Assignment Cover Sheet
SITXGLC001 Research and Comply with Regulatory Requirement
| Student ID | |
| Student Name | |
| Unit | SITXGLC001 Research and Comply with Regulatory Requirement |
| Assessment Task – Title/Number | |
| Trainer/Assessor | |
| Date Submitted |
Note: Plagiarism/Cheating is a serious offense. If a student is found plagiarising/cheating, it may result in a penalty of suspension/cancellation of student’s enrolment. In submitting their work, students must be aware of college’s Plagiarism and Academic Misconduct Policy available in student handbook, college’s website and student administration. Declaration of Originality:
By submitting this assignment for assessment, I acknowledge and agree that:
- This assessment task/work is submitted in accordance with the college’s Plagiarism and Academic Misconduct Policy. I also understand the serious nature of academic dishonesty (such as plagiarism) and the penalties attached to being found guilty of committing such offence
- No part of this assessment task/work has been copied from any other source without acknowledgement of the source
- No part of this assessment task/work has been written by any other person, except to the extent of team and/or group work as defined in the unit/assessment task
- A copy of the original assessment task/work is retained by me and that I may be required to submit the original assignment to the trainer/assessor upon request
- The trainer/assessor may, for the purpose of assessing this assessment task/work:
- Provide a copy of this assignment to another member of the faculty for review and feedback; and/or
- Submit a copy of this assignment to a plagiarism checking service. I acknowledge that a plagiarism checking service provider may then retain a copy of this assessment task/work on its database for the purpose of future plagiarism checking
Late submission: Late submission without a prior approval of the trainer/assessor will not be accepted and
may delay the assessment outcome. You may also need to resubmit work as per college’s Reassessment Policy. I declare that this assessment is my own work
| Student signature: | Date: |
Admin Use Only
| Received | Date Stamp Comments (if any) |
Assessment Summary
Read all the instructions below before attempting the assessment task. Assessment tasks are tools used to determine if you have the knowledge and skills to complete tasks to industry standards within the workplace. Your trainer/assessor will help you throughout this task and it is your responsibility to provide enough evidence to justify a competent decision by the trainer/assessor. If you do not understand the questions or what is required, ask your trainer/assessor for assistance. For group assessments, all students are to contribute to the assessment tasks. You can work in groups up to a maximum of four people.
You are to complete all tasks by the due date and assessments must have a coversheet attached. If you think you do not have enough time to complete the tasks by the due date, discuss with the trainer/assessor the reasons of why you cannot submit on time.
Writing your responses
When answering questions, ensure that your answers are detailed enough to so the assessor can draw a conclusion that you have the knowledge and/or skills to demonstrate competency. Handwritten answers must be written in blue or black pen. When producing reports, ensure that your project has a title page, table of contents, page numbers, reference list, ensuring that your answers thoroughly match the questions asked.
Answer all questions in your own words to avoid plagiarism. Plagiarism is copying someone else’s work or ideas and saying that it your own work. Sources of work must be properly referenced, outlining the source of your ideas. Penalties may include having to resubmit the assessment task again, repeating the Unit of competency, or for repeat plagiarism, expulsion from Australian College of Hospitality & Business Management.
Marking of Assessments
On submission of your assessment will be marked for a result of either Satisfactory (S) or Not Yet Satisfactory (NYS). If you receive a NYS result, you will be asked to redo the tasks again. To achieve a competent result with this unit, all tasks need to be completed and marked as satisfactory. Your trainer/assessor will provide feedback to you on each task, outlining where you must improve to achieve a Satisfactory (S) result. When all tasks are marked as Satisfactory (S), you will receive a result of Competent (C) for this unit otherwise, you will be marked Not Yet Competent (NYC). Assessments submitted to the trainer/assessor after the due date may not be accepted, and you may have to pay a resubmission fee / adjustment may apply.
Students with Special Needs
If leaners/learners have any special needs (e.g. physical disability, learning difficulty) regarding assessment, they should be directed to discuss these with the Course Coordinator. The college will endeavour to make all possible and reasonable adjustments to any aspect of assessment in order to address those needs. Some examples of additional support could include:
- Language, literacy and numeracy (LLN)
- Assistive technology
- Additional materials or tutorials
- Assistance in using technology for online delivery components.
Reasonable adjustment
Reasonable adjustment refers to any modification made to the learning environment, certification requirements, training delivery or assessment method to help learners with a disability access and participate in education and training on the same basis as those without disability (IBSA, 2015). The Disability Standards for Education 2005 were formed under the Disability Discrimination Act 1992. They clarify the obligations of training providers to ensure that learners who have a disability are able to access and participate in education and training on the same basis as those without disability.
Reasonable adjustment
Reasonable adjustment refers to any modification made to the learning environment, certification requirements, training delivery or assessment method to help learners with a disability access and participate in education and training on the same basis as those without disability (IBSA, 2015). The Disability Standards for Education 2005 were formed under the Disability Discrimination Act 1992. They clarify the obligations of training providers to ensure that learners who have a disability are able to access and participate in education and training on the same basis as those without disability.
Some examples of reasonable adjustments could include:
- Personal support services, e.g. a reader, Auslan interpreter, a scribe
- assistive technology or special equipment, e.g. screen readers, magnifiers, alternative keyboards
- modifying the presentation method, e.g. visual, oral, print, electronic
- adjustments to timeframes, e.g. providing materials prior to class, extended time limits
- adjustment of the physical environment, e.g. specific furniture, arrangement of classroom.
The determination of “reasonableness” requires judgement that must take into account the impact on the RTO and the need to maintain the integrity of the qualification. While reasonable adjustments can be made to the ways in which evidence of performance is gathered and demonstrated, the criteria for making Competent/Not Yet Competent decisions (and/or awarding grades) should not be altered in any way. That is to say, the standards expected should be the same irrespective of the group and/or individual being assessed (Disability Standards for Education 2005).
Skill Recognition and Credit Transfer
Appropriate credit(s) may be granted to eligible students against each unit of competency on presentation of evidence of successful completion of the same unit in an equivalent or higher qualification. Under the Australian Qualifications Framework, this qualification recognises competencies achieved as part of a Nationally Recognised Qualification from other institutes or universities.
Students may also apply for Recognition of Prior Learning (RPL) by providing evidence that they have the required skills and knowledge in the specific areas of competency through work/industry experience and/or completed eligible assessments in equivalent or higher qualification.
Please refer to college’s RPL/Credit Transfer Policy for more information and applicable procedures. The policy is available either through the faculty coordinator or college’s website
Academic Policies and Procedures
Applicable policies and procedure related to this course including plagiarism, assessments, appeals and
complaints, can be found with the course coordinator as well as in the “Policies and Procedures” section of the college’s website.
Submission of Work
All the written works must be submitted in a hard copy, and an additional soft/electronic copy if required by the trainer/assessor, with an accompanying “Assessment Cover Sheet”. Each Assessment Cover Sheet should be signed by the student and must contain student details and date of submission.
Material submitted for assessment—Word processed assignments, reports, essays, projects, etc. must contain student’s name, ID (if available). Within the context of these assessment tasks, the assessor fulfils the role of client, manager or supervisor, as applicable. Work submitted for “approval” within this context must demonstrate care and attention to detail, such that the student inspires confidence that the work is being undertaken competently.
Where soft copy/electronic files are submitted, students are encouraged to name the files according to established procedure. This would typically include a course or unit code, assessment or submission code, and in the case of multiple files an alphanumeric identifier. Multiple files may also be required to be submitted within an enclosing folder (with similar, appropriate naming conventions) or archive format—e.g. zip. Follow submission guidelines in each assessment task for specific instructions.
Unit Overview
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.
Learning Outcomes
On successful completion of this unit, the learner/trainee will be able to;
- 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.
As well as demonstrating the performance criteria, to be assessed as competent, the learner must demonstrate their ability to apply the required knowledge and skills in a range of situations. These are summarised in the Competency Standards section below.
Prerequisite Requirements
This unit does not have a pre-requisite.
Performance Criteria
The following performance criteria specify the required level of performance for each of the elements of competency:
| Element | Performance Criteria |
| 1. Prepare for meetings | Identify sources of information for compliance with laws and licensing for business operations.Evaluate areas of business operation and determine scope of compliance requirements.Access regulatory information relevant to specific business operation.Identify risks, penalties and consequences of non- compliance. |
| 2. Conduct meetings | Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. |
| Distribute policies, procedures and legal information to personnel at appropriate times.Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. | |
| 3. Follow up meetings | Communicate with regulatory authorities when planning business operations and submit required documentation.Maintain business and occupational licences and check contractor compliance to avoid risk to business.Continuously evaluate business operations for non- compliance and implement modifications. |
| 4. Maintain personal and organisational knowledge of regulatory requirements. | Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.Use organisational communication methods to share updated regulatory knowledge.Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements. |
Performance Evidence
Evidence of the ability to:
- 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
The following knowledge must be assessed as part 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 1:
| Assessment Task | Written Project Scenario |
| Schedule | |
| Outcomes Assessed | Performance Criteria: 1.1, 1.2, 1.3, 1.4, 1.5, 3.1, 4.1 Performance Evidence Addresses some elements of required foundation skills and knowledge as shown in the Assessment Mapping documents |
Instructions for answering written questions:
- Student must have to complete a written assessment consisting of a series of questions.
- It is expected from students to correctly answer all the questions.
- Answers must demonstrate an understanding and application of relevant concepts, critical thinking, and good writing skills.
- Student must concise to the point and write answers according to the given word-limit or provide enough evidences to each question and do not provide irrelevant information.
- Student must not use non-discriminatory language. The language used should not devalue, demean, or exclude individuals or groups based on attributes such as gender, disability, culture, race, religion, sexual preference or age. Gender inclusive language should be used.
- Assessor should not accept answers copied directly from texts without acknowledgement of the text
- Trainer/Assessor will provide student further information regarding the location of completing this assessment task.
Description:
Written Project Scenario
CA City Hotel is looking at changing its liquor licence to include off premise consumption of alcohol, as this was not on the original licence application. They are wanting to take advantage of the surrounding grounds and hold outdoor licenced events. You are working at CA City Hotel as the Duty Manager.
CA City Hotel will need to employ some casual bar and wait staff as part of this project along with engaging contractors such as bands, entertainers, and an audio-visual company. This will be a ticketed event open to the public.
CA City Hotel would like to have a launch party promoting what they can offer in this area. The launch party will include:
- Licenced drinking areas
- Stage with bands and entertainers
- Food stalls
- Fireworks
- Mini casino with blackjack tables and roulette wheels.
The launch will take place on a Friday evening from 6:00pm until midnight. Rob Bradley, the General Manager, has asked you to research and compile all the relevant compliance matters as he wants to ensure that all
legislation and regulations are met. He is proud that CA City Hotel is diligent with compliance and the best practice that they implement, and he wants to see this continue. You will need to refer to CA City Hotel Organisational Chart found in your supplementary files at times throughout this project.
Task 1
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 1.1. Identify sources of information for compliance with laws and licensing for business operations. |
| 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 | |
| Accreditation operators |
| Plain English documentation that explains the operational requirements of legislation | |
| Computer data | |
| The internet | |
| Discussions with experienced industry personnel | |
| Accreditation operators |
| Associations and organisations | |
| Developers of codes of conduct or ethics | |
| Libraries, reference books, and journals | |
| Seminars and training courses | |
| Lawyers | |
| Networking with colleagues or suppliers | |
| Media |
| Personal observations and experience | |
| Unions |
1.2 Explain the function of regulatory authorities and provide the name of four (4) regulators you would communicate with when planning for the change of liquor licence and the launch of the outdoor event area. Explain the function and general operating procedures of one (1) tourism regulatory authority.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 3.1. Communicate with regulatory authorities when planning business operations and submit required documentation. |
| Explanation |
| Names |
| Function and operating procedures of a tourism regulatory authority |
1.3 Use your research skills to describe the objectives and primary components of the following laws and regulations.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 1.3. Access regulatory information relevant to specific business operation. |
| Anti-discrimination | |
| Australian Consumer Law especially in regard to refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts | |
| Contracts | |
| Employer superannuation contributions | |
| Environmental protection especially in regard to environmental hazard identification, use of minimal impact practices and reporting of incidents | |
| Fair Work Act 2009 especially in regard to National Employment Standards | |
| Local community protection especially in regard to land management and access and protecting the lifestyle of local residents | |
| Taxation | |
| Public liability and duty of care |
| Work health and safety | |
| Food Standards Australia New Zealand Act 1991 | |
| Liquor licensing and RSA | |
| Privacy Act 1988 | |
| Responsible Conduct of Gaming |
- You must now research and prepare a comprehensive report covering all aspects of the legislation and regulation requirements to allow for CA City Hotel to hold outdoor events, and in particular, the launch party. You need to explain how each legislation or regulation is relevant to the scenario. You must address the following in regard to the
- Evaluate CA City Hotel’s planned business venture and determine the necessary
requirements to be compliant.
- Research information for compliance with laws and licensing, of local, state, territory and commonwealth laws, specifically:
- Anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment
- Employer superannuation contributions
- Contracts
- Fair Work Act 2009, especially provisions for National Employment Standards
- Australian Consumer Law (ACL) especially provisions for terms and conditions of quotations and consumer contracts
- Environmental protection, especially provisions for use of minimal impact practices and reporting of incidents
- Provisions for land management and protecting the lifestyle of neighbouring residents
- Food safety and food standards
- Liquor licensing, particularly in relation to responsible service of alcohol and the off-premise licence
- Public liability, insurance and duty of care
- Responsible conduct of gambling
- Work health and safety
- Explain this risk, penalties and possible consequences of non-compliance including the legal responsibilities and liabilities of the CA City Hotel managers.
- Explain who you could consult with for legal advice, justifying your explanation.
Any codes of conduct that are within the relevant legislation
- For each law, code, standard and licensing requirement you research, you must address the following points:
- Key points that are prohibited by the law or regulation
- Auditing and inspection regimes
- Main consequences of non-compliance
- The 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. Your report must:
- Be written to a professional standard and include referencing.
- Cover a minimum of one (1) paragraph for each of the points addressing how they are relevant to the scenario. Use the points as a guide for your headings.
- Demonstrate research skills.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 1.1. Identify sources of information for compliance with laws and licensing for business operations. Section 1.2. Evaluate areas of business operation and determine scope of compliance requirements. Section 1.3. Access regulatory information relevant to specific business operation. Section 1.4. Identify risks, penalties and consequences of non-compliance. Section 1.5. Assess and act on need for specialist legal advice. |
1.5 Explain how you could use the following methods or opportunities to receive updated information on laws and licencing requirements.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 4.1. Identify and use a range of opportunities to maintain knowledge of current regulatory requirements. |
| Discussions with experienced industry personnel | |
| Networking with colleagues and/or suppliers | |
| Participating in industry accreditation | |
| Participating in industry seminars |
| Membership of professional industry association | |
| Participating in training courses | |
| Subscribing to regulatory newsletters |
Assessment Task 2:
| Assessment Task | Scenario-Based Assessment task |
| Schedule | |
| Outcomes Assessed | Performance Criteria: 1.2,1.5, 2.1, 2.2, 3.1, 3.2 Performance Evidence Addresses some elements of required foundation skills and knowledge as shown in the Assessment Mapping documents |
Assessment instruction:
- This task is conducted as open book Assessment (this means you are able to refer to your textbook, resources or any other reading materials).
- Student must read and respond to all criteria of the task.
- Student must use computers to answer the criteria of the project.
- Student must complete the task independently or in group, please see the assessment criteria.
- No marks or grades are allocated for this assessment task. The outcome of the task will be Satisfactory or Not Satisfactory.
- As student complete this assessment task student predominately demonstrating his/her practical skills, techniques and knowledge to trainer/assessor.
- The trainer/assessor may ask student relevant questions on this assessment task to ensure that this is his/her own work.
Task 2:
- This assessment is a continuation of the scenario from Task 1.
The planning for the launch party is underway and you have completed your research and developed your report. You have recently been contacted by several people who have some queries about the off-premises consumption of alcohol and the launch party in general. They include:
- One of the food stall holders wanting to know if they require any licensing to sell their pizza and
- A neighbour who is concerned with noise from the launch party and the rubbish it will generate.
- A new employee who is concerned about:
- Their pay rate
- Working outside in the sun for long hours
- Entitled breaks
You have assessed the current situation and have decided to organise a meeting with the local regulatory authority to discuss these concerns along with:
- The scope of compliance required
- The roles of responsibilities of ca city hotel personnel and managers
Licences required for the launch
- Methods that will be put in place to evaluate non-compliance
- Relevant legislation and regulations
- Consequences of non-compliance
- Codes of conduct that may be contained within the legislation
- The development of policies and procedures to support compliance.
The person you are speaking with has read your report and will discuss the compliance requirements with you.
Organise a meeting with your trainer who will act in the role of a regulatory authority representative, such as the local council.
The person you are speaking with has read your report and will discuss the compliance requirements with you.
Organise a meeting with your trainer who will act in the role of a regulatory authority representative, such as the local council.
Now you need to communicate using verbal skills/interact with others. The most appropriate way to do this is in an online workshop. Check with your study coach (or trainer/assessor) when the next workshop is available.
Note there is no set time for the oral communication as this will depend on how well prepared you are for the interaction. You must prepare for the areas below to be assessed as competent. It is anticipated this should take no more than fifteen (15) minutes. Your trainer will be expecting the following information from you to assess your competence in the specific area.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 1.2. Evaluate areas of business operation and determine scope of compliance requirements. Section 1.5. Assess and act on need for specialist legal advice. Section 2.2. Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. Section 3.1. Communicate with regulatory authorities when planning business operations and submit required documentation. Section 3.2. Maintain business and occupational licences and check contractor compliance to avoid risk to business. |
Did you provide evidence of the following in your interaction?
| This session is to discuss the points raised in the scenario and the actions required to rectify them. Did you: If you are relying on feedback verbally given by your trainer, place their responses here, check with them to confirm if this is necessary. | |||
| i. Appraise and define the necessary compliance requirements. | Yes | No | |
| ii. Determine the roles and responsibilities of managers and employees at CA City Hotel in regard to regulatory compliance including their legal responsibilities and liabilities. | Yes | No | |
| iii. Discuss rights and responsibilities of employees and employers. | Yes | No | |
| iv. | Discuss licences and contractor compliance to avoid risk to business. | Yes | No |
| v. Evaluate business operations for non-compliance, including the risk and consequences and made suggestions to implement modifications. | Yes | No | |
| vi. | Discuss a broad range of local, state, territory and commonwealth government laws relevant to the scenario. | Yes | No |
| vii. | Discuss any codes of conduct that may be contained within legislation | Yes | No |
| viii. | Discuss the development of policies and procedures. | Yes | No |
Assessment Task 3:
| Assessment Task | Scenario Based Assessment task |
| Schedule | |
| Outcomes Assessed | Performance Criteria: 1.3, 2.1, 2.3, 2.4, 3.3, 4.1, 4.2, 4.3 Performance Evidence Addresses some elements of required foundation skills and knowledge as shown in the Assessment Mapping documents |
Assessment instruction:
- This task is conducted as open book Assessment (this means you are able to refer to your textbook, resources or any other reading materials).
- Student must read and respond to all criteria of the task.
- Student must use computers to answer the criteria of the project.
- Student must complete the task independently or in group, please see the assessment criteria.
- No marks or grades are allocated for this assessment task. The outcome of the task will be Satisfactory or Not Satisfactory.
- As student complete this assessment task student predominately demonstrating his/her practical skills, techniques and knowledge to trainer/assessor.
- The trainer/assessor may ask student relevant questions on this assessment task to ensure that this is his/her own work.
Task 3.1
Rob Bradley, the General Manager, has asked for you to develop policies and procedures explaining the requirements for working outside and particularly in regard to the launch party. He requires six (6) policies and procedures to be written.
They are to cover the following areas:
- The provision of food being served by vendors or contractors including public liability and duty of care.
- The service of alcohol along with any restrictions that may apply.
- Ensuring the lifestyle of neighbouring residents is protected including access to their residences and noise.
- Anti-discrimination, particularly in regard to equal employment opportunity for the staff that needs to be hired.
- Work health and safety in regard to the conditions for CA City Hotel employees working outside.
- Refunds for tickets sold, taking into consideration inclement weather.
Keep in mind that the launch party will include:
- licenced drinking areas
- stage with bands and entertainers
- food stalls
- fireworks
- mini casino with blackjack tables and roulette wheels
You must prepare comprehensive policies and procedures explaining the compliance requirements for CA City Hotel to hold outdoor events. This is to be distributed to all the Food and Beverage team at CA City Hotel, including managers. You can use the Policy and Procedure Template Task 3.1 found in your supplementary files for this task or create your own document.
- Policy number: (you can make this up).
- Dates: including the date the policy is effective from and the date it will be reviewed.
- Title: capturing the content of the policy.
- Purpose: a brief description describing the policy.
- Additional authority: relevant regulations, legislation, or any other authorities that may govern the policy, including serving food and alcohol.
- Scope: the who or the what the policy applies, for example, all food and beverage staff or all credit card transactions, and the methods used to communicate it to all relevant employees.
- Responsibility: the departments or person responsible for enforcing the policy
- Audits and inspections: how it will be monitored and audited, and the records that will be kept.
- Definitions: an explanation of any uncommon words.
Consider the following when developing your policy and procedure:
- Clearly explain regulatory policies and procedures in a format that is both accessible and that can be easily understood by all employees.
- The roles and responsibilities of managers and employees to ensure regulatory compliance is met and maintained.
- The methods used to distribute and communicate policies, procedures and legal information to employees, and at appropriate times.
- How the outside operations will be monitored for non-compliance and how modifications will be implemented if required.
- Include a range of local, state, territory and commonwealth government laws relevant to the scenario.
- The legal responsibilities and liabilities of managers and directors.
- Auditing and inspection regimes.
- Requirements for record keeping.
Consequences of non-compliance for the individual, manager, and organisation, particularly regarding the responsible service of alcohol.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 2.1. Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel. |
3.2 It is now one month out from the launch party and Natalie Henderson, Food and Beverage Manager, has asked you to distribute the policy and procedure to all relevant employees. Consider the date you will need to send it to ensure employees receive the policy and procedure within appropriate time frames.
In your email include:
How you will provide updates to employees to ensure they understand their roles and responsibilities in regard to remaining compliant.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 2.3. Distribute policies, procedures and legal information to personnel at appropriate times. Section 2.4. Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. Section 4.1. Identify and use a range of opportunities to maintain knowledge of current regulatory requirements. Section 4.2 Use organisational communication methods to share updated regulatory knowledge. |
| Send | To | |
| Subject | ||
| Date | ||
| Dear Food and Beverage Team |
- The launch has now taken place and was a success. It was an extremely hot day and many people were making full use of the bar facilities where full strength beer and wine was being served. However, there was an incident that occurred that needs to be addressed. There was a patron who was identified as intoxicated, however, one of the bar staff continued to serve him drinks. The supervisor saw this and she told the patron that he was unable to be served anymore alcohol. The patron became violent and tried to glass the supervisor. In defending herself the supervisor’s hand was cut quite badly.
As a result of this she will be off work for at least two (2) weeks, then will be able to return to work on
adjusted duties. She is going to apply for workers’ compensation.
Whilst CA City Hotel has an RSA policy and procedure in place, this is not the first time an intoxicated person has injured a person at the hotel. It has been reported from previous incidences that junior staff members were left unsupervised and that the kitchen staff wanted to get home so shut the kitchen early on numerous occasions.
After evaluating the hotel’s RSA operations, you need to write and implement a continuous improvement plan for the food and beverage team along with updates to the RSA policy and procedure. This will initially be sent via email.
Write an email to all food and beverage employees:
- Re-iterating their roles and responsibilities for legal compliance with RSA
- With suggestions as to how outdoor events could be better managed in regard to the management of RSA
- Including methods as to how managers and supervisors will continuously evaluate food and beverage operations for non-compliance and how any modifications will be implemented
Outlining how plans, policies and procedures will be continuously reviewed to ensure RSA compliance.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section 2.4. Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. Section 3.3. Continuously evaluate business operations for non-compliance and implement modifications. Section 4.1. Identify and use a range of opportunities to maintain knowledge of current regulatory requirements. Section 4.3. Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements. |
| Send | To | |
| Subject | ||
| Dear Food and Beverage Team |
3.4 Explain how you would manage the incident that occurred in regard to the following points.
| Hint | Read the content from your SITXGLC001 Research and Comply with Regulatory Requirements Learner Guide. Section: 1.3 Access regulatory information relevant to specific business operation. |
| Student Feedback Form | |||||
| Unit | SITXGLC001 Research and Comply with Regulatory Requirement | ||||
| Student Name: | Date | ||||
| Assessor Name: | |||||
| Please provide us some feedback on your assessment process. Information provided on this form is used for evaluation of our assessment systems and processes. This information is confidential and is not released to any external parties without your written consent. There is no need to sign your name as your feedback is confidential. | |||||
| Strongly Agree | Agree | Average | Disagree | Strongly Disagree | |
| I received information about the assessment requirements prior to undertaking the tasks | 5 | 4 | 3 | 2 | 1 |
| The assessment instructions were clear and easy to understand | 5 | 4 | 3 | 2 | 1 |
| I understood the purpose of the assessment | 5 | 4 | 3 | 2 | 1 |
| The assessment meets your expectation | 5 | 4 | 3 | 2 | 1 |
| My Assessor was organised and well prepared | 5 | 4 | 3 | 2 | 1 |
| The assessment was Fair, Valid, Flexible and Reliable | 5 | 4 | 3 | 2 | 1 |
| My Assessor’s conduct was professional | 5 | 4 | 3 | 2 | 1 |
| The assessment was an accurate reflection of the unit requirements | 5 | 4 | 3 | 2 | 1 |
| I was comfortable with the outcome of the assessment | 5 | 4 | 3 | 2 | 1 |
| I received feedback about assessments I completed | 5 | 4 | 3 | 2 | 1 |
| The pace of this unit was: | Too Slow | Great Pace | Too Fast | ||
| Comments: | |||||