Reference no: EM133845342 , Length: word count:8300

Identify and manage legal risks and comply with law

Assessment Task 1

Questions

Provide answers to all of the questions below.

Question 1: Briefly describe one legal advantage or benefit and one disadvantage or risk of each of the following business structures.

Business structure Legal advantages/benefits Legal disadvantages/risks

• Sole trader
• Partnership
• Company

Question 2: Reference sources of regulatory compliance information and advice, relevant for the area where your campus is, for each of the following:

Information source Reference (can be a website)
Local government
State or territory government
Commonwealth government departments
Commonwealth regulatory agencies
Plain English documents explaining operational requirements of legislation
Discussions with experienced industry personnel
Industry accreditation operators
Industry associations or organisations (at least two)
Industry codes of conduct (at least two)
Industry codes of ethics developers (at least two)
Industry journals (at least two)
Industry seminars
Lawyers (at least two)
Libraries
Personal observations and experience
Reference books
Training courses

Question 3: Describe the regulatory authority and its function relevant for tourism, hospitality and events industries in the area where your campus is.

Question 4: Outline at least two methods of updating your information and knowledge on relevant laws and licensing requirements.

Question 5: Describe the strategies for managing legal risks and ensuring that a company complies with their legal responsibilities.

Question 6: Describe the objectives and primary components of laws, relevant for the area where your campus is, for each of the following:

Area Objectives and primary components

• Anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
• Anti-trust laws ("restrictive trade practices"), including the prohibitions on anti-cartel, resale price maintenance and third line forcing
• Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
• Contract formation and content
• Copyright law
• Duty of care and negligence
• E-commerce and social media
• Employer superannuation contributions
• Fair Work Act 2009, especially provisions for National Employment Standards (NES)
• Insurance, including public liability and professional indemnity insurance
• Privacy law
• Trademark law
• Work health and safety
• Workers' compensation, especially provisions for injury reporting and occupational rehabilitation
• Criminal Code Act 1995 as it relates to child sex offences outside Australia
• European Economic Directive of Foreign Travel
• Food safety
• Food Standards Australia New Zealand Act 1991
• Liquor licensing, especially as it relates to the responsible service of alcohol
• Queensland Tourism Services Act 2003
• Residential Tenancy Act
• Responsible conduct of gaming regulation

Assessment Task 2: Legal compliance project

Activities
Complete the following activities.
Carefully read the following information.

You have been appointed as the Operations Manager of a newly opened restaurant not far from your campus. The restaurant, Blue Healer, is made up of the restaurant itself and an administration office. So, the two main functions are catering and administration.
The kitchen has a chef, a kitchen assistant and four full-time kitchen staff. More staff are hired on a casual basis to cater for functions. There is a front of house manager and two service personnel.
The restaurant's accounts are completed, wages are calculated and records kept in a small office that opens off the kitchen. This is where you have your workplace. You are assisted by an Administration Assistant.
The company wants to make sure that it is complying with the relevant laws and licensing obligations, and you have been asked to look into this. Once these have been established, you will be responsible for developing policies, procedures and other supporting documentation or templates needed to ensure staff comply with the relevant legislation at all times.
What do I need to demonstrate?
During your practical assessments you will be required to demonstrate a range of the skills and knowledge that you have developed during your course. These include:
Identify and assess legal risk management and compliance required for business operations.
Identify sources of information for compliance with laws and licensing.
Access regulatory and other legal information relevant to specific business operation.
Identify risks, penalties and consequences of non-compliance.
Assess and act on need for specialist legal advice.
Communicate legal risk management strategies and actions.
Update personnel to ensure they have current knowledge of roles and responsibilities for legal risk management and compliance.
Continuously evaluate business operations for non-compliance.
Make changes where required.
Identify and use opportunities to maintain knowledge of current legal risk management strategies and legal compliance requirements.
Use organisational communication methods to share updated regulatory knowledge.
How will I provide evidence?
Your assessor will provide you with templates to complete each task. You will find submit:
a Legal Compliance Briefing Report
an email with the following attached:
Customer Service Policy and Procedures
Diversity Policy and Procedures
WHS Policy and Procedures
Information Management Policy and Procedures
Recruitment, Induction and Termination Policy and Procedures
Food Management Policy and Procedures.
an email to the HR Manager.
You will need to complete each activity and submit the required documents at the end of each step completed.
Tips for completing your activities
Read through this assessment and each task before you get started and make sure you understand what you need to do. If you are unsure, speak to your assessor and/or supervisor.
Stay up to date!
Stay in touch with your assessor. Ask questions, raise issues, check in, communicate.
Most importantly, ask for help if you are having trouble!

1. Write a legal compliance briefing report.

You are required to write a report on the Blue Healer's legal compliance obligations.
Follow the guidance in the Legal Compliance Briefing Report Template and use the internet to access regulatory information from a broad range of local, state/territory and commonwealth sources to collect information that is relevant to Blue Healer's business operations - assume this is in your local State or Territory and council area.
These sources should include:
current legislation and government regulatory documents
professional standards and codes of practice and standards issued by regulatory authorities
regulatory information and business management manuals issued by industry associations (you can obtain these online).
When writing the report, you will focus on the two main areas of Blue Healer's operations and determine what laws and licensing obligations apply to it.
Use the Legal Compliance Briefing Report Template to guide your work - follow the guidance in the template and complete each section.
When you have completed the report, submit it to the Senior Management Team for their consideration (role played by your Assessor).

2. Develop legal risk management strategies and actions.

The Senior Management Team has discussed your briefing report, and it has been decided that, to ensure ongoing staff compliance with the obligations you have identified, risk management strategies need to be developed for six different areas which are:
Workplace health and safety
Information management
Customer Service
Recruitment, induction and termination
Diversity
Sustainability.
Create six policies and the relevant procedure documents for each of the six areas. These policies need to be well written, detailed, relevant for your local area and State or Territory and should include, as a minimum, the following:
Relevant laws and licensing obligations relevant
The roles and responsibilities of personnel directly involved with regulatory compliance. It is not necessary that tasks are allocated to specific personnel, but there should be differentiation between managers' and employees' responsibilities.
A list of any supporting documentation or templates required for managing and monitoring the risk.
Use your research from activity step 1, and the internet to access, and review, other organisations' policies, procedures and supporting documentation covering these topics as ideas and guidance for language, style and layout. Do not copy these documents but draw inspiration from a variety of sources that can be adapted and suited to the scenario business provided.
Use the Customer Services Policy and Procedures Template to guide your work.

3. Send an email to all Blue Healer Staff.

The text of the email should be in grammatically correct English, written in an appropriate (polite, business-like) style.
It should introduce and summarise the contents of the attachments and ask for their feedback.
The email text should give some information on the format of the policies and procedures and suggest a process by which inclusions can be proposed and adopted.
Attach the following to the email:
Customer Service Policy and Procedures
Diversity Policy and Procedures
WHS Policy and Procedures
Information management Policy and Procedures
Recruitment, Induction and Termination Policy and Procedures
Food Management Policy and Procedures.

4. Send an email to the Human Resources (HR) Manager.

To ensure that the staff receive regular updates on changes to legal compliance requirements, and the staff roles and responsibilities involved, you are required to organise this with the Blue Healer's HR department. Get top-rated assignment assistance now!
The text of the email should be in grammatically correct English, written in an appropriate (polite, business-like) style.
It should set out an annual plan of information updates for Blue Healer staff members.

Assessment Task 3: Maintaining compliance

Activities
Complete the following activities.
Carefully read the following information.

It has been determined that the Blue Healer's restaurant needs to have its registration changed to the new owner's name.
What do I need to demonstrate?
During your practical assessments you will be required to demonstrate a range of the skills and knowledge that you have developed during your course. These include:
Assess and act on need for specialist legal advice.
Communicate legal risk management strategies and actions necessary to comply with laws.
Develop practices for updating personnel to ensure they have current knowledge of roles and responsibilities for legal risk management and compliance.
Maintain business and occupational licences and check contractor contracts and conduct to avoid risk to business.
Continuously evaluate business operations for non-compliance and implement modifications.
Identify and use opportunities to maintain knowledge of current legal risk management strategies and legal compliance requirements.
Use organisational communication methods to share updated regulatory knowledge.
How will I provide evidence?
Your assessor will provide you with templates to complete each task. You will find some detailed information about providing evidence; this will include;
completed restaurant registration document(s)
an email to the lawyer with the following attached:
supplier contract
an email to suppliers with the following attached:
the amended supplier contract sent back from the lawyer
an email with Revised Food Management Policy and Procedures attached.
You will need to complete each activity and submit the required documents at the end of each step completed.
Tips for completing your activities
Read through this assessment and each task before you get started and make sure you understand what you need to do. If you are unsure, speak to your assessor and/or supervisor.
Stay up to date!
Stay in touch with your assessor. Ask questions, raise issues, check in, communicate.
Most importantly, ask for help if you are having trouble!

1. Obtain specialist legal advice.

You are required to contact a council representative to clarify what needs to be submitted for the Blue Healer's restaurant to have its registration changed to the new owner's name.
Your assessor will listen to you make the telephone call or you will need to record it for them to listen to later.
The representative should either direct you to the form on their website or send you a hyperlink for it.

2. Submit required documentation.

Print out the restaurant registration documents.
You can fill them out using any names you wish. The objective is to demonstrate that you can complete the required documentation as part of the simulated assessment.
When completed, submit the document(s). (For the purposes of this assessment, you will not submit the documents to the council, but to your Assessor.)

3. Write an email to your lawyers (your Assessor).

As part of the Blue Healer's legal compliance activities, you are required to ensure that the contracts with your current suppliers comply with the relevant regulations.
Review the Supplier Contract in your student resources folder to confirm if it complies with regulations and make changes where required. You will need to get specialist advice from the lawyer to ensure that the contract is legal.
Confirm the changes that will be made with your Assessor before sending the email to the lawyer.
(Send the email to your Assessor)

Write an email to the lawyer (your Assessor) asking for changes to be made to the supplier contract.
The email should ask to add any changes that need to be made to the contract.
The text of the email should be in grammatically correct English, written in an appropriate (polite, business-like) style.

4. Write an email to suppliers (your Assessor).

Write an email that can be sent to all suppliers explaining the changes in the contract and attach the updated contract. (For the purpose of this activity the supplier is your Assessor).
The email should ask for confirmation of their legal obligations and provide the reason for the contract changes.
Inform them that the restaurant can only maintain its registration if they comply with all of their legal obligations.
The text of the email should be in grammatically correct English, written in an appropriate (polite, business-like) style.

5. Review the Food Management Policy and Procedures.

As part of your continuous improvement activities, you are required to update this document to include information you have received while carrying out the above activities.
It is important that this document gives enough direction for employees to ensure that they are complying with all relevant laws and regulations, and the restaurant can maintain its registration.
Save this document as Revised Food Management Policy and Procedures.

6. Send an email to all staff (your Assessor).

The text of the email should be in grammatically correct English, written in an appropriate (polite, business-like) style.
It should introduce the attachment and summarise the changes you have made to the document.
Impress on the staff that it is only by them adhering to the procedures as set out in this document that the restaurant can maintain its registration.
Attach your Revised Food Management Policy and Procedures to the email.