SITXGLC002_Assessment_A_Short_Answer_V4-1
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
ASSESSMENT A – SHORT ANSWER LEARNER INSTRUCTIONS This assessment assesses the knowledge evidence requirements of the unit of competency.
Learners must answer all questions correctly to be deemed satisfactory in this task.
You are required to answer all questions.
Read each question carefully. Ensure you have provided all required information in your response.
On completion, submit your assessment to your assessor via the LMS.
These questions assess your understanding of the techniques and principles that underpin this
unit.
Should you require ‘reasonable adjustment’ to complete this assessment, discuss the options with your assessor prior to attempting the task. Reasonable adjustment means modifications or changes are made to an assessment to take into account an individual learner’s needs.
Your assessor will discuss the conditions of assessment, e.g., open or closed book, time limits for completion, etc., with you prior to attempting this task.
To be deemed satisfactory in this task you are required to answer all questions correctly. Your assessor will determine how many attempts are allowed for each question.
To complete this assessment, you will require access to the learner resource for this unit, the internet and a computer (if submitting via LMS) or a pen (if submitting hard copy).
On completion, submit your assessment to your assessor.
Note:
Successful completion of this assessment does not mean you have achieved all requirements of the unit of competency. An overall decision of competence for the unit will not be made until all assessments are completed. Talk to your assessor or trainer to identify additional assessments required. Q1:
It is important to identify all legal risks and business compliance needs. a)
What steps must you follow to ensure that legal risks are managed correctly when performing business operations? -
Ensure you understand the contracts you sign.
-
Keeping On Top of New and Changing Regulations.
-
Ensuring Proper Business Conduct.
-
Compliance with Environmental Laws.
-
Be Sure to Abide by All Relevant Tax Laws.
-
Hire a Legal Team.
b)
What are the potential consequences of non-compliance with the law and regulatory requirements?
-
Penalties and fines
-
Reputational Damage
-
Access to markets and product delays
-
Regulated out of business.
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q2:
You want to research information required for legal compliance.
a)
List eight sources you can use to gather information, advice or receive updates from on laws, licensing and compliance requirements that apply to your business. Consider workplace, industry, private and public organisations, bodies, authorities or associations relevant to your industry, workplace or training environment. -
Internet -
Professional network
-
Reference books
-
Media -
Industry associations and organisation -
Codes of conduct or ethics
-
Industry Journals
-
Legal experts
b)
What broad range of local, state, territory and commonwealth government laws must you comply with? List eight topics.
- The right to work on an equal basis to others
- The right to just and favourable conditions of work, including equal opportunities and equal remuneration for work of equal value, safe and healthy working conditions
- The right to effective access to general technical and vocational training.
- The right to live independently and participate fully in all aspects of life, including equal access to transport, information, and communication technologies.
- The right to live in the community, with choices equal to others, and to full inclusion and participation in the community.
- The right to the greatest possible independence through personal mobility.
- The right to an adequate standard of living.
c)
What other laws, codes, standards, and licencing requirements might you need to reference that are specific to work operations and the type of business.
-
Liquor licence. -
Gaming licence
-
Consumer protection
-
EEO and Anti-discrimination
Q3:
List the advantages/benefits and the disadvantages/risks for each of the following business structures provided in the table. Business structure
Advantages/
benefits
Disadvantages/risks
Sole trader
-The owner has sole control of all processes and decision making. -They are simpler to form than businesses --The owner accepts all responsibility for business losses.
-It may be harder to sell business.
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
because it does not require a lot of paperwork.
Partnership
-They provide the potential to gain wider
access to knowledge and expertise from partners.
-The division of labour among partners create
a better work life balance.
-There can be more potential for conflict between partners.
-Selling complications can arise if one partner disagrees with
the plan to sell the business.
Company -flexibility to adopt different tax structures.
Potential to earn tax deductions for business losses.
It can be challenging to raise capital for this
type of business.
Q4:
Briefly describe the functions of regulatory authorities relevant to the tourism, travel, hospitality and events industries. -
The Department's functions include setting and enforcing standards for the tourism, hospitality and events industries, registering and licensing businesses in the tourism, hospitality and events industries, inspecting businesses in the tourism, hospitality and events industries. Q5:
What organisations would you consult to access specialist information and requirements relevant to the following business operations in travel, tourism, hospitality, and events? a)
Deducting the correct amount of payroll tax
-
ATO and State/Territory Revenue Office b)
Maintaining a safe workplace -
The Fair Work Act 2009
c)
Ensuring advertisements are legal.
-
The Australian Competition and Consumer Commission (ACCC)
d)
Paying the right amount of superannuation to employees
-
The Fair Work Act 2009
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q6:
Identify the primary aim/objectives, components, or principles of the following areas of law that all businesses must comply with. a)
Anti-discrimination (EEO/harassment)
-
The legislation that governs EEO is the Anti-Discrimination Act 1977.
This legislation prohibits discrimination, among other things, on the grounds of race, work status, gender identity and sexual orientation. This legislation also prohibits harassment in the workplace.
b)
Australian Consumer Law (ACL)
- Protect small business and consumers from unfair terms in standard from contracts. c)
Contract law
-The governing body that will enforce and interpret contractual agreements.
e)
Superannuation
-Money put aside by employer over your working life for you to live on when you retire from work. - A saving system for workplace pension in retirement.
e)
Workplace relations (Fair Work Act 2009)
- to introduce a national workplace relations system that sets minimum standards and conditions for employees and provides the legal framework for employer-employee relations for many workplaces in Australia.
Q7:
What are five practices that are prohibited under anti-discrimination and equal opportunity employment laws? -
Basis of age
-
Gender identity
-
Lawful sexual activity
-
Industrial activity
-
Political activity
Q8:
Under the Australian Human Rights Commission Act 1986
, it’s illegal to discriminate people under what circumstances? -
Race
-
Disability -
Religion
-
Sex
-
Age
-
Pregnancy © Didasko Learning Resources
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q9:
Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law. -
All employees have a right to work in a workplace free from discrimination and harassment. As an employer, you have a responsibility to ensure that your workplace meets these rights. Under Australian anti-discrimination law, an employer may be legally responsible for discrimination and harassment in the workplace.
-
Treat customers and colleagues justly according to natural laws and/or their rights.
Q10:
Describe how a business can comply with components of Australian Consumer Law (ACL) relating to refunds, exchanges and cancellations, terms and conditions of quotations
and consumer contracts. -
Refunds should be provided in the same form as the original payment unless the business and consumer agree otherwise. A consumer can also choose to keep the product but be compensated for the drop in value caused by the problem. In some cases, a consumer can also be entitled to compensation for extra damages and loss.
Q11: What are the aims of the Australian Consumer Law and the anti-trust laws?
-
To enhance the welfare of Australia by promoting fair trading and competition, and through the provision of consumer protections.
-
Anti-trust laws aim to protect consumers by ensuring fair and competitive markets, promoting price competition, and preventing practices that harm consumers. Q12: The Australian Consumer Law applies to all online trading and advertising conducted by any Australian business regardless of whether they are trading on eCommerce sites or social media apps. What must organisations that trade online comply with under this law?
-
Australia's Electronic Transactions Act 1999, -
the Australian Consumer Law or ACL, -
Spam Act, and Privacy Act.
Q13:
What practices are prohibited by law under Australian Consumer Law (ACL)? -
Unsolicited supplies, unsolicited consumer agreements, pyramid schemes, multiple pricing, lay-by agreements, referral selling and harassment and coercion. -
The ACL prohibits misleading or deceptive conduct in trade or commerce. © Didasko Learning Resources
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q14:
Under contract law, what are the six fundamental principles needed for a contract to be legally binding? -
Offer
-
Acceptance
-
Awareness
-
Consideration
-
Capacity
-
Legality
Q15:
Define these consequences of not complying with a contract. a)
Rescission
- Cancellation of the contract. Everything returns to as though the contract never repeat.
b)
Mandatory injunction
- Order one party to do something c)
Prohibitor injunction
- Order one party to stop doing something
Q16:
Under the copyright law of Australia how is copyright protection applied to creative content? -
Copyright provides legal protection for people who express original ideas and information in certain forms.
Q17:
Under the trademark law of Australia, how can you maintain the registration of your business trademarks? -
Develop your idea and register it as a design or patent through IP Australia.
Q18:
Under Commonwealth superannuation laws, which employees are employers legally obligated to make superannuation payments to? -
Pay super to employees aged 18 or over, who are paid $450 (before tax) or more in a calendar month and work full time, part time or even casually. -
Pay super to employees who are under 18 that earn $450 (before tax) or more in a calendar month and work more than 30 hours per week.
Q19:
What are three statutory record keeping requirements for super?
You must keep records that show:
-
The amount of super you paid for each employee and how it was calculated.
-
That you have offered your eligible employees a choice of super fund.
-
How you calculated any reportable employer super contributions.
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q20:
Describe two key components of the Fair Work system created under the Fair Work Act 2009
. -
Enterprise agreements - These define the conditions of employment
for a group of
employees at one or more workplaces. There are three types of enterprise agreements under the FW Act. Each one is a type of collective agreement. They must comply with the minimum standards specified in the NES.
-
Modern Awards -These define the minimum working conditions for employers and
employees throughout Australia, who work in the same industries and occupations.
Q21:
The National Employment Standards (NES) sets out eleven minimum entitlements that apply to all employees and employers in the national workplace relations system. List five of these entitlements. -
Maximum weekly hours of work -
The right to request flexible working arrangements.
-
Parental leave and related entitlements -
Annual leave
-
Personal/ carer's leave and compassionate leave.
Q22:
What are the five aims of workplace health and safety (WHS) legislation? -
Provide and maintain a safe and healthy working environment.
-
Provide and maintain safe plant and work systems. -
Ensure that the use, handling and storage and transport of plant and substances are safe and without risk to health. -
Provide facilities for the welfare of employees. -
Provide information, instruction, training, and supervision as necessary to enable employees to work safely and without risks to health and safety.
Q23:
What must employers do to ensure that they provide duty of care to their employees? -
The work environment, systems of work, machinery and equipment are safe and properly maintained. information, training, instruction, and supervision are provided.
Q24:
What is workers’ compensation insurance and what does it cover? -
It is a service provided by WorkSafe Victoria that covers employers for certain costs if their workers are injured or become ill because of their work.
Some of these costs may include replacement of lost income. medical and rehabilitation treatment costs.
Q25:
What is the purpose of public liability insurance and what does it cover? -
Public Liability Insurance (PL) is designed to help cover you and your business in
the event a client or member of the public holds your business liable for personal injury or property damage.
-
The death or injury of a person
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
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Loss or damage caused to someone else's property.
-
Economic loss results from your negligence. The amount of money you are subscribed to pay is known as compensation.
Q26:
What does the Privacy Act 1988
regulate? -
Protecting the handling of personal information about individuals.
Q27:
Answer the following questions in relation to food safety, the Food Standards Code, and the Food Standards Australia New Zealand Act. a)
What is the basic aim of the Food Standards Australia New Zealand Act 1991
, the Food Standards Code and supporting food safety legislation in every state and territory of Australia? -
to ensure a high standard of public health protection throughout Australia and New Zealand, including by maintaining a high degree of consumer confidence in the quality and safety of food.
b)
Which chapter in the Food Standards Code directly affects the hospitality, tourism, and events industries? What does this chapter cover? -
Food safety standard Compliance with Chapter 3 standards is critical for the provision of food that is safe and suitable for human consumption. These standards apply to all food businesses and set out requirements for all aspects of food handling and for food handlers.
c)
State four basic principles of the Code and FSANZ Act including the practices you need to manage to comply with the law. -
Cleaning
-
Cooking
-
Cross Contamination
-
Chilling
d)
List three consequences of not complying with the Food Standards Australia New Zealand Act 1991
. -
a greater risk of contamination
-
a higher rate of food poisoning incidents
-
bad publicity and the possibility of prosecution
E) List two risk management strategies employers can implement to comply with food safety legislation.
- HACCP implementation
- Supplier management
F) What is the main record keeping requirement that relates to food safety legislation?
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
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food temperatures, cleaning schedules, and other relevant safety parameters.
Q28:
Answer the following questions in relation to liquor licensing laws. a)
The objectives, components and principles of liquor licensing laws are similar in all states and territories. What are the three main principles? -
Must not appeal to minors (below 18 years old)
-
Must be decent and not in any way offensive.
-
Must not encourage irresponsible drinking.
b)
Name four practices prohibited under liquor licensing laws and responsible service of
alcohol regulations that establishments must manage to comply with the law. -
Customers who are under the age of 18
-
Customers purchasing on behalf of minors.
-
Intoxicated customers
-
Customers affected by the consumption of illicit or other drugs.
c)
What is the penalty for selling alcohol to an intoxicated person in your state or territory?
-
fined in excess of $17,000 or be issued with a fine on the spot through an infringement notice.
d)
It is illegal to serve alcohol to a minor. How can you minimise the risk of this occurring in your establishment?
- ask them for proof of their age and inform them that we can get fined if we give that alcohol to
them.
e)
What are two mandatory records a business holding a liquor licence must keep?
- Whether they're allowed by law to stay on the premises.
- Whether they're allowed by law to drink alcohol
Q29:
Answer the following questions in relation to responsible conduct of gaming legislation. a)
What is the main objective of gaming laws?
-
Foster responsible gambling.
-
Minimise harm caused by problem gambling.
b)
Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three legal risks and how to manage them. -
Financial difficulty
-
Mental health issue
-
Relationship problems
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
c)
What are two practices that must be managed in a licensed gaming venue? - Gaming operators should not permit a customer to play more than one machine at a time. Signs should be displayed stating this requirement and consequences (such as removal from the gaming area) should apply to customers who do not comply.
- Gaming operators must not offer alcohol as a reward or to entice or promote continued gambling.
d)
What general recordkeeping procedures must gaming venues follow to comply with the law?
-
Interactive Gambling Act 2001
e)
List one consequence of failing to comply with gaming legislation.
-
You can be fined up to a maximum penalty of $30,960. Q30:
Answer the following questions in relation to the Criminal Code Act as it relates to child sex offences outside Australia. a)
What is the aim of the Criminal Code Act 1995
relating to child sex offences outside of Australia? -
Fines of up to $825,000 for a corporate body and imprisonment ranging from ten to 25 years.
b)
List two legal risks that must be managed in relation to the Criminal Code
Act
.
-
using a carriage service to menace, harass or cause offence.
-
The defendant must adduce or point to evidence in support of a defence or a matter of exception, exemption, excuse, qualification or justification.
c)
Explain four practices a travel agent could implement to support the Criminal Code Act 1995 and ensure legal compliance. -
Establish a corporate ethical policy against commercial sexual exploitation of children.
-
Train personnel in the country of origin and travel destinations to be aware of and report child sex tourism.
-
Introduce clauses in contracts with suppliers, stating a common repudiation of sexual exploitation of children.
-
Provide information to travellers through catalogues, brochures, in-flight films, ticket-slips, websites, etc.
d)
In Schedule 1 of the Criminal Code Act, what is the penalty for engaging in sexual intercourse with a child?
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Sexual penetration with a child under the age of 10 attracts a maximum penalty of
25 years' imprisonment. Sexual penetration with a child aged between 10 and under 16 and under the care, supervision or authority of the offender attracts a maximum penalty of 15 years' imprisonment.
Q31:
Answer the following questions in relation to the Queensland Tourism Services Act.
a)
What are two objectives of the Queensland Tourism Services Act? -
The main purpose of this Act is to provide for fair trading in the tourism services industry.
-
Promoting sound business practices by inbound tour operators and tour guides.
b)
List two practices or legal risks that organisations must manage or action to comply with the legislation.
-
Establishing a registration system for inbound tour operators
-
Providing for codes of conduct for inbound tour operators and tour guides
c)
What is the legal consequence of inbound tour operators beaching the law?
-
operate in an ethical and professional manner.
-
act in the best interests of clients.
d)
For how long must you maintain records of tourist itineraries, quotes, and travel package promotions?
-
financial records and other documents for 7 years (including accounting records)
-
all itineraries, quotes, and travel package promotions for 2 years.
Q32:
Answer the following questions in relation to the Residential Tenancies Act 1997. a)
What is the objective of the Residential Tenancies Act 1997
and what type of organisations does it apply to? -
It is the main legislation that regulates residential tenancies in Victoria.
It sets out the rights and responsibilities of renters and residents, rental providers, owners of rented premises, rooming houses, caravan parks and residential parks.
b)
List two practices or legal risks that organisations must manage to comply with the legislation. Include any actions they might take to ensure compliance.
-
Legal action can be time-consuming, expensive, and can damage a company's reputation.
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
-
Stay on track with changing laws and regulations.
c)
List two non-financial consequences of failing to comply with this legislation.
-
financial fines
-
limitations on activities
d)
List three records you must legally maintain under the Residential Tenancies Act.
-
Smoke alarm test – required to be done annually.
-
Electrical safety check – required every 2 years.
-
Gas safety check – required every 2 years.
Q33:
Answer the following questions in relation to the European Package Travel Directive.
a)
What is the purpose or objective the European Package Travel Directive? -
Protects European travellers' rights when booking package vacations, such as cancellation, liability, repatriation, and refunds.
b)
The European Package Travel Directive sets out minimum standards. List four examples of the standards that determine the actions to be taken to manage legal risks.
-
Avoid risk.
-
Reduce or mitigate risk.
-
Transfer risk.
-
Accept risk.
c)
You work for a travel agent and are unsure what actions are required to comply with the Directive. Who would you contact for further information about how to apply the Directive in your workplace?
-
Australian Federation of Travel Agents (AFTA)
d)
What are the consequences of travel agents, tour operators and airlines failing to comply with the European Package Travel Directive?
-
Responds to the changes in traditional travel distribution chains, while enhancing transparency and increasing the legal certainty for travellers and traders.
e)
List two documents that you must maintain to comply with your legal requirements.
-
Information provided to the customer. -
Formal requirements for package travel contracts. © Didasko Learning Resources
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
Q34:
You’re opening a travel agency and part of your strategy for ensuring legal compliance is to update your establishment’s policies and procedures. List five policies and procedures you’d need to develop in order to comply with the law. -
Counselling and discipline -
Customer service -
Invalidation, refunds, and exchanges -
EEO
-
Food handling and hygiene
Q35:
Describe six ways you could distribute, communicate and share policies, procedures, legal information and updates so that staff receive current or updated information about laws and
legislation. -
Set yourself a schedule and deadline for communicating compliance information
and changes.
-
Communicate compliance information and
changes to staff immediately. You don't want some employees working under the old system and some under the new. -
Conduct briefings prior to commencement of service periods, delivery of
tours
, operation of events, functions, etc. -
Have a communication plan in place to ensure all staff are informed of compliance information, any changes that impact on their role, and when they come into effect. -
List all employee names. Remember to communicate to volunteers, trainees, casuals, part-time employees and employees on maternity leave, long
service leave, personal leave, annual leave, etc.
-
Issue a written notice to employees with their pay slip.
Q36:
You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first. -
Office of Fair Trade
-
ACCC
-
ATO
-
State Revenue Offices
-
APRA
-
ASIC
Q37: List the steps you can follow to improve compliance of contractors. -
Start with a risk assessment.
-
The Formality of the control should depend on the risks.
-
Ensure compliance with law, regulations, and specific controls.
-
Give clear instruction, expectations, and responsibilities.
-
Provide sufficient training and supervision.
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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Short answer
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Maintain oversight throughout the contract period.
-
Follow up with remediation when necessary.
Q38: How can you evaluate business operations to ensure compliance after changes have been made to legislations? -
Stay informed.
-
Attend conference. -
Review current processes.
-
Use compliance software. Q39:
Identify four opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements. -
Conference
-
Convention
-
Seminar
-
Industry award
Q40:
List four ways you can identify training opportunities so you can maintain your team’s knowledge of regulatory requirements. -
Discussion with trainee
-
Discussion with colleagues
-
Discussion with the key personnel -
Observation
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