integrate best practice in sale and prevent
neighborhood disturbance. The roles and responsibility of the
personnel in regards to RSA laws for regulatory compliance are
described below-
 They must identify the intoxication signs
 They should not serve the individual who reflects
intoxication signs
 They should not serve the individual who arrives
intoxicated
 The personnel should understand the meaning of
standard drink as well as level of drink driving
 They must understand the effect of alcohol in the
community
 They should discourage patrons from the actions that
might cause harm
9. Discuss how the general process used to distribute policies,
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procedures and legal information to personnel in the workplace.
The processes that are used for distributing policies, procedures
and legal information to the personnel in workplace are given
below-
 The employees of the enterprise is informed about how
the enterprise will work regarding development of
policies as well as procedures
 The employees are them asked for feedback relating to
policies that is to be implemented in business
 A meeting is then conducted with staff in order to take
their views in regards to policies, procedures and legal
requirement
 The employees is then asked to review the policy manual
so that it does not create any confusion after distribution
 Training is also provided in some cases when needed
 The employees are then requested to sign the document
 Lastly, the completed handbook is then distributed to the
personnel in workplace
10. Who is responsible in ensuring all personnel are compliant and
aware of their roles and responsibilities for legal compliance?
The compliance officer is mainly responsible for ensuring that all
personnel are compliant and aware of their roles as well as
responsibilities for any kind of legal compliance. Compliance
officer are the vital component of corporate governance as they
determines how the enterprise will be managed and directed.
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The compliance officer communicates with the personnel
regarding compliances related problems across each divisions of
the enterprise. The policies that the officer makes the personnel
complaint and thus this ensures that all of them are aware of
their roles and responsibilities of legal compliance.
11. Identify 4 ways you communicate with regulatory authorities
when planning business operations.
While planning business operations, effective communication
with the regulatory authorities is essential for achieving
complete regulatory submission and streamlining review
process. The four ways by which an individual can communicate
with the regulatory authorities are-
 Firstly, the person should decide on convictions and have
confidence to share the ideas of work
 Secondly, the individual must defend his ideas if in case
any opposition comes from senior management
 Thirdly, While communicating with higher authority, an
individual must show respect to them
 Fourthly, an individual must be willing to challenge the
authority regarding their views of planning business
operations.
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12. Discuss the following occupational licences and why each is
required to maintain a business in the hospitality industry.
a. alcohol licensing
b. Tobacco licensing
c. Food licensing
It has been evident from few evidences that sale of alcohol,
tobacco, food helps the hospitality industry to boost profit
margin in business. The hospitality industry must have licensing
in these three products so that the managers of the hotels do not
face any difficulty regarding selling of alcohol to the public in any
circumstances. Food license is one of the basic needs to attain
license under FSS regulations 2011. This license is required by
this industry as it serves an approval by authority as well as
assures the customers that food of that hotel affirms to food
safety standards of a specific nation. In addition to this, liquor
and tobacco license is also required as without this the hotel has
to incur huge penalty and forced to shut its business.
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