SITXGLC001 Research and comply with regulatory requirements

SITXGLC001 Research and comply with regulatory requirements :

Melbourne Campus: Level 4, 123-129 Lonsdale Street Melbourne, Victoria 3000 Australia Ph: 1300 781 194

E: [email protected] W: www.asoc.edu.au

SITXGLC001

Research and comply with regulatory requirements

Candidate SITXGLC001 Research and comply with regulatory requirements Assessment Tool

STUDENT NAME:
STUDENT ID:
ASSESSOR NAME:
UNIT CODE AND TITLE:	SITXGLC001- Research and comply with regulatory requirements

This assessment booklet and tool has been designed for students undertaking face to face mode of study to provide information before students take assessments and contains assessment tools to assess the skills and knowledge required from students to be deemed competent in this unit.

Please read all the information given to you when you receive this assessment booklet. If you do not understand any part of this booklet, please inform your assessor/trainer.

The assessment booklet contains two (2) parts:

PART 1: Assessments information: This part contains information on assessments for this unit of competency and how assessment will be conducted throughout unit to achieve the competency. It includes:

• Application of the unit of competency
• Purpose of assessment
• Elements, performance evidence and knowledge evidence requirements of the unit
• Conditions, context, required resources and location of the assessment.
• Assessment tasks.
• Outline of evidence to be collected.
• Administration, recording and reporting the requirements including special adjustments, appeals, reasonable adjustments and assessors’ intervention.

PART 2: Assessment tasks: This part contains the information to successfully undertake the assessment task. In each assessment task, students will find the following information:

• Task instructions.
• Role play / Practical Demonstration information.
• Information on resources required, where applicable.
• Appendix1- Assessment resource in ASOC’S Commercial Kitchen

PART 1

    SITXGLC001 Research Assessment Information     

Application of the unit of competency:

This unit describes the performance outcomes, skills and knowledge required to comply with laws and licensing requirements for specific business operations. It requires the ability to access and interpret regulatory information, determine scope of compliance, and develop, implement and continuously review and update policies and practices for business compliance.

The unit applies to regulatory requirements for day-to-day business operations in all tourism, travel, hospitality and event sectors and to special requirements for one-off events.

It applies to senior personnel who operate independently or with limited guidance from others and who are responsible for making a range of operational business and regulatory compliance decisions.

No occupational licensing, certification or specific legislative requirements apply to this unit at the time of publication.

Purpose of assessment:

The purpose of assessment is to determine competency in the unit SITXGLC001- Research and comply with regulatory requirements

Elements

Elements	Elements Title
1	Research information required for legal compliance.
2	Develop and communicate policies and procedures for legal compliance.
3 4	Ensure compliance with legal requirements. Maintain personal and organisational knowledge of regulatory requirements.

Performance evidence:

Evidence of the ability to complete tasks outlined in elements and performance criteria of this unit in the context of the job role, and:

• access and interpret regulatory information and determine the scope of compliance for the operations of a specific tourism, travel, hospitality or events business in relation to at least six different areas of compliance
  • develop policies and procedures for legal compliance with each of the above areas of

compliance

• integrate into compliance planning activities and documentation:
  • sources of detailed information and advice on regulatory compliance
  • objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations
  • use of policies and procedures in managing regulatory compliance.

Knowledge Evidence

Demonstrated knowledge required to complete the tasks outlined in elements and performance criteria of this unit:

legal responsibilities and liabilities of managers and directors in varying business structures sources of information and advice on regulatory compliance:

• local, state, territory or commonwealth government departments or regulatory agencies
• industry associations
• plain English documentation that explains the operational requirements of legislation
• computer data
• the internet
• discussions with experienced industry personnel
• industry:
  • accreditation operators
  • associations and organisations
  • developers of codes of conduct or ethics
  • journals
  • seminars
• lawyers
• networking with:
  • colleagues
  • suppliers
• libraries
• media
• personal observations and experience
• reference books
• training courses
• unions

functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries

methods of receiving updated information on laws and licensing requirements use of policies and procedures in managing regulatory compliance

formats for and inclusions in policies and procedures

objectives and primary components of local, state, territory and commonwealth government laws to which all types of businesses must comply and that cover:

• anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
• Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts
• contracts
• employer superannuation contributions
• environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents
• Fair Work Act 2009, especially provisions for National Employment Standards (NES)
• local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents
• taxation
• workplace relations
• public liability and duty of care
• work health and safety
• workers’ compensation, especially provisions for injury reporting and occupational rehabilitation

objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators in the tourism, hospitality and event industries; chosen to be applicable to the individual’s context:

• Copyright Act 1968
• 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
• Privacy Act 1988
• Queensland Tourism Services Act 2003
• Residential Tenancy Act
• responsible conduct of gaming regulation

for each relevant law, code, standard and licensing requirement, the depth of knowledge must cover:

• key practices that are prohibited by the law
• auditing and inspection regimes
• main consequences of non-compliance
• need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements
• requirements for record keeping and acceptable record keeping mechanisms
• statutory reporting requirements for businesses
• key business insurances required
• adherence to mandatory codes of conduct enshrined in legislation
• requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
• rights and responsibilities of employees and employers
• other specific action that must be taken for legal compliance opportunities to maintain knowledge of regulatory requirements:
• discussions with experienced industry personnel
• networking with colleagues and/or suppliers
• participating in industry accreditation schemes
• participating in industry seminars
• membership of professional industry associations
• participating in training courses
• subscribing to regulatory newsletters.

Context and conditions for assessment:

To comply with the assessment conditions of this unit:

• Australian School of Commerce (Also referred as “ASOC” in this document) will conduct practical assessment for this unit in its Commercial Kitchen.
  • You will have access to suitable facilities, equipment and resources, including template documentation to undertake the assessment tasks for this unit of competency.
  • During the project work, you will undertake simulated case study assessment activities that involve complex interactions with real time situations where you have to give your suggestions.

• Knowledge assessment for this unit will be conducted at ASOC’S classroom at Level 4, 123 Lonsdale St, Melbourne, Victoria 3000.

Resources Required:

The assessor will ensure that assessment is conducted in a safe environment and you have access to the following resources for the unit.

• Computers with access to internet and printers
• DIDASKO learner guide for unit SITXGLC001
• Access to simulated industry environment
• Access to ASOC’s classroom for conduction Knowledge test.

Clustering/holistic assessment:

There is no provision for clustering of assessments in this unit.

Competency Requirements:

To be judged competent in this unit, you must satisfactorily complete all assessment tasks to be Competent (C) in the unit. Students with unsatisfactory completion of any of the assignment tasks will be deemed Not Yet Competent (NYC).

Assessors will ensure that the evidence collected meets the requirements of the Rules of Evidence (authentic, current, sufficient and valid) prior to entering results into the competency record sheet.

Students unsuccessful at achieving “Satisfactory” for any assessment at the first attempt will be given two opportunities for reassessment. If the student is still deemed Not Yet Competent (NYC) after two reassessments in a unit of competency, student will be required to repeat the unit as per the scheduled delivery of the course. For further details, refer to Australian School of Commerce Re-Assessment Policy and Australian School of Commerce Course Progress Policy.

Assessment tasks

Assessment description

Location of assessment

Assessment Task 1 (AT1) – Knowledge Test	Students are required to complete the  knowledge test to be deemed competent. The learners are required to answer in brief. They must answer all the questions correctly to be marked satisfactory.	Needs to be completed in the ASOC’s classroom
Assessment Task 2 (AT2) – Worksheets	This assessment task is short answer question which demonstrates that Students have the required knowledge to research and comply with regulatory requirements.	Needs to be completed in the ASOC’s classroom
Assessment Task 3 (AT3) – Project	This is a project based assessment that requires you to create a business compliance system for one area of business operations through researching information required, establishing the compliance system and monitoring it.	Needs to be completed in class room with simulated hospitality environment

Assessment Task:

To achieve competency in this unit, you must satisfactorily complete all the following assessment tasks within the date and time specified in the session plan. This will demonstrate that you have all the required skills and knowledge for this unit.

Outline of evidence to be collected:

You must submit the following evidence to be marked competent for this unit. Your assessor will ensure that the evidence submitted meets the Rules of Evidence which are valid, sufficient, current and authentic.

Assessment   Task                       1 (AT1) – Knowledge Test	Completed knowledge test with questions answered and submit to your assessor electronically.Complete and sign the cover sheet for assessment task.
Assessment Task 2 (AT2) – Worksheets	Answer all the questions correctly in the Written Knowledge Questions and submit to your assessor electronically.Completed and signed the cover sheet for assessment task.
Assessment   Task                       3 (AT3) – Project	Complete Task 1, 2, 3 and 4 in ASSESSMENT Task-2Answer all questionsCompleted and sign the cover sheet for assessment task

You must read and follow this information carefully while completing assessments for this unit of competency and if you are unsure of any instruction, please contact your assessor to clarify.

The assessments are intended to be equitable, fair and flexible.

Submission of assessment:

You must ensure that the completed assessment tasks are submitted along with the assessment cover sheet:

• Your assessor will mark the submitted assessment, provide feedback to you and complete the comments section against each task, where applicable.
  • ALL tasks must be completed in legible English. It is preferred that the tasks submitted for assessments are typed.
  • You must submit all assessments on or before the due date specified by the assessor as per the training plan.
  • Extensions for individual assessment tasks may be negotiated in specific circumstances with your assessor/trainer. However, you need to provide genuine evidence documents when seeking an extension to due date (e.g. extensions due to illness will require a medical certificate). To arrange an extension, you must speak to your assessor prior to the due date. Extensions must be confirmed by the trainer in writing.
  • You are permitted to use dictionaries and to seek support (as required) unless it puts in jeopardy the integrity of the assessment, your assessor will let you know if this is the case.
  • Unless the assessment task specifically allows pair work or group activities such as brainstorming, you must submit your own original work and must not copy the work of other students. Plagiarism is unacceptable.

Recording an assessment result:

Once the assessments have been completed, the assessor will record the assessment results on the student assessment record sheets and all results will be approved by the Training Manager.

Assessors will check that you have completed the signed student declaration prior to filling out the assessment sheet.

Retaining assessment records:

Australian School of Commerce will securely retain all completed student assessment items for each student for a period of six months from the date on which the judgement of competence for the student was made. Australian School of Commerce will also retain sufficient data to be able to reissue AQF certification documentation for a period of 30 years.

The assessor will ensure that the student records are securely retained and stored in accordance with the Australian School of Commerce record control policy accessible by the Student Administration Officer.

Assessment outcomes:

For unit of competency:

There are two outcomes for assessments: C = Competent and NYC = Not Yet Competent

(requires more training and experience).

You will be awarded C = Competent on completion of the unit  when the assessor is satisfied that you have completed all  assessments and have  provided the  appropriate  evidence  required to meet all criteria in line with the Rules of Evidence. If you fail to meet this requirement, you will receive the result NYC = Not Yet Competent and will be eligible to be re-assessed in accordance with the Australian School of Commerce Re-Assessment Policy and Australian School of Commerce Course Progress Policy.

For assessment task:

There are two assessment outcomes for tasks.  S = Satisfactory and NS = Not Satisfactory.

On the individual assessment cover sheet for assessment tasks you will be marked Satisfactory, if you have completed the task successfully, submitted all evidence and satisfied the assessment criteria and Not Satisfactory, if you have not completed the task, the evidence is not sufficient or does not meet the requirements of the assessment criteria.

Re-assessment:

If you are unsuccessful at achieving competency at the first attempt, you will be given two further opportunities for re-assessment at a mutually agreed time and date. For further details, refer to the Australian School of Commerce Re-Assessment Policy and Australian School of Commerce Course Progress Policy. As this is a competency-based program, the assessment continues throughout the program until you either achieve Competency in the assessment tasks or a further training need is identified and addressed.

Student access to records:

You have the right to access current and accurate records of your participation and results at any time. You can request a copy of your records (results or attendance progress) by contacting the student administration or assessor.

Support:

You may seek clarification about the assessment information and the instructions and tasks at any time from the assessor.

Reasonable adjustments and special learning needs:

Australian School of Commerce works to ensure that students with recognized disadvantages can access and participate in education and training on the same basis as other students. Disadvantages may be based, for example, upon age, cultural background, physical disability, limited or non-current industry experience, language, numeracy or digital literacy issues.

Where pre-training interviews and LLN assessments reveal that a student may require special support or where, after enrolment, it is made apparent that the student requires special support, reasonable adjustments will be made to the learning environment, training delivery, learning resources and/or assessment tasks to accommodate the particular needs of the student. An

adjustment is reasonable if it can accommodate the student’s particular needs, while also taking into account factors such as the student’s views, the potential effect of the adjustment on the student and others and the costs and benefits of making the adjustment.

Any adjustments made must:

• be discussed, agreed and documented in the assessment record
• benefit the student
• maintain the integrity of the competency standards and course requirements as stipulated in the training package
• be reasonable to expect in a workplace.

Reasonable adjustment may consist of:

• providing additional time for students to complete learning and assessment tasks
• presenting questions orally for students with literacy issues
• asking questions in a relevant practical context
• using large print material
• extending the course duration
• Presenting work instructions in diagrammatic or pictorial form instead of words and sentences.

Complaints and appeals:

If you are dissatisfied with an assessment outcome, you may appeal the assessment decision. In the first instance, you are encouraged to appeal informally by contacting  the assessor and discussing the matter with them. If you are dissatisfied with the outcome of such discussion, you may appeal further to training manager. If you are still dissatisfied, you may appeal formally and in writing to have the result reviewed. For more information, refer to the Assessment Policy and the Complaints and Appeals Policy and Procedures available in Australian School of Commerce Website.

Assessor intervention:

Assessors will check if you are ready for the assessment, and defer the assessment if you are not. Feedback will be given to you at the completion of the assessment. During role play, the assessor may act as a client or employer, where required, but the assessor will not interfere with the assessment. If the assessment activities might impact on your safety or that of others, the assessor will stop the assessment immediately.

Plagiarism, cheating and assessment dishonesty:

Australian School of Commerce considers plagiarism and cheating as a serious misdemeanour. Evidence of plagiarism and cheating is treated on a case by case basis and the consequences for students engaging in such practices may include failure of the assessment or unit or exclusion from the course. For more information, refer to Australian School of Commerce’s Assessment Policy.

Note: Referencing is a way of acknowledging the source of information that a person uses to

research your assignment. References should be provided whenever someone else’s words. Ideas

or research is used. One should also provide references for any information used. Website, journals, Research paper, Blogs, article and any other online sources needs to be referenced.

Assessor feedback:

Assessors will provide feedback on the assessment that you have submitted. This can identify your strengths and weaknesses or be an overall comment on your submission. A copy of the feedback along with your submission will be given to you and you must keep a copy of it throughout the completion of the course.

Student Declaration:

1. (Student Name) have read and understand the

information provided above and also understand and accept that any act of plagiarism and academic dishonesty may have penalties including cancellation or suspension of my enrolment with Australian School of Commerce. I further declare that:

• All assessment work submitted for this unit competency is my own original work and plagiarism and collusion has not occurred.
  • Assessment work has not been copied or submitted for any other unit/course.
  • I have taken proper care and effort to ensure my work has not been copied by another person.
  • I have retained a copy of this assessment for my own records in the event I have to reproduce my work.
  • I am aware that any assessment deemed unsatisfactory will require me to undergo reassessment which may be different to the one originally submitted.

Student signature: ……………………………………………………… Date: ……/……/…….

PART 2

Assessment Task Cover Sheet Task 1 (AT1)

Student Name:		Student ID:
Assessment details
Unit of Competency:	SITXGLC001- Research and comply with regulatory requirements
Assessment Task 1:	Knowledge Test
Date of Submission:
Assessment Outcome:         Satisfactory               Not Satisfactory
Feedback:
Student Plagiarism Declaration: By submitting this assessment to the school, I declare that this assessment task is original and has not been copied or taken from another source except where this work has been correctly acknowledged. I have made a photocopy or electronic copy or photograph of my assessment task, which I can produce if the original is lost.
Assessor: I declare that I have conducted a fair, valid, reliable and flexible assessment of this student, and I have provided appropriate feedback. I also declare that I have undertaken the indicated assessment integrity checks Check for plagiarism Software               Yes No Check for copying/collusion                     Yes No Check for authenticity (own work) Yes No Cheating or use of model answers Yes No			Student: I have received, discussed and accepted my result as above for this assessment and I am aware of my appeal rights.
Signature: …………………………………………………			Signature: …………………………..
Date: ………………………………………………………..			Date: …………………………………..

Assessment task 1: Knowledge Test

Required documents and equipment:

• Computer with internet connection to refer to various resources such as MS word, MS excel, MS PowerPoint or any other recognised software program.
• Australian School of Commerce Learners’ resources for the unit SITXGLC001- Research and comply with regulatory requirements (organised by the trainer).
• DIDASKO Learner’s notes

Instructions for students:

This assessment will be conducted in the ASOC classroom with access to the resources listed above.

• You must answer all knowledge questions as part of this assessment and submit answers in electronic copy. The assessor will verify the authenticity of the work by asking questions regarding the answers provided. You must satisfactorily answer all questions to be deemed Satisfactory for this assessment.
• Be concise provide explanation according to the given word-limit and do  not  provide irrelevant information. Be careful, quantity is not quality.
• Students are not allowed to interact with other students during this assessment task.
• Be careful to use non-discriminatory language. The language used should not devalue, demean, or exclude individuals or groups on the basis of attributes such as gender, disability, culture, race, religion, sexual preference or age. Gender inclusive language should be used.
• When  you quote, paraphrase, summarise or copy information from the sources  you are using to write your answers/research your work, you must always acknowledge the source.
• You are required to mention your name and student Id in either header or footer of the assessment document to be submitted.

Planning the assessment

• Access all resources mentioned in required resources either printed copies or access via the internet
• Time required for assessment: 60 mins
• You must:
  • Answer all the questions in this knowledge test assessment satisfactorily to be deemed competent.
  • Complete and submit the assessment on the same day of the assessment.

• Your assessor will set a time to provide feedback.

Evidence specifications:

At the end of the assessment, you will be required to submit the following evidence same day of the assessment specified by the assessor:

• You are required to submit a completed (ticked) multiple choice question listed in Knowledge test.
• Completed and signed cover sheet for assessment

Evidence submission:

• Documentation must be submitted electronically.

• Your assessor will record the assessment outcome on the assessment cover sheet.

Knowledge Test

QUESTION NUMBER

Students response (to be completed

		by the assessor)
Question 1:	Which sources of information would you consult prior to refusing to pay a workers’ compensation claim you deem to be unfair? Your insurer and a legal expert from the regulatory authority in your state or territory.Safe Work Australia and your industry or employer association.You wouldn’t need to consult any sources of information. Just refuse to pay if the claim is unfair.These              websites:                       www.business.gov.au                       or www.safeworkaustralia.gov.au.	S NS
Question 2:	Evaluate what’s happening in the bar. Which employee is operating within the scope of compliance requirements? All of these employees are operating within the scope of compliance.The bartender asked the customer for identification prior to serving her alcohol because she looked younger than 18.The bartender refuses service to an 18-year-old who’s trying to buy light beers for his 16-year-old sister and her friends to have with dinner.The bartender refused to  serve the customer any  more alcohol. It was clear she was already intoxicated.	S NS
Question 3:	Where would you go to access regulatory information relevant to a bar? The Australian Responsible Service of Alcohol Commission (RSAC).The Liquor Control Reform Act 2003.The relevant liquor licensing authority, commission or board in your state or territory.All of these are sources of regulatory information for a bar.	S NS
Question 4:	What are the consequences for non-compliance of Criminal Code Act 1995: child sex offences outside Australia? Compensation payments to the victim of up to $500,000 and imprisonment of five years.Fines of up to $825,000 for a corporate body and imprisonment ranging from ten to 25 years.Rescission,   payment   of     damages, specific performances, mandatory injunction, prohibitory injunction.Fines of up to $3,300 for an individual and $16,500 for a corporation.	S NS
Question 5:	You’ve just received a contract from your linen supplier, but you’re not sure it’s legally binding. What would you do? Consult a lawyer to get their specialist advice before signing the contract.Sign it in front of two witnesses.	S NS

	Don’t sign the contract. Change to a linen supplier who can provide a more comprehensible legal document. Take the time necessary to research contract law before signing the contract.
Question 6:	What kind of format should you use when developing policies and procedures? A format that’s downloaded from the internet and includes professional, legal language. A format that’s clear and readily accessible to managers.A format that includes professional, legal language and is inaccessible to lower-level staff members.A format that’s clear, approved by your organisation and readily accessible to all workers.	S NS
Question7:	In what documents should you nominate roles and responsibilities of personnel for regulatory compliance? In accident reports, risk assessments and WHS agendas.In policies, procedures and job descriptions.In RSA training records, BAS statements and year-end reports for the ATO.In contracts with KPIs and any records of non-compliance lodged with the EPA.	S NS
Question 8:	Who should you distribute policies, procedures and legal information to? All relevant personnel.Senior managers.Team leaders.There’s no need to distribute these documents as they’re usually kept where staff can readily access them.	S NS
Question 9:	Which of the following hypothetical situations would result in an immediate need for information updates and training for staff? The federal government announces a review of superannuation entitlements for retirees.The state/territory government announces that the legal drinking age will increase to 21 years.All of these situations require staff to be updated immediately.The establishment’s HSC holds a meeting to discuss existing practices and injury statistics.	S NS
Question 10:	When planning business operations, what two actions should you take to ensure compliance with legal requirements? Communicate with professionals in any industry associations you belong to and check if you can become accredited under a couple of industry schemes.You don’t need to take any compliance actions at the planning stage. Wait until your business is up and running before handling any compliance issues.	S NS

	Communicate with regulatory authorities and submit any required documentation.Communicate with your accountant to ensure financial resources are available for compliance.
Question 11:	What are the three components of compliance risk management? Risk identification, risk delay, risk control.Compliance        research,       risk                          determination,        procedure implementation.Risk identification, risk assessment, risk control.Strategic planning, risk management, compliance control.	S NS
Question 12:	During a routine evaluation of business operations, you identify a compliance breach. What should you do? Immediately implement modifications and communicate  them to staff.Immediately place the non-compliance issue as an item on the agenda for next month’s staff meeting. Immediately inform the relevant regulatory authority in your state or territory.Immediately confront the staff member you saw breach compliance and put them on report	S NS
Question 13:	Which of the following is an example of an opportunity to develop and maintain knowledge of current regulatory requirements? Attending an industry seminar or conference.Subscribing to regulatory newsletters.Joining an industry association or participating in an industry accreditation scheme.All of these are good opportunities to develop and maintain knowledge of current regulatory requirements	S NS
Question 14:	What methods should you use to share updated regulatory knowledge? You should send an email to all staff and hold a meeting.You should put an advisory notice in everyone’s pigeon hole and attach another one to their payslips. You should use any organisational c icular situation.You don’t need to share the information as such. You ommunication methods available which are suited to the part just need to ensure all your policies and procedures are updated  and readily accessible to all staff members.	S NS
Question 15:	Why should you continuously review and distribute plans, policies and procedures? To maintain personal knowledge of regulatory requirements.To   ensure    compliance      with   current    laws       and        licensing requirements.To     maintain      organisational      knowledge         of                regulatory requirements.	S NS

(d)     All of these are good reasons to review and distribute these documents.

.

Assessment Task Cover Sheet Task 2 (AT2)

Student details
Student Name:		Student ID:
Assessment details
Unit of Competency:	SITXGLC001- Research and comply with regulatory requirements
Assessment Task 2:	Worksheets

Date of Submission:
Assessment Outcome:         Satisfactory               Not Satisfactory
Feedback:
Student Plagiarism Declaration: By submitting this assessment to the school, I declare that this assessment task is original and has not been copied or taken from another source except where this work has been correctly acknowledged.  I  have  made  a photocopy or  electronic  copy or  photograph of my assessment task, which I can produce if the original is lost.
Assessor: I declare that I have conducted a fair, valid, reliable and flexible assessment of this student, and I have provided appropriate feedback. I also declare that I have undertaken the indicated assessment integrity checks Check for plagiarism Software                                                       Yes No Check for copying/collusion                                                       Yes No Check for authenticity (own work) Yes No Cheating or use of model answers Yes No		Student: I have received, discussed and accepted my result as above for this assessment and I am aware of my appeal rights.
Signature: …………………………………………………		Signature: ……………………………..
Date: ………………………………………………………..		Date: …………………………………..

Assessment Task 2: Worksheets

Required documents and equipment:

• Computer with internet connection to refer to various resources such as MS word, MS excel, MS PowerPoint or any other recognised software program.
• Australian School of Commerce Learners’ resources for the unit SITXGLC001- Research and comply with regulatory requirements (organised by the trainer/assessor)
• DIDASKO Learner’s notes

Instructions for students:

This assessment will be conducted in the ASOC classroom with access to the resources listed above.

• You must answer all knowledge questions as part of this assessment and submit answers in electronic copy. The assessor will verify the authenticity of the work by asking questions regarding the answers provided. You must satisfactorily answer all questions to be deemed Satisfactory for this assessment.
• Be concise provide explanation according to the given word-limit and do not provide

irrelevant information. Be careful, quantity is not quality.

• Students are not allowed to interact with other students during this assessment task.
• Be careful to use non-discriminatory language. The language used should not devalue, demean, or exclude individuals or groups on the basis of attributes such as gender, disability, culture, race, religion, sexual preference or age. Gender inclusive language should be used.
• When  you quote, paraphrase, summarise or copy information from the sources  you are using to write your answers/research your work, you must always acknowledge the source.
• You are required to mention your name and student Id in either header or footer of the assessment document to be submitted.

Planning the assessment

Access all resources mentioned in required resources either printed copies or access via the internet.

• Time required for assessment: 6 hours
• You must:
  • Answer all the questions satisfactorily to be deemed competent.
  • Complete the assessment and submit this assessment before the due date of the assessment.
  • Submit with a completed assessment cover sheet.
• Your assessor will set a time to provide feedback

Evidence specifications:

At the end of the assessment, you will be required to submit the following evidence before the due date specified by the assessor:

• You are required to submit short answers to all the questions asked in the worksheet.
• Completed and signed cover sheet for assessment.

Evidence submission:

• Documentation must be submitted electronically.
• Your assessor will record the assessment outcome on the assessment cover sheet.

QUESTION NUMBER

QUESTIONS

Students response (to be complete

		d by the assessor)
SECTION 1: Rsearch information required for legal compliance
Question 1:	State the three stages of creating a business compliance system.	S   NS
Question 2:	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.	S NS
Question 3:	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 Gaming licence Consumer protection EEO and anti-discrimination	S NS
Question 4:	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.    Maintaining a safe workplace.   Ensuring advertisements are legal.   Paying the right amount of super to employees.	S NS
Question 5:	List five risks, penalties and consequences of not complying with the Food Standards Australia New Zealand Act 1991.	S NS
Question 6:	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?	S NS
Question 7:	The following sentence describes your legal responsibility as a manager when it comes to EEO. Complete this sentence in five different ways.   Restore response	S NS

	Under  the  Australian  Human  Rights  Commission  Act  1986,  it’s  illegal  to discriminate against people because of their:
Question 8:	Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law.	S NS
Question 9:	Describe how to comply with Australian Consumer Law (ACL) and what practices are prohibited by law. How to comply       Where products or services fail to satisfy customer assurances, provide refunds or replacements.   Prohibited practices	S NS
Question10:	What are the six fundamental principles needed for a contract to be legally binding?	S NS
Question11:	Define these consequences of not complying with a contract. Rescission	S NS
Question12:	Which employees are employers legally obligated to pay super to?	S NS
Question13:	What are the record keeping requirements for super?	S NS
Question14:	List four ways to comply with taxation laws.	S NS
Question15:	Identify six records you should keep to prove you are complying with taxation laws.	S NS
Question16:	What organisation conducts tax audits?	S NS
Question17:	State the basic components of environmental protection laws	S NS
Question18:	What are three consequences of non-compliance with environmental law?	S   NS

Question19:	Describe two key components of the Fair Work system created under the Fair Work Act 2009.	S NS
Question 20:	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.	S NS
Question 21:	List six things an employer must do to comply with their duty of care and legal obligations under WHS legislation.	S NS
Question 22:	List four employees’ responsibilities under WHS legislation.	S NS
Question 23:	Workers’ compensation insurance is compulsory. What does it cover you for?	S   NS
Question 24:	What does public liability insurance cover you for?	S NS
Question 25:	Name four practices prohibited under RSA.	S NS
Question 26:	What are two record keeping requirements of RSA? .	S NS
Question 27:	Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three of them.	S NS
Question 28:	What two practices are prohibited when it comes to gaming?	S NS
Question 29:	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.	S NS
Question 30:	Explain four ways a travel agent could support the Criminal Code Act 1995.	S NS
Question 31:	What maximum fine could a corporate body face if found complicit with sexual offences against children?	S NS
Question 32:	Do you need a licence to be a travel agent?	S

		NS
Question 33:	What are two objectives of the Queensland Tourism Services Act?	S   NS
Question 34:	Does the Residential Tenancies Act 1997 apply to hotels, motels or temporary mobile homes?	S NS
Question 35:	List two minimum standards the European Package Travel Directive lays out to protect customers.	S NS
SECTION 2: DEVELOP AND COMMUNICATE POLICIES AND PROCEDURES FOR LEGAL COMPLIANCE
Question 36:	Whose legal responsibility is it to ensure all staff have the knowledge and skills needed to carry out their duties in compliance with the law?	S NS
Question 37:	Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy.	S   NS
Question 38:	You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law.	S   NS
Question 39:	Name two places you can keep policies and procedures so they’re accessible to all staff.	S NS
Question 40:	Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance.	S NS
Question 41:	Who should you distribute policies, procedures and legal information to?	S   NS
Question 42:	Describe six ways you could distribute, communicate and share policies, procedures, legal information and updates in an organised way so staff know their roles and responsibilities regarding compliance.	S NS
SECTION 3: ENSURE COMPLIANCE WITH LEGAL REQUIREMENTS
Question 43:	You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first.	S   NS
Question 44:	A staff member is about to have a meeting with a representative of the WHS authority to determine the scope of compliance requirements for the new restaurant. Provide them with seven communication tips.	S NS

Question 45:	List four ways to monitor and continually evaluate your business compliance system.	S NS
Question 46:	What are the three components of risk management?	S NS
Question 47:	What is a risk assessment used to measure?	S   NS
Question 48:	Read the following two scenarios. Describe any potential breaches of legislation you identify. An employee continues to serve alcoholic drinks to an intoxicated customer who is playing pokies in an establishment.   A manager advertises a vacant position for a female receptionist.	S NS
Question 49:	Choose one of the breaches from Q48. Describe step-by-step how you’d implement modifications to your business compliance plan with your team to ensure compliance.	S NS
SECTION 4: MAINTAIN PERSONAL AND ORGANISATIONAL KNOWLEDGE OF REGULATORY REQUIREMENTS
Question 50:	Identify four methods you can use or opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements.	S NS
Question 51:	List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements?	S NS
Question 52:	Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?	S NS

Assessment Task Cover Sheet Task 3 (AT3)

Student details
Student Name:		Student ID:
Assessment details
Unit of Competency:	SITXGLC001- Research and comply with regulatory requirements
Assessment Task 3:	Project

Date of Submission:
Assessment Outcome:         Satisfactory               Not Satisfactory
Feedback:
Student Plagiarism Declaration: By submitting this assessment to the school, I declare that this assessment task is original and has not been copied or taken from another source except where this work has been correctly acknowledged.  I  have  made  a photocopy or  electronic  copy or  photograph of my assessment task, which I can produce if the original is lost.
Assessor: I declare that I have conducted a fair, valid, reliable and flexible assessment of this student, and I have provided appropriate feedback. I also declare that I have undertaken the indicated assessment integrity checks Check for plagiarism Software                                                   Yes No Check for copying/collusion                                                   Yes No Check for authenticity (own work) Yes No Cheating or use of model answers Yes No		Student: I have received, discussed and accepted my result as above for this assessment and I am aware of my appeal rights.
Signature: …………………………………………………		Signature: ……………………………..
Date: ………………………………………………………..		Date: …………………………………..

Assessment Task 3: Project

Required documents and equipment required for this assessment:

• Computer with internet connection to refer to various resources such as MS word, MS excel, MS PowerPoint or any other recognised software program.
• ASOC’s Learners’ resources for the unit SITXGLC001- Research and comply with regulatory requirements (organised by the trainer/assessor).
• Appendix 1 (Provided by Trainer/assessor)

Instructions for Students:

This is a Project-based assessment where students are required to research information on the hospitality industry and share the information obtained with the team.

• This assessment will be conducted in ASOC’S Campus and in ASOC’s commercial kitchen with

access to the resources listed above.

• You must answer all questions as part of this assessment and submit answers in electronic copy. The assessor will verify the authenticity of the work by asking questions regarding the answers provided. You must satisfactorily answer all questions to be deemed Satisfactory for this assessment.
• Be concise provide explanation according to the given word-limit and do  not  provide irrelevant information. Be careful, quantity is not quality.
• Be careful to use non-discriminatory language. The language used should not devalue, demean, or exclude individuals or groups on the basis of attributes such as gender, disability, culture, race, religion, sexual preference or age. Gender inclusive language should be used.
• When  you quote, paraphrase, summarise or copy information from the sources  you are using to write your answers/research your work, you must always acknowledge the source.
• You are required to mention your name and student Id in either header or footer of the assessment document to be submitted.

Planning the assessment

• Access all resources mentioned in required resources either printed copies or access via the internet
• Time required for assessment: 6 hours
• You must:
  • Produce all evidence as required in this assessment.
  • Complete the assessment and submit in due timeline.
  • Submit with a completed assessment cover sheet.
• Assessor must set a time to provide feedback.

Evidence specifications:

At the end of the assessment, student will be required to submit the following evidence before the due date specified by the assessor:

• All questions answered.
• Completed and signed cover sheet for assessment

Evidence submission:

• Documentation must be submitted electronically.
• Assessor will record the assessment outcome on the assessment cover sheet.

AT3- Project

Task 1: Research business compliance requirements

Question and answer

Q1: You’re the manager of a new travel, tourism, hospitality or events business. Describe the nature of your business and its operations. You may base your response on your actual position with the workplace or invent a fictitious scenario.

Examples of scenarios you could use as the basis for your project include the following.

• The manager of a tour company that specialises in walking nature tours in  the local area.
• The manager of a licensed bar in a hotel that is open to hotel guests only.

• An events manager for a hotel that provides conference facilities to groups of 20 to 100 participants.
• The manager of a travel company that sells state-wide bus transportation and accommodation.
• A restaurant manager who is responsible for food and beverage staff only (separate to the role of bar manager, financial manager or head chef).

Your response to this question will form the basis of your entire project, so choose carefully. Do not create a scenario that is overly complicated or which requires an excessive amount of research, policy or procedure development.

Q2: You’re responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements. Which area of business operations would you like to start with?

Examples you could use as the basis for your response include the following.

• WHS issues related to outdoor tours.
• Service of alcohol to customers in the bar.
• Supplier contracts management for in-house events.
• Retention and storage of customers’ travel payments.
• Employment terms and conditions for food and beverage staff.

Q3: Which of the regulatory requirements listed do you need to research for the area of operations you chose in question 2? Tick/list them.

• Anti-discrimination (including EEO and harassment)
• ACL (including refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts)
• Contracts
• Employer superannuation contributions
• Environmental protection (including hazard identification, minimal impact practices and incident reporting)
• Fair Work Act 2009 (including NES)
• Local community protection (including land management, land access and

protecting neighbours’ lifestyles)

• Taxation
• Workplace/industrial relations
• Insurances (including public liability and workers’ compensation which also

includes injury reporting and occupational rehabilitation)

• WHS
• Workers’ compensation especially injury reporting and occupational

rehabilitation

• Criminal Code Act 1995 – child sex offences outside Australia
• European Package Travel Directive
• Food safety and Food Standards Australia New Zealand Act 1991
• Liquor licensing and RSA
• Responsible conduct of gaming
• Queensland Tourism Services Act 2003
• Residential Tenancies Act 1997
• Travel agents licensing

Q4:   Consult with regulatory authorities and evaluate your area of business operations to determine the scope of compliance requirements. List the local, state, territory and commonwealth government laws, codes, standards or licensing requirements you need to comply with and the consequences of non-compliance for you as  the manager and for the business as a whole.

Task 1.1 Communicate with regulatory authorities

• Communicate  with  regulatory  authorities  to  acquire  any  necessary  forms  and

complete them so they’re ready for submission.

• Submit the completed forms to your assessor.

Question and answer

Q1: List all the sources you accessed and authorities you contacted to gather regulatory information specific to your area of business operations.

Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave.

Task 2: Establish a business compliance system

• Based on your research in Task 1, develop the necessary regulatory policies and procedures and document them in a format that workers can access and understand.
• Examples of policy and procedure formats and inclusions are included  in  the multimedia content of this unit for your reference.
• Remember to include the following as they relate to your business and area of

compliance.

• Staff roles and responsibilities for regulatory compliance including:
  • any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
  • how to adhere to mandatory codes of conduct enshrined in legislation
  • rights and responsibilities of employees and employers
  • other specific actions that must be taken for legal compliance.
• Key practices prohibited by law.
• Auditing and inspection regimes.
• Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.

• Requirements for record keeping and acceptable record keeping mechanisms.
• Statutory reporting requirements for businesses.
• Submit the documented policies and procedures to your assessor.

Question and answer

Q1: Describe how you intend to get updated information on laws and licensing requirements.

Q2: Describe how and at what times you are going to distribute the policies, procedures, information updates and associated legal information to personnel.

Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance?

Q4:   How is a compliance policy used to manage regulatory compliance?

Q5:    What insurances will you need to purchase to minimise risk to the business?

Task 3: Monitor the compliance system

Question and answer

Q1: What system will you use to maintain business and occupational licences?

Q2:   How will you check contractor compliance?

Q3: Evaluate your area of business operation over a period of time. List any non- compliance you identified and describe how you implemented modifications to comply in each case. If you created a fictitious scenario for this assessment task, create an area of non-compliance on which to base your response to this question.

For example, if you developed a policy for inducting new employees on correct handling of confidential files, you might describe a non-compliance such  as employees sharing login details to the customer database.

Q4: Describe any opportunities you identified to maintain  knowledge  of  current regulatory requirements. What new information did you learn in each case? If you used a fictitious scenario for this assessment activity, describe the type of opportunities you would look for to maintain currency of knowledge.

Q5: How did you, or would you, communicate the updated regulatory information in question 4 to others?

Task 3.1 Revise your policies

• Review and change two of the policies or procedures you wrote in Task 2 in light of the updated information so that they comply with the most current laws and licensing requirements.
• Highlight the changes.
• Submit the revised documents to your assessor.

Task 4: Portfolio of evidence

Q1: In tasks 1 to 3, you researched and documented policies and procedures for one area of business compliance. In this task, you must access and interpret regulatory information for an additional five areas of compliance.

Record your answers in the table provided and submit to your assessor.

Area                            of compliance

Relevant industry, legislative or

Relevant sources of information

Policies and procedures required

	regulatory requirements
e.g., Privacy	Privacy Act National Privacy Principles	www.oaic.gov.au	Privacy policy
Workplace Health and Safety	Workplace Health and Safety Act 2011	www.worksafe.qld.gov.au	Workplace Health and Safety Policy, Incident Reporting Procedure
Environmental Compliance	Environmental Protection Act 1994	www.qld.gov.au/environment	Environmental Policy, Waste Management Procedure
Consumer Law Compliance	Australian Consumer Law	www.accc.gov.au	Consumer Law Policy, Complaints Handling Procedure
Human Resources Compliance	Fair Work Act 2009	www.fairwork.gov.au	Human Resources Policy, Recruitment Procedure
Information Security Compliance	Privacy Act 1988	www.oaic.gov.au	Information Security Policy, Data Breach Response Procedure

Task 4.1 Document the required policies and procedures

• Document the required policies and procedures you identified in the table in question 1.
• Examples  of  policy  and  procedure  formats  and  inclusions  are  included  in  the

multimedia content of this unit for your reference.

• Remember to include the following where they relate to your business and area of compliance.

• Staff roles and responsibilities for regulatory compliance including:
  • any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
  • how to adhere to mandatory codes of conduct enshrined in legislation
  • rights and responsibilities of employees and employers
  • other specific actions that must be taken for legal compliance.
• Key practices prohibited by law.

• Auditing and inspection regimes.
• Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.
• Requirements for record keeping and acceptable record keeping mechanisms.
• Statutory reporting requirements for businesses.

• Submit your completed policies and procedures for each of the five areas of compliance to your assessor.

Project checklist – Assessor to complete:

Student Assessment Criteria	Assessor to tick the appropriate box			Assessor to tick the appropriate box
Section 1		Section 2
Communication | Is the learner able to:	YesNo	Safety | Is the learner able to:		YesNo
Communicate clearly with othersAsk for help when neededFollow instructionsIdentify the task requirements including document purpose and proposed audienceConsult with others to determine meeting concepts and requirementsClarify task requirements with supervisor (assessor) as required		Work safely at all timesEnsure your actions do not put the safety of yourself or others at risk
Section 3		Assessor to tick the appropriate document completed by the student.
Did the learner successfully demonstrate evidence of their ability to do the following?
Identified sources of information for compliance with laws and licensing for business operations. (Refer to knowledge evidence for complete list of sources.)		— —	Yes No
Read and interpreted unfamiliar and complex materials describing regulatory requirements.		— —	Yes No
Evaluated areas of business operation and determined scope of compliance requirements (for at least six different areas of compliance outlined in the knowledge evidence).		— —	Yes No

Accessed regulatory information relevant to specific business operation.	YesNo
Identified risks, penalties and consequences of non- compliance.	YesNo
Assessed and acted on need for specialist legal advice.	YesNo
Developed, wrote and clearly articulated regulatory policies and procedures (for at least six different areas of compliance as specified in the list of knowledge evidence).	YesNo
Completed complex documentation required by regulatory authorities.	YesNo
Nominated the roles and responsibilities of personnel for regulatory compliance within policies and procedures.	YesNo
Distributed policies, procedures and legal information to personnel at appropriate times.	YesNo
Organised information updates for personnel and ensured knowledge of roles and responsibilities for legal compliance.	YesNo
Communicated and consulted with regulatory authorities when planning business operations to determine the scope of compliance and submitted required documentation.	YesNo
Maintained business and occupational licences and checked contractor compliance to avoid risk to business.	YesNo
Continuously evaluated business operations for non- compliance and implemented modifications.	YesNo
Identified and used a range of opportunities to maintain knowledge of current regulatory requirements.	YesNo
Used organisational communication methods to share updated regulatory knowledge.	YesNo
Continuously reviewed and distributed plans, policies and procedures for compliance with current laws and licensing requirements.	YesNo
Demonstrated planning and organising skills necessary to research, establish and regularly monitor all components of a business compliance system.	YesNo
Demonstrated the legal knowledge required to take responsibility for regulatory compliance. (In-depth	YesNo

knowledge requirements specified in knowledge evidence.)
Required Evidence attached:	YesNo
Assessor’s feedback:
Student outcome:	SNS
Assessor Name and Signature:
Date:

Final Assessment Record
Student name:				Student ID:
Assessor name:				Date of completion:
Unit of competency:	SITXGLC001– Research and comply with regulatory requirements
Assessments			Student results
			Satisfactory		Not Yet Satisfactory	Not Submitted
Assessment task 1: Knowledge Test
Assessment task 2: Worksheets
Assessment task 3: Project
Comments/ Feedback:
Unit outcome:		Competent                          Not Yet Competent
Is re-assessment required?		Yes                                     No
Assessor Signoff By signing this final assessment record: I confirm that the student has attempted all requirements of this unit of competencyI am satisfied the work submitted is their own work.I have informed the participant of the assessment decision.
Assessor signature:				Date:
Student Signoff By signing this final assessment record: I have received, discussed and accept the outcome from my assessment as above for this unit of
Student signature:				Date:

Appendix1- Assessment resource in ASOC’s

Classroom

ASOC will conduct assessment for this unit in simulated hospitality environment at Level 4, 123 Lonsdale St, Melbourne, Victoria 3000, with access to following resources;

Assessment must ensure access to:

• computers, software programs, printers and communication technology used to administer regulatory requirements
• current legislation
• current plain English regulatory documents distributed by government regulators
• codes of practice and standards issued by regulatory authorities
• regulatory information and business management manuals issued by industry associations or commercial publishers
• current commercial policies and procedures used to manage regulatory issues
• sources of specialist legal advice:
  • compliance consultants
  • industry associations
  • lawyers
  • local, state, territory or commonwealth government departments or regulatory agencies.

Copyright: Instructions in this tool have been developed by NTA and ASOC for sole purpose of use by ASOC. Any part of these assessment instructions cannot be reproduced in full or part for without approval of ASOC and NTA which holds authorship rights

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