Assessment Tasks and Instructions

Student Name Abubakar Dar

Student Number 15906
Course and Code
Unit(s) of Competency and Code(s) SITXGLC002 Identify and manage legal risks and
comply with law
Stream/Cluster
Trainer/Assessor

Assessment for this Unit of Details

Competency/Cluster

Assessment 1 Portfolio
Assessment 2 Practical Observation
Assessment 3

Assessment conducted in this instance: Assessment 1 2 3

Reasonable Adjustment
1. Has reasonable adjustment been applied to this assessment?
No No further information required

Yes Complete 2.
2. Provide details for the requirements and provisions for adjustment of assessment:

Student to complete
My assessor has discussed the adjustments with me
I agree to the adjustments applied to this assessment
Signature Abubakar Dar Date

2nd Assessor to complete

 I agree the adjustments applied to this assessment are reasonable
Name

Signature Date
Assessment Guidelines
What will be assessed

The purpose of this assessment is to assess your knowledge required to complete the tasks outlined in
elements and performance criteria of this unit:

Demonstrated knowledge required to complete the tasks outlined in elements and

performance criteria of this unit:
 legal advantages and disadvantages, risks and benefits of different business operation
structures:
 sole trader
 partnership
 company
sources of information and advice on legal risk management and compliance:
local, state, territory or Commonwealth government departments or regulatory agencies
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
 libraries
 personal observations and experience
 reference books
 training courses
functions of regulatory authorities relevant to the tourism, travel, hospitality and events
industries
methods of receiving updated information on managing legal risks and compliance
requirements
strategies for managing legal risks and legal compliance

SITXGLC002 Page 2 of 22 Assessment 1 Part1

 primary components of legal principles and of local, state, territory and Commonwealth
government laws to which all types of businesses must comply:
anti-discrimination, including provisions for equal employment opportunity (EEO) and
harassment
anti-trust laws (“restrictive trade practices”), including the prohibitions on anti-cartel,
resale price maintenance and third line forcing
Australian Consumer Law (ACL), including provisions for refunds, exchanges and
cancellations, terms and conditions of quotations and consumer contracts

contract formation and content

copyright law

duty of care and negligence

e-commerce and social media

employer superannuation contributions

Fair Work Act 2009, including provisions for National Employment Standards (NES)

insurance, including public liability and professional indemnity insurance

privacy law

trade mark law

work health and safety

workers’ compensation, including provisions for injury reporting and occupational
rehabilitation
 laws, codes, standards and licensing requirements that impact on specific
operators in the tourism, travel, hospitality and event industries and are applicable
to the individual’s context:
 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, including responsible service of alcohol
 Queensland Tourism Services Act 2003
 Residential Tenancy Act
 responsible conduct of gaming regulation
for each relevant law, code, standard and licensing requirement listed above:
 objectives and primary components
 key practices and legal risks that need to be managed
 key actions needed to manage the legal risks and comply with the law
 main consequences of failure to manage the legal risks or non-compliance with
the law
 requirements for record keeping and acceptable record keeping mechanisms
 opportunities to maintain knowledge of legal risks and legal risk management and
compliance requirements:
 participating in industry seminars

SITXGLC002 Page 3 of 22 Assessment 1 Part1

  membership of professional industry associations
 participating in training courses.

Place/Location where assessment will be conducted

SSH to complete

Resource Requirements

Assessment must ensure access to:

• computers, software programs, printers and communication technology used to source

information on legal risk management and compliance

• current legislation

• current materials displayed or published by government regulators

• information issued by industry associations or commercial publishers

Instructions for assessment including WHS requirements

You are required to address each question in this assessment.

Once you have completed all questions, check all responses and calculations and attach all recipes
and the workflow-plan to this portfolio

Your trainer will be providing you with feedback.

The information you provide in this portfolio may be followed-up with questions from your trainer
before the final assessment. It is therefore essential that you have sufficient knowledge to explain
and substantiate all information you provide in this paper.

Statement of Authenticity

I acknowledge that I understand the requirements to complete the assessment tasks

SITXGLC002 Page 4 of 22 Assessment 1 Part1

 The assessment process including the provisions for re-submitting and academic appeals were explained
to me and I understand these processes
I understand the consequences of plagiarism and confirm that this is my own work and I have
acknowledged or referenced all sources of information I have used for the purpose of this assessment

Student Signature: Abubakar Dar

This assessment: First Attempt 2nd Attempt Extension – Date: / /

RESULT OF ASSESSMENT Satisfactory Not Yet Satisfactory

Feedback to Student:

Assessor(s) Signature(s): Date: / /

Student Signature Abubakar Dar Date: / /

SITXGLC002 Page 5 of 22 Assessment 1 Part1

Table of Contents
Knowledge test -1.......................................................................................................................................7
Knowledge Test -2.....................................................................................................................................12
Knowledge Test- 3.....................................................................................................................................15

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Q.1 List eight (8) obligations imposed on an employer.

1. Paying correct wages: Employers must pay their employees the agreed-upon wages for their work,
which should be at least the minimum wage set by law.

2. Providing pay slips: Employers are required to provide a detailed statement (pay slip) that breaks
down an employee's pay for each pay period.

3. Reimbursing work-related expenses: If employees incur expenses for work-related activities,

employers are obligated to reimburse them.

4. Ensuring a safe working environment: Employers must provide a safe and healthy workplace for
their employees, adhering to all relevant health and safety regulations.

5. Workers compensation insurance: Employers are required to have workers' compensation insurance
to cover any injuries or illnesses employees may sustain while on the job.

6. Not damaging an employee's reputation: Employers should not engage in actions that could
seriously harm an employee's reputation.

7. Not causing mental distress or humiliation: Employers should treat their employees with respect
and not engage in behavior that could cause mental distress or humiliation.

8. Not damaging trust and confidence: Employers should act in a way that maintains the trust and
confidence necessary for a healthy employment relationship.

Q.2 As a PCBU you must meet your obligations, so far as is reasonably practicable, to
ensure the health and safety of workers and other people like visitors and volunteers. What are eight of
these obligations
 Provide and maintain a safe work environment;

 Provide and maintain safe plant and structures;

 Provide and maintain safe systems of work;

 Ensure the safe use, handling and storage of plant, structures and substances;

 Provide adequate facilities (and ensure access is maintained);

 Provide instruction, training, information and supervision; and

 Monitor the health of workers and conditions at the workplace

Q.3 Identify six (6) requirements the ATO imposes on ‘sole traders’.

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 1. use your individual tax file number when lodging your income tax return

2. report all your income in your individual tax return, using the section for business items to show
your business income and expenses (there is no separate business tax return for sole traders)

3. apply for an ABN and use your ABN for all your business dealings

4. register for Goods and Services Tax (GST) if your annual GST turnover is $75,000 or more

5. pay tax at the same income tax rates as individual taxpayers and you may be eligible for the small
business tax offset

6. put aside money to pay your income tax at the end of the financial year -usually, you will do this by
paying quarterly Pay As You Go (PAYG) instalments

Q.4 What are five (5) obligations imposed on ‘partnerships’ by the ATO?

1. Income, losses and control of the business are shared among the partners;

2. showing all income and deductions of the business;

3. their share of the partnership income in their own tax return;

4. rate and may be eligible for the small business tax offset;

5. Amounts you take from a partnership are not wages for tax purposes.

Q.5 Identify seven (7) obligations imposed on a ‘company’ by the ATO.

1. must apply for a tax file number (TFN) and use it when lodging its annual tax return

2. must be registered for GST if its annual GST turnover is $75,000 or more

3. Company owns the money that the business earns and individuals who control the business

4. Cannot take money out of the business, except as a formal distribution of the profits or wages

5. must lodge an annual company tax return

6. must pay super guarantee contributions (SGC) for any eligible workers.

6. pay tax at the company tax rate and may be eligible for small business concessional rates.

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Q.6 What is your primary source of ‘local legislation’?

Consists of local bodies known as city council or shire council that are established by state and
territory governments to look after the particular needs of a city, region or local community. The head
of the Council is the Mayor or Shire President; and local government responsibilities include local road
maintenance, garbage collection, building regulations and land subdivisions, public health and
recreation facilities such as swimming pools.

Q7. Name four (4) state government agencies you might contact to get regulatory and compliance
information for the hospitality industry

1. Customer Service, NSW Department of.

2. Education, NSW Department of.

3. Communities and Justice, NSW Department of.

4. Health, NSW Ministry of.

Q8. Provide three (3) examples of commonwealth agencies you might contact to obtain compliance
information.

1. ATO

2. Tourism Australia

3. Food standards Australia and New Zealand

Q9. What industry associations could you contact for information and advice on regulatory compliance?

 Sustainability in the Hospitality Industry

 Tourism and Hospitality Law in Australia

Q10. Describe two (2) ways you can obtain plain English documentation from government agencies that
explains operational requirements of legislation.

1. Download plain English documentation from the internet

2. Telephone or talk face to face to the council

Q11. How can ‘computer data’ from your workplace system be a source of information on regulatory
compliance?

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 Regulatory compliance describes the goal that organisations aspire to achieve in their efforts to
ensure that they are aware of and take steps to comply with relevant laws, policies, and regulations,
so having a computer data information can help to regulate the regulatory compliance, updating
information from old norms/forms/ of actions.

Q12. List three (3) ways the internet can be used to source information on regulatory compliance.

Regularly check sites for updated standards

Joining online industry associations

Attend online training, conferences, and seminars

Q13. In relation to ‘industry personnel’, who might you contact when seeking to identify and/or obtain
information on regulatory compliance?

 Suppliers

 Industry networking associations

 Business in the same industry

Q14. A great place to obtain information on regulatory compliance is from hotel and tourism industry
accreditation operators. Name three (3) of these accreditation operators.

gambling institutions (casinos)

amusement and recreation parks

long-term residential caravan parks

theatre restaurants

SITXGLC002 Page 10 of 22 Assessment 1 Part1

 sporting clubs

Q15. As a manager in the hospitality industry, why is it important to read and understand codes of
conduct developed by other industries? How might this assist with complying with hospitality regulatory
obligations

It is very important because codes of conduct not only does a code of conduct state the rules, values,
ethical principles for your business – it also provides staff with a set of clear standards and
expectations of their role. It is always good to read and comprehend other business codes of conducts
to use some of their values, and ethical principles, to use them as an example/template/structure.

Q16. Provide two (2) examples of industry journals that may be of use in identifying regulatory
compliance obligations and/or ways of complying.

1. cash records – for example, cash receipts journal bank deposit books, cash payments journal,
cheque butts and petty cash books

2. sales/debtor records – for example, sales journal debtors ledger, list of debtors, invoices and
statements issued, and delivery dockets;

Q17. Attending hospitality and regulatory compliance seminars is a good way of keeping up to date with
industry trends. Where could you find out more information on industry webinars?

Magazines, social media, workmates, partners, other hospitality venue and staff, libraries, posters or
flyers.

Q18. What are five (5) ways lawyers can assist a hospitality business in relation to complying with
regulatory requirements

1. Legal essentials for business (When you start a business, you need to understand what laws apply to
your new business. Consult a legal professional or business adviser for advice on which areas require
your compliance.)

2. Legal obligations when training staff (As an employer, you are legally obliged to make sure your staff
are trained to do their jobs safely. Certain industries also require specific training. Remember to keep
a record of any training your staff complete. As an employer, you must provide work health and safety

SITXGLC002 Page 11 of 22 Assessment 1 Part1

 training in order to keep your workplace safe for you, your staff and any visitors or customers.)

3. Keep the right records (Starting your business with a good record keeping system will help you track
your business performance, meet your reporting responsibilities and access finance. We can help you
to understand: All businesses in Australia are required by law to keep records and documents related
to how their business operates)

4. Helping People with their legal problems.

5. Legal Solutions for the Hospitality Industry (Opening a new restaurant, cafe or bar requires fast and
affordable legal solutions. The solutions cater for all your legal needs, including: Commercial leases for
your new cafe, restaurant or bar. Employment contracts for managing your workforce during peak
seasons. Workplace policies outlining the expectations of employees and business
standards.)

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Q20. Describe two (2) ways that ‘personal observation and experience’ can be used to identify sources of
information on regulatory compliance in the industry.

1. Observation is an action performed by human beings to identify, collect and assimilate information

2. Experience it makes like the words itself says, experience, learn and become skill from mistakes or
situations you lived before and test if it was a good technique applied.

Q21. What are the names of two (2) ‘reference books’ that may be of use when researching legal
compliance issues?

1. ATO tax hand book

2. Australian Business Tax book

Q22. Give two (2) examples of ‘training courses’ that might be a source of information and advice on
regulatory compliance.

1. Work Health and Safety regulations

2. Codes of Practice.

SITXGLC002 Page 13 of 22 Assessment 1 Part1

Knowledge Test -2
Q1. Define the function and general operating procedures of the Liquor & Gaming body in

your state or territory

Liquor and Gaming NSW is accountable for the development, implementation and integrity of the
overall regulatory framework across alcohol, licenced clubs, charitable fundraising and gambling
activities in NSW. The Independent of Liquor and Gaming Authority board is responsible for
performing casino, liquor and gaming machine regulatory and other decision-making functions on
behalf of government. It also has similar responsibilities for registered clubs. Issues and license to
operator.

Q2. What is the primary function of the Work Safety body in your state or territory?

 provide licenses and registration for potentially dangerous work

 advice on improving work health and safety

 investigate workplace incidents and enforce work health and safety laws in NSW

Q3. Explain the general operating procedure for the Food Safety Authority in your state or

Territory

The NSW Food Authority works with key agencies including local councils and NSW Health to ensure
effective food safety and food quality management underpins confidence in the states food industry
and reduces the incidence of food poisoning.

Q4. What is the function and general operating procedure for the Tourism & Travel body of your
state/territory?

Their role is to market Sydney and NSW as one of the worlds premier tourism and major events
destinations, to secure major sporting and cultural events, to work in partnership with business Events
Sydney to win major international conventions and incentive travel programs; to develop and deliver
initiatives that will drive visitor growth throughout the State; and to achieve the NSW Government's
goal of doubling expenditure within the State's visitor economy by 2020.

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Q5. What is ABLIS and what is its role?

ABLIS is the Australians Business License and Information Service.

ABLIS is a free service that simplifies the process of finding out which licences your business needs

Q6. List three (3) ways you can receive updated information on laws and licensing requirements.

 monitor the mass media

 subscribe to receive regular newsletters from government agencies

 take time schedule visits to websites of regulators

Q7. Explain how organisational ‘policies’ help a business manage its compliance obligations.

Organisational policies are a common and essential part of running a business.

They provide governance across a range of operation aspects for business, ensuring consistency for
products and services, as well as compliance with legal and regulatory requirements for the business
daily operations.

Q8. What is the role of workplace ‘procedures’ in helping an organisation meet its mandated compliance
obligations?

 If followed the procedures mean the business will meet compliance obligations

 They provide a checklist and a sequence of actions that, if employees adhere to them, they will
mean all legislated obligations are discharged and the business remains legal

Q9. What are the two (2) common formats for workplace policies and procedures?

 paper document (printed)

 online access

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Q10. Provide five (5) examples of generic inclusions in an organisational policy

 name of the policy

 policy number

 date for implementation

 date for review

 terms of the policy

Q11. Provide five (5) examples of generic inclusions in an organizational procedure.

 Name

 Number

 Head policy

 Date for implementation

 Date for review

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Knowledge Test- 3
Q1. Under Australian Equal Employment Opportunity (EEO) legislation, it is unlawful for employers to
discriminate against employees and job seekers in any way on the basis of 13 characteristics.
List five (5) of these characteristics.
1. race

2. skin color

3. sexual orientation

4. body size

5. gender

Q2. Give five (5) examples of types of behaviour that may constitute possible sexual harassment in
the workplace under NSW legislation.

 Staring or leering in a sexual manner

 Unwelcome wolf whistling

 Comments about a persons physical appearance or sexual characteristics

 Sexual or physical contact, such as slapping, kissing touching, hugging or massaging

 Displaying or circulating sexual material, for example by email.

Q3. Under Australian Consumer Law ( ACL) when are customers entitled to a refund, exchange or to
cancel a contract?

If you have a minor problem with a product or service, the business can choose to give you a free
repair instead of a replacement or refund. When you have a major problem with a product, you have
the right to ask for your choice of a replacement or refund. For a major problem with a service, you
can choose to receive compensation for the drop in value below the price paid, or a refund.

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Q4. What are five (5) obligations on businesses under ACL when they supply a quotation?

1. product must be acceptable quality

2. safety

3. lasting, with no faults

4. look acceptable

5. do all the things someone would normally expect them to do

Q5. Under ACL, what is a ‘contract’?

A contract is an agreement made between two or more parties that is intended to be legally
enforceable. a contract arises when one party makes an offer and the other party communicates
acceptance of that offer.

Q.6 Under ACL, what is a ‘consumer contract’?

For the supply of goods or services or the sale or grant and interest in land, to an individual whose
acquisition of the goods, services or interests is wholly or predominantly for personal, domestic or
household use or consumption

Q.7 What are the three (3) conditions under the ACL that consider the term of a ‘consumer contract’ to
be unfair?

 it penalises one party, but no another, if there any breaches of the contract obligations or terms of
agremeents

 it allows one party, but no another one, to change the terms of the contract without due
consideration

 to avoid or limit their obligations under the terms or agreement

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Q8. List three (3) ways a contract may be entered into.

 signing a document

 agreeing in person or over the phone

 starting to act in accordance with the contract, having communicated acceptance of the terms of the
contract to the other party

Q9. Identify four (4) obligations business owners and employers are under in relation to ‘superannuatio

 pay super to complying super funds

 check if employees are eligible to choose their own super funds provide eligible employees with a
standard choice form

 keep records of super contribution payments and evidence that you offered a choice of Superfund to
eligible employees

 advise employees or you employer nominated fund, also known as your default fund. where
employees do not nominate their choice or until they do, pay their super guarantee into your default
fund

Q10. There are 10 minimum entitlements of the National Employment Standards (NES), briefly explain
three of these.

 provide for the protection of the environment, especially matters of national environmental
significance

 conserve Australian biodiversity

 enhance the protection and management of important natural and cultural places

 promote ecologically sustainable development through the conservation and ecologically

sustainable use of Australia´s biodiversity

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Q11. What is the primary role of the Federal Fair Work Act and Regulations?

The Fair Work Act is the key piece of Commonwealth legislation regulating employment and orkplace
relations. It provides for terms and conditions of employment and sets out the rights and
responsibilities of employees, employers and employee organisations in relation to that employment.

Q12. Hospitality based businesses need to ensure that they abide by legislation protecting the local
community, provisions for land management and access, in addition to protecting the lifestyle of
neighbouring residents. What obligations are businesses under to meet these requirements?

 They must only operate their business as per the license that is provided .

 Need to ensure no damage to neighbors property.

 Not make noise or have their guest make excessive noise late at nights.

 Ensure guest do not drink alcohol on neighboring properties

Q13. List four (4) obligations imposed on business by the ATO.

 Must register your business for GST with the Australian taxation office if you want to claim fuel tax
credits

 Help employees take care of their tax obligations with PAYG witholding

 All businesses are required to pay tax to the government

 Australian businesses pay company tax through a pay as you go (PAYG) system which pay payroll tax.

Q14. There are five (5) key elements of the Australian workplace relations framework provided for under
the Fair Work Act 2009, list two of these below.

1) the right to engage in industrial activities.

2 ) the right to be free from unlawful discrimination

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Q15. What is the role of ‘public liability insurance’? Provide 4 areas covered by the public liability
Insurance

Public Liability Insurance covers businesses for liability for injuries to another person or damage to
their property.

Q.16 Explain the ‘duty of care’ obligations for businesses.

A duty of care obligations is the legal responsibility of a business to avoid any behaviors
or actions to cause harm to other businesses or individuals.

Q17. Identify three (3) obligations imposed on businesses by your state or territory workers’
compensation legislation.

1) prompt treatment of injuries, and effective and proactive management of injuries and minimise
risks and dangers in the work place

2) provide necessary medical rehabilitation following injuries,

3) provide injured workers and their dependants with income support during illness plus pay for
reasonable treatment and other related medical expenses

Q18. What are three (3) requirements that apply to reporting a workplace injury?

1) general descriptions of what happened.

2) location of injury.

3) time and date of the incident or injury

Q19. In terms of WHS what is a ‘notifiable incident’?

A notifiable incident is when...

- a person dies

- a person experiences a serious injury or illness

- a potentially dangerous incident occurs

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Q20. What ‘Return to Work (RTW)’ obligations are employers under?

Under Return to Work (RTW) employers are obligated is to:

- have workers compensation insurance.
- display the If you get injured at work poster.
- have a documented return to work program describing the steps they will take if a worker is injured.

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