Assessment Tasks and Instructions

Student Name Mohammad Kalim

Student Number 1234
Course and Code
Unit(s) of Competency and Code(s) SITXGLC001 Research and comply with regulatory
requirements
Stream/Cluster
Trainer/Assessor

Assessment for this Unit of Competency/Cluster Details

Assessment 1 Short Answers
Assessment 2 Project
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 Date 01/07/2019

2nd Assessor to complete

I agree the adjustments applied to this assessment are reasonable
Name
Signature Date 01/07/2019
Assessment Guidelines

What will be assessed

The purpose of this assessment is to assess your ability to complete tasks outlined in elements and
performance criteria of this unit in the context of the job role, and:

 access and interpret regulatory information and determine the scope of compliance for the operations
of a specific tourism, travel, hospitality or events business in relation to at least six different areas of
compliance
 develop policies and procedures for legal compliance with each of the above areas of compliance
 integrate into compliance planning activities and documentation:
o sources of detailed information and advice on regulatory compliance
o objectives and primary components of a broad range of local, state, territory and commonwealth
government laws relevant to the specific to the business operations
o use of policies and procedures in managing regulatory compliance.
Place/Location where assessment will be conducted/Timeframes
SSH to complete

Resource Requirements
Refer to the Assessment conditions attached to the Futura Group Mapping Document located in the teacher
support tools folder or the “Assessment Conditions” for this unit in the SIT 1.0 Training Package.

Computer, Internet Access

Instructions for assessment including WHS requirements

This Project consist of 3 Parts, Part A, Part B and Part C.

Part A
You have to identify sources for legal information and identify the legal requirements for different licensing
and business obligations.

Part B

You are required to develop organisational policies and procedures to comply with the key requirements for a
business you have identified in Part A.

Part C
You are required to write suggested measures and provisions for:

 evaluation of non—compliances in an organisation

 use of systems to implement required modifications to non-compliant procedures or updates
 mechanisms to stay up-to-date with any changes in legislation
 ongoing communication and updates for all staff
  documentation to assist in managing compliance and continuous improvement and managing these
documents.

Statement of Authenticity

☑   I acknowledge that I understand the requirements to complete the assessment tasks
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: Date: 01 / 07 /2019

This assessment:
First Attempt 2nd Attempt 3nd Attempt Extension – Date:    /    /   

Part A Satisfactory Not Yet Satisfactory

RESULT OF Part B Satisfactory Not Yet Satisfactory
ASSESSMENT Part C Satisfactory Not Yet Satisfactory

Feedback to Student:

Assessor(s)
Date:    /    /     
Signature(s):
Student Signature Date: 01/07/2019
Assessment 2

PART A Research and identify legal requirements for compliance

You have been employed as the F&B Manager with Futura Group Hotels for 2 years. The Board has recently
decided to use the full potential of the Beach Café which is part of the Hotel’s operation at SeaShores. The
property has seating for 60 indoors and a terrace which has been underutilised, but can potentially provide
seating for 150 guests. To date, the operation catered for tourists and locals, serving light lunches and afternoon
teas and patisseries during the afternoon.

It has now been decided to refurbish the place and extend the existing liquor license.

Once completed, the new Futura Ocean Bar and Restaurant will operate 7 days a week, providing breakfast,
lunch and dinner, as well as catering for functions.

The new operation will be overseen by you in your new role as Manager of the establishment. The immediate
task is to research the legal requirements for establishing and operating the establishment and to obtain the
relevant licences and permits required.

The facts:
1. An extension to the existing liquor licence is sought for trading hours between 10.00 am and Midnight, 7
days per week.

2. The operation will employ approximately 15 full time and 10 casual staff during the first year plus 2
apprentice chefs.

3. All staff other than key staff need to be recruited.

4. The key staff to support the operations includes, a Front of House Manager, a Bar Manager, a Head Chef
and a Sous Chef.

5. The annual turnover is expected to exceed $3.5 million per annum.

6. You require all insurances common for such an operation.

7. There will be advertising signage on posts on the approach to either side of the property.

8. The establishment will be playing background music using CDs or iPod.

9. All other requirements will be those typical for a licensed food premises (no Gambling).
Your task:

Go to https://ablis.business.gov.au/pages/home.aspx

(Important Note: You may sign up for a free Account which will also provide you with ongoing information.
Signing up for a free ABA will also allow you to store your profile for later access or use.)

Enter a suitable beachside location/post code [or location as instructed] near you, relevant to your state. Your
operation is classified as a restaurant operation.

Enter all details relevant for this type of operation including common aspects not listed above which apply for
the industry.

1. Create a list or spreadsheet and categorically list all requirements, licences, support info, timeframes
(validity or due dates) and penalties where applicable.
The requirement is:
 Notification of Appointment of a Manager (Liquor)
 Permit to Conduct a Trade Promotion Lottery
 Recognised Competency Card (Liquor)
 Registration as a Co-operative
 Tourism Business Toolkit
 Use or Occupy Crown Land
 A safety net of minimum employment conditions including the National Employment Standards (NES)
and modern awards.
 Unfair and unlawful dismissal laws.
 Agreement making obligations.
 Transfer of business rules, and.
 Workplace rights specified in the FW Act.
 WHS legislation for evacuation
 WHS legislation for hazard assessment
License which are require are
 Licence to Host Karaoke Performances
 Licence to Play Featured Recorded Music
 Licence to Produce Eggs or Egg Products
 Licensing for alcohol
Some of the Support information
Support information is present in WHS website, Fair work act, Food Act and Australian Licensing
services
Timeframes
No specific timeframes are observed for any licensing or legislation processes
Penalties
 Penalties are observed only in legal and tax obligations

2. List all the licensing and legal requirements and permits you have identified.
 Approval for Outdoor Dining in a Public Place
 Approval to Dispose of Trade Waste into a Public Sewer
 Approval to Dispose of Waste and Trade Wastewater
 Approval to Manage Licensed Premises
 Approval to Place or Display Items on or Near a Public Road
 Approval to Use the Official Title or Insignia of a Major Event
 Food Business Notification
 Licence to Host Karaoke Performances
 Licence to Produce Eggs or Egg Products
 Live Performance Licence
 Notification of Appointment of a Manager (Liquor)
 Permit to Conduct a Trade Promotion Lottery
 Recognised Competency Card (Liquor)
 Registration as a Co-operative
 Tourism Business Toolkit
 Use or Occupy Crown Land.
3. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code.

FSANZ operates under the Food Standards Australia New Zealand Act 1991. The main law of
this Act are to protect public health and safety, provide enough information about food to help
consumers make informed choices and to prevent fraud and deception and also prevent
misleading and deceptive conduct.

4. List the requirements to comply with the Food Act at state and local levels.
The requirement are to providing information to consumers to help them make food choices,
coordinating national food surveillance, enforcement and food recalls for Australia only and scientific
risk assessments.
5. List the procedures and requirements to extend a liquor licence.
The procedures that you must follow is to extend it by following the law which is:
 Get the approve from the government.
  While the approval allows hotels and eligible registered clubs to remain open for on-premises
sales and consumption, it does not permit takeaway liquor sales during the extended period.
 The approval does not override any existing trading hour restrictions that have been imposed on
a hotel or registered club under the liquor laws.
 Licensees must ensure that staff have access to and are always aware of the liquor licence and
any related authorisations or conditions.
6. List the legislative requirements which apply for such a licence.
 Legalize and control the sale, supply and drinking alcohol in a way that is reliable with the
expectations, needs and objectives of the community.
 Facilitate the balanced development, in the public interest, of the liquor industry through a
flexible and practical regulatory system with minimal formality and technicality.
7. List all types of insurances you will require.
 Commercial general liability insurance
 Commercial property insurance
 Workers’ compensation insurance
 Deterioration of Stock
8. Provide an overview of your legal tax obligations incl. Payroll Tax and Super, and the penalties which
apply for failing to comply with these.
Tax and super obligation are:
Your tax, super and other obligations will vary depending on whether your worker is an employee or
contractor. If your worker is an employee, you'll need to:
 Withhold tax (PAYG withholding) from their wages and report and pay the withheld amounts to
us.
 Report and pay fringe benefits tax (FBT) if you provide your employee with fringe benefits.
If your worker is a contractor:
 They generally look after their own tax obligations, so you don't have to reserve from
payments to them unless they don't quote their ABN to you, or you have a voluntary
agreement with them to withhold tax from their payments.
 You may still have to pay super for individual contractors if the contract is principally for
their labour.
The penalties are:
 Choice liability
 This is a penalty for not giving eligible employees a choice of super fund. You pay it if:
o You haven't given them a standard choice form within the required timeframe
o you charge them a fee for implementing their choice of fund.
 Director penalties
The director of a company that fails to meet an SGC liability in full by the due date automatically
becomes personally liable for a penalty equal to the unpaid amount.
If the SGC liability remains unsettled, we may issue a director penalty notice, though this is compulsory
only to enable us to start legal proceedings to improve the penalty. Even without giving a notice, we can
collect the penalty by other means, for example, by withholding a tax refund. So, the consequence will
be remitted if your company pays the outstanding amount at any time. It may be remitted if your
company goes into voluntary administration or liquidation.
 Administrative penalty
o If you pay less SGC than you should because you made a misleading statement, we can execute an
administrative penalty. The base penalty amount can be up to 75% of the shortfall. It can be
diverse according to your conditions.

9. List the requirements to comply with the National Employment Standards (NES) and associated with this
the EEO aspects which must be considered when recruiting your staff.
There is some law to follow according to the company (NES). So, the entitlements are:
o Weekly hours
o Requests for flexible
o Parental leave and related entitlements
o Annual leave
o Personal/carer's leave, compassionate leave and unpaid family and domestic violence leave
o Community service leave
o Long service leave
o Public holidays
o Notice of termination and redundancy pay
o Fair Work Information Statement

10. List the WHS requirements for the establishment.

In the workplace, health and safety regulations are principal to the well-being of the employees and the
employer. In the workplace there are a lot of danger will occur. So, it’s the duty to look after the employ
to be safe. Some reasons which is important are:
 o Prevent Illness and injury.
o Reduces Health and Safety Hazards.
o Avoid Serious Consequences

11. Identify any areas which require provisions for risk management and outline these.
Every workplace requires provisions for the risk management. Some of the common risk are:
 Poor or inadequate lighting,
 manual handling hazards,
 fire hazards,
 chemical hazards (e.g. cleaning products),
 stress hazards.

12. Identify any area which may require the need for specialist legal advice.

Importance of understanding legal requirements for employment. The laws of several countries require
that in employment, in purchaser transactions and in political participation people must dealt with on an
equal foundation regardless of ethnicity, sex, race, religion and nationality.

Part B Develop and articulate regulatory policies and procedures

In Part A you have researched and identified the legal requirements for the operation of a licensed restaurant.

In Part B you are required to develop related policies and procedures for the relevant aspects you have
identified in Part A for the following aspects:

1. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code.
Task: Develop the standard operating procedures for staff employed in the establishment to comply with
food standards 3.2.2. Division 4, Sub 1 and 2.

Responses need to reflect a set of operating procedures which reflect the following legal requirments:
  General Requirements sets out specific food handling controls associated to the receipt, storage,
processing, display, packaging, transportation, disposal and recall of food.
 Other requirements relate to the skills and knowledge of food handlers and their managers, the
health and hygiene of food supervisors, and the cleaning, sanitising and maintenance of the food
premises and equipment within the premises. If fulfilled with, these requirements will ensure that
food does not become unsafe or unsuitable.
 The owners of the company need to look after the food business and make sure that the manager is
in control of it and the staff have knowledge of what they are doing to handle the food safe.

2. List the requirements to comply with the Food act at state and local levels.
Task: Establish the procedures required to ensure the local government requirements for food safety are
met. (Head chef, sous-chef, 5 chefs and 2 apprentices). How will this be organised?

According to the procedure requirement, the headchef must be aware of what the sous-chef and the 5chef
is doing in the kitchen such as when prepare food for customers are:

Food safety (allergy)

A food allergy occurs when a person's immune system reacts to allergens that are harmless to other people.
Most food allergies are caused by peanuts, tree nuts, milk, eggs, sesame seeds, fish and shellfish, soy,
lupin and wheat. These must be declared on the food label, whenever they are present in food as
ingredients.

Food rotation

When obtaining the delivery, we must make sure that the food is label, well-dated.

In the storeroom, make sure every hour we must check the temperature and when pack the food, we have
to rotate the food so that it don’t go over date.

3. Liquor licence.
Task: You are recruiting 9 floor and bar staff. All serve alcohol. What is required to be compliant in your
state? Write a house policy to reflect the Licensing legislation and provisions for the service of alcohol in
your state.

All 9 floor need to have an On-premises licence to allows the sale of alcohol for consumption on
the premises.

In NSW, the house policy is:

 offers a range of drinks on premises. These include a range of non‐alcoholic beverages.

 Discourages excessive drinking. The serving of shots & doubles is at Management’s
discretion.
 Seeks to create an environment that discourages drunken, disruptive or violent behaviour.
 Does not seek to encourage rapid or excessive consumption of alcohol through pricing.
 Low alcohol beers and non‐alcoholic beverages are stocked and promoted.
 Staff have been acquainted with this House Policy and training to implement it.
 If a staff member believes that a person, who is ordering or being supplied alcohol, is under
18 years of age, they will politely request proof of age (Passport, RTA Photo Card or Photo
Drivers Licence).

4. Provide an overview of your legal tax obligations incl. Payroll Tax and Super, and the penalties which
apply for failing to comply with these.
Task: Write a procedure the details the specific dates when each tax and super obligation is due to be
reconciled and paid.

Returns are lodged, and payment of liability made, at an agreed frequency (monthly, quarterly, or annually)
to the respective revenue office in the Australian state or territory in which the wage payment is deemed
liable. All Australian states and territories have harmonised several key areas of payroll tax administration.
All authorities have since changed their payroll tax legislation to harmonise the areas of:

 timing of lodging returns

 motor vehicle allowances
 accommodation allowances
 a range of fringe benefits
 work performed outside an authority
 employee share acquisition schemes
 superannuation contributions for non-working directors
 grouping of businesses.

5. List the requirements to comply with the National Employment Standards (NES) and associated with this
the EEO aspects which must be considered when recruiting your staff.
Task 1: Write a set of procedures for the advertising, selection, interview and recruitment processes to be
employed in your organisation to reflect modern practices and meet EEO requirements.

Every recruitment activity is an opportunity to make a selection decision that is ‘Fit for Purpose’. That is, a
decision that is consistent with the mission and values of the organisation, one that is strategically aligned
and meets the organisational unit’s business requirements now and into the future. In every company, we
must do advertising so that people can apply to work in the business. After that the company will make
selecting for the qualify people to put in the available position. After the selection, we must interview them
to know the knowledge if they are competed for the work. As soon as they start work, we must train them
and make sure they understand the law and regulation and adopt the environment.

Task 2: List the National Employment Standards and reflect these on your organisation.

There is some law to follow according to the company (NES). So, the privileges are:
o Weekly hours
o Requests for flexible
o Parental leave and related entitlements
o Annual leave
o Personal/carer's leave, compassionate leave and unpaid family and domestic violence leave
o Community service leave
o Long service leave
o Public holidays
o Notice of termination and redundancy pay
o Fair Work Information Statement

6. WHS requirements for the establishment.

Task: Write an Anti-bullying and Harassment policy for your organisation.
 Anti-bullying laws cover most workplaces or those that are constitutionally covered businesses.
These laws also cover:

 outworkers
 students gaining work experience
 contractors or subcontractors
 volunteers.

Each policy needs to include:

1. Type of policy or procedure

2. The purpose
3. The procedures
4. The person(s) or hierarchy of personnel who will be responsible
5. The relevant forms or documents to be used (e.g. reporting form, accident/incident form etc.)
6. Version/Date to be reviewed
Part C Compliance and Continuous Improvement

Write a short procedure outlining how you will address the following aspects for continuous improvement,
communication and staying up to date:

1. Which systems can you use to ensure consistent evaluation of operational non-compliance?
Appearance of Organization
Workplaces in which consistency is present appear better organized than those in which things are constantly
changing. For example, if you have one consistent method for your employees to use to log their work
completion or request time off, it will appear to these workers that you are more in control of the business. This
appearance of organization can make employees think better of the company and allow them to feel that the
company is a more stable one.
Increased Levels of Comfort
Although some individuals don’t mind constant changes, most prefer consistency. When your practices and
procedures are consistent, your workplace will likely seem less chaotic and more under control. By creating an
environment that is consistent, you can help both your workers and your customers feel comfortable in the
workplace.
Higher Levels of Productivity
When things are constantly changing, employees must take time out of the completion of their job duties to
learn these new policies and procedures. By making things consistent, you can allow employees to dedicate
more of their time to the completion of their actual job duties, likely leading to an increase in productivity.
Increased Employee Understanding
Keeping up with constantly changing policies and procedures can be mentally taxing. If you create a consistent
plan for your workplace and deviate from that plan very little, you make it easier for your employees to
understand the duties associated with their jobs as well as your expectations for them .

2. How can these systems assist you to implement any modifications that may be required?

 Analyze, Plan and understand – Start at the beginning. The first step in the implementation process
should begin with a thorough review of your business requirements and processes, to identify what is
working well and which aspects of your business that may need improvement and refinement. These
business requirements will then be mapped into your project plan, which will drive the remainder of the
implementation.

 Design, Develop and Build – Using the project plan produced in Step 1, your implementation team will
next proceed to build your pilot system. This is used to validate those business processes and system
functionality detailed in the project plan.

 Train, Test and Accept – Building on the lessons learned in the pilot system and using test data migrated
from your previous system, Step 3 includes teaching your staff the best practices and procedures to
deliver the required functionality. Results from this testing and training period need to be reviewed and
a sign-off should be secured, stating that the progress made to date is acceptable and in line with the
overall goals of the implementation.

 Implement and Go-Live – Working from the knowledge obtained in Steps 2 and 3, your new accounting
system should now be complete. Your legacy data is migrated a final time to the new system and all of
 the experience and resources of the project team are on-site and ready to make the final transition to
the new system.

 Ongoing Support – With the successful launch of your new system, your technology partner should now
continue to provide on-going support. This can be delivered through a help-desk, along with the
application of any new updates. Many consulting companies can also provide free webinars and user
group sessions.

3. How will you ensure you stay up to date with changes in legislation and regulatory requirements to ensure
compliance?


Meet with divisional leaders to ensure the policies and procedures are feasible.
Look for a program that allows custom certifications for your employees. Being able to create a
custom quiz gives you the power to control the content your employees remember most.
 Determine the best format of policies for your audience.
Software programs that allow multiple formats to be uploaded, such as Microsoft Office Word
and PowerPoint, mp3 and mp4’s should be considered for optimal effectiveness.
 Make Policies and Procedures easily accessible to your employees.
Ensure the program you use allows flexibility with folders and organization. Finding a program
with permission controls will help reduce clutter for your end users.
 Set deadlines for each policy and procedure to be acknowledged.
Finding a program that sends alerts to the right people should be a main priority. Notifications
should include task-alerts, over-due notifications, and renewal notices to name a few.
 Determine the best way to measure the understanding your employees have of policies and
procedures.
Automating this step can increase efficiency. Programs that send automatic alerts, allow a
central area for discussions, and provide workflows can save time during the creation of
policies, as well as during the audit process.

4. How can you ensure your staff at the relevant levels of responsibility will be consistently up to date with
relevant information for changes as these occur?
 In-person weekly (or daily) meetings
This meeting is very short and everyone attends, even people [who] work remotely. We use it to discuss
anything that needs to be communicated between all teams. This ensures that everyone is on the same page
and has the same information.

 Email
Email communication is and will remain the bread and butter of business communications. It’s a
convenient, established way to send information to a large group of people

 Set up a company intranet/portal

 A company Intranet is a great place to store information and documents that employees frequently ask
for, such as the paid holiday calendar, time-off request forms and a schedule of events.

 Videoconferencing
In order to enable a connected and mobile workforce, Ford IT has invested considerable time into making it
easy for people to participate in meetings via a variety of mobile devices

5. Which type of documentation can you use to assist you to manage compliance and continuous
improvement? How should this be managed effectively?

 provide evidence of your proactive health and safety management;

 ensure that management is aware of organizational performance;
 assist with continuous improvement;
 demonstrate a commitment to continuous improvement in health and safety performance;
 enable a more effective performance; and
 Ensure review of individual managers’ health and safety performance.