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 2 Assessment 1 Part2

 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

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  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

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 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 5 Assessment 1 Part2

Table of Contents
Knowledge Test 4........................................................................................................................................7
Knowledge Test 5......................................................................................................................................12
Knowledge Test 6......................................................................................................................................19

SITXGLC002 6 Assessment 1 Part2

Knowledge Test 4
Q1. What is the role of APRA AMCOS?

“W
e license organisations to play, perform, copy, record or make available our members’ music, and
we distribute the royalties to our members.”

Q2. Give four (4) examples of things protected by copyright

“Copyright protects:
-Textual material (“literary works”) such as journal articles, novels, screenplays, poems, song lyrics and
reports; computer programs (a sub-category of “literary works”);
-Motion pictures and other audio-visual works;
-Derivatives of protected works, such as a sequel (i.e. the Star Wars movies);

Q3. What is the aim of the government’s legislation to prevent child sex offences being

committed by Australians while overseas?

- Australians who commit child sex offences while overseas can be investigated and
prosecuted under Australian law. The penalties for these offences include a term of
imprisonment of up to 25 years for individuals and fines of up to $825,000 for
corporate bodies. A number of Australians have been successfully prosecuted under
these laws.

-The laws are contained in Division 272 and 273 of the Criminal Code Act 1995. Detailed
information about child sex offences, including child sex tourism, is available on the Attorney

General' s Department website.

-Federal and State Police actively monitor and prosecute child sex offenders. The AFP cooperates
with other countries' lawenforcement authorities to actively monitor and
investigate Australian citizens, permanent residents or companies that are associated with
such offences

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Q4. What are the key objectives of the European Economic Directive of Foreign Travel?

To provide advice and direction as well as control over travel to and fromthe EU.

Q5. What are three (3) requirements of a food safety plan required by a licensed business in your state
or territory?

Food safety programs:

-Identify potential hazards that may occur in all fo o d handling operations carried out
in the business.
-Identify where these hazards can be controlled
-Provide corrective actions when a hazard is found to be not under control

Q6. What are the four (4) objectives of the Food Standards Australia New Zealand Act 1991

A high degree of consumer confidence in the quality and safety of food produced, processed, sold or
exported from Australia and New Zealand;
-An effective, transparent and accountable regulatory framework within which the food industry
can work efficiently;
-Protect public health and safety
-Provide enough information about food to help consumers make
informe choices
Prevent fraud and deception
-Prevent misleading and deceptive

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Q7. What is the role of the Liquor & Gaming body in your state or territory in relation to ‘liquor’?

Liquor & G am in g NSW oversees the regulatory framework for liquor activities
across NSW, including liquor licensing, the serving or selling of alcohol and the

initiatives to reduce alcohol-related harm.

Q8. Provide three (3) reasons that RSA has been made a mandatory aspect of liquor licensing for venues.

- To reduce the abuse and misuse of alcohol.

Q9. What two (2) obligations are licensees under in relation to RSA certificate registers?

L icen sees m u st k eep a reg ister co n tain in g cu rren t R S A certificates (o ld sty le) fo r
staff. •

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Q10. Provide three (3) examples of activities that staff must comply with to implement RSA
requirements.

Training course provided by an approved training provider

-Renovate RSA certificate every 5 years

-Always ask for ID before serve alcohol

Q11. What is the aim of the Privacy Act 1988?

“The Privacy Act 1988 (Privacy Act) regulates how personal information is handled. It was
introduced to promote and protect the privacy of individuals and to regulate how Australian
government agencies and organisations with annual turnover.

Q12. There are 13 Australian Privacy Principles (APP), list two (2) of the principles below.

Australian Privacy Principle 1 — open and transparent management of personal

information Australian Privacy Principle 2 — anonymity and pseudonymity
Australian Privacy Principle 3 — collection of solicited personal information
Australian Privacy Principle 4 — dealing with unsolicited personal information
Australian Privacy Principle 5 — notification of the collection of personal
information Australian Privacy Principle 6 — use or disclosure of personal
information • Australian Privacy Principle 7 — direct marketing
Australian Privacy Principle 8 — cross-border disclosure of personal information
Australian Privacy Principle 9 — adoption, use or disclosure of government related
identifiers Australian Privacy Principle 10 — quality of personal information
Australian Privacy Principle 11 — security of personal information Australian Privacy Principle 12 —
access to personal information Australian Privacy Principle 13 — correction of personal information

Q13. What is the main purpose of the Queensland Tourism Services Act 2003?

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 “The main purpose of this Act is to provide for fair trading in the tourism
services industry by:

 Establishing a registration system for inbound tour operators; and

 Providing for codes of conduct for inbound tour operators and

tour guides including the setting of minimum standards for
o Carryingonthebusinessofaninboundtouroperator;or o Tourguides;and

 Prohibiting unconscionable conduct by inbound tour operators and

tour guides; and

 Promoting sound business practices by inbound tour operators and

tour guides.”

Q14. What three (3) things does the Queensland Tourism Services Act 2003 seek to eliminate?

“The Act seeks to eliminate unfair practices fromthe tourismindustry such as:

 Controlled shopping (e.g. Restricting the choice of shopping venues, taking

control of tourists passports and wallets, guarding hotel and shop doorways
and making defamatory remarks about retailers who do not pay a fee or
commission for bringing tourists to their shop), misrepresentations;

 Overcharging for goods and services; and

 Unconscionable conduct (e.g. Operators who pressure traders into paying

SITXGLC002 11 Assessment 1 Part2

 excessive commissions by threatening to influence tour groups to by pass
visits to traders who do not pay a commission.”

Q15. List four (4) rights tenants have under the Residential Tenancy Act 2010.

Real estate agent or landlord must disclose to a prospective tenant prior to entering into a tenancy,
any proposal to sell the premises, if a contract for sale has been prepared, and that a mortgagee is
taking action for possession, if the mortgagee has commenced court proceedings.
-Landlord or their agent must not induce a tenant to enter into a tenancy agreement by knowingly
making any false, misleading or deceptive statement or by knowingly concealing a material fact of a
kind prescribed by the regulations. The Residential Tenancies Regulation currently prescribes a
number of material facts that must not be knowingly concealed, including the existence of an
easement, that a property has been the scene of a serious violent crime within the last five years, or
that the premises are subject to significant health or safety risks that are not obvious on inspection.
-At the start of every tenancy, the landlord or agent must give the tenant a copy of a FairTrading
publication called the ‘New Tenant Checklist’. This checklist contains important information to be
aware of before signing a new tenancy agreement.

Q16. Provide four (4) examples of mandated obligations imposed on gaming venues by ‘responsible
conduct of gaming’ legislation.

-Display required signage.

-Hold required certification (competency card) and refresh as stipulated.
-Clear provision of product information;
-Provision of responsible gambling messages and warnings;
-Provision of information about self-exclusion/exclusion; and
-Provision of information about assistance and counselling services.

Knowledge Test 5

Q1. Provide three (3) examples of offences staff may commit when selling or serving alcohol.

-Supplying liquor to a minor

-Sell liquor to a disorderly patron
-Supply of liquor at a time which is outside trading hours of the licence

Q2. What are three (3) practices prohibited by WHS law?

Failing to provide safe workplace.

-Exposing workers to the risk of excessive noise.

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 -Working at heights where the risk of falling is not controlled.
-Allowing unlicensed operators to use specified equipment

Q3. List three (3) practices prohibited by equal employment opportunity (EEO) legislation

Discriminating against individuals in terms of their employment (that is, their recruitment, selection
for a job, training, opportunity for promotion) based on personal characteristics as
follows: Race, Colour, Gender, etc. workplace flexibility policies for parents or those with carer
responsibilities; equal training opportunities for men and women in the workplace; or reasonable
adjustments for people with disabilities.

Q4. Outline three (3) offences under food safety legislation

-Not having an approved food safety plan in place. •

-Failure to store, process, display and transport food
-Lack of cleanliness and adequacy of food premises
-Failure to clean and sanitise food equipment

SITXGLC002 13 Assessment 1 Part2

Q5. As a manager, why does legislation require your business to participate in mandated auditing and
inspection regimes?

To verify compliance of the business with the requirements of relevant legislation.

Requiring food businesses to implement preventive food safety programs shares the
responsibility for food safety between food businesses and government.

Q6. What are possible consequences for a business that elects not to address an identified non-
compliant situation?

-Prosecutions in court.
-Penalties
-Forced Close down the business

Q7. What are the consequences for businesses that are caught breaking the law when serving alcohol?

Formal warning.
As a liquor license, you, your staff and your patrons can be penalised under
the Liquor Act 1992 for breaches of responsible service of alcohol.
Legislation requires that penalties are calculated by the amount of penalty units relating
to each particular offence. The value of each penalty unit is $133.45 (current from 1 July 2019).

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SITXGLC002 15 Assessment 1 Part2
Q8. How often do staff have to undertake refresher training for RSA in your state or territory?

 NSW - Every five years.

 VIC – every 3 years

 ACT – Every 3 years

 NT – Every 3 years

 QLD, WA, SA, TAS – does not require a refresher

Q9. How often do staff have to undertake refresher training for RCG/RSG in your state or territory?

 NSW - Every five years.

 VIC – Every 3 years

 ACT – Every 3 years

 TAS – Every 5 years

 QLD, WA, SA, NT – Once you receive a RSG statement of attainment,

this certificate does not expire

Q10. How often do staff have to undertake refresher training for FSS in your state or territory?

SITXGLC002 16 Assessment 1 Part2

  NSW - Every five years.

 ACT – Every five years

 Currently, individuals who hold a Food Safety Supervisor qualification in one

of the below

S tates o r Territories can hold the qualification indefinitely without the need
to refresh:
o Queensland
o Victoria
o SouthAustralia
o Tasmania
o WesternAustralia
o NorthernTerritory

Q11. How frequently do liquor licenses have to be renewed?

Annually.

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Q12. How frequently do gaming licenses have to be renewed?

Annually.

Q13. In your state or territory, what government agency would you contact to apply for a liquor license?

 NSW - Liquor & Gaming NSW.

 Australian Capital Territory - ACT Government Access Canberra

 Northern Territory - Department of Business

 Queensland - Office of Liquor and Gaming Regulation

 South Australia - Consumer and Business Services Liquor and Gambling

 Tasmania - The Liquor and Gaming Branch

 Victoria - Commission for Gambling and Liquor Regulation

 Western Australia - Department of Racing, Gaming and Liquor

Q14. In your state or territory, what government agency would you contact to apply for a gaming
license?

 NSW - Liquor & Gaming NSW.

 Australian Capital Territory - ACT Government Access Canberra

 Northern Territory - Department of Business

 Queensland - Office of Liquor and Gaming Regulation

 South Australia - Consumer and Business Services Liquor and Gambling

SITXGLC002 18 Assessment 1 Part2

  Tasmania - The Liquor and Gaming Branch

 Victoria - Commission for Gambling and Liquor Regulation

 Western Australia - Department of Racing, Gaming and Liquor

Q15. What is the most common training and certification requirement for hospitality employees?

Responsible of Alcohol (RSA)

Responsible Con duct of Gambling

(RCG)

Q16. List three (3) requirements for acceptable record keeping in Australian business.

Must be kept in English.

-receipts and other evidence of all sales and purchases you made for your business
-tax invoices, wage and salary records

Q17. Define ‘statutory reporting requirements’ in relation to Australian businesses.

The reporting th at businesses are obliged by law to m ak e to nominated government

agencies by a given date on designated matters and often by using a nominated form (or

by adhering to prescribed [accounting or other] standards)

SITXGLC002 19 Assessment 1 Part2

Q18. List all legal entities required to prepare financial reports under Section 292 of the Corporations
Act.

-all disclosing entities

-public companies. companies limited by guarantee (except small companies limited by guarantee)
-all large proprietary companies that are not disclosing entities
-all registered managed investment schemes
-small proprietary companies that are foreign-controlled
-small proprietary companies that have one or more crowd-sourced funding shareholders at
any time during the year.

Q19. As a manager, what are two (2) compulsory insurances that a hotel must have at all times?

-Workers’ compensation– workers’ compensation insurance is mandatory if you have

employees.
-General liability: This will protect your business from injuries or property damage sustained by
guests while on your hotel's property.

Q20. List four (4) types of insurance a business may take out other than compulsory business insurance

-Business interruption or loss of profits- covers you if your business suffers through damage to
property by fire or other insured perils. It can help you pay your ongoing expenses and maintain
profits.
Employee fraud or dishonesty. Covers losses suffered as a result of dishonest actions by your
employees.
- Machinery/equipment breakdown. Covers the repair or replacement cost of machinery and
equipment that breaks down
- Theft. Covers you against loss or damage to your contents or stock as a
result of theft, burglary or deception.
- Computer and electronic equipment. Covers damage or losses to
computers, electronic equipment or data as the result of an accident.

SITXGLC002 20 Assessment 1 Part2

Q21. What are three (3) possible consequences of breaching a mandatory code of conduct?

-Warning – written or verbal

-Penalties= reduction in classification; re-assignment of duties; reduction in salary; deductions
from salary, by way of fine, which is not to exceed 2% of the APS employee’s annual salary
-Termination

Q22. Define ‘code of conduct’ under the WHS governing authority in your state or territory.

-A code of practice provides detailed information on how you can achieve the
standards required under the work health and safety (WHS) laws.
-These do not replace the WHS laws, but codes of practice can help make understanding what
you have to do a little easier.

Q23. Identify three (3) examples of when you are required to prepare a ‘plan’ when operating a licensed
hospitality venue.

When applying for the original licence.

-Description and overview of the venue, including the type of licence held, hours of operation,
staffing levels etc.
-Proposed measures which are to be undertaken to address issues of noise, patron behaviour and
other issues.
-Day to day venue management practices, particularly relating to complaints and incidents in the
venue.
-Staff training practices
-Waste management practices
-Strategies for responding to issues of violence, drugs, intoxicated patrons,

Q24. Provide three (3) examples of policies a licensed hospitality venue may develop.

Responsible Service of Alcohol policy.

-Noise control= Noisy characteristics of licensed premises and some business operations need
to be balanced with the existing noise environment of an area. Within the City of Sydney this is

SITXGLC002 21 Assessment 1 Part2

 achieved by requiring venues to operate under development conditions of consent that limit
noise to a prescribed level
-Licensed premises and entertainment venues=The City's standard conditions of consent for
controlling noise are applicable to most recently approved licensed premises within the City
-Drinking water for patrons= Making drinking water available to patrons is the responsibility of
every licence and is essential to minimising harm and intoxication.

Q25. List four (4) legal rights of employees.

-to be paid correct wages.

-to receive pay slips.
-provide and maintain workplaces, plant and systems of work so that you
and other workers are not exposed to hazards;
-provide information about the hazards and risks from your job;
-provide you with instruction, training (including an induction) and
supervision so you are able to work safely;
-consult and co-operate with safety and health representatives (if any) and employees about
safety and health.

Q26. What are three (3) rights that employers have of their employees?

That they obey all lawful instructions according to their job description.
-the right to demand hard work
-protection of your trade secret
-loyalty for workplace

Q27. What key pieces of information must the ‘front of premises’ sign for licensed premises contain?

-the name of your premises.

-the type of liquor license held
-either the business or activity carried out on the premises or the kind of premises
-the name of the license

SITXGLC002 22 Assessment 1 Part2

Knowledge Test 6
Q1. What are three (3) opportunities you might have for maintaining knowledge of regulatory

requirements by having discussions with experienced industry personnel?

By creating and engaging with a network of industry contacts. •

-you need to focus on corporate governance principles and operating a
business according to the law.
-you much be driven by a desire to display the highest standards of professional
and personal ethics, integrity, honesty, while having a genuine interest in treating people fairly and
reasonably.
-legislative and regulatory compliance is established as a means to safeguard
the interests of everyone that needs to deal with any form of business
operation.
Q2. List two (2) groups of people you should include in your network of industry colleagues.

SITXGLC002 23 Assessment 1 Part2

 -talking with the previous manager in the venue so you can get an insight into operational issues
and strategies you can take in your approach to building a strong rapport with the team

-consulting with your personal network of close contacts, these can be current and
former direct work colleagues.
Q3. How does participation in industry accreditation schemes assist with maintaining knowledge of

regulatory requirements?

 The scheme will monitor compliance requirements and automatically

communicate changed compliance requirements with those who are
members of the scheme.

 The scheme will also integrate these new/changed compliance obligations

into audits and SOPs for the operation/conduct of the business.

Q4. How could participating in industry seminars help you maintain currency with knowledge about

regulatory requirements?

-these events often have keynote/guest speakers from government agencies to talk about
legislation and mandated obligations.
-they provide an opportunity to meet new people to include in your network of contacts-with
all the benefits that brings with it.

Q5. Indicate two (2) ways belonging to a professional industry association might assist you to stay

current with industry regulatory requirements

-These associations are always advised by the regulators when changes to compliance
requirements are being considered, when they are imminent and when they have been
introduced.
-They also have legal expertise to interpret legislation and advise members of

SITXGLC002 24 Assessment 1 Part2

 practical ways to enable/ensure compliance with that is required

SITXGLC002 25 Assessment 1 Part2

Q6. How can participating in training courses help you stay current with industry compliance
requirements?

 Accredited courses change their curriculum regularly to keep pace with changes
in legislation so their content is up-to-date.

 Non-accredited courses run by the regulators are, obviously, ‘from the horse’s
mouth’ and will provide totally up-to-date information.

Q7. What are four (4) ways that subscribing to industry regulatory newsletters can help you maintain
knowledge of regulatory requirements?
The information is always accurate because it comes from the regulator.
-They always cover changes to existing legislation and/or introduction of new legislation as major topics
in their newsletters.

-They will advise of timelines/dates for compliance.

-They will also advise of penalties for failing to comply.

SITXGLC002 26 Assessment 1 Part2