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

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.
Directors of small businesses in Australia have legal obligations and liabilities, as outlined in the
Corporations Act 2001 (Cth).
Legal responsibilities include:
 Duty to act in the best interests of the company, in good faith.

 Duty to exercise their powers and fulfill their responsibilities with reasonable care and
diligence.
 Duty to prevent the company from trading while insolvent.
 Duty to disclose all relevant information, including conflicts of interest.
 Duty to ensure that the company maintains proper books and records.
Legal liabilities include:
 Liability for any loss or damage suffered by the company or its shareholders if a director
breaches their duties.
 Personal liability if a director allows the company to trade while insolvent.
fails to disclose relevant information.
fails to ensure proper bookkeeping and record-keeping.
Directors should understand their legal responsibilities and liabilities and comply with applicable
laws and regulations to avoid legal and financial repercussions. If they have questions or are
facing legal issues, it is advisable for them to seek legal counsel.
2. Describe the legal responsibilities and the legal liabilities of managers in Australian
businesses.
Managers can be held personally liable for violating environmental laws and regulations, such as
illegal disposal of hazardous waste or violating water quality standards.
In Australia, managers are required to fulfill certain legal responsibilities and can face legal
liabilities if they fail to do so. The legal responsibilities include ensuring occupational health and
safety, preventing discrimination and harassment, complying with employment laws, following
environmental laws, and adhering to corporate governance standards. The legal liabilities that
managers may face include personal liability for breaching occupational health and safety
regulations, anti-discrimination and harassment laws, employment laws, environmental laws, and
corporate governance standards. These responsibilities and liabilities are established through
various statutes and common law principles in Australia.

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 Local council websites, e.g. City of Sydney

website
b. State or territory government State government websites, e.g. NSW

Government website
c. Commonwealth government Australian Government websites, e.g.

departments Department of Education, Skills and Employment
website
d. Commonwealth regulatory Australian Securities and Investments

agencies Commission (ASIC) website, Australian
Competition and Consumer Commission (ACCC)
website
e. Industry associations or Australian Chamber of Commerce and Industry

organisations (at least two) (ACCI) website, Australian Industry Group (Ai
Group) website
f. Plain English documents Australian Government's Business website, Fair

explaining operational Work Ombudsman website
requirements of legislation
g. Discussions with experienced Mentors, industry experts, consultants

industry personnel

h. Industry accreditation operators Australian Skills Quality Authority (ASQA)

website, Vocational Education and Training
Accreditation Board (VETAB) website
i. Industry codes of conduct (at Australian Marketing Institute Code of

least two) Professional Conduct, Australian Human
Resources Institute Code of Ethics
j. Industry codes of ethics Engineers Australia Code of Ethics, Australian

developers (at least two) Computer Society Code of Ethics
k. Industry journals (at least two) Australian Business Law Review, Australian
Vocational Education and Training Research
Association Journal
l. Industry seminars Australian Institute of Training and Development

(AITD) seminars, National VET Conference
m. Lawyers (at least two) Legal Aid NSW, Law Society of New South
Wales
n. Networking with colleagues Industry conferences, business networking

events
o. Networking with suppliers Industry conferences, trade shows

p. Libraries Local or state libraries, university libraries
q. Media News outlets, industry publications
r. Personal observations and Hands-on experience in the industry, workplace

experience observations
s. Reference books Business and financial law textbooks, industry-

specific reference books
t. Training courses Professional development courses, compliance

training courses
u. Unions (at least two) Australian Council of Trade Unions (ACTU),

National Tertiary Education Union (NTEU)
v. Industry accreditation schemes Australian Qualifications Framework (AQF),

International Organization for Standardization
(ISO)
w. Regulatory newsletters ASQA newsletters, Fair Work Ombudsman

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.
The City of Parramatta Council is the regulatory authority responsible for overseeing the tourism,
hospitality, and events industries in Parramatta, NSW. Its key functions include:
 Creating and executing policies and programs to support the growth of these industries
within Parramatta.
 Providing regulatory guidance and assistance to businesses within the tourism, hospitality,
and events sectors in areas like licensing, planning, and compliance.
 Granting licenses and approvals for events and activities that occur in public spaces,
including council-owned land, parks, and streets.
 Ensuring compliance with various laws and regulations pertaining to environmental health,
food safety, and liquor licensing through monitoring and enforcement measures.
 Conducting regular inspections and investigations of businesses to guarantee compliance
with all relevant laws and regulations.
Aside from the City of Parramatta Council, other government agencies at both the state and federal
levels are responsible for regulating the tourism, hospitality, and events sectors in their respective
jurisdictions. These agencies may have different functions and procedures that are specific to their
area of responsibility. In general, regulatory authorities strive to promote the growth and
development of these industries while ensuring that they operate in compliance with all relevant
laws and regulations to safeguard the public and visitors' well-being.
5. Outline at least two methods of updating information on relevant laws and licensing
requirements
Method 1: Regularly monitoring regulatory updates and changes
One way to ensure that information on relevant laws and licensing requirements is up-to-date is by
regularly monitoring regulatory updates and changes. This involves subscribing to relevant
newsletters or publications, attending industry seminars or conferences, and regularly checking the
websites of regulatory authorities for any updates or changes.
Method 2: Establishing and maintaining professional networks
Another way to stay informed about relevant laws and licensing requirements is by establishing and
maintaining professional networks. This involves building relationships with colleagues, industry
associations, regulatory authorities, and other stakeholders in the industry. By regularly
communicating with these networks, RTOs can stay informed about any changes or updates and
receive advice and guidance on compliance issues.
6. Describe how a company’s policies and procedures can be used to manage regulatory
compliance

A company's policies and procedures can be used to manage regulatory compliance by providing
clear guidelines and expectations for employees to follow. These policies and procedures should
be developed based on the relevant laws and regulations that the company must comply with.
Firstly, policies and procedures can be used to educate employees on their legal responsibilities
and the consequences of non-compliance. This includes providing training and resources to help
employees understand the relevant laws and regulations, as well as how they apply to the
company's operations.
Secondly, policies and procedures can be used to establish processes and controls to ensure
compliance with regulatory requirements. For example, a policy might outline procedures for
conducting regular safety inspections or for verifying that all employees have the required licenses
and certifications.
Thirdly, policies and procedures can help to ensure consistency in how regulatory compliance is
managed across the company. By establishing clear standards and processes, employees can be
held accountable for meeting these requirements, and management can monitor compliance more
effectively.
Finally, policies and procedures should be regularly reviewed and updated to reflect changes in the
regulatory environment. This includes monitoring updates to laws and regulations, as well as
feedback from employees and stakeholders. Regular reviews can help ensure that policies and
procedures remain relevant and effective in managing 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 Objectives: To promote equal opportunity and fair

provisions for equal employment treatment in employment and to prevent
opportunity (EEO) and harassment discrimination, harassment, and victimization.
Primary components: Anti-Discrimination Act 1991
(Qld), Racial Discrimination Act 1975 (Cth), Sex
Discrimination Act 1984 (Cth), Disability
Discrimination Act 1992 (Cth), Age Discrimination
Act 2004 (Cth), Australian Human Rights
Commission Act 1986 (Cth)
b. Australian Consumer Law (ACL)

especially provisions for refunds, Objectives: To protect consumers and promote fair
exchanges and cancellations, trading in Australia. Primary components:
terms and conditions of quotations Competition and Consumer Act 2010 (Cth),
Australian Securities and Investments Commission

and consumer contracts Act 2001 (Cth), Australian Consumer Law

(Schedule 2 of the Competition and Consumer Act
2010)
c. Contracts
Objectives: To establish legally enforceable
agreements between parties and to protect the rights
and interests of parties in the contract. Primary
components: Common law contract principles,
Contract law in Queensland and Australia,
Consumer contract law
d. Employer superannuation Objectives: To provide retirement benefits to

contributions employees and ensure employers meet their legal
obligations in making superannuation contributions.
Primary components: Superannuation Guarantee
(Administration) Act 1992 (Cth), Superannuation
Industry (Supervision) Act 1993 (Cth), Fair Work
Act 2009 (Cth)
e. Environmental protection
especially provisions for
environmental hazard Objectives: To protect the environment and promote
identification, use of minimal sustainable practices. Primary components:
impact practices and reporting of Environmental Protection Act 1994 (Qld),
incidents Environment Protection and Biodiversity
Conservation Act 1999 (Cth)
f. Fair Work Act 2009, especially

provisions for National
Employment Standards (NES) Objectives: To promote fair and productive
workplaces and to provide a safety net of minimum
employment entitlements. Primary components:
Fair Work Act 2009 (Cth), National Employment
Standards (NES)

g. Local community protection,

especially provisions for land
Objectives: To protect the rights and interests of
management and access and local communities, including their land and natural
protecting the lifestyle of resources, and to ensure responsible land use.
neighbouring residents Primary components: Environmental Protection Act
1994 (Qld), Land Act 1994 (Qld), Integrated
Planning Act 1997 (Qld)
h. Taxation
Objectives: To raise revenue for government

services and to promote economic growth. Primary
components: Income Tax Assessment Act 1936
(Cth), Income Tax Assessment Act 1997 (Cth),
Goods and Services Tax (GST) Act 1999 (Cth)
i. Workplace relations
Objectives: To promote good workplace relations

and cooperation between employers and employees.
Primary components: Fair Work Act 2009 (Cth),
Industrial Relations Act 1999 (Qld)
j. Public liability and duty of care

Objectives: To protect individuals and businesses
from claims made against them for injury, damage,
or loss caused to other parties. Primary components:
Civil Liability Act 2003 (Qld), Wrongs Act 1936
(Cth), Australian Consumer Law (Schedule 2 of the
Competition and Consumer Act 2010)
k. Work health and safety
To provide a safe and healthy workplace for

employees and to prevent work-related injuries,
illnesses, and deaths. Primary components: -
Work Health and Safety Act 2011 (Qld) - Work
Health and Safety Regulations 2011 (Qld)
l. Workers’ compensation, especially

To provide compensation to employees who

provisions for injury reporting and are injured or become ill as a result of their
occupational rehabilitation work, and to promote their recovery and return
to work. Primary components: - Workers'
Compensation and Rehabilitation Act 2003
(Qld) - Workplace Health and Safety Act 2011
(Qld)
m. Copyright Act 1968
To protect the rights of creators of original

works and to promote the development and
dissemination of creative works. Primary
components: - Copyright Act 1968 (Cth)
n. Criminal Code Act 1995 as it

relates to child sex offences
outside Australia
To prohibit and punish child sex offences
committed by Australian citizens or residents
outside of Australia. Primary components: -
Criminal Code Act 1995 (Cth)
o. European Economic Directive of

Foreign Travel
To protect the rights of consumers who travel to

Europe, particularly regarding the provision of
travel services. Primary components: -
European Economic Directive of Foreign Travel
p. Food safety
To protect public health by ensuring that food

sold in Australia is safe and suitable for human
consumption. Primary components: - Food Act
2006 (Qld) - Food Standards Australia New
Zealand Act 1991 (Cth)

q. Food Standards Australia New

Zealand Act 1991
To ensure that food sold in Australia and New
Zealand is safe and suitable for human
consumption. Primary components: - Food
Standards Australia New Zealand Act 1991
(Cth)
r. Liquor licensing, especially as it

relates to the responsible service
of alcohol To regulate the sale and supply of alcohol in
Queensland and to promote responsible
drinking and the prevention of alcohol-related
harms. Primary components: - Liquor Act
1992 (Qld) - Liquor Regulation 2002 (Qld)
s. Privacy Act 1988
To protect the privacy of individuals by

regulating the collection, use, and disclosure of
personal information by businesses and
government agencies. Primary components: -
Privacy Act 1988 (Cth)
t. Queensland Tourism Services Act

2003
To regulate the provision of tourism services in
Queensland and to ensure that consumers are
protected from unscrupulous operators.
Primary components: - Queensland Tourism
Services Act 2003 (Qld)
u. Residential Tenancy Act
To regulate the relationship between landlords

and tenants in residential tenancies and to
protect the rights of tenants. Primary
components: - Residential Tenancies and
Rooming Accommodation Act 2008 (Qld)

v. Responsible conduct of gaming

regulation
To regulate the operation of gambling and
gaming in Queensland and to promote
responsible gambling practices. Primary
components: - Gaming Machine Act 1991 (Qld)
- Casino Control Act 1982 (Qld)

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
Answer:
To: All Blue Healer Resort Staff
Subject: Introduction and Summary of Key Policies and Procedures
Dear All,
I am pleased to inform you that Blue Healer Resort has recently developed and
implemented several key policies and procedures aimed at improving the
operations of our resort. The policies and procedures are designed to ensure that
we continue to provide exceptional service to our guests while maintaining a safe
and healthy workplace for all employees.
The following attachments contain summaries of the key policies and procedures:

• 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
Each of these policies and procedures is crucial to the successful operation of our
resort, and we encourage all staff to familiarize themselves with them. These
documents outline the standards and expectations that we expect all employees to
follow when performing their duties
We also value your feedback on these policies and procedures. We believe that
your input is crucial to the success of these policies, and we encourage you to
review the attachments and provide us with your feedback. Your suggestions and
recommendations will be carefully considered and used to improve our policies and
procedures where necessary.
We are committed to creating a positive work environment where employees can
thrive and contribute to the success of our resort. These policies and procedures
are an important step in achieving that goal, and we thank you in advance for your
support and cooperation.
If you have any questions or concerns, please do not hesitate to reach out to your
department manager or the HR department.
Thank you for your attention to this matter.
Best regards,
Blue Healer Resort
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.

Answer:
Subject: Annual Plan for Information Updates
Dear HR Manager,
As you are aware, complying with all relevant laws and regulations is crucial for our organization
to ensure the safety and well-being of our employees, customers, and stakeholders. To achieve
this, it is essential that our staff members are aware of their roles and responsibilities in
complying with legal requirements.
To facilitate this, I propose an annual plan of information updates for our staff that will keep them
up-to-date with any changes to legal compliance requirements and their roles and responsibilities
in complying with them. The plan will ensure that all staff members receive consistent and
accurate information.
The plan will consist of regular information updates on the following topics:
Workplace Health and Safety
Privacy and Data Protection
Anti-discrimination and Equal Opportunity
Environmental Sustainability
Consumer Protection
Workplace Relations
Each update will be tailored to the specific needs of our staff members and will be delivered in an
engaging, informative, and accessible format, such as workshops, training sessions, and online
modules.
To ensure the success of the plan, I suggest that the HR department assist in organizing and
coordinating the updates. This could involve scheduling the updates, arranging suitable venues,
booking trainers, and managing any necessary resources.
I am confident that this annual plan will not only ensure compliance with legal requirements but
also improve the overall performance and satisfaction of our staff members. I appreciate your
assistance in organizing these updates and look forward to working together to achieve our goals.
Please do not hesitate to let me know if you have any questions or suggestions regarding the plan.
Compliance Officer
Blue Healer Resort


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.
Answer:
Employee: Good morning, I'm looking to get some help with changing the
registration of our restaurant. Can you connect me with someone who can assist
me with this process?
Council Representative: Yes, certainly. May I know the name of your restaurant and
what changes you want to make?
Employee: The name of our restaurant is Blue Healer's, and we want to change the
registration to the new owner's name.
Council Representative: Alright, you will need to submit some documents to effect
this change. Have you consulted a legal advisor regarding this process?
Employee: No, we haven't. Is it necessary for us to do that?
Council Representative: Yes, it is highly recommended that you seek specialist

legal advice. Changing the registration of a restaurant involves legal procedures
that require expert guidance. It's essential to ensure that the process is carried out

correctly to avoid any legal complications in the future.
Employee: Okay, thank you for the advice. Could you please give me more
information on the documents we need to submit?
Council Representative: Certainly. You will need to submit a completed registration

transfer form, a copy of the new owner's identification, and a copy of the new lease
agreement. All these documents need to be submitted to our department along with
the required fee.
Employee: Okay, thank you for the information. Do I need to download the form
from your website or can you send me a hyperlink to it?
Council Representative: I can send you the hyperlink to the form. Can you please
provide me with your email address?
Employee: Sure, it's bluehealers@restaurant.com
Council Representative: Alright, I have sent you the hyperlink to your email. Please
read the instructions on the form carefully and make sure that all the required
documents are attached before submitting it.
Employee: Thank you so much for your help. We will ensure that we submit all the
necessary documents and pay the required fee.
Council Representative: You're welcome. If you have any further queries, don't
hesitate to contact us.
Employee: Thank you, have a good day.
Council Representative: You too, goodbye.
Employee: Goodbye.

(End of conversation)
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.
Answer:
Dear Contractor,
I am reaching out to you as the Compliance Officer of Blue Healer Resort regarding
our legal compliance activities. It is important for us to ensure that all contractors
who provide services to our organization comply with the relevant regulations. In
this regard, we kindly request your assistance to ensure that our restaurant
cleaning services are in compliance with all applicable laws and regulations.
We would like to request confirmation from you that you have conducted an audit of
your legal obligations, and that you are adhering to them correctly. It is imperative
that you comply with all legal requirements that are in place to safeguard the safety
and well-being of our employees, customers, and stakeholders. These
requirements may include but are not limited to health and safety regulations,
environmental regulations, and labor laws.

Please take note that the restaurant's registration can only be maintained if all
contractors comply with their legal obligations. Thus, it is crucial that you take
necessary steps to ensure that you are in compliance with all applicable
regulations.
We request that you provide us with written confirmation that you are complying
with all relevant laws and regulations, and that you have conducted an audit of your
legal obligations. The confirmation should detail the measures you have taken to
ensure compliance, such as providing sufficient training to your staff, implementing
safe work practices, and maintaining accurate records.
Additionally, we ask that you provide us with any documentation that validates your
compliance with the relevant regulations, such as licenses, permits, and
certificates.
We value your cooperation and dedication to complying with all applicable
regulations. Should you have any inquiries or concerns regarding legal compliance,
please do not hesitate to contact us.
Thank you for your attention to this matter.
Best regards,
Compliance Officer
Blue Healer Resort
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
Answer:
Revised Food Management Policy and Procedures
Policy
Blue Healer Resort is committed to providing high-quality food and beverage
services to our customers while maintaining compliance with all relevant laws and
regulations. This policy outlines our procedures for managing food services to
ensure that we maintain the highest standards of food safety and hygiene.
Scope
This policy applies to all employees involved in the preparation, handling, and

service of food and beverages at Blue Healer Resort. This includes employees of
the restaurant, kitchen, and bar.
Roles and responsibilities
All employees involved in food services at Blue Healer Resort have the following
responsibilities:
Compliance with laws and regulations: All employees must comply with relevant
laws and regulations, including but not limited to food safety, health and safety,
environmental, and labor laws.
Personal hygiene: All employees must maintain high standards of personal
hygiene, including hand washing and wearing appropriate attire, such as hairnets,
gloves, and aprons.
Food handling and storage: All employees must handle and store food in a safe
and hygienic manner, following established procedures for preparation, storage,
and disposal.
Cleaning and sanitation: All employees must clean and sanitize all food preparation
and service areas, utensils, and equipment regularly, following established
procedures.
Training and education: All employees involved in food services must receive
regular training and education on food safety and hygiene practices and relevant
laws and regulations.
Procedures
The following procedures are established to ensure compliance with relevant laws
and regulations and to maintain high standards of food safety and hygiene:
Food preparation: All food preparation must be carried out in designated areas,
using appropriate equipment and utensils. All food must be stored at appropriate
temperatures and labeled with the date of preparation.
Food storage: All food must be stored in designated areas, at appropriate
temperatures, and in appropriate containers. Raw and cooked foods must be stored
separately to avoid cross-contamination.
Food service: All food service areas must be kept clean and tidy, and all food must
be served at appropriate temperatures. All utensils and dishes must be cleaned and
sanitized regularly.
Cleaning and sanitation: All food preparation and service areas, utensils, and
equipment must be cleaned and sanitized regularly, using appropriate cleaning
agents and following established procedures.
Employee training: All employees involved in food services must receive regular
training on food safety and hygiene practices and relevant laws and regulations.
Training may be provided through workshops, training sessions, and online

modules.
At Blue Healer Resort, we are committed to maintaining the highest standards of
food safety and hygiene. This policy outlines our procedures for managing food
services to ensure compliance with relevant laws and regulations and to maintain
our reputation for high-quality food and beverage services. All employees involved
in food services are responsible for complying with this policy, and we will provide
regular training and education to ensure that these standards are met.
4. 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.
Dear colleagues,
I am reaching out to you today to introduce the updated version of our Food Management Policy
and Procedures. The reason for the revision is to ensure that we maintain the highest possible
standards of food safety and hygiene in our restaurant. The policy applies to all employees
involved in the preparation, handling, and service of food and beverages at our establishment,
including those working in the restaurant, kitchen, and bar.
The policy has been updated with specific changes which are outlined in the attached document. It
is important that you carefully review and familiarize yourselves with these changes. Adherence to
the procedures as set out in the document is necessary for maintaining our registration and most
importantly, ensuring the safety of our customers.
All staff involved in food services are responsible for complying with this policy, and to facilitate this,
regular training and education will be provided to ensure that we all meet these standards.
Thank you for your attention to this matter, and if you have any questions or concerns, please don't
hesitate to reach out to me.
Best regards,
Compliance Officer


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:

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Not Yet Assessor

SITXGLC001 Assessment V1.1

Assessor Feedback to Students

Assessment Outcome: Competent Not yet Competent

SITXGLC001 Assessment V1.1

SITXGLC001 Assessment V1.1

SITXGLC001 Assessment V1.1

Task Due Date Student Trainer Signature Comments

Task 1-3 Week 1

SITXGLC001 Assessment V1.1

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

 Policy and Procedures Template (Assessment Task 2)

 submitting assessments  re-assessment guidelines

 assessment appeals  responding to written questions.

SITXGLC001 Assessment V1.1

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

Legal responsibilities include:

 Duty to act in the best interests of the company, in good faith.

Legal liabilities include:

SITXGLC001 Assessment V1.1

Information source Reference (can be a website)

a. Local government Local council websites, e.g. City of Sydney

b. State or territory government State government websites, e.g. NSW

c. Commonwealth government Australian Government websites, e.g.

d. Commonwealth regulatory Australian Securities and Investments

e. Industry associations or Australian Chamber of Commerce and Industry

f. Plain English documents Australian Government's Business website, Fair

g. Discussions with experienced Mentors, industry experts, consultants

SITXGLC001 Assessment V1.1

Information source Reference (can be a website)

h. Industry accreditation operators Australian Skills Quality Authority (ASQA)

i. Industry codes of conduct (at Australian Marketing Institute Code of

j. Industry codes of ethics Engineers Australia Code of Ethics, Australian

l. Industry seminars Australian Institute of Training and Development

n. Networking with colleagues Industry conferences, business networking

o. Networking with suppliers Industry conferences, trade shows

SITXGLC001 Assessment V1.1

Information source Reference (can be a website)

p. Libraries Local or state libraries, university libraries

q. Media News outlets, industry publications

r. Personal observations and Hands-on experience in the industry, workplace

s. Reference books Business and financial law textbooks, industry-

t. Training courses Professional development courses, compliance

u. Unions (at least two) Australian Council of Trade Unions (ACTU),

v. Industry accreditation schemes Australian Qualifications Framework (AQF),