Assessment Tasks and Instructions
Course and Code
Unit(s) of Competency and Code(s) SITXGLC001 Research and comply with regulatory requirements
Assessment for this Unit of Competency/Cluster Details
Assessment 1 Short Answers
Assessment 2 Project
Assessment conducted in this instance: Assessment 1 0 2 1 3 0
1. Has reasonable adjustment been applied to this assessment?
No 0 No further information required
Yes 0 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
2nd Assessor to complete
I agree the adjustments applied to this assessment are reasonable
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
RTO to complete
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.
You have to identify sources for legal information and identify the legal requirements for different licensing and business obligations.
You are required to develop organisational policies and procedures to comply with the key requirements for a business you have identified in Part A.
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: / /201
First Attempt 0
2nd Attempt 0
3nd Attempt 0
Extension 0 – Date: / /
RESULT OF ASSESSMENT Part A 0
Part B 0
Part C 0
Satisfactory 0 Not Yet Satisfactory 0
Satisfactory 0 Not Yet Satisfactory 0
Satisfactory 0 Not Yet Satisfactory 0
Feedback to Student:
Assessor(s) Signature(s): Date: / /
Student Signature Date: / /
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.
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).
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 spreadsheet and categorically list all requirements, licences, support info, timeframes (validity or due dates) and penalties where applicable.
2. List all the licensing and legal requirements and permits you have identified.
3. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code.
4. List the requirements to comply with the Food Act at state and local levels.
5. List the procedures and requirements to extend a liquor licence.
6. List the legislative requirements which apply for such a licence.
7. List all types of insurances you will require.
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.
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.
10. List the WHS requirements for the establishment.
11. Identify any areas which require provisions for risk management and outline these.
12. Identify any area which may require the need for specialist legal advice.
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 foodstandards 3.2.2. Division 4, Sub 1 and 2.
Responses need to reflect a set of operating procedures which reflect the following legal requirments:
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?
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.
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.
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.
Task 2: List the National Employment Standards and reflect these on your organisation.
6. WHS requirements for the establishment.
Task: Write an Anti-bullying and Harassment policy for your organisation.
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?
2. How can these systems assist you to implement any modifications that may be required?
3. How will you ensure you stay up to date with changes in legislation and regulatory requirements to ensure compliance?
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?
5. Which type of documentation can you use to assist you to manage compliance and continuous improvement? How should this be managed effectively?