Written Assessment:

1. Name 4 sources of information you may use in order to research legal

information in your industry.

Primary and secondary research

Primary and secondary research relate to the way you gather information.

Primary research
Primary research (or field research) gathers original information directly for your
purpose, rather than being gathered from published sources. Primary research includes:
● surveys
● direct observations
● Interviews and focus groups that are developed and conducted by you or your
researcher.

Secondary research
Secondary research (or desk research) gathers existing information through available
sources. Secondary research examples include:
● information on the internet
● existing market research results
● existing data from your own stock lists and customer database
● Information from agencies such as industry bodies, government agencies,
libraries and local councils.
Secondary research allows you to make the most of existing information about your
market. However, it can be a

Quantitative and qualitative research

Quantitative and qualitative research defines the type of information you gather.

Quantitative research
Quantitative research gathers numerical data. Quantitative research includes:
● surveys on customer return frequency
● sales figures
● industry product sales numbers
● online or phone questionnaires
Qualitative research
Qualitative research gathers views and attitudes. Qualitative research includes:
● focus groups with customers and potential customers to understand their feelings
and attitudes towards your products and services
● Formal and informal conversations with customers about their satisfaction with
your business.

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.

We can get information for small business owners and operators, particularly for legal
compliance issues are:

WWW.BUSINESS.GOV.AU

WWW.ACCC.GOV.AU

WWW.SMALLBUSINESS.WA.GOV.AU

3. Name two types of licences a business may require in TH&E industry.

The two types of licences a business may require in TH&E industry are:

1. FOOD SAFETY LICENCE.

2. ALCOHOL LICENCE

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
Written contracts provide more certainty for both parties than verbal contracts. They
clearly set out the details of what was agreed. Matters such as materials, timeframes,
payments and a procedure to follow in the event of a dispute, can all be set out in a
contract.
Verbal contracts
Many independent contracting arrangements use verbal contracts, which only work well
if there are no disputes. A handshake agreement may still be a contract and may
(though often with difficulty) be enforced by a court.
Standard form contracts
A 'standard form' contract is a pre-prepared contract where most of the terms are set in
advance and little or no negotiation between the parties occurs. Often, these are printed
with only a few blank spaces for filling in information such as names, dates and
signatures..
Period contracts
Some independent contractors and hirers use a 'period contract', which is a contract
template that sets out the terms for a business relationship where the contractor is
engaged to perform work from time to time. In the building and construction industry,
these contracts are called 'period trade contracts'.
Licensing contract

A Licensing Contract is an agreement that allows you to earn money from your
invention or creation by allowing someone else to use it. This type of agreement can
serve and an outline of terms like how much they will pay, restrictions of use,
reproduction rights, and exclusivity of the product.

Non Disclosure agreement

A Nondisclosure Agreement protects your confidential information and can give you the
right to seek legal action if the other party discloses information covered by the
agreement.

5. What are 3 consequences of businesses not complying with legislation and

regulatory compliance?

Imprisonment
Individuals can be imprisoned for breaches of health and safety law, with sentences of
up to six months in the Magistrates’ Courts and up to two years in the Crown Courts.
Loss of Reputation
Any organisation which fails to comply with legislation runs the risk of a loss of
reputation and with it the loss of customers.
Loss Of Current Or Potential Staff
If you were applying for a job with a company whom you found had been prosecuted
under Health & safety legislation, or who been found to have broken employment or
human rights law, would you think twice?
 6. What are the penalties for failing to comply with the Travel Agents Acts?
The penalties for failing to comply with the travel agents acts are as follows:

A person who was disqualified under section 21 of the Travel Agents Act 1986 from
holding a licence or from being involved in the direction, management or conduct of
business as a travel agent immediately before the repeal of that Act, must not engage in
any conduct that would have been a contravention of that disqualification during the
period for which they were so disqualified. Maximum penalty: 50 penalty units.

(2) Section 4 of the Travel Agents Act 1986 and clauses 4 and 5 of the Travel Agents
Regulation 2011, despite the repeal of that Act and that Regulation, continue to apply
for the purposes of this clause.

7. What are the penalties for Australians who commit child sex offences with
overseas?

It is a crime for Australian citizens, permanent residents or bodies corporate to engage

in, facilitate or benefit from sexual activity with children (under 16 years of age) while
overseas.

These offences carry penalties of up to 25 years imprisonment for individuals and up

to $500,000 in fines for companies

8. List 5 issues in your industry that you may need to seek specialist legal
advice about.
The 5 issues in industry that may need to seek specialist legal advice about are:

1. Intellectual property issues.

Intellectual property (IP) is a category of property that includes intangible
creations of the human intellect, and primarily encompasses copyrights, patents,
and trademarks
2. Disgruntled Employees
As a business owner, this will be one of the most common legal headaches.
In America, employees have far more rights than other countries, in the form of
unions and reasons for "wrongful termination"..
3. Discrimination/Harassment Cases
 The legal ramifications of alleged discrimination - sexual, ethnic, age or
otherwise, can cause your company serious problems. Make sure your human
resources and legal departments are well equipped to handle these issues
should they arise.
4. Immigration Audits

You should make sure that all your company's employees can legally work in the
United States. Do top down sweeps off your company.
5. Copyright and Patent Issues

Cutting edge companies in the tech industry often face aggressive patent
litigation. Companies often sit on patents for years, hoping that another company
inadvertently violates them, to get easy money through patent and copyright
lawsuits

9. How can standard operating procedures help ensure legal compliance.

Standard operating procedures help ensure legal compliance by following

reasons:

1. SOP Creation Workflows – SOP creation requires the input of multiple

people within the organization – including both operational and
compliance team leaders. It takes a team to write the policy which can be
tricky as these leaders may not always be in the same physical location
.
2. Approval Workflows – Once SOP are created, they must go through a
stamp of approval before they are implemented within the organization.
These approvers must understand where the initiative is coming from and
the conditions the end users work with to ensure SOP are in line with
existing business conditions.

3. Audit Trails – When an internal or external audit is performed, approvals

and employee discussions are key indicators of how and why a policy was
implemented. They provide evidence on how the document evolved, who
was a part of the process, and where the policy initiative occurred.
 4. Version Control – The efficiency of your compliance team to work with
operational leaders is important, version control ensures that employees
are always accessing the most current version of the document.

10. How can including an approval step in the SOP help you comply with WHS?

STEPS IN SOP:

1 .Sequence of Job Steps

2. Potential Hazards/Risks

3. Recommended control.

4. Personal Protective Equipment.

5. Perform the task

Steps followed in WHS:

STEP1: Leadership commitment

STEP2: Consultation
STEP 3: Manage the hazards
STEP4: Information, training ,supervision
STEP5: Maintain safe workplace
STEP 6: Keeping records
STEP 7: Monitor, review, overview

● generally provide a safe workplace for your staff

● identify and control hazards

● train and supervise your staff

● keep your staff informed, and involve them in health and safety processes

● record all accidents and report all serious injuries to the Occupational Safety and
Health Service (OSH)
 11. List three duties of a Compliance Manager.
The various duties of compliance manager are:

● Conducting compliance risk assessment training workshops.

● Conducting internal reviews and audits.
● Evaluating compliance systems and ensuring adequate software is in place.

12. List 3 ways that you can notify staff of updates to policies and procedures.

1. Ask employees to review employee handbook or policy manual

● Provide employees a chance to ask questions.
● Distribute the completed handbook or manual to staff, either in a hard copy or
advise them how to access the document electronically.
● Ask employees to provide feedback on improving the document.

2. Provide training where required

● Some policies and procedures may require more extensive and intensive training
to ensure that employees understand how the policy applies to them, so provide
employee training, as required.
● Training does not have to be provided all at once. You can schedule training
sessions on an ongoing basis or on an as-needed basis.

3. Request employee sign-off

● It is important for staff to read the document to become familiar with the
company’s policies.
● Request each employee sign-off on having read the document

13. List 3 ways you (or your personnel) can keep up to date with legislation
changes that may affect your industry.
The three ways we can keep legislation changes affect in industry are through:

Subscribe to online newsletters

A free and easy way to stay in the loop is to subscribe to online trade journals, blogs,
magazines and other publications for news delivered straight to your inbox. If you find a
lack of time and a cluttered inbox is stopping you from reading your emails, try printing
them out as soon as they’re received.
Follow prominent people on social media

Social media has become one of the best up-to-the-minute sources of news. Never
before have people with knowledge, fame and power been so personally accessible to
the public. By following well-known experts and industry people on LinkedIn, Twitter and
Facebook, you’ll absorb the latest information and opinions, while you get your daily
social media fix.

Read, listen and watch

The digital world is saturated with written, audio and visual media to immerse yourself
in. There are loads of respected bloggers out there whose opinions are as credible as
paid newspaper journalists. Do a regular Google search and see what you can find. If
you prefer paper, make a regular visit to the bookstore and buy the latest books to learn
from

14. Name a regulatory body from your industry that you may consult for
compliance advice.

Australian Competition and Consumer Commission (ACCC)

The ACCC is responsible for enhancing the welfare of Australia through the promotion
of competition and fair trading in the Australian marketplace and for the protection of
consumers. It regulates companies and individuals to ensure compliance with the CCA.
It can also regulate foreign companies conducting business or engaging in activities in
Australia.
The ACCC has significant powers to make decisions or take legal action in respect of
consumer protection matters and matters involving anti-competitive behaviour. It has
powers to assess whether acquisitions of shares or assets may result in the lessening
of competition in the market in breach of the CCA. State and territory consumer affairs
agencies also enforce fair trading and consumer protection matters.

15. Why must a business make sure that any contractors they employee,
hold the appropriate licences?

This is important that any contractors they employee, holds the appropriate licences
because A licensed building company and its nominee must make sure that building
work carried out by the company is personally supervised by the company’s nominee or
an employee who holds a licence of the relevant class that authorises supervision of the
building work.
The maximum penalty for a company failing to meet this requirement is $117,800.
If the building site is under the control of an appropriately licensed person, other
employees in a supporting supervisory role are not required to be licensed unless they
are engaged as contractors

16.List 5 documents you may need to keep up to date as proof that are
checking your business compliance on a regular basis.

The 5 documents are:

● cash book or financial accounting program - that records cash receipts and
cash payments
● bank accounts - cheque books, deposit books and bank statements
● employment records - hours of work, overtime, remuneration or other benefits,
leave, superannuation benefits, termination of employment, type of employment,
personal details of workers, employee personal contact and employment details
● sales records - invoice books, receipt books, cash register tapes, credit card
documentation, credit notes for goods returned and a record of goods used by
the business owner personally
● proof of purchases - cheque butts (larger purchases), petty cash system
(smaller cash purchases), receipts, credit card statements, invoices, any other
documents relating to purchases including copies of agreements or leases

17.IN A BUSINESS WITH PARTNERSHIP STRUCTURE, WHO HAS THE DEBT

LIABILITY ?

According to Partnership Act 1963, all partners together are personally responsible for
business debts. Each partner is individually liable for debts incurred by the other
partners. This is known as being 'jointly and severally' liable (i.e. unlimited liability).In
limited liability partnership, the limited partner's liability would not exceed the
contribution made or promised.
Q18. 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?

Shareholders own the company by owning shares in the company. If the company fails
in its operation, the shares may be worth nothing, but the shareholders cannot be
required to pay more or be held personally liable for actions of the company. This is of
course unless the shares are partially paid, in which case they may have to pay any
outstanding amounts so that the shares are fully paid.
In the event a company is wound up, shareholders would rank behind the creditors of
the Company and are unlikely to receive any dividend in an insolvent liquidation unless
it has a claim as a creditor.

Q19. LIST 3 MATTERS THE FEDERAL DEPARTMENT OF THE ENVIRONMENT

OVERSEES.

The Department designs and implements Australian Government policy and programs
to protect and conserve the environment, water and heritage, promote climate action,
and provide adequate, reliable and affordable energy.

Matters dealt with by the Department:

● Air quality
● National fuel quality standards
● Land contamination

Q20. 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 3
THINGS).

● harassment on the basis of race, colour, religion, sex, national origin, disability,
genetic information, or age;
● retaliation against an individual for filing a charge of discrimination, participating
in an investigation, or opposing discriminatory practices;
● employment decisions based on stereotypes or assumptions about the abilities,
traits, or performance of individuals of a certain sex, race, age, religion, or ethnic
group, or individuals with disabilities, or based on myths or assumptions about an
individual's genetic information; and
 ● denying employment opportunities to a person because of marriage to, or
association with, an individual of a particular race, religion, national origin, or an
individual with a disability. Title VII also prohibits discrimination because of
participation in schools or places of worship associated with a particular racial,
ethnic, or religious group.

Q21.CAN YOUR REFUND POLICY STATE ‘NO REFUNDS’ ? WHY/WHY NOT ?

NO, the refund policy cannot state ‘no refunds’ in their policy because a business does
not have to display a sign that details their refund policy. However, if they do, the sign
must not be misleading. Signs that say "No refunds" are illegal. It is against the law
for businesses to verbally say or show signs stating that they do not give refunds under
any circumstances, including for gifts and during sales.

They suggest customers are not entitled to a refund or that the customer has no rights if
the goods are faulty in any way. A business must not mislead customers about their
legal rights. Make sure all staff members fully understand the refund policy. This will
help them to answer questions from customers and make the right decisions about
giving refunds.
A consumer is not entitled to a refund for change of mind. Additionally, consumer
guarantees do not have a specific expiry date and can apply even after any warranties
you’ve give has expired.

Q22. GIVE ONE EXAMPLE OF A LOCAL OR BY-LAW YOU MIGHT NEED TO

COMPLY WITH IN YOUR INDUSTRY.

IN Foodservice industry in Australia, Food safety standards place obligations on

Australian food businesses to produce food that is safe and suitable to eat. A food
business is any business or activity that involves the handling of any type of food for
sale, or the sale of food in Australia. The standards, which also contain health and
hygiene obligations for food handlers, aim to lower the incidence of foodborne illness.
Charity and community groups, temporary events and home-based businesses are
exempt from some of the requirements in the food safety standards. These groups and
businesses can contact their local enforcement authority for further information.

23. List three ways you can keep up to date with legislation changes that may affect your
industry.

1. Enlist a mentor or industry buddy

2. Build your skills with study

3. Subscribe to online newsletters

4. Network

5. Browse online forums or discussion boards

6. Follow prominent people on social media

7. Read, listen and watch

24.Name one regulatory body from your industry that you may consult for compliance
advice.
LegalVision regulatory and compliance lawyers can assist with regulatory and compliance
advice,compliance systems and training and regulator engagement
27.List 7 duties of a Compliance Manager.

The various duties of compliance manager are:

● Conducting compliance risk assessment training workshops.

● Conducting internal reviews and audits.

● Evaluating compliance systems and ensuring adequate software is in place.