SITXGLC001: Research and Compliance with Industry Regulations

This assignment solution for SITXGLC001 focuses on researching and complying with regulatory requirements within a specific industry. It covers various aspects such as identifying sources of legal information, understanding different types of business licenses and contracts, and recognizing the consequences of non-compliance. The document also includes practical tasks like drafting an enquiry email regarding restaurant registration, identifying legal risk factors in different business areas, and creating a compliance monitoring checklist. Furthermore, it delves into the importance of standard operating procedures (SOPs) in ensuring legal compliance and outlines the duties of a compliance manager. The solution also addresses key legal concepts such as debt liability in partnership and company structures, matters overseen by the Federal Department of the Environment, and equal employment rights. This assignment offers a comprehensive overview of regulatory compliance, providing students with valuable insights and practical knowledge.

SITXGL C001
Research and comply
with regulatory
requirements

Table of Contents
UNIT ASSESSMENT 1 .................................................................................................................3
UNIT KNOWLEDGE ASSESSMENT (UKA)..............................................................................3
PART 1............................................................................................................................................8
TASK 1.......................................................................................................................................8
TASK 2.......................................................................................................................................9
Part 2..............................................................................................................................................11
Task 1 [2.1, 2.2] .......................................................................................................................11
Task 2........................................................................................................................................14
Part 3..............................................................................................................................................14
Task 1 Compliance Monitoring Checklist...............................................................................14
TASK 3.....................................................................................................................................15
TASK 4.....................................................................................................................................16
References:.....................................................................................................................................17

UNIT ASSESSMENT 1
UNIT KNOWLEDGE ASSESSMENT (UKA)
QUESTION 1 Name 4 sources of information you may use in order to research legal
information in your industry.
Four sources of information that helps in making research regarding legal information for the
industry are as follows-
 Internet / Online
 News/ Publishing/ Media
 Lawyer/ Attorney/ legal experts
 Regulatory agency/ Regulatory authorities
QUESTION 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.
Australian Securities and Investments Commission(ASIC)
QUESTION 3 Name 2 types of licences a business may require in TH&E industry.
 Copyright licence
 Liquor licence
QUESTION 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.
Written contracts.
Verbal contracts.
Part verbal, part written contracts.
Standard form contracts.
Period contracts.
Getting contract advice.
QUESTION 5 What are 3 consequences of businesses not complying with legislation and
regulatory compliance?
The three major effects faced by the organization for not adhering with the laws are as follows-

 Penalties and fine: if any business corporation fails to comply with the norms and rules
set by the government then they would be liable to pay the penalties or fines in various
forms such as monetary fines, limitations on business operations, etc.
 Reputational damage: it might cost harm to the goodwill and the brand image of the
company. As, not following the laws would directly affects to the functioning of the
management of the business. For instance, if a industry is involved in hiring child labour
for accomplishing their factory work.
 Imprisonment- In case of any illegal or wrongful acts done under the name of the
company, the law can penalise the chairman of the company with imprisonment.
QUESTION 6 What are the penalties for failing to comply with the Travel Agents Acts?
(20 – 30 words)
According to section 12 of Travel Agents Act 1988 of Queensland, 1000 penalty units are being
charged if a person do not possess licence to carry out the business of travel agent and Section 6
of Travel Agents Act 1986 of NSW legislation, 500 units are the penalty charges for the same
act.
QUESTION 7 What are the penalties for Australians who commit child sex offences while
overseas? (20 – 30 words)
If any one commits such offence overseas, AFP(Australian Federal Police) can prosecute that
person in Australia. If a child is younger than 16 years of age, the imprisonment is given up to 25
years along with fine of $500,000.
QUESTION 8 List 5 issues in your industry that you may need to seek specialist legal
advice about.
There are numerous reasons for which the industry need a legal advice regarding the formation
and further business activities, they are as follows:
 In order to enforce the policies of the business.
 In order to make a review and analyse the formulation of the rules and regulations on
regular intervals.
 To navigate the appropriate constitution of business.
 For preventing intellectual property misuse.

QUESTION 9 How can standard operating procedures help ensure legal compliance?
(Minimum 50 words)
An SOP is the support of an organizational personality that sets the standard for organizational
culture while ensuring that the organization is compliant. They furnish a way to analyse quality,
document an organization's operation and beliefs, and serve as a acknowledgement for
employees.
QUESTION 10 How can including an approval step in the SOP help you comply with
WHS? (Minimum 50 words)
Standard operating procedures (SOPs) have often been in the prominence like innovative
technologies and emerging strategies such as risk-based observation, quality by design, and
redistributed clinical trials. But SOP deserves some credit. With the desired aim of improving
quality and functional efficiency, SOPs have long been the cornerstone of many industries, and
clinical trials departments are no exclusion.
QUESTION 11 List 7 duties of a Compliance Manager.
 Submitting regulatory report and other documents.
 Implementing the rules and regulations .
 Ensuring coordination in order to follow the norms.
 Conducting audit of various departments.
 Meeting with external auditors for the matter of intrinsic control of the industry.
 Working along with the senior directors and compliance director.
 Managing the training resources and other communication materials in order to comply
with the compliance department needs.
QUESTION 12 List 3 ways that you can notify staff of updates to policies and procedures.
Ask for feedback from the employees.
Introduce final product.
Ask the employees to review worker handbook or policy manual on regular basis.
QUESTION 13 List 3 ways you (or your personnel) can keep up to date with legislation
changes that may affect your industry.

1. To proctor restrictive authority internet site.
1. To Precede the regulatory authority on social media.
2. To Sign in to journal & news report.
QUESTION 14 Name a regulatory body from your industry that you may consult for
compliance advice.
Australian Prudential Regulation Authority (APRA).
QUESTION 15 Why must a business make sure that any contractors they employee, holds
the appropriate licences?
The Structure and builder allows licenses to exhibit expected customer that your institution is
competent to deal the task and in cooperation with local construction regulations. Moreover, they
can too relate to getting fines that effect the planning structure of the industry.
QUESTION 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.
Non-Disclosure Agreement.
Operating Agreement LLC.
Minutes of Meeting.
Employment Agreement.
Business plans.
Business Reports.
QUESTION 17 In a business with a partnership structure, who has the debt liability?
All the partners collectively are individually accountable for financial obligation of the business.
All parties are separately capable for liability subjected by another partner of the company. This
is known as joint liability of the partners in a business concern.
QUESTION 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?

The shareholder can only have the 'limited liability' for financial obligation of the corporation.
This means that they are only accountable for institution debts up to worth of any shares. So, the
shareholder would pay only up to the extent of their share value in company in case of any debt
for the company.
QUESTION 19 List 5 matters the Federal Department of the Environment oversees:
 World heritage properties
 National heritage places
 Wetlands of international importance
 Nationally threatened species and ecological communities
 Commonwealth marine areas
QUESTION 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).
All the persons are equal before law and are titled without any favouritism to the equal protection
of the law.
The discrimination cannot be done on the following basis at workplace-
 sex
 potential pregnancy
 family responsibilities
 disability
 age
 marital status
QUESTION 21 Can your refund policy state ‘No refunds’? Why/Why not?
Yes, the refund policy can specify no refunds in several cases. One such case is that where it is
mentioned in the sub clause of the contract of return policy.

QUESTION 22 Give 5 examples of local or by-laws you might need to comply with in your
industry.
 Rent laws.
 Zoning.
 Local safety.
 Taxation laws
 Health laws.
PART 1
TASK 1
To: [e-mail]
From: [e-mail]
Subject: enquiry mail regarding registration of restaurant.
Sir
This is to bring into your kind notice that I Stanley Evans working as an Operations manger. I
was given a task to advice Naja Group of Colleges in order to make a research for regulatory
requirements related to establish a new branch of cafeteria at Northwest Business Park campus. I
want to ask about the documentation that is required in order to register another branch of the
restaurant. Kindly grant me the details regarding the same as soon as possible.
Thank you
Stanley Evans
Operational Manager
To:[e-mail]
From:[e-mail]
Subject: revert of the enquiry mail regarding registration of restaurant.
Sir
I am highly obliged to inform you that I have received your enquiry mail and I am listing all the
regulatory requirements that are needed to be fulfilled on your part in order to open a new brnach

of the cafeteria at another branch of college that is Northwest campus. You need to apply for
ABN that is Australian business number which make others to identify your business from
others. The customers, suppliers and the Australian Tax officer make use of this number so as to
find your business among all other brands. It is free to register. Another is choosing name for
your business which is essential for the identification of the business. It is important to determine
the that basically what taxes you are required to register that applies to the nature of your
business. Fourth is, the licence and permits. As you are engaged with food industry it is
important to attain food licence for the same by complying with all the rules and laws. Last but
not the least, registration of your company or unit. All the above stated details are regulatory
requirements that deals with registration of a business unit or a business.
Thank you
Adam Kinley
Business registration officer
TASK 2
Required Specialist Advice
Business Area Activity Legal
requirement/
L/P
Risk-factor Specialist
Food industry Inspection of food
samples
Food Act 2003
Food Business
licence
Adulteration Food safety
officer
Sales department Trade practices Australian
Consumer law
ensures fair trade
Less promotion/
competition
Sales officer
HR department Recruitments Employment law
that is Fair Work
Act 2009.
Unfair or
Wrongful
dismissal
HR head
Production
department
Profit margin
calculation
Health and Safety
Act 2012
Raw materials are
not good in
Production head

quality
Consultation Plan
Stakeholder/
Specialist
Consultation
objective
Consultation
medium
Date, time and
venue
Notes
Food safety
officer
To ensure that
food must be of
best quality
mails 29/08/22
Sales officer To increase the
sales by
improving supply
chain
mails 30/08/22
HR head To hire more and
more skilled
labour to work in
a cafeteria.
mails 04/09/22
Production head To ensure that the
raw materials or
resources used in
manufacturing
should be of best
quality.
mails 07/09/22
Part 2
Task 1
POLICY AND PROCEDURE

What is the purpose of the policy?
This policy is necessary to frame the certain work environment in the organisation. Moreover, it
would provide a suitable environment to all the employees of the company. The policy would
frame certain rules that has to be followed by each and every individual of the organisation.
The policies of an organization basically gives an idea related to the requirements of the business
institution. That basically what they want from the employees that are being hired by them. As,
every business organization expects certain skills and knowledge that a person must possess who
is recruited by the organization for a particular role. There is a specific behaviour, act and
approaches are required that they must utilize in dealing with particular situations. The
organization carries a mission and holds a vision in order to achieve the desired targets. The
employers of the corporations wants that the employees must understand their roles in order to
have a clear image of the mission which the business organization wants to fulfil. The workers
must follow certain ethical standards and values of the organization on which it functions.
Overall, the policies states that what is the role of the employees after entering into the business
organization. And for the same, there are various assessment criteria while choosing a
appropriate candidate. It is all mentioned in the policies of the organization. It also helps in
outlining the procedure of evaluation that is used by the organization. These can be considered as
guiding principles of the organizations which is required to be followed by the organizations.
According to the business organisations these fundamentals assists in maintaining consistency
and required amount of pace while performing the tasks. It also gives an opportunity to interact
with the fellow employees and to the employers. Moreover, it also helps in reducing the various
risk factors in the business organizations. These policies and procedures helps in making aware
with the rules and regulations that are obligatory for the employees as well as the employers to
follow. Workers are required to perform their work by understanding the laws and norms related
to them in order to avoid any sort of discrepancies. It also helps in setting high working standard
in the organization that would ultimately helps in building powerful image of the business unit
among other competitors. For example- these policies play a vital role in setting a strong base
upon which the workers and the employees follow the particular code of conduct, ethical
principles such as avoiding discrimination, harassment, unequal treatment, etc.
The company makes it clear to the employees that if any case they are failed to maintain the
sanctity of these policies and norms, the administration would be bound to take necessary actions

against the workers or the employees who are unable to take the rules seriously. It helps in
ensuring positive and good working atmosphere that would definitely proves useful in enhancing
the performance of the employees. It also makes the team leaders to work accordingly. While
designing the policy structure of an organization, the management must prepare a picture of
operation regime that is included along with the policy framework.
How does the policy relate to the National Standards for Disability Services?
The policy basically helps an organization to utilize various standards as an application like
rights of National Disability Services. The principles enshrined under the disability service
standards concentrates on the personal centred formulation and encourage the choice of the
disable people. All these things are considered under National Disability Insurance Scheme. The
government of Australia took over these standards in concern of the employment and advocacy
units for the disable individuals. It was adopted on 1st January 2014 for the employment services
and from 1st July 2014 for the advocacy services that are receiving funds from National
Disability Advocacy Scheme. All these standards that arouse under these policies needs extra
reference, authentication and user experience that are to be followed by the standards that could
be used in a variety of situations or circumstances. This contains individual performance with the
results, rights , participation and managing the services.
Scope
This particular policy is controlled by a specific board. It covers all the working staff such as
temporary, permanent, casual, contract based workers, workers hired by agencies, voluntary
workers, etc. The scope of this is very wide. This is because it would help the employees to
work in a certain way.
Principles
Through these policies the organizations are able to make agglomerative choices, in which
values , working discipline is being enforced by processing the policy framework. There is one
more thing to understand that values are utilitarian in nature that is it functions along with the
involvement of an individual. If it is seen from a cognitive approach, they are required to be
given priority.
There are two major objectives possessed by evidence based policies. First is to develop more
knowledge and intellect in order to take better decisions in future. Second is, in terms of making

a judgement regarding policies and its formulation, it is important to use the ways that is being
already known by the individuals from system analysing. This formulation helps in finding the
priorities that gives importance to evaluating new innovative ideas that basically use to perform
research and its finding, analysing data and analytics. This particular approach of policy making
can be studied in various forms such as utilising research outcomes in order to make new policies
or by improvising the already exist policies and programs, providing support in assimilating data
and analysing the research techniques and management, creating and formulating new policies
and many more. Most of its frequent applications are done to the programs that relates to social
service. It can be seen that a large variety of such programs that got its recognition from
government could be proved beneficial when this particular approach will be applied that is
evidence based policies. The inclination towards evidence based policy formulation has
embarked momentous development in the past years at state as well as local stages. But, on the
other hand in some areas this approach is still emerging because many authoritative agencies of
the government have now initiated their move towards evidence based policies. The major
problem arise in adaptation of this particular approach is the capability and the lack of skills.
There are some communal agencies that are unable to organise funds in order to use and create
evidence efficiently. Another issue is that there are many public agencies that do not receive
earnestness from the funding authorities so as to incorporate evidence in the process of decision
making.
Definitions
A policy is a plan of action to address and issue. Political parties create policies about issues
which it think are crucial in Australia. The government present most bills into the Parliament,
that are ideas for laws which will put their policies into act.
The related legislation and policy List any legislation, policy, guidance or other material that
straight relates to this policy.
Carers’ Recognition Act 2004
Disability Services Act 1993 (WA)
Equal Opportunity Act 1984 (WA)
Western Australian Mental Health Act 1996
United Nations Convention on The Rights of Persons with Disabilities

National Standards for Disability Services
Date of review
Signature of CEO
Institute of Education
Task 2.
COMMUNICATION PLAN
The pursuing table outlines a sample plan for communicating major information to stakeholders.
A group of individuals may be concerned or smitten by your content, and you will need to find
out the following individuals. These are the persons who has the interest in the business
organisation. These individuals are known as the stakeholders of the company. The stakeholders
are directly impacted by the growth of the business organisation. These would include that there
are the people who are involved in the working and operations of the business organisation. The
financial report of the business firm is going to specify the actual condition of the business firm
to these stakeholders of the company. It would tell about the exact condition of the business
concern. This information is published by the company on annual basis. The people involved in
the communication is generally the employers, employees, workers, public, banks, sellers,
buyers, financial institutions, etc. in an business arrangement.
Part 3
Task 1 Compliance Monitoring Checklist
1 During this monitoring period, did you hire any new employees to process money order or
money transfer transactions?
Answer. Yes
2 Did you train the new employee(s) on AML and Fraud Prevention requirements and how to
record required information from transactions?
Answer. No
3 Have you documented the AML and fraud prevention training of this (these) new
employee(s)?
Answer. No

4 Have you identified any unusual and/or suspicious activity during this monitoring period?
Answer. No
5 Have you detected any structuring activity? i.e. Splitting transactions to avoid ID requirements
or any transaction below ID requirements?
Answer. No
6 Have you detected flipping activity? i.e. Customer receiving cash and using that amount to
request the cash to be sent back out?
Answer. Yes
7 Have SARs been completed for suspicious activity indicated above for this monitoring period?
Answer. No
8 Have SARs been E-filed accurately within 30 days of detection of the transaction?
Answer. No
9 Have you identified any transactions totaling over $10,000 in CASH for ONE customer in
ONE day?
Answer. Yes
10 Have CTRs been completed for transaction amounts indicated above for this monitoring
period?
Answer. No
11 Have CTRs been E-filed accurately within 15 days of the transactions?
Answer. Yes
12 Have you sold any Money Order for $3,000 or more, in cash, to ONE customer in ONE day
during this monitoring period?
Answer. No
13 Have you completed the Money Order Log accurately for Money Order cash sales of $3,000
or more?
Answer. Yes
14 Have all transactions requiring identifications been verified?
Answer. Yes
TASK 3
To: [e-mail]

From: [e-mail]
Subject: mail regarding various problems identified during evaluation of business.
Dear Rubert Filch
This is bring into your notice that the cafeteria is about to start within a couple of days and there
are certain serious issues that have been encountered by me while making evaluation of the
cafeteria. The issues that poses risk towards the business operations of the cafeteria are as
follows-
Not a single worker or the employee in the staff is well-equipped by first aid training.
It has been found that two individual among the staff members holds expired RSA certificates
and they are full time employees.
The copy of signed contract is not yet returned by the wine supplier.
All these issues are severe and need speedy solution. Otherwise, the business will going to face
the legal consequences in future. These problems could be dealt by following the below
mentioned recommendations-
All the staff members are required to undertake the first aid training that is a mandatory
requirement before indulging in the business activities.
All the staff employees who are full time employees must hold RSA certificates and if in case
they are expired, renewal is mandatory.
Acquiring the agreement from the wine supplier as the delivery will going to start within three
days.
I hope all the aforementioned issues will going to be addressed as soon as possible.
Kind regards,
Evans
TASK 4
Continuous Improvement Strategy
Method Source Date, Time, and
Venue
Notes
Online newsletters https://
www.restaurantbusine
03/09/22
11:00 A.M

ssonline.com/
newsletters
Seminars/ workshops National Restaurant
Conference
foodservice australia
08/09/22
12:00 P.M
Online forums The Australian Global
Food Forum
11/09/22
10/09/22
References:
Books and Journals
Soriano, F. A., Villano, R. A., Fleming, E. M., & Battese, G. E. (2019). What's driving
innovation in small businesses in Australia? The case of the food industry. Australian
Journal of Agricultural and Resource Economics, 63(1), 39-71.
Koeberl, M., Clarke, D., Allen, K. J., Fleming, F., Katzer, L., Lee, N. A., ... & Roberts, J. (2018).
Food Allergen Management in Australia. Journal of AOAC International, 101(1).
Graham, B. (2020). Qualifications for Working in the Food Industry: Understanding All the
Available Options for Students and Educators in Victoria, Australia. In Food Education
and Food Technology in School Curricula (pp. 183-193). Springer, Cham.
Russell, C., Lawrence, M., Cullerton, K., & Baker, P. (2020). The political construction of
public health nutrition problems: a framing analysis of parliamentary debates on junk-
food marketing to children in Australia. Public health nutrition, 23(11), 2041-2052.
Parenti, A. (2020). The role of Italian chambers of commerce abroad in promoting the Italian
food industry: the case of Sydney, Australia.
Ashton, B., Star, C., Lawrence, M., & Coveney, J. (2021). Voluntary food fortification policy in
Australia: did ‘formal’stakeholder consultation influence the outcome?. Health
Promotion International, 36(5), 1393-1402.
Yen, B. T., Mulley, C., Burke, M., & Tseng, W. C. (2020). Parking and restaurant business:
Differences in business perceptions and customer travel behaviour in Brisbane,
Queensland, Australia. Land Use Policy, 92, 103818.
Bryan Endres, A., Endres, R., & Nižić, M. K. (2021). Restaurant disclosure of food allergens:
Analysis and economic implications. Tourism and Hospitality Research, 21(2), 202-215.
Pandey, A. (2021). Risk Management in Restaurant Business during Covid-19 crisis.: Case study
for a small Asian restaurant (X) in a medium-sized town in Uusimaa, Southern Finland.

Landau, I., & Allen, D. (2019). Major court and tribunal decisions in Australia in 2018. Journal
of Industrial Relations, 61(3), 421-437.
Rincón-Gallardo Patiño, S., Zhou, M., Da Silva Gomes, F., Lemaire, R., Hedrick, V., Serrano,
E., & Kraak, V. I. (2020). Effects of menu labeling policies on transnational restaurant
chains to promote a healthy diet: A scoping review to inform policy and
research. Nutrients, 12(6), 1544.