AAMS SITXGLC001 Assessment B: Short Answer on Legal Compliance

This document presents the solutions to a short-answer assessment for the SITXGLC001 unit, focusing on researching and complying with regulatory requirements. The assignment covers a wide range of topics including the stages of creating a business compliance system, sources of information for staying updated on laws, and procedures for ensuring compliance in areas such as liquor and gaming licenses, consumer protection, and EEO. It explores legal responsibilities related to EEO, principles of fairness and equity, and compliance with Australian Consumer Law (ACL). The assessment also addresses key principles for legally binding contracts, employer obligations for superannuation, taxation laws, and environmental protection laws. Furthermore, it examines the Fair Work system, National Employment Standards (NES), WHS legislation, and workers' compensation insurance. The document provides detailed answers to all questions, offering valuable insights into legal and regulatory compliance within various business contexts.

SITXGLC001 RESEARCH AND COMPLY WITH REGULATORY REQUIREMENTS – Short answer
ASSESSMENT B – SHORT ANSWER
INSTRUCTIONS
 You are to answer all questions.
 Read each question carefully. Ensure you have provided all required information.
 On completion, submit your assessment to your assessor.
 To achieve a successful outcome of these questions the minimum correct answers required is:
 Section 1 - 30/35 correct
 Section 2 - 5/7 correct
 Section 3 - 5/7 correct
 Section 4 - 3/3 correct
 Learners have access to the complaints and appeals process as per AAMS student hand book
 Reasonable adjustment will be provided for students with a disability or learning difficulty according to
the nature of the disability or difficulty. Reasonable adjustments are made to ensure that the student
is not presented with artificial barriers to demonstrating achievement in the program of study.
Reasonable adjustments may include the use of adaptive technology, educational support alternative
methods of assessment such as oral assessment.
SECTION 1: RESEARCH INFORMATION REQUIRED FOR LEGAL COMPLIANCE
Q1: State the three stages of creating a business compliance system.
The three stages of creating a business compliance system are:
 To comply with the intent and not just with the letter of law
 Secondly it is necessary to communicate with the policy controllers
 At last to keep the compliance instruction easy and simple
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.
The sources of information to get updated on the changes in law and compliance
which is applicable to the business are as follows:
 The officers and directors get the information on the changes in law from the
industry regulators and that of the industry associations.
 The big business gets the updated information from the employers and the WHS
and training courses
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 The medium size business gets the changes in regulatory notification from the
employer and the industry association and the pamphlets and the newsletters
 The small businesses get information on the business compliance from the WHS or
the media, industry pamphlets and the internet
 The Supervisors gets updated from the media or training courses and even in the
meetings
 A worker gets their WHS information from their workplace
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
The procedures implemented to ensure compliance are:
 To follow the general code of practice guidelines so as to minimize the use of liquor this
will reduce the offences and disturbances to the people
 It is necessary to identify and apply appropriately the legislation and rules which apply to
the business
 It is necessary to operate with the understand and review the licensing requirement
 To maintain the records
 It is crucial to interact with the regulatory agencies to review the business
 Gaming licence
The procedures implemented are as follows:
 To establish the procedures so as to maintain the policies of gaming licence
 To maintain the systems this will help in keeping the record reliable
 To ensure the strict compliance is maintained with various laws and internal controls
relating to gaming policies
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 To ensure effective control financial and fiscal affairs of the business relating gaming
licence
 Collect the report in order to review the information which is submitted by the
participants
 Consumer protection
The procedures implemented to ensure compliance are as follows:
 It is necessary to impose the rights and obligation on the people in the business so that
they ensure the enforceability
 The States shall intervenes so that the policies are corrected and thus the forum will act
on behalf of the public interest and punish those who have made offences
 They shall ensure that the products as well as the services sold are maintaining the
minimum safety standard
 A national consumer policy is framed which will set guidelines to protect the consumers.
 EEO and anti-discrimination
The procedures followed to comply with the regulation are:
 The work place should be free of discrimination and there should not be harassment of
women and minority
 The work place is able to respect the diversity
 There shall be fair and equal opportunity for employment to one and all
 The employer having the potential and merit should be rewarded irrespective of race and
class
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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.
The organization is Australian Business Licence and information Service
 Maintaining a safe workplace.
The organization is Occupational Health and Safety Act
 Ensuring advertisements are legal.
The organization is Corporation Act, 2001.
 Paying the right amount of super to employees.
The organization is Australian taxation Office
Q5: List five risks, penalties and consequences of not complying with the Food Standards
Australia New Zealand Act 1991.
The risk and penalties are:
 A penalty notice will be given to the company. It is also called the infringement notice
for not maintaining safety and hygiene
 An on spot fine is levied
 Penalty for infringement is also levied under the Monetary Units Act 2004, the last one
penalty unit was $151.67
 The last action is the temporary closure or to stop handling particular food handling
services so as to protect the health and safety of the public
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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 the above situation in spite of the involvement of the manager and the trade union,
the issue regarding the sexual harassment has remain unresolved and thus it is necessary to
approach to the specialist legal service known as the Australian Human Rights
Commission.
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:
 Age
 Race or colour
 National origin
 Mental or physical disability
 Religion
Q8: Describe the key principles of fairness and equity which you should follow to comply with
EEO and anti-discrimination law.
The key principles are as follows:
 It is to create a work culture which will help in promotion of respect, dignity between the
employees
 To hold the highest level of integrity and to treat all the employees in the organization
with equality and compatibility
 To promote a work culture this will be free of harassment and discrimination between the
parties in any respect
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 To promptly address all the workplace grievances and there should be transparency and
confidentiality maintained
Q9: Describe how to comply with Australian Consumer Law (ACL) and what practices are
prohibited by law.
 How to comply
 The trade practices protect the consumers from any deceptive treatment
 It helps the business from acting unconsciously
 It helps the industry so that it does not get involve in restrictive trade practice and there is
no unfair advantage to the competitor
 Prohibited practices
The practices which are prohibited are:
 Restrictive trade practices including tying agreements, boycotts, misuse of the market
power and the resale price maintenance
 It is prohibited to provide any false or misleading representation to the consumers
 Illegal advertising and marketing practices in the market
 Any false or misleading nature of goods and services
Q10: What are the six fundamental principles needed for a contract to be legally binding?
 There must be an Agreement
 The agreement shall have some Consideration
 The parties must have Intention
 They shall have the Capacity to contract
 Genuine Consent
 There shall be Legality of contract
Q12: Which employees are employers legally obligated to pay super to?
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The employer who are legally obliged to pay super are those employer and employee
governed by the industrial instrument
Q13: What are the record keeping requirements for super?
 Record must be kept which create super guarantee paid to the employees
 A record of five years must be kept
 The records which must be kept should be in English
 The records which are to be maintained shall be in electronic document, or CD or
computer records
 Details of all employees who are not eligible for super shall be kept
Q14: List four ways to comply with taxation laws.
 To maintain a timely and complete and appropriate record of the information
 To mandatorily file the returns and forms
 To take help from trustworthy advisors
 To be updated with the day to day regulation
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Q15: Identify six records you should keep to prove you are complying with taxation laws.
 Keeping the invoices of the payment
 To maintain electronically the records of the transaction
 To report some of the information online
 Back up of all the records and documents should be kept in case of loss due to fire, flood
and theft
 The accounting record
 The taxation record
 The bank statement
 The legal documents
 The permission and the licences obtained in the business
 The insurance document
Q16: What organisation conducts tax audits?
The big organization or the multinational corporation need to comply with the tax audit
Q17: State the basic components of environmental protection laws
The basic areas are
 Protection of the environment which the mother Earth
 Upliftment of the poor class or the rural people
 Empowering the women so that they can have a stand
 Financial benefits and help to uplift the business and economy
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Q18: What are three consequences of non-compliance with environmental law?
 The costs of non compliance of the rules are very high and fines may range from
$341100 to 74583348
 If the organization is found not complying the regulation then it shall be charged with
organizational probation
 Law suits are raised
 The project which was carried out by the company are delayed
Q19: Describe two key components of the Fair Work system created under the Fair Work Act
2009.
The key features are as follows:
 There are ten national employment standards
 As per the Act there are is national minimum wage
 The Act protects from the unfair dismissal
 As per the act the awards only apply to specific companies
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.
The five entitlements that apply are as follows:
 There shall be thirty eight weekly hours which is paid to the employees
 The company can arrange for flexible working arrangements for the employees
 There shall be paid public holiday
 There shall be four weeks paid leave in each year
 The company is entitled to give parental leave and the related entitlement which is 12
months unpaid leave maximum
Q21: List six things an employer must do to comply with their duty of care and legal obligations
under WHS legislation.
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The employer shall do the following
 It shall the duty to consult with the employees and take care of the health and safety of
the employees
 It is reasonable that the management ensures control over the workplace
 The company shall abide by the WHS legislation
 The employers shall have the duty to abide by the due diligence and manage the work
and health safety risks of the business
Q22: List four employees’ responsibilities under WHS legislation.
The employees shall be responsible for the following
 They must take reasonable care to the health and safety of themselves
 Must be able to comply with the regulations of WHS effectively
 The employee shall cooperate so that the employer is able to comply with the
requirements of OHS
 It is important so that the health and safety of other affected are taken care of
Q23: Workers’ compensation insurance is compulsory. What does it cover you for?
The workers’ compensation covers the following:
 The medical cost and the treatment provided for their illness
 It covers the wages which are missed
 It also covers the funeral cost and the benefits due to death of the members
 The legal cost is also reimbursed
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Q24: What does public liability insurance cover you for?
The public liability insurance covers a huge range of situation. It covers a situation
when the person is injured in the business or there is damage in the third party property. It
tells even if there is a minor damage to someone else property then it could lead to paying
hefty fines.
Q25: Name four practices prohibited under RSA.
The practices prohibited under RSA:
 There should not be any advertisement for promoting liquor which leads to overdose
consumption of liquor
 The advertisement shall discourage the amount of alcohol consumption
 The primary focus in case of advertising should not be liquor
Q26: What are two record keeping requirements of RSA?
The record keeping requirement is as follows:
 It includes the registration number, the model and the agreement entered into
 It should include all the details of the defects discovered
Q27: Although state/territory government gaming laws and regulations vary slightly, the
principles are essentially the same. Describe three of them.
 The gaming Regulation Act 2003 are those which foster responsible for gaming
 It ensures that the minors are not involved in gamble
 To accommodate those gamble which does not harm anybody
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Q28: What two practices are prohibited when it comes to gaming?
 Usage of emotive descriptions which are likely to encourage the irresponsible drinking
 Involve pouring or shooting alcoholic drinks straight into patrons' mouths
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.
 It ensure that the food which is sold is safe for consumption by the people
 It helps in the prevention of policies which are misleading in the sale of food;
 It provide adequate information so as to enable the consumers to make a informed choice
 It ensures to provide such a framework in the food industry by working efficiently.
Q30: Explain four ways a travel agent could support the Criminal Code Act 1995.
The travel agent could support the Criminal Code Act, 1995 by the following ways:
 It the travel agent does not make any offence by cheating the traveller
 Not contravening the rules which can apply to travel agent for safeguarding the safety
and health of the traveller.
Q31: What maximum fine could a corporate body face if found complicit with sexual offences
against children?
The amount of 200 units
Q32: Do you need a licence to be a travel agent?
The licence for travel agent is mandatory
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