Assessment Template_SITXGLC001

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 3 of 51 ABOUT THIS BOOKLET This assessment booklet and tools has been designed for students undertaking face to face mode of study to provide information before students take assessments and contains assessment tools to assess the skills and knowledge required from students to be deemed competent in this unit. This booklet might not be suitable for students taking other modes of study e.g., online or work based. Please read all the information given to you when you receive this assessment booklet. If you do not understand any part of this booklet, please inform your assessor/trainer. The assessment booklet contains two (2) parts: PART 1: Assessment Information: This part contains information on assessments for this unit of competency and how assessment will be conducted throughout unit to achieve the competency. It includes: • Application of the unit of competency • Purpose of assessment • Elements, performance evidence and knowledge evidence requirements of the unit • Conditions, context, required resources and location of the assessment. • Assessment tasks. • Outline of evidence to be collected. • Administration, recording and reporting the requirements including special adjustments, appeals, reasonable adjustments and assessors’ intervention. PART 2: Assessment Tasks: This part contains the information to successfully undertake the assessment task. In each assessment task, students will find the following information: • Task instructions. • Role play / Project /Practical Demonstration/Scenario information. • Information on resources required, where applicable. • Appendix 1 (Resources required for the unit) Application of the unit of competency This unit 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. The unit applies to regulatory requirements for day-to-day business operations in all tourism, travel, hospitality and event sectors and to special requirements for one-off events.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 6 of 51 ➢ Criminal Code Act 1995 as it relates to child sex offences outside Australia ➢ European Economic Directive of Foreign Travel ➢ food safety ➢ Food Standards Australia New Zealand Act 1991 ➢ liquor licensing, especially as it relates to the responsible service of alcohol ➢ Privacy Act 1988 ➢ Queensland Tourism Services Act 2003 ➢ Residential Tenancy Act ➢ responsible conduct of gaming regulation • for each relevant law, code, standard and licensing requirement, the depth of knowledge must cover: ➢ key practices that are prohibited by the law ➢ auditing and inspection regimes ➢ main consequences of non-compliance ➢ need to apply for and maintain business or occupational licensing and associated mandatory training and certification requirements ➢ requirements for record keeping and acceptable record keeping mechanisms ➢ statutory reporting requirements for businesses ➢ key business insurances required ➢ adherence to mandatory codes of conduct enshrined in legislation ➢ requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices ➢ rights and responsibilities of employees and employers ➢ other specific action that must be taken for legal compliance • opportunities to maintain knowledge of regulatory requirements: ➢ discussions with experienced industry personnel ➢ networking with colleagues and/or suppliers ➢ participating in industry accreditation schemes ➢ participating in industry seminars ➢ membership of professional industry associations ➢ participating in training courses ➢ subscribing to regulatory newsletters. Context and conditions for assessments: To comply with the assessment condition of this unit: • You must demonstrate adequate skills and knowledge evidence by providing a satisfactory outcome for each assessment task. • You will have access to suitable facilities, equipment and resources, including computers, printers and current plain English regulatory documents distributed by government regulators to undertake the assessment tasks for this unit of competency. • Altec College will conduct practical assessment for this unit in its simulated hospitality environment Located at Level 8 , 6 20 B o urke Street Melbourne VIC 3000 / 73-81 Murray Street Hobart TAS 7000, where student will research and comply with regulatory requirements. • Please refer Appendix1 at the end of this assessment tool for detailed list of assessment resources. • Knowledge assessment for this unit will be conducted at Level 8, 620 Bourke Street Melbourne VIC 3000 / 73-81 Murray Street Hobart TAS 7000 .

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 9 of 51 seeking an extension to due date (e.g. extensions due to illness will require a medical certificate). To arrange an extension, you must speak to your assessor prior to the due date. Extensions must be confirmed by the trainer in writing. • You are permitted to use dictionaries and to seek support (as required) unless it puts in jeopardy the integrity of the assessment, your assessor will let you know if this is the case. • Unless the assessment task specifically allows pair work or group activities such as brainstorming, you must submit your own original work and must not copy the work of other students. Plagiarism is unacceptable. • You can submit your assessment tasks through the hand in hard copies in the classroom. Recording an assessment result: Once the assessments have been completed, the assessor will record the assessment results on the student assessment record sheets and all results will be approved by the course coordinator. Assessors will check that you have completed the student declaration prior to filling out the assessment sheet. Retaining assessment records: Altec College will securely retain all completed student assessment items for each student for a period of 18 months from the date on which the judgement of competence for the student was made. Altec College will also retain sufficient data to be able to reissue AQF certification documentation for a period of 30 years. All assessment records submitted to the assessor for marking will be stored and retained properly. And a hard copy submitted to student administration for filing along with the evidence. The assessor will ensure that the student records are securely retained in accordance with the Altec College record control policy accessible by the Student Administration Officer. Assessment outcomes: For unit of competency: There are two outcomes for assessments: C = Competent and NYC = Not Yet Competent (requires more training and experience). You will be awarded C = Competent on completion of the unit when the assessor is satisfied that you have completed all assessments and have provided the appropriate evidence required to meet all criteria in line with the Rules of Evidence. If you fail to meet this requirement, you will receive the result NYC = Not Yet Competent and will be eligible to be re-assessed in accordance with the Altec College Re-Assessment Policy and Altec College Course Progress Policy. For assessment task: There are two assessment outcomes for tasks. S = Satisfactory and NS = Not Satisfactory. On the individual assessment cover sheet for assessment tasks, you will be marked Satisfactory, if you have completed the task successfully, submitted all evidence and satisfied the assessment criteria and Not Satisfactory, if you have not completed the task, the evidence is not sufficient or does not meet the requirements of the assessment criteria.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 12 of 51 Assessment Cover Sheet: Assessment Task 1 (AT1) Student Detail Student Name Student Id: Group No (If Applicable): Assessment Details Unit of Competency SITXGLC001- Research and Comply with Regulatory Requirements Assessment Task Knowledge Test Due Date Date of Submission Assessment Outcome Satisfactory □ Not Satisfactory □ Not completed □ Date Assessor name Assessor Signature and Date Comments/Feedback Student Plagiarism Declaration: By submitting this assessment to the college, I declare that this assessment task is original and has not been copied or taken from another source except where this work has been correctly acknowledged. I have made a photocopy or electronic copy or photograph of my assessment task, which I can produce if the original is lost. Assessor Student I declare that I have conducted a fair, valid, reliable and flexible assessment with this student, and I have provided appropriate feedback. I also declare that I have undertaken the indicated assessment integrity checks Google check for plagiarism  Yes  No Check for Copying/Collusion  Yes  No Check for Authenticity (own work)  Yes  No Cheating or use of model answers  Yes  No Signature: ______________________________________ Date: __________________________________________ I have received, discussed and accepted my result as above for this task and I am aware of my appeal rights. Signature: _________________________________ Date: ____________________________________

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 15 of 51 Q7. In what documents should you nominate roles and responsibilities of personnel for regulatory compliance? (a) In accident reports, risk assessments and WHS agendas. (b) In policies, procedures and job descriptions. (c) In RSA training records, BAS statements and year-end reports for the ATO. (d) In contracts with KPIs and any records of non-compliance lodged with the EPA. Q8. Who should you distribute policies, procedures and legal information to? (a) All relevant personnel. (b) Senior managers. (c) Team leaders. (d) There’s no need to distribute these documents as they’re usually kept where staff can readily access them. Q9. Which of the following hypothetical situations would result in an immediate need for information updates and training for staff? (a) The federal government announces a review of superannuation entitlements for retirees. (b) The state/territory government announces that the legal drinking age will increase to 21 years. (c) All of these situations require staff to be updated immediately. (d) The establishment’s HSC holds a meeting to discuss existing practices and injury statistics. Q10. When planning business operations, what two actions should you take to ensure compliance with legal requirements? (a) Communicate with professionals in any industry associations you belong to and check if you can become accredited under a couple of industry schemes. (b) You don’t need to take any compliance actions at the planning stage. Wait until your business is up and running before handling any compliance issues. (c) Communicate with regulatory authorities and submit any required documentation. (d) Communicate with your accountant to ensure financial resources are available for compliance. Q11. What are the three components of compliance risk management? (a) Risk identification, risk delay, risk control. (b) Compliance research, risk determination, procedure implementation. (c) Risk identification, risk assessment, risk control. (d) Strategic planning, risk management, compliance control.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 18 of 51 Assessment task 2: Worksheets Required documents and equipment: • Computer with internet connection to refer to various resources. • Student assessment booklet and a pen (organized by the student). • Altec College Learners’ resources for the unit SITXGLC001- Research and Comply with Regulatory Requirements. (Organised by the trainer) • Learners Notes. Instructions for Students This assessment will be conducted in Altec College classroom with access to the resources listed above. You must satisfactorily answer all Worksheet questions to be deemed Satisfactory for this assessment. Planning the assessment: • Recommended date for assessment - [ Set a date as per timetable ] • Access all resources mentioned in required resources either printed copies or access via the internet • Time required for assessment: 3 hours • You must: ➢ Answer all the questions satisfactorily to be deemed competent. ➢ Complete the assessment and submit in due timelines. ➢ Submit with a completed assessment cover sheet. • Assessor will set a time to provide feedback. Evidence specifications: At the end of the assessment, student will be required to submit the following evidence before the due date specified by the assessor: • Completed answer sheet with all questions answered. • Completed and signed cover sheet for the assessment. Evidence submission: • Documentation can be submitted electronically or paper-based. • Assessor will record the assessment outcome on the assessment cover sheet.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 21 of 51 Q5: List five risks, penalties and consequences of not complying with the Food Standards Australia New Zealand Act 1991. 1. 2. 3. 4. 5. Q6: A colleague has accused you of sexual harassment. Despite the involvement of your manager and trade union representative, the issue remains unresolved. Do you need specialist legal advice in this situation? If so, who would you contact? If not, why not? Q7: The following sentence describes your legal responsibility as a manager when it comes to EEO. Complete this sentence in five different ways. Under the Australian Human Rights Commission Act 1986, it’s illegal to discriminate against people because of their: 1. 2. 3.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 22 of 51 4. 5. Q8: Describe the key principles of fairness and equity which you should follow to comply with EEO and anti-discrimination law. Q9: Describe how to comply with Australian Consumer Law (ACL) and what practices are prohibited by law. How to comply Prohibited practices

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 23 of 51 Q10: What are the six fundamental principles needed for a contract to be legally binding? 1. 2. 3. 4. 5. 6. Q11: Define these consequences of not complying with a contract. Rescission Mandatory injunction Prohibitory injunction Q12: Which employees are employers legally obligated to pay super to?

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 24 of 51 Q13: What are the record keeping requirements for super? Q14: List four ways to comply with taxation laws. 1. 2. 3. 4. Q15: Identify six records you should keep to prove you are complying with taxation laws. 1. 2. 3. 4. 5. 6.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 25 of 51 Q16: What organisation conducts tax audits? Q17: State the basic components of environmental protection laws. Q18: What are three consequences of non-compliance with environmental law? 1. 2. 3. Q19: Describe two key components of the Fair Work system created under the Fair Work Act 2009. 1. 2.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 26 of 51 Q20: The National Employment Standards (NES) sets out ten minimum entitlements that apply to all employees and employers in the national workplace relations system. List five of these entitlements. 1. 2. 3. 4. 5. Q21: List six things an employer must do to comply with their duty of care and legal obligations under WHS legislation. 1. 2. 3. 4. 5. 6.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 27 of 51 Q22: List four employees’ responsibilities under WHS legislation. 1. 2. 3. 4. Q23: Workers’ compensation insurance is compulsory. What does it cover you for? Q24: What does public liability insurance cover you for? Q25: Name four practices prohibited under RSA. 1. 2. 3.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 28 of 51 4. Q26: What are two record keeping requirements of RSA? 1. 2. Q27: Although state/territory government gaming laws and regulations vary slightly, the principles are essentially the same. Describe three of them. 1. 2. 3. Q28: What two practices are prohibited when it comes to gaming? 1. 2.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 29 of 51 Q29: The Australia New Zealand Food Standards Code is a mandatory code of conduct enshrined in the Food Standards Australia New Zealand Act 1991. State four of its basic principles. 1. 2. 3. 4. Q30: Explain four ways a travel agent could support the Criminal Code Act 1995. 1. 2. 3. 4. Q31: What maximum fine could a corporate body face if found complicit with sexual offences against children? Q32: Do you need a licence to be a travel agent?

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 30 of 51 Q33: What are two objectives of the Queensland Tourism Services Act? 1. 2. Q34: Does the Residential Tenancies Act 1997 apply to hotels, motels or temporary mobile homes? Q35: List two minimum standards the European Package Travel Directive lays out to protect customers. 1. 2.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 31 of 51 SECTION 2: Develop and communicate policies and procedures for legal compliance Q36: Whose legal responsibility is it to ensure all staff have the knowledge and skills needed to carry out their duties in compliance with the law? Q37: Policies are an important part of managing regulatory compliance. Describe the components of a well-written compliance policy. Q38: You’re opening a travel agency. List five policies and procedures you’d need to develop in order to comply with the law. 1. 2. 3. 4. 5.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 32 of 51 Q39: Name two places you can keep policies and procedures so they’re accessible to all staff. 1. 2. Q40: Identify two documents in which you should nominate the roles and responsibilities of personnel for regulatory compliance. 1. 2. Q41: Who should you distribute policies, procedures and legal information to? Q42: Describe six ways you could distribute, communicate and share policies, procedures, legal information and updates in an organised way so staff know their roles and responsibilities regarding compliance. 1. 2. 3. 4. 5. 6.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 33 of 51 SECTION 3: Ensure compliance with legal requirements Q43: You’re planning to open a new restaurant. List six regulatory authorities you might communicate with first. 1. 2. 3. 4. 5. 6. Q44: A staff member is about to have a meeting with a representative of the WHS authority to determine the scope of compliance requirements for the new restaurant. Provide them with seven communication tips. 1. 2. 3. 4. 5. 6. 7.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 34 of 51 Q45: List four ways to monitor and continually evaluate your business compliance system. 1. 2. 3. 4. Q46: What are the three components of risk management? 1. 2. 3. Q47: What is a risk assessment used to measure?

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 35 of 51 Q48: Read the following two scenarios. Describe any potential breaches of legislation you identify. 1. 2. Q49: Choose one of the breaches from Q48. Describe step-by- step how you’d implement modifications to your business compliance plan with your team to ensure compliance.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 36 of 51 SECTION 4: Maintain personal and organisational knowledge of regulatory requirements Q50: Identify four methods you can use or opportunities you can take advantage of to maintain knowledge of current laws or regulatory/licensing requirements. 1. 2. 3. 4. Q51: List four ways you can identify training opportunities so you can maintain organisational knowledge of regulatory requirements? 1. 2. 3. 4. Q52: Why should you continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements?

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 37 of 51 Assessment Cover Sheet: Assessment Task 3 (AT3) Student Detail Student Name Student Id: Group No (If Applicable): Assessment Details Unit of Competency SITXGLC001- Research and Comply with Regulatory Requirements Assessment Task Project Due Date Date of Submission Overall AT3 Assessment Outcome Satisfactory □ Not Satisfactory □ Not completed □ Date Assessor name Assessor Signature and Date Comments/Feedback Student Plagiarism Declaration: By submitting this assessment to the college, I declare that this assessment task is original and has not been copied or taken from another source except where this work has been correctly acknowledged. I have made a photocopy or electronic copy or photograph of my assessment task, which I can produce if the original is lost. Assessor Student I declare that I have conducted a fair, valid, reliable and flexible assessment with this student, and I have provided appropriate feedback. I also declare that I have undertaken the indicated assessment integrity checks Google check for plagiarism  Yes  No Check for Copying/Collusion  Yes  No Check for Authenticity (own work)  Yes  No Cheating or use of model answers  Yes  No Signature: _____________________________________ Date: _________________________________________ I have received, discussed and accepted my result as above for this task and I am aware of my appeal rights. Signature: _________________________________ Date: _____________________________________

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 38 of 51 Assessment task 3: Project Required documents and equipment: • Altec College Classroom with access to all the equipment and facilities defined in Appendix 1 at the back of this tool (Assessor must ensure all the equipment are available and in working order) Instructions for Students: There are four tasks that student needs to complete and answer all the questions satisfactorily after each task. This assessment requires students to create a business compliance system for one area of business operations through researching information required, establishing the compliance system and monitoring it. Planning the assessment • Recommended date for assessment: [ Trainer to provide ] • Access all resources mentioned in required resources either printed copies or access via the internet • Time required for assessment: 3 hours. • You must: ➢ Produce all evidence as required. ➢ Complete the assessment and submit in due timelines. ➢ Submit with a completed assessment cover sheet. • Assessor will set a time to provide feedback. Evidence specifications: At the end of the assessment, you will be required to submit the following evidence before the due date specified by the assessor: • All questions answered. • Completed and signed cover sheet for assessment Evidence submission: • Documentation can be submitted electronically or paper-based. • Assessor will record the assessment outcome on the assessment cover sheet.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 39 of 51 AT3- Project Task 1: Research business compliance requirements • Answer all the questions Q1: You’re the manager of a new travel, tourism, hospitality or events business. Describe the nature of your business and its operations. You may base your response on your actual position with the workplace or invent a fictitious scenario. Examples of scenarios you could use as the basis for your project include the following. • The manager of a tour company that specialises in walking nature tours in the local area. • The manager of a licensed bar in a hotel that is open to hotel guests only. • An events manager for a hotel that provides conference facilities to groups of 20 to 100 participants. • The manager of a travel company that sells state-wide bus transportation and accommodation. • A restaurant manager who is responsible for food and beverage staff only (separate to the role of bar manager, financial manager or head chef). Your response to this question will form the basis of your entire project, so choose carefully. Do not create a scenario that is overly complicated or which requires an excessive amount of research, policy or procedure development. □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 40 of 51 Q2: You’re responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements. Which area of business operations would you like to start with? Examples you could use as the basis for your response include the following. • WHS issues related to outdoor tours. • Service of alcohol to customers in the bar. • Supplier contracts management for in-house events. • Retention and storage of customers’ travel payments. • Employment terms and conditions for food and beverage staff. □ Satisfactory □ Not Satisfactory Q3: Which of the regulatory requirements listed do you need to research for the area of operations you chose in question 2? Tick/list them.  Anti-discrimination (including EEO and harassment)  ACL (including refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts)  Contracts  Employer superannuation contributions  Environmental protection (including hazard identification, minimal impact practices and incident reporting)  Fair Work Act 2009 (including NES)  Local community protection (including land management, land access and protecting neighbours’ lifestyles)  Taxation  Workplace/industrial relations  Insurances (including public liability and workers’ compensation which also includes injury reporting and occupational rehabilitation)  WHS  Workers’ compensation especially injury reporting and occupational rehabilitation  Criminal Code Act 1995 – child sex offences outside Australia  European Package Travel Directive  Food safety and Food Standards Australia New Zealand Act 1991  Liquor licensing and RSA  Responsible conduct of gaming  Queensland Tourism Services Act 2003  Residential Tenancies Act 1997  Travel agents licensing

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 41 of 51 □ Satisfactory □ Not Satisfactory Q4: Consult with regulatory authorities and evaluate your area of business operations to determine the scope of compliance requirements. List the local, state, territory and commonwealth government laws, codes, standards or licensing requirements you need to comply with and the consequences of non-compliance for you as the manager and for the business as a whole. □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 42 of 51 Task 1.1 Communicate with regulatory authorities • Communicate with regulatory authorities to acquire any necessary forms and complete them so they’re ready for submission. • Submit the completed forms to your assessor. • Answer all the questions Q1: List all the sources you accessed and authorities you contacted to gather regulatory information specific to your area of business operations. □ Satisfactory □ Not Satisfactory Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave. □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 43 of 51 Task 2: Establish a business compliance system • Based on your research in Task 1, develop the necessary regulatory policies and procedures and document them in a format that workers can access and understand. • Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference. • Remember to include the following as they relate to your business and area of compliance: ➢ Staff roles and responsibilities for regulatory compliance including: o any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices o how to adhere to mandatory codes of conduct enshrined in legislation o rights and responsibilities of employees and employers o other specific actions that must be taken for legal compliance. ➢ Key practices prohibited by law. ➢ Auditing and inspection regimes. ➢ Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy. ➢ Requirements for record keeping and acceptable record keeping mechanisms. ➢ Statutory reporting requirements for businesses. • Submit the documented policies and procedures to your assessor. • Answer all the questions Q1: Describe how you intend to get updated information on laws and licensing requirements. □ Satisfactory □ Not Satisfactory Q2: Describe how and at what times you are going to distribute the policies, procedures, information updates and associated legal information to personnel.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 44 of 51 □ Satisfactory □ Not Satisfactory Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance? □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 45 of 51 Q4: How is a compliance policy used to manage regulatory compliance? □ Satisfactory □ Not Satisfactory Q5: What insurances will you need to purchase to minimise risk to the business? □ Satisfactory □ Not Satisfactory Task 3: Monitor the compliance system • Answer all questions. Q1: What system will you use to maintain business and occupational licences? □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 46 of 51 Q2: How will you check contractor compliance? □ Satisfactory □ Not Satisfactory Q3: Evaluate your area of business operation over a period of time. List any non-compliance you identified and describe how you implemented modifications to comply in each case. If you created a fictitious scenario for this assessment task, create an area of non-compliance on which to base your response to this question. For example, if you developed a policy for inducting new employees on correct handling of confidential files, you might describe a non-compliance such as employees sharing login details to the customer database. □ Satisfactory □ Not Satisfactory Q4: Describe any opportunities you identified to maintain knowledge of current regulatory requirements. What new information did you learn in each case? If you used a fictitious scenario for this assessment activity, describe the type of opportunities you would look for to maintain currency of knowledge.

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 47 of 51 □ Satisfactory □ Not Satisfactory Q5: How did you, or would you, communicate the updated regulatory information in question 4 to others? □ Satisfactory □ Not Satisfactory

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 48 of 51 Task 3.1 Revise your policies • Review and change two of the policies or procedures you wrote in Task 2 in light of the updated information so that they comply with the most current laws and licensing requirements. • Highlight the changes. • Submit the revised documents to your assessor. Task 4: Portfolio of evidence Q1: In tasks 1 to 3, you researched and documented policies and procedures for one area of business compliance. In this task, you must access and interpret regulatory information for an additional five areas of compliance. Record your answers in the table provided and submit to your assessor. Area of compliance Relevant industry, legislative or regulatory requirements Relevant sources of information Policies and procedures required e.g., Privacy Privacy Act National Privacy Principles www.oaic.gov.au Privacy policy Task 4.1 Document the required policies and procedures • Document the required policies and procedures you identified in the table in question 1. • Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference. • Remember to include the following where they relate to your business and area of compliance:

SIT30816 | SITXGLC001 Research and comply with regulatory requirements Student Assessment Guide | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 49 of 51 ➢ Staff roles and responsibilities for regulatory compliance including: o any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices o how to adhere to mandatory codes of conduct enshrined in legislation o rights and responsibilities of employees and employers o other specific actions that must be taken for legal compliance. ➢ Key practices prohibited by law. ➢ Auditing and inspection regimes. ➢ Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy. ➢ Requirements for record keeping and acceptable record keeping mechanisms. ➢ Statutory reporting requirements for businesses. • Submit your completed policies and procedures for each of the five areas of compliance to your assessor.

SIT50416 | SITXGLC001- Research and Comply with Regulatory Requirements Assessor Checklists | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 50 of 51 Competency Record Summary Sheet: Competency Record Summary Sheet Unit of Competency: SITXGLC001- Research and Comply with Regulatory Requirements Student’s Name: Student’s ID: Assessor’s Name: Date of completion: Assessments Student Results Satisfactory(S) Not yet satisfactory (NYS) Not Completed Assessment 1: Knowledge Test    Assessment 2: Worksheets    Assessment 3: Project    Comments: Note: student is required be marked satisfactory in all assessment tasks to be deemed competent in this unit. Unit Outcome:  Competent  Not Yet Competent Is re-assessment required:  Yes  No Assessor’s Signature: Date: Student’s Signature: Date:

SIT50416 | SITXGLC001- Research and Comply with Regulatory Requirements Assessor Checklists | Version 1.1 Pass Global Pty Ltd t/a ALTEC College |Provider Code: 22034 | CRICOS Code: 02926D Approved by: CEO | Next Review: January 2023 Page: 51 of 51 Appendix 1- Assessment resource in Altec College classroom Altec College will conduct assessment in simulated hospitality environment located at Level 8, 620 Bourke Street Melbourne VIC 3000 / 73-81 Murray Street Hobart TAS 7000 , with access to following resources: Assessment must ensure access to: • computers, software programs, printers and communication technology used to administer regulatory requirements • current legislation • current plain English regulatory documents distributed by government regulators • codes of practice and standards issued by regulatory authorities • regulatory information and business management manuals issued by industry associations or commercial publishers • current commercial policies and procedures used to manage regulatory issues • sources of specialist legal advice: ➢ compliance consultants ➢ industry associations ➢ lawyers ➢ local, state, territory or commonwealth government departments or regulatory agencies. Copyright: Instructions in this tool have been developed by NTA and Altec College for sole purpose of use by Pass Global Pty Ltd t/a ALTEC College. Any part of these assessment instructions cannot be reproduced in full or part for without approval of Altec College and NTA which holds authorship right.