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Sitxglc001: Research and Comply With Regulatory Requirement
Sitxglc001: Research and Comply With Regulatory Requirement
Sitxglc001: Research and Comply With Regulatory Requirement
Student Name
Student Id
Course
SITXGLC001 Research and Comply with Regulatory Requirement
Contents
CONTENTS................................................................................................................................................... 3
ASSESSMENT INFORMATION FOR LEARNERS................................................................................................. 4
HOW YOU WILL BE ASSESSED........................................................................................................................ 4
ASSESSMENT GUIDE...................................................................................................................................... 7
ASSESSMENT COVER SHEET........................................................................................................................... 9
ASSESSMENT TASK 1................................................................................................................................... 11
ASSESSMENT TASK 2................................................................................................................................... 21
ASSESSMENT TASK 3................................................................................................................................... 24
All of your assessment and training is provided as a positive learning tool. Your assessor
will guide your learning and provide feedback on your responses to the assessment
materials until you have been deemed competent in this unit.
The assessment tasks have been designed to enable you to demonstrate the
requirements of the performance criteria and knowledge in this unit to successfully
demonstrate competency at the required standard.
Your assessor will ensure that you are ready for assessment and will explain the
assessment process. Your assessment tasks will outline the evidence to be collected and
how it will be collected, for example; a written activity, case study, or demonstration and
observation.
The assessor will also have determined if you have any special needs to be considered
during assessment. Changes can be made to the way assessment is undertaken to
account for special needs and this is called making Reasonable Adjustment.
What happens if your result is ‘Not Yet Competent’ for one or more assessment
tasks?
Our assessment process is designed to answer the question “has the desired learning
outcome been achieved yet?” If the answer is “Not yet”, then we work with you to see
how we can get there.
In the case that one or more of your assessments has been marked ‘NYC’, your trainer
will provide you with the necessary feedback and guidance, in order for you to resubmit
your responses.
If you submit assessment by the due date and deemed ‘NYC’, you will be provided
another opportunity to submit assessment without any penalty. However, failure to
submit by the due date will cease any free resubmission opportunity.
You can appeal against a decision made in regards to your assessment. An appeal
should only be made if you have been assessed as ‘Not Yet Competent’ against a specific
unit and you feel you have sufficient grounds to believe that you are entitled to be
assessed as competent. You must be able to adequately demonstrate that you have the
skills and experience to be able to meet the requirements of units you are appealing the
assessment of.
If you do not agree with an assessment decision, you can make an assessment appeal as
per your SCA’s assessment appeals process.
Assessor Responsibilities
Assessors need to be aware of their responsibilities and carry them out appropriately.
To do this they need to:
Ensure that participants are assessed fairly based on the outcome of the
language, literacy and numeracy review completed at enrolment.
Ensure that all documentation is signed by the learner, trainer, workplace
supervisor and assessor when units and certificates are complete, to ensure
that there is no follow-up required from an administration perspective.
Ensure that their own qualifications are current.
When required, request the manager or supervisor to determine that the
learner is ‘satisfactorily’ demonstrating the requirements for each unit.
‘Satisfactorily’ means consistently meeting the standard expected from an
experienced operator.
When required, ensure supervisors and learners sign off on third party
assessment forms or third-party report.
Follow the recommendations from moderation and validation meetings.
How should I format my assessments?
You required to submit this assessment task electronically, please complete the
Assessment coversheet and signed electronically or print your name. Your assessor will
provide your feedback electronically either by an email or through the learning
management system. Your assessments should be typed in an 11 or 12 size font for ease
of reading.
Your assessor will also discuss this verbally with you and provide advice on
reassessment opportunities as per your SCA’s reassessment policy.
Depending on the task, this may include:
resubmitting incorrect answers to questions (such as written questions and case
studies)
resubmitting part or all of a project, depending on how the error impacts on the
total outcome of the task
redoing a role play after being provided with appropriate feedback about your
performance
being observed a second (or third time) undertaking any tasks/activities that
were not satisfactorily completed the first time, after being provided with
appropriate feedback.
Your Trainer / Assessor will advise you should there be any change.
Include a reference list at the end of your work on a separate page. You should reference
the sources you have used in your assessments in the Harvard Style. For example:
Website Name – Page or Document Name, retrieved insert the date. Webpage
link.
For a book: Author surname, author initial Year of publication, Title of book,
Publisher, City, State.
ASSESSMENT GUIDE
The following table shows you how to achieve a satisfactory result against the criteria
for each type of assessment task. The following is a list of general assessment methods
that can be used in assessing a unit of competency. Check your assessment tasks to
identify the ones used in this unit of competency.
You will receive an overall result of Competent or Not Yet Competent for this unit. The
assessment process is made up of a number of assessment methods. You are required to
achieve a satisfactory result in each of these to be deemed competent overall. Your
assessment may include the following assessment types.
Written Activity The assessor will mark the Does not follow
activity against the guidelines/instructions
detailed
guidelines/instructions
You will receive an overall result of Competent or Not Yet Competent for this unit. The
assessment process is made up of a number of assessment methods. You are required to
achieve a satisfactory result in each of these to be deemed competent overall. Your
assessment may include the following assessment types.
Practical Activity All tasks in the practical Tasks have not been
activity must be completed completed effectively and
and evidence of evidence of completion
completion must be has not been provided.
provided to your
trainer/assessor.
All tasks have been
completed accurately and
evidence provided for
each stated task.
You will receive an overall result of Competent or Not Yet Competent for this unit. The
assessment process is made up of a number of assessment methods. You are required to
achieve a satisfactory result in each of these to be deemed competent overall. Your
assessment may include the following assessment types.
This assessment task only consists of Case study, Practical Activity and Written
Questions.
Learner’s name:
Date
Assessors Name:
Submitted:
Have the Learner’s rights and the appeal system been fully
☐ Yes ☐ No
explained?
Learner Declaration
I agree to undertake assessment in the knowledge that information gathered will only be used
for professional development purposes and can only be accessed by the RTO
I declare that:
☐ I have provided with the explanation and instruction of the assessment criteria
☐ I have kept a copy of all relevant notes and reference material that I used in the production
of my work
☐ I have given references for all sources of information that are not my own, including the
words, ideas and images of others
Learner
Date:
Signature:
Feedback to Learner:
Assessor
Date:
Signature:
ASSESSMENT TASK 1
Case Study
This assessment task consists of __ question. Students require to read the case
study and using the Additional assessment resource CA City Hotel Organisational
Chart, must answer all questions correctly and in accordance with the instructions
given.
Case Study
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:
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.
Instruction
You must 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. Along with the report you will need to answer questions
to support your understanding.
1. Before you begin your research explain how you could use or what the
benefits are of the following sources. Complete the table.
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.
Industry associations
Computer data
The internet
Accreditation operators
Lawyers
Media
Unions
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
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
Contracts
Taxation
4. 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.
explanation.
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.
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
Participating in industry
accreditation
Participating in industry
seminars
Membership of
professional industry
association
Participating in training
courses
Subscribing to regulatory
newsletters
ASSESSMENT TASK 2
Practical activity
Case study
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 pasta.
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:
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.
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.
Hint:
Read the content from your SITXGLC001 Research and Comply with
Regulatory Requirements Learner Guide.
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 3.2. Maintain business and occupational licences and check contractor
compliance to avoid risk to business.
Your trainer will be expecting the following information from you to assess your
competence in the specific area.
Note: This session is to discuss the points raised in the scenario and the actions
required to rectify them. If you are relying on feedback verbally given by your
trainer, place their responses here, check with them to confirm if this is necessary.
Submission requirement:
ASSESSMENT TASK 3
Written activity
Question 3.1:
Now that you have completed your report and have consulted with a
representative from a regulatory authority, you need to write and implement a
policy and procedure based on your findings.
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
Additional assessment resource for this task or create your own document.
Your policy and procedure must include the following:
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.
Question 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.
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.