SITXGLC001 Research and comply with regulatory requirements

RGIT Australia International College

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 the 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 RGIT Kitchen

PART 1

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

Research information required for legal compliance.

Develop and communicate policies and procedures for legal compliance.

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.

Assessment Conditions

To comply with the assessment condition of this unit:

  • Knowledge assessment for this unit will be conducted at RGIT during online classes at location identified in timetable. and worksheet for this unit will be conducted in RGIT online classroom
  • You must comply with COVID-19 regulations during the assessment work, if you have any challenges please inform your trainer immediately
  • To read and comply with COVID-19 regulations http://dhhs.vic.gov.au

Resources Required:

Inform the assessor if the environment where the student need support during COVID 19

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. Available of the time of COVID 19 -DIDASKO learner guide for unit SITXGLC001 via LMS.

Clustering/holistic assessment:

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

Competency Requirements:

To be judged competent in this unit, you will be required to demonstrate all indicators which are shown in the Marking Guide (assessor’s document).

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 RGIT Re-Assessment Policy and RGIT Course Progress Policy.

Assessment tasks

Assessment description

Location of assessment

Assessment Task 1

(AT1) – Knowledge

Test

You are required to choose and provide the correct answer to the questions and present your assignment in a clear and professional manner.

Needs to be completed in the online classroom during Covid-19

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 online classroom during Covid-19

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 OUTSIDE classroom 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 or paper-based.

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 or paperbased.

Complete and sign the cover sheet for assessment task.

Assessment Task 3

(AT3) – Project

➢ Complete Task 1, 2, 3 and 4 in in AT3

➢ Answer all questions

➢ Completed and sign the cover sheet for assessment task

Administration, recording and reporting requirements:

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 and that they are legible and clear, if handwritten.
  • 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 (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 working in pairs 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.
  • You can submit your assessment tasks through the learning management system or hand in hard copies in the classroom.

Recording an assessment result:

Once the assessments have been completed, the assessor will record the assessment results on the student assessment record sheets and LMS/student management system and all results will be approved by the course coordinator.

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

Retaining assessment records:

RGIT 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. RGIT will also retain sufficient data to be able to reissue AQF certification documentation for a period of 30 years.

All assessment records submitted to the assessor for marking will be stored and retained properly. And a hard copy will be submitted to student administration for filing along with the evidence.

The assessor will ensure that the student records are securely retained in accordance with the RGIT 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 RGIT Re-Assessment Policy and RGIT 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 RGIT Re-Assessment Policy and RGIT 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 see your results or attendance progress by logging in to the Learning Management System at any time or you can request a copy of your records by contacting the student administration and the 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:

RGIT Australia 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 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 needs of the student. An adjustment is reasonable if it can accommodate the student’s 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:

  1. Be discussed, agreed and documented in the assessment record.
  2. Benefit the student.
  3. Maintain the integrity of the competency standards and course requirements as stipulated in the training package.
  4. Be reasonable to expect in a workplace.

Reasonable adjustment may consist of:

  1. Providing additional time for students to complete learning and assessment tasks.
  2. Presenting questions orally for students with literacy issues.
  3. Asking questions in a relevant practical context.
  4. Using large print material.
  5. Extending the course duration.
  6. 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 either the course coordinator and/or Head of Department. 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.

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:

RGIT 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 RGIT’s Assessment Policy.

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.

PART 2

Assessment Task

Assessment task 1: Knowledge Test

Required documents and equipment:

  • Computer with internet connection to refer to various resources.
  • Student assessment booklet and a pen (organized by the student) and LMS.
  • RGIT Learners’ resources for the unit SITXGLC001 – Research and comply with regulatory requirements (organised by the trainer). - Learner’s notes.

Instructions for students:

This assessment will be conducted in the RGIT online classroom during Covid-19 or outside the campus with access to the resources listed above.

You must satisfactorily perform all tasks to be deemed satisfactory for the assessment.

Planning the assessment

  • Recommended date for assessment: week 2 [Trainer to provide]
  • Access all resources mentioned in required resources either printed copies or access via the internet.
  • You must:
    • Answer all the questions satisfactorily to be deemed competent. o Complete the assessment and submit in due timeline.
    • 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 You are required to answer every question correctly.Completed and signed cover sheet for assessment.

Evidence submission:

  • Documentation can be submitted electronically or paper-based.
  • Your assessor will record the assessment outcome on the assessment cover sheet.
  1. List 2 source of information would you consult prior to refusing to pay a workers’ compensation claim you deem to be unfair?

□ Satisfactory □ Not Satisfactory

  1. Give one example where would you go to access regulatory information relevant to a bar?

□ Satisfactory □ Not Satisfactory

  1. List two consequences for non-compliance of Criminal Code Act 1995: child sex offences outside Australia?

□ Satisfactory □ Not Satisfactory

  1. You’ve just received a contract from your linen supplier, but you’re not sure it’s legally binding. Give example of two what would you do?

□ Satisfactory □ Not Satisfactory

  1. List three characteristics or format should you use when developing policies and procedures?

□ Satisfactory □ Not Satisfactory

  1. List at least two documents that you should nominate roles and responsibilities of personnel for regulatory compliance?

□ Satisfactory □ Not Satisfactory

  1. Who should you distribute policies, procedures and legal information to?

□ Satisfactory □ Not Satisfactory

  1. Which of the following hypothetical situations would result in an immediate need for information updates and training for staff?

□ Satisfactory □ Not Satisfactory

  1. When planning business operations, what two actions should you take to ensure compliance with legal requirements?

□ Satisfactory □ Not Satisfactory

  1. What are the three components of compliance risk management?

□ Satisfactory □ Not Satisfactory

  1. During a routine evaluation of business operations, you identify a compliance breach. List two action that you should take.

□ Satisfactory □ Not Satisfactory

  1. Give two examples of an opportunity to develop and maintain knowledge of current regulatory requirements?

□ Satisfactory □ Not Satisfactory

  1. Give one example how you would share and updated regulatory knowledge?

□ Satisfactory □ Not Satisfactory

  1. Give one reason why should you continuously review and distribute plans, policies and procedures?

□ Satisfactory □ Not Satisfactory

Assessment task 2: Worksheet

Required documents and equipment:

  • Computer with internet connection to refer to various resources. Available in RGIT COMPUTER LAB DURING Covid-19
  • Student assessment booklet and a pen (organized by the student).
  • RGIT Learners’ resources for the unit SITXGLC001– Research and comply with regulatory requirements (organised by the trainer). - Learner’s notes.

Instructions for students:

This assessment will be conducted in the RGIT classroom or outside the campus with access to the resources listed abovevia LMS

You must satisfactorily perform all tasks to be deemed satisfactory for the assessment.

Planning the assessment

  • Recommended date for assessment: week 3 [Trainer to provide]
  • Access all resources mentioned in required resources either printed copies or access via the internet.
  • You must:
    • Answer all the questions satisfactorily to be deemed competent. o Complete the assessment and submit in due timeline.
    • 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 can be submitted electronically or paper-based.
  • Your assessor will record the assessment outcome on the assessment cover sheet.

SECTION 1: RESEARCH INFORMATION REQUIRED FOR LEGAL COMPLIANCE

Q1: State the three stages of creating a business compliance system.

□ Satisfactory □ Not Satisfactory

Q2:

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.

□ Satisfactory □ Not Satisfactory

Q3:

For these four areas of business, list the systems or procedures you would implement to ensure compliance with relevant legal and licensing requirements.

ð Liquor licence

  • Gaming licence
  • Consumer protection
  • EEO and anti-discrimination

□ Satisfactory □ Not Satisfactory

Q4: 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.

ð Paying the right amount of super to employees.

□ Satisfactory □ Not Satisfactory

Q5:

List five risks, penalties and consequences of not complying with the Food Standards Australia New Zealand Act 1991.

□ Satisfactory □ Not Satisfactory

Q6:

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?

□ Satisfactory □ Not Satisfactory

Q7:

The following sentence describes your legal responsibility as a manager when it comes to EEO. Complete this sentence in five different ways.

ð Under the Australian Human Rights Commission Act 1986, it’s illegal to discriminate against people because of their:

□ Satisfactory □ Not Satisfactory

Q8:

Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law.

□ Satisfactory □ Not Satisfactory

Q9: Describe how to comply with Australian Consumer Law (ACL) and what practices are prohibited by law.

  • How to comply
  • Prohibited practices

□ Satisfactory □ Not Satisfactory

Q10: What are the six fundamental principles needed for a contract to be legally binding?

□ Satisfactory □ Not Satisfactory

Q11: Define these consequences of not complying with a contract. ðRescission

  • Mandatory injunction
  • Prohibitory injunction

□ Satisfactory □ Not Satisfactory

Q12: Which employees are employers legally obligated to pay super to?

□ Satisfactory □ Not Satisfactory

Q13: What are the record keeping requirements for super?

□ Satisfactory □ Not Satisfactory

Q14: List four ways to comply with taxation laws.

□ Satisfactory □ Not Satisfactory

Q15: Identify six records you should keep to prove you are complying with taxation laws.

□ Satisfactory □ Not Satisfactory

Q16: What organisation conducts tax audits?

□ Satisfactory □ Not Satisfactory

Q17: State the basic components of environmental protection laws

□ Satisfactory □ Not Satisfactory

Q18: What are three consequences of non-compliance with environmental law?

□ Satisfactory □ Not Satisfactory

Q19: Describe two key components of the Fair Work system created under the Fair Work Act 2009.

□ Satisfactory □ Not Satisfactory

Q20: 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.

□ Satisfactory □ Not Satisfactory

Q21: List six things an employer must do to comply with their duty of care and legal obligations under WHS legislation.

□ Satisfactory □ Not Satisfactory

Q22: List four employees’ responsibilities under WHS legislation.

□ Satisfactory □ Not Satisfactory

Q23: Workers’ compensation insurance is compulsory. What does it cover you for?

□ Satisfactory □ Not Satisfactory

Q24: What does public liability insurance cover you for?

□ Satisfactory □ Not Satisfactory

Q25: Name four practices prohibited under RSA.

□ Satisfactory □ Not Satisfactory

Q26: What are two record keeping requirements of RSA?

□ Satisfactory □ Not Satisfactory

Q27: Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three of them.

□ Satisfactory □ Not Satisfactory

Q28: What two practices are prohibited when it comes to gaming?

□ Satisfactory □ Not Satisfactory

Q29: 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.

□ Satisfactory □ Not Satisfactory

Q30: Explain four ways a travel agent could support the Criminal Code Act 1995.

□ Satisfactory □ Not Satisfactory

Q31: What maximum fine could a corporate body face if found complicit with sexual offences against children?

□ Satisfactory □ Not Satisfactory

Q32: Do you need a licence to be a travel agent?

□ Satisfactory □ Not Satisfactory

Q33: What are two objectives of the Queensland Tourism Services Act?

□ Satisfactory □ Not Satisfactory

Q34: Does the Residential Tenancies Act 1997 apply to hotels, motels or temporary mobile homes?

□ Satisfactory □ Not Satisfactory

Q35: List two minimum standards the European Package Travel Directive lays out to protect customers.

□ Satisfactory □ Not Satisfactory

SECTION 2: DEVELOP AND COMMUNICATE POLICIES AND PROCEDURES FOR LEGAL COMPLIANCE

Q36: 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?

□ Satisfactory □ Not Satisfactory

Q37: Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy.

□ Satisfactory □ Not Satisfactory

Q38: You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law.

□ Satisfactory □ Not Satisfactory

Q39: Name two places you can keep policies and procedures so they’re accessible to all staff.

□ Satisfactory □ Not Satisfactory

Q40: Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance.

□ Satisfactory □ Not Satisfactory

Q41: Who should you distribute policies, procedures and legal information to?

□ Satisfactory □ Not Satisfactory

Q42: 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.

□ Satisfactory □ Not Satisfactory

SECTION 3: ENSURE COMPLIANCE WITH LEGAL REQUIREMENTS

Q43: You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first.

□ Satisfactory □ Not Satisfactory

Q44: 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.

□ Satisfactory □ Not Satisfactory

Q45: List four ways to monitor and continually evaluate your business compliance system.

□ Satisfactory □ Not Satisfactory

Q46: What are the three components of risk management?

□ Satisfactory □ Not Satisfactory

Q47: What is a risk assessment used to measure?

□ Satisfactory □ Not Satisfactory

Q48: 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.

□ Satisfactory □ Not Satisfactory

  • A manager advertises a vacant position for a female receptionist.

□ Satisfactory □ Not Satisfactory

Q49: 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.

□ Satisfactory □ Not Satisfactory

SECTION 4: MAINTAIN PERSONAL AND ORGANISATIONAL KNOWLEDGE OF REGULATORY REQUIREMENTS

Q50: Identify four methods you can use or opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements.

□ Satisfactory □ Not Satisfactory

Q51: List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements?

□ Satisfactory □ Not Satisfactory

Q52: Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?

□ Satisfactory □ Not Satisfactory

Assessment task 3: Project

This assessment requires you to create a business compliance system for any Hotel establishment in Melbourne by completing the following:

  • access and interpret regulatory information and determine the scope of compliance for the operations of any Hotel establishment in relation to at least six different areas of compliance : WHS/COVID-19 Regulations, security , risk management, food and beverages compliance regulations, financial compliance in tourism industry
  • 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.

Instructions for students:

There are four tasks that you need to complete and answer all the questions after each task.

Planning the assessment

  • Recommended date for assessment: Must be submitted at the end of week 5 [Trainer to provide]
  • Access all resources mentioned in required resources either printed copies or access via the internet
  • Ensure you watch the video:

CONTACTLESS HOSPITALITY: HOW CAN HOTELS PROVIDE CONTACTLESS GUEST JOURNEY POST COVID-19?

#ContactlessHospitality#ContactlessHotelTechnology#TouchFreeStay - Your assessor will set a time to provide feedback

Evidence submission:

  • Documentation can be submitted electronically or paper-based.
  • Your 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 a General Manager Operations at a Hotel establishment in Australia. Describe the nature of your business and its operations. Your role is to manage all aspects of the Hotel operations, including restaurants, bars, hotel accommodation, customer /guest services, events and conference facilities and you are responsible for the financial operations of these areas.

Your response to this question will form the basis of your entire project, so provide detailed description of each of the above-listed areas of operations. Using Internet research related to the business, use financial and any other available data.

Q2:

You’re responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements.

List legal and licensing requirements for the following 6 areas of compliance in your business:

1. WHS/COVID-19 Regulations,

2. security,

3. risk management,

4. food and beverages,

5. compliance regulations,

6. financial compliance in tourism industry

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.

¨

COVID_19 regulations

¨

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 in correct order 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

  • Read and research tourism, travel and hospitality law and other relevant legislation that apples in your state.
  • Identify 3 necessary forms and complete them so they’re ready for use in your business.
  • 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 for the 6 areas of compliance

  • 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.
    1. WHS/COVID-19 Regulations
    2. security
    3. risk management,
    4. food and beverages
    5. compliance regulations,
    6. financial compliance in tourism industry
  • 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.

ð 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 of premises.
  • 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 in each of the 6 areas of compliance and describe how you implemented modifications to comply in each case. For example, if you failed to provide hand sanitizers developed a policy for inducting new employees, you might describe a non-compliance such as being at risk of COVID-19 infection.

Q4: Describe any opportunities you identified to maintain knowledge of current regulatory requirements. What new information did you learn in each case or 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 each of the 6 areas business compliance. In this task, you must access and interpret regulatory information for each area.

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

Area of compliance

Relevant industry, legislative or regulatory requirements

Relevant sources of information

Policies and procedures required

e.g. COVID19

COVID_19

Regulations

www.adhs.gov.au

COVID_19

Assessor checklist

To be completed by the assessor.

Learner’s name:

Did the learner successfully demonstrate evidence of their ability to do the following?

Completed

Yes

No

Identified sources of information for compliance with laws and licensing for business operations. (Refer to knowledge evidence for complete list of sources.)

Read and interpreted unfamiliar and complex materials describing regulatory requirements.

Evaluated areas of business operation and determined scope of compliance requirements (for at least six different areas of compliance outlined in the knowledge evidence).

Accessed regulatory information relevant to specific business operation.

Identified risks, penalties and consequences of non-compliance.

Assessed and acted on need for specialist legal advice.

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).

Completed complex documentation required by regulatory authorities.

Nominated the roles and responsibilities of personnel for regulatory compliance within policies and procedures.

Distributed policies, procedures and legal information to personnel at appropriate times.

Organised information updates for personnel and ensured knowledge of roles and responsibilities for legal compliance.

Communicated and consulted with regulatory authorities when planning business operations to determine the scope of compliance and submitted required documentation.

Maintained business and occupational licences and checked contractor compliance to avoid risk to business.

Continuously evaluated business operations for non-compliance and implemented modifications.

Identified and used a range of opportunities to maintain knowledge of current regulatory requirements.

Used organisational communication methods to share updated regulatory knowledge.

Did the learner successfully demonstrate evidence of their ability to do the following?

Completed

Yes

No

Continuously reviewed and distributed plans, policies and procedures for compliance with current laws and licensing requirements.

Demonstrated planning and organising skills necessary to research, establish and regularly monitor all components of a business compliance system.

Demonstrated the legal knowledge required to take responsibility for regulatory compliance. (In-depth knowledge requirements specified in knowledge evidence.)

Assessor comments

ASSESSMENT (AT3) – PRACTICAL DEMONSTRATION OBSERVATION TOOL

INSTRUCTIONS – ASSESSOR complete this assessment, students are required to do the following.

Observe the learner while they research and comply with regulatory requirements.

Ensure the student accesses and interprets regulatory information and determines 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.

Student develops policies and procedures for legal compliance with each of the above areas of compliance.

Student integrates 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.

Observe the learner over a period while they learn and use various skills/tasks.

Ensure that the learner can consistently perform all tasks multiple times satisfactorily.

Decide when the learner is competent at all tasks.

Ask the learner questions relating to the tasks they are undertaking.

On completion, submit the assessment via the LMS.

Observation list

Observation Date

and Initial

S/NS

Comments

Observable skills/tasks the learner is required to demonstrate

The Assessor observes the learner while they perform the following tasks:

Stage 1- Research information required for legal compliance

Student identifies sources of information for compliance with laws and licensing for business operations.

The learner evaluates areas of business operation and determines scope of compliance requirements.

The learner accesses and interprets regulatory information and determines 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.

The student accesses regulatory information relevant to specific business operation.

The learner identifies risks, penalties and consequences of noncompliance.

The student assesses and act on need for specialist legal advice.

Stage 2- Develop and communicate policies and procedures for legal compliance

Student develops and clearly articulates regularly policies and procedures in a format readily accessible to all personnel.

The learner develops policies and procedures for legal compliance.

Student nominates the roles and responsibilities of personnel for regulatory compliance in policies and procedures.

Observation list

Observation Date

and Initial

S/NS

Comments

Observable skills/tasks the learner is required to demonstrate

The learner distributes policies, procedures and legal information to personnel at appropriate times.

The student organises information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance.

Stage 3- Ensure compliance with legal requirements

The learner communicates with regulatory authorities when planning business operations and submit required documentations.

Student maintains business and occupational licenses and checks contractor compliance to avoid risk to business.

The learner continuously evaluates business operations for noncompliance and implement modifications.

Stage 4- Maintain personal and organisational knowledge of regulatory requirements.

The learner identifies and uses a range of opportunities to maintain knowledge of current regulatory requirements.

Students uses organisational communication methods to share updated regulatory knowledge.

The learner continuously reviews and distributes plans, policies and procedures for compliance with current laws and licensing requirements.

Observation list

Observation Date

and Initial

S/NS

Comments

Observable skills/tasks the learner is required to demonstrate

Student integrates 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.

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