SITXGLC001 Student Assessment Tasks

Training for Knowledge & Livelihood (TKL college)
ABN: 97 619 537 692 RTO Code: 45509 CRICOS Provider Code: 03770M
Suite 707, Level 7 159-175 Church Street, Westfield Shopping Centre, Parramatta, NSW 2150 P 02 8677 3602
Email: Info@tkl.edu.au www.tkl.edu.au
Assessment cover sheet

Student Must Fill this Section
Unit Code / Title SITXGLC001 Research and comply with regulatory requirements
Qualification Code /
Title:
Due Date :
Student Name:
Student ID: Term: Year:
“I give my permission for my assessment material to be used in the

Privacy Release Clause:
auditing, assessment validation & moderation Process”.
“I declare that:
Authenticity  The material I have submitted is my own work;
Declaration:  I have given references for all sources of information that are
not my own, including the words, ideas and images of others”.
Student Signature: Date:
Assessment Outcome
Assessor Name:
Not Yet Assessor

Attempt and Tasks Satisfactory Date
Satisfactory Signature
Initial attempt  
Re- attempt/Re-
assessment  
Assessment Task 1  
SITXGLC001 Assessment V1.1 1

Assessor Feedback to Students
Assessment Outcome: Competent Not yet Competent
Assessor Name:
Assessor Signature:

Information for Student:
 This assessment is to be completed according to the instructions given below in this document.
 Should you not answer the tasks correctly, you will be given feedback on the results and gaps in
knowledge. You will be entitled to one (1) resubmit in showing your competence with this unit.
 If you are not sure about any aspect of this assessment, please ask for clarification from your
assessor.
 Please refer to the College re-submission and re-sit policy for more information.
 If you have questions and other concerns that may affect your performance in the Assessment,
please inform the assessor immediately.
 This is an Open book assessment which you will do in your own time but complete in the time
designated by your assessor. Remember, that it must be your own work and if you use other
sources then you must reference these appropriately.
 This is Individual Assessments. Once you have completed the assessment, please upload the
softcopy of the Assessment into TKL Moodle.

Re-assessment of Result & Academic Appeal procedures:
If a student is not happy with his/ her results, that student may appeal against their grade via a written
letter, clearly stating the grounds of appeal to the Chief Executive Officer. This should be submitted after
completion of the subject and within fourteen days of commencement of the new term.
Re-assessment Process:
 An appeal in writing is made to the Academic Manager providing reasons for re-assessment
/appeal.
 Academic Manager will delegate another member to review the assessment.
 The student will be advised of the review result done by another assessor.
 If the student is still not satisfied and further challenges the decision, then a review panel is formed
comprising the lecturer/trainer in charge and the Academic Manager or if need be an external
assessor.
 The Institute will advise the student within 14 days from the submission date of the appeal. The
decision of the panel will be deemed to be final.
 If the student is still not satisfied with the result, he / she has the right to seek independent advice
or follow external mediation option with nominated mediation agency.
 Any student who fails a compulsory subject or appeals unsuccessfully will be required to re-enrol in
that subject.
The cost of reassessment will be borne by the Institute. The external assessor will base his/her judgement
based on principles of assessment. These principles require assessment to be reliable, fair, practical and
valid.
Academic Appeals:
 If you are dissatisfied with the outcome of the re-evaluation process, you have a right to appeal
through academic appeals handling protocol.
 To appeal a decision, the person is required to complete the TKL- Request for Appeal of a Decision
form with all other supporting documents, if any. This form is available via our website. The
completed Request for Appeal form is to be submitted to the Student Support Officer either in hard
copy or electronically via the following contact details:
Student Support Officer, TKL College Suite 707, Level 7 159-175 Church Street, Westfield Shopping
Centre, Parramatta, NSW 2150 , Email: info@tkl.edu.au
 The notice of appeal should be in writing addressed to the Chief Executive Officer and submitted
within seven days of notification of the outcome of the re-evaluation process.
 If the appeal is not lodged in the specified time, the result will stand and you must re-enrol in the
unit.
 In emergency circumstances, such as in cases of serious illness or injury, you must forward a
medical certificate in support of a deferred appeal. The notice of appeal must be made within three
working days of the concluding date shown on the medical certificate.
 The decision of Chief Executive Officer will be final.
 Student would then have the right to pursue the claim through an independent external body as
detailed in the students’ complaint / grievance policy.
Plagiarism:
Plagiarism means to take and use another person's ideas and or manner of expressing them and to pass them
off as your own by failing to give appropriate acknowledgement. This includes material sourced from the

internet, RTO staff, other students, and from published and unpublished work.
Plagiarism occurs when you fail to acknowledge that the ideas or work of others are being used, which
includes:
• Paraphrasing and presenting work or ideas without a reference
• Copying work either in whole or in part
• Presenting designs, codes or images as your own work
• Using phrases and passages verbatim without quotation marks or referencing the author or web page
• Reproducing lecture notes without proper acknowledgement.
Collusion:
Collusion means unauthorised collaboration on assessable work (written, oral or practical) with other people.
This occurs when a student presents group work as their own or as the work of someone else.
Collusion may be with another RTO student or with individuals or student’s external to the RTO. This applies to
work assessed by any educational and training body in Australia or overseas.
Collusion occurs when you work without the authorisation of the teaching staff to:
• Work with one or more people to prepare and produce work
• Allow others to copy your work or share your answer to an assessment task
• Allow someone else to write or edit your work (without rto approval)
• Write or edit work for another student
• Offer to complete work or seek payment for completing academic work for other students.
Both collusion and plagiarism can occur in group work. For examples of plagiarism, collusion and academic
misconduct in group work please refer to the RTO’s policy on Academic integrity, plagiarism and collusion.
Plagiarism and collusion constitute cheating. Disciplinary action will be taken against students who engage in
plagiarism and collusion as outlined in RTO’s policy.
Proven involvement in plagiarism or collusion may be recorded on students’ academic file and could lead to
disciplinary
Assessment Requirements
You are required to complete and pass every task in the assessment in order to be deemed
competent.
Assessment Schedule
Task Due Date Student Trainer Signature Comments

Signature
Task 1-3 Week 1

Introduction
Welcome to the Student Assessment Tasks for SITXGLC001 Research and comply with regulatory
requirements. These tasks have been designed to help you demonstrate the skills and knowledge
that you have learnt during your course.
Please ensure that you read the instructions provided with these tasks carefully. You should also
follow the advice provided in the Hospitality Works Student User Guide. The Student User Guide
provides important information for you relating to completing assessment successfully.
Assessment for this unit

SITXGLC001 Research and comply with regulatory requirements describes the performance
outcomes, skills and knowledge required to comply with laws and licensing requirements for
specific business operations. It requires the ability to access and interpret regulatory information,
determine scope of compliance, and develop, implement and continuously review and update
policies and practices for business compliance.
For you to be assessed as competent, you must successfully complete three assessment tasks:
 Assessment Task 1: Knowledge questions – You must answer all questions correctly.
 Assessment Task 2: Legal compliance project – You are required to advise a case study
organisation on their legal compliance obligations. To ensure staff compliance with your
findings, you are then required to develop six policies and procedures and send these to all
staff.
 Assessment Task 3: Maintaining compliance – You are required to speak to a council legal
representative to get information about the restaurant’s registration, then fill out, and submit,
the required documentation. You are then required to ensure that all suppliers are compliant
with their legal obligations. You will then review one of your policies and procedures from the
previous Assessment Task to include new information.
Preparing for assessment

Please read through all of the assessment tasks and related documents carefully before you get
started. Ensure that you have everything that you need and seek clarification from your trainer,
assessor or workplace supervisor if you have any questions.
Supporting resources: Supporting resources include templates, journals, workbooks and

portfolios which can be used to support you in providing evidence of your competence. Your
assessor will provide you with these documents before you begin your assessment tasks. For
this unit, the supporting resources comprise:
 Legal Compliance Report Template (Assessment Task 2)

 Policy and Procedures Template (Assessment Task 2)
Once you have read through the assessment tasks and are satisfied that you are clear on the
requirements and submission dates, complete and sign a Student Assessment Agreement. Your
assessor will countersign the agreement and keep it on file. You will find a Student Assessment
Agreement in Appendix B of your Hospitality Works Student User Guide or your RTO will provide
you with one.
Remember to check your Hospitality Works Student User Guide for information about:
 submitting assessments  re-assessment guidelines
 assessment appeals  responding to written questions.

Assessment Task 1: Knowledge questions
Information for students

Knowledge questions are designed to help you demonstrate the knowledge which you have
acquired during the learning phase of this unit. Ensure that you:
 review the advice to students regarding answering knowledge questions in the Hospitality
Works Student User Guide
 comply with the due date for assessment which your assessor will provide
 adhere with your RTO’s submission guidelines
 answer all questions completely and correctly
 submit work which is original and, where necessary, properly referenced
 submit a completed cover sheet with your work
 avoid sharing your answers with other students.
Assessment information
Information about how you should complete this assessment can be found in Appendix A of the
Hospitality Works Student User Guide. Refer to the appendix for information on:
 where this task should be completed
 the maximum time allowed for completing this assessment task
 whether or not this task is open-book.
Note: You must complete and submit an assessment cover sheet with your work. A template is
provided in Appendix C of the Student User Guide. However, if your RTO has provided you with an
assessment cover sheet, please ensure that you use that.

Questions
1. Describe the legal responsibilities and the legal liabilities of directors of small businesses in
Australia.
2. Describe the legal responsibilities and the legal liabilities of managers in Australian
businesses.
3. Reference sources of regulatory compliance information and advice, relevant for the area
where your RTO campus is, for each of the following:
Information source Reference (can be a website)
a. Local government
b. State or territory
government
c. Commonwealth
government
departments
d. Commonwealth
regulatory agencies
e. Industry
associations or
organisations (at
least two)
f. Plain English
documents
explaining

operational
requirements of
legislation
g. Discussions with
experienced
industry personnel
h. Industry
accreditation
operators
i. Industry codes of
conduct (at least
two)
j. Industry codes of
ethics developers
(at least two)
k. Industry journals (at

least two)
l. Industry seminars
m. Lawyers (at least

two)

n. Networking with
colleagues
o. Networking with
suppliers
p. Libraries
q. Media
r. Personal
observations and
experience
s. Reference books
t. Training courses
u. Unions (at least

two)

v. Industry
accreditation
schemes
w. Regulatory
newsletters
4. Describe the regulatory authority and its functions and general operating procedures
responsible for tourism, hospitality and events industries in the area where your RTO’s
campus is.
5. Outline at least two methods of updating information on relevant laws and licensing
requirements
6. Describe how a company’s policies and procedures can be used to manage regulatory
compliance
7. Describe the objectives and primary components of laws, relevant for the area where your
RTO campus is, for each of the following:
Area Objectives and primary components
a. Anti-discrimination, especially
provisions for equal employment
opportunity (EEO) and harassment

b. Australian Consumer Law (ACL)

especially provisions for refunds,
exchanges and cancellations,
terms and conditions of quotations
and consumer contracts
c. Contracts
d. Employer superannuation
contributions
e. Environmental protection
especially provisions for
environmental hazard
identification, use of minimal
impact practices and reporting of
incidents
f. Fair Work Act 2009, especially

provisions for National
Employment Standards (NES)

g. Local community protection,

especially provisions for land
management and access and
protecting the lifestyle of
neighbouring residents
h. Taxation
i. Workplace relations
j. Public liability and duty of care
k. Work health and safety

l. Workers’ compensation, especially

provisions for injury reporting and
occupational rehabilitation
m. Copyright Act 1968
n. Criminal Code Act 1995 as it

relates to child sex offences
outside Australia
o. European Economic Directive of

Foreign Travel
p. Food safety

q. Food Standards Australia New

Zealand Act 1991
r. Liquor licensing, especially as it

relates to the responsible service
of alcohol
s. Privacy Act 1988
t. Queensland Tourism Services Act

2003
u. Residential Tenancy Act

v. Responsible conduct of gaming

regulation

Assessment Task 1: Checklist

Student’s name:
Did the student provide a Completed

sufficient and clear answer successfully? Comments
which met the requirements
of the assessor marking Yes No
guide?
Question 1
Question 2
Question 3a
Question 3b
Question 3c
Question 3d
Question 3e
Question 3f
Question 3g
Question 3h
Question 3i
Question 3j
Question 3k
Question 3l
Question 3m
Question 3n
Question 3o
Question 3p

Question 3q
Question 3r
Question 3s
Question 3t
Question 3u
Question 3v
Question 3w
Question 4
Question 5
Question 6
Question 7a
Question 7b
Question 7c
Question 7d
Question 7e
Question 7f
Question 7g
Question 7h
Question 7i
Question 7j
Question 7k
Question 7l
Question 7m
Question 7n

Question 7o
Question 7p
Question 7q
Question 7r
Question 7s
Question 7t
Question 7u
Question 7v
Assessor Feedback:
Assessor name:
Assessor signature and Date:

Assessment Task 2: Legal compliance project

This task requires you to advise a case study organisation on their legal compliance obligations. To
ensure staff compliance with your findings, you are then required to develop six policies and
procedures and send these to all staff.
You will need access to:
 your learning resources and other information for reference
 your Legal Compliance Report Template
 your Policy and Procedures Template.
Ensure that you:
 review the advice to students regarding responding to written tasks in the Hospitality Works
Student User Guide
 how your assessment should be submitted.
provided in Appendix B of the Student User Guide. However, if your RTO has provided you with an

Activities
Complete the following activities.
Carefully read the following scenario.
You have been appointed as the Operations Manager of a newly opened restaurant
not far from your RTO campus. The restaurant, Blue Healer, is made up of the
restaurant itself and an administration office.
The kitchen has a chef, a kitchen assistant and four full-time kitchen staff. More
staff are hired on a casual basis to cater for functions. There is a front of house
manager and two service personnel.
The restaurant’s accounts are done, pays are calculated and records kept in a
small office that opens off the kitchen. This is where you have your workplace. You
are assisted by an Administration Assistant.
The company wants to make sure that it is complying with the relevant laws and
licensing obligations, and you have been asked to look into this. Once these have
been established, you will be responsible for developing policies and procedures
needed to ensure staff comply with the relevant legislation at all times
1. Draft a legal compliance briefing report.
You are required to write a report on Blue Healer’s legal compliance obligations.
Use the internet to access regulatory information from a broad range of local,
state/territory and commonwealth sources to collect information that is relevant to
Blue Healer’s business operations.
These sources should include:
 Current legislation and government regulatory documents
 Professional standards and codes of practice and standards issued by

regulatory authorities
 Regulatory information and business management manuals issued by industry

associations
When writing the report, take each area of Blue Healer’s operations and determine
what laws and licensing obligations apply to it.
For each relevant law, code, standard and licensing requirement in your report,
describe the following:
 Practices that are prohibited by the law
 Auditing and inspection regimes needed to ensure compliance

 The main consequences of non-compliance
 Business or occupational licensing and associated compulsory training and

certification
 Required record keeping and acceptable record keeping mechanisms
 Statutory reporting requirements
 Any business insurance(s) required
 Mandatory codes of conduct enshrined in legislation
 Required plans, policies, codes of conduct or business practices
 The rights and responsibilities of employees and employers
 Any other actions that must be taken for legal compliance
You must also identify the risks and consequences of not complying with the
obligations you have identified for each area.
Determine which obligations require specialist legal advice to ensure compliance.
While researching information for this report, identify the sources of information you
use to create this report. These can be in the form of website hyperlinks.
Use the Legal Compliance Briefing Report Template to guide your work.
When you have completed the report, submit it to the Senior Management Team for
their consideration.
2. Develop policies and procedures.
The Senior Management Team has discussed your briefing report, and it has been
decided that, to ensure ongoing staff compliance with the obligations you have
identified, policies and procedures need to be developed for a number of areas.
These are:
 Workplace health and safety
 Information management
 Customer Service
 Recruitment, induction and termination
 Diversity
 Sustainability
Each policy and relevant procedures should include, as a minimum, the following:
 Relevant laws and licensing obligations
 The roles and responsibilities of personnel directly involved with regulatory

compliance. It is not necessary that tasks are allocated to specific personnel,

but there should be differentiation between managers’ and employees’
responsibilities.
Use the internet to access, and review, other organisations’ policies and
procedures covering these topics.
Use the Policy and Procedures Template to guide your work.
3. Draft an email to all Blue Healer Staff.
The text of the email should be in grammatically correct English, written in an

appropriate (polite, business-like) style.
It should introduce and summarise the contents of the attachments and ask for their
feedback.
The email text should give some information on the format of the policies and
procedures and suggest a process by which inclusions can be proposed and
adopted.
Attach the following to the email:
 Customer Service Policy and Procedures
 Diversity Policy and Procedures
 WHS Policy and Procedures
 Information management Policy and Procedures
 Recruitment, Induction and Termination Policy and Procedures
 Food Management Policy and Procedures
4. Draft an email to the Human Resources (HR) Manager.
To ensure that the staff receive regular updates on changes to legal compliance
requirements, and the staff roles and responsibilities involved, you are required to
organise this with the Blue Healer’s HR department.
It should set out an annual plan of information updates for Blue Healer staff
members.



Student’s name:
Completed
successfully? Comments
Did the student: Yes No
Identify a broad range of sources that

supply information on laws and licensing
compliance obligations?
Determine the compliance requirements

for each area of the Blue Healer’s
business operations?
Access, and document, regulatory

information relevant to the Blue Healer’s
business operations?
Identify, and document, the risks and

consequences of not complying with the
compliance obligations?
Assess each business area’s need for

specialist legal advice on its compliance
obligations?
Use a range of opportunities to improve

their knowledge of hospitality regulatory
requirements?
Use the internet to share the regulatory

knowledge they have developed?
Review, and distribute, policies and

procedures that will ensure compliance
with the Blue Healer’s legal and
licensing requirements?
Assessor Feedback:
Assessor name:

Assessment Task 3: Maintaining compliance

This task requires you to speak to a council legal representative to get information about the
restaurant’s registration, then fill out, and submit, the required documentation. You are then
required to ensure that all contractors are compliant with their legal obligations. You will then
review one of your policies and procedures from the previous Assessment Task to reflect the new
information you have.
You will need access to:
 your learning resources and other information for reference
 a telephone out of earshot from the other students
 a printer.
Ensure that you:
 review the advice to students regarding responding to written tasks in the Hospitality Works
Student User Guide
 how your assessment should be submitted.
provided in Appendix B of the Student User Guide. However, if your RTO has provided you with an

Activities
Complete the following activities.
1. Obtain specialist legal advice.
It has been determined that the Blue Healer’s restaurant needs to have its
registration changed to the new owner’s name.
You are required to contact a council representative to clarify what needs to be
submitted for this this to be done.
Your assessor will listen to you make the telephone call.
The representative should either direct you to the form on their website or send you
a hyperlink for it.
2. Submit required documentation.
Print out the restaurant registration documents.

You can fill them out using any names you wish. The objective is to demonstrate
that you are capable of filling out the form(s).
When completed, submit the document(s) to the local council.
(For the purposes of this assessment, you will not submit it to the council, but to
your assessor.)
3. Draft an email to contractor.
As part of the Blue Healer’s legal compliance activities, you are required to ensure
that the cleaning contractor, who cleans the restaurant early every morning,
complies with the relevant regulations.
Write an email that asks for confirmation that they have run an audit of their legal
obligations, and that they are being observed correctly.
Inform them that the restaurant can only maintain its registration if they comply with
all of their legal obligations.
4. Review the Food Management Policy and Procedures.
As part of your continuous improvement activities, you are required to update this
document to include information you have received while carrying out the above

activities.
It is important that this document gives enough direction for employees to ensure
that they are complying with all relevant laws and regulations, and the restaurant
can maintain its registration.
Save this document as Revised Food Management Policy and Procedures
5. Draft an email to all staff (your assessor).

It should introduce the attachment and summarise the changes you have made to
the document.
Impress on the staff that it is only by them adhering to the procedures as set out in
this document that the restaurant can maintain its registration.
Attach your Revised Food Management Policy and Procedures to the email.


Student’s name:
Completed
successfully? Comments
Did the student: Yes No
Ask for specialist legal advice from a

council specialist?
Speak to the council’s regulatory

authorities and submit the required
documentation?
Maintain the restaurant’s

licence/registration?
Check that the company’s contractor is

complying with their legal obligations?
Determine how to ensure the

restaurant’s compliance with regulations
and implement modification as required?
Review and distribute policies and

procedures to include new information
about relevant laws and licensing
requirements?
Assessor Feedback:
Assessor name:

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Assessment cover sheet

Student ID: Term: Year:

“I give my permission for my assessment material to be used in the

Not Yet Assessor

SITXGLC001 Assessment V1.1 1

Assessor Feedback to Students

Assessment Outcome: Competent Not yet Competent

SITXGLC001 Assessment V1.1 2

SITXGLC001 Assessment V1.1 3

SITXGLC001 Assessment V1.1 4

Task Due Date Student Trainer Signature Comments

Task 1-3 Week 1

SITXGLC001 Assessment V1.1 5

Assessment for this unit

Preparing for assessment

Supporting resources: Supporting resources include templates, journals, workbooks and

 Legal Compliance Report Template (Assessment Task 2)

SITXGLC001 Assessment V1.1 6

 Policy and Procedures Template (Assessment Task 2)

 submitting assessments  re-assessment guidelines

 assessment appeals  responding to written questions.

SITXGLC001 Assessment V1.1 7

Assessment Task 1: Knowledge questions

Information for students

 adhere with your RTO’s submission guidelines

 answer all questions completely and correctly

 submit work which is original and, where necessary, properly referenced

 submit a completed cover sheet with your work

 avoid sharing your answers with other students.

 where this task should be completed

 the maximum time allowed for completing this assessment task

 whether or not this task is open-book.

SITXGLC001 Assessment V1.1 8

Information source Reference (can be a website)

SITXGLC001 Assessment V1.1 9

Information source Reference (can be a website)

k. Industry journals (at

m. Lawyers (at least

SITXGLC001 Assessment V1.1 10

Information source Reference (can be a website)

u. Unions (at least

SITXGLC001 Assessment V1.1 11

Information source Reference (can be a website)

Area Objectives and primary components

SITXGLC001 Assessment V1.1 12

Area Objectives and primary components

b. Australian Consumer Law (ACL)

f. Fair Work Act 2009, especially

SITXGLC001 Assessment V1.1 13

Area Objectives and primary components

g. Local community protection,

j. Public liability and duty of care

k. Work health and safety

SITXGLC001 Assessment V1.1 14

Area Objectives and primary components

l. Workers’ compensation, especially

m. Copyright Act 1968

n. Criminal Code Act 1995 as it

o. European Economic Directive of

SITXGLC001 Assessment V1.1 15

Area Objectives and primary components

q. Food Standards Australia New

r. Liquor licensing, especially as it