SITXGLC002_Assessment_B_Project_V4-1

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Feb 20, 2024

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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project ASSESSMENT B – PROJECT LEARNER INSTRUCTIONS  To complete this assessment, you will require access to the learner resource for this unit, the internet and a computer (if submitting via LMS) or a pen (if submitting hard copy).  You are required to answer all questions and complete all tasks.  Read each task and question carefully. Ensure you have provided all required information in your responses.  Should you require ‘reasonable adjustment’ to complete this assessment, discuss the options with your assessor prior to attempting the task. Reasonable adjustment means modifications or changes are made to an assessment to take into account an individual learner’s needs.  Your assessor will discuss the conditions of assessment, e.g., open or closed book, time limits for completion, etc., with you prior to attempting this task.  Your assessor may observe you completing activities in this Task and record the results of their observation in Assessment C – Observation Report.  To be deemed satisfactory in this assessment, you must complete all tasks correctly. Your assessor will determine how many attempts you are allowed for each task/question.  On completion, submit your assessment to your assessor according to your training environment’s assessment submission procedures. Make sure you follow all steps in the submission process when submitting assessments to the learning platform. Note: Successful completion of this assessment does not mean you have achieved all requirements of the unit of competency. An overall decision of competence for the unit will not be made until all assessments are completed. Talk to your assessor or refer to the unit information on your learning platform to identify additional assessments required. Assessment guide This assessment requires you to create a business compliance system for one area of business operations through researching information required, establishing the compliance system and monitoring it. You are required to complete the following assessment activities.  Complete Tasks 1 to 6.  Answer all the questions. You should base your responses on the information provided in the project. Responses could reflect skills and knowledge discussed in your learning environment, learner resources and reflect relevant legislative requirements. You may base your responses on their organisation’s policies and procedures, normal work practices and any legislative requirements, if discussed with and approved by your assessor prior to commencing this assessment. © Didasko Learning Resources www.didasko-online.com 1

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Project background information This project requires you to identify legal and develop risk management strategies for a tourism, travel, hospitality or events business. You can base this project on your current or a previous workplace or another business you are familiar with. It could be based on your training environment if they have operational areas for one or more of these types of business. Where necessary, you must obtain permission from the workplace or training organisation. You may base your response on a fictitious business based in one of the following environments.  A tour company  Travel agency  A hospitality business, such as a bar, restaurant, hotel, motel, café, catering business or canteen  A function, reception, conference or events venue Before commencing this assessment, discuss your proposed business with your assessor and obtain approval. Task 1: Research business compliance requirements – Question and answer Q1: You’re the manager of a new travel, tourism, hospitality or events business. Describe the nature of your business and its operations. Outline the areas of the business which must comply with legislative requirements. You may base your response on your workplace or invent a fictitious scenario based on the information provided in the project background information. 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 or strategy development. - Initially, the business will start with minimum number of employees that reserves the business to small or medium size. - The business will be more focused on hospitality services including residence and food. - Jobs usually starts with an entry-level job and progresses to supervisory and administrative levels. - Eventually, the events would be managed which would increase the social and interpersonal skills of the managerial staff. - Various and new management practices will be obtained in premises to get more social and financial recognition in the market. Q2: You are responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements. Identify six different legal risks or compliance requirements that may arise in the operation of your chosen business’s operation. © Didasko Learning Resources 2023 Edition 2

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project - First and foremost, the organisation rules, processes, standards, or principles of conduct need to be set. - Financial resources (including banking), fire, food and alcohol safety and media protection must be considered with optimal availability. - Safety issues must be catered at the start of the business, including premises safety, material, and staff safety. Q3: Which of the regulatory requirements listed do you need to research for the area of operations you chose in Q2? Tick all that apply.  Anti-discrimination (including EEO and harassment)  Anti-trust laws, including the prohibitions on anti-cartel, resale price maintenance and third line forcing  ACL (including refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts)  Contract formation and content  Copyright law  Duty of care and negligence  E-commerce and social media  Employer superannuation contributions  Fair Work Act 2009 (including NES)  Insurances (including public liability and professional indemnity insurance)  Privacy law  Trademark law  WHS  Workers’ compensation especially injury reporting and occupational rehabilitation  Criminal Code Act 1995 – child sex offences outside Australia  European Economic Directive of Foreign Travel  Food safety and Food Standards Australia New Zealand Act 1991  Liquor licensing and RSA  Residential Tenancy Act  Queensland Tourism Services Act 2003  Responsible conduct of gaming Q4: List one local, state, territory and commonwealth government laws, codes, standards or licensing requirements that you may breach by any of the legal risks you identified in Q2. - Work Health and Safety Regulations 2011 © Didasko Learning Resources www.didasko-online.com 3

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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Q5: List the consequences of non-compliance for you as the manager and for the business as a whole for the legal breach you identified in Q4. - Workplace Gender Equality Act 2012 - Human Rights (Sexual Conduct) Act 1994 - Work Health and Safety Regulations 2011 - Liquor Control Reform Act 1998 - Food Amendment (Regulation Reform) Act 2009 - Fringe Benefits Tax Regulations 1992 Task 2: Research regulatory requirements  Research relevant sources of regulatory authorities to acquire any necessary forms relating to the regulatory requirement you chose in Task 1, Q4.  Download and complete the forms so they’re ready for submission. If the forms can only be completed online, complete the form and take a screenshot of each completed screen.  Save the completed forms or screenshots using the name of the form; for example, ‘food safety plan lodgement form’.  Number multiple documents or screenshots in sequence.  Upload the documents or the screenshots to your learning platform as evidence of the completed research. Task 3: Question and answer  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. - Food Authority - The Australian Responsible Service of Alcohol Commission (RSAC) - Work Safe Victoria - The Fair Work Commission - Australian Human Rights Commission Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave. Establishment of goods and stuff contracts, setting up wages, transition of goods into the premises, setting up WHS rules are some major domains in which the expert advice is needed. To maintain and include lawful conducts into the contracts, lawyer will be contacted. WHS officer will be contacted to set up wages of the employees. © Didasko Learning Resources 2023 Edition 4

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Task 4: Establish a business compliance system  Based on your research in Task 1, develop the necessary risk management strategies and legal compliance actions for the six legal risks identified. The risk management strategies and legal compliance actions you select may vary. Examples could include development of:  a new or revised policy or procedure related to any area of legal compliance  an industry legislation registers for keeping track of changes to legislative requirements related to the business  a training register or plan for identifying and keeping track of employee’s mandatory licensing and training requirements, e.g. food safety training, WHS training, RSA and responsible gaming service.  an updated food safety program or plan  a system, policy or plan for WHS audit processes  a complete induction program incorporating essential information about legal compliance and expected work practices for new employees.  Remember to include the following as they relate to your business and area of compliance. a) Any factors relevant to regulatory compliance including:  any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices  how to adhere to mandatory codes of conduct enshrined in legislation  other specific actions that must be taken for legal compliance. b) Key practices and legal risks that needs to be managed c) Key actions needed to manage the legal risks and comply with the law d) Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy. e) Requirements for record keeping and acceptable record keeping mechanisms.  Save the completed risk management strategies and legal compliance actions with an appropriate name, for example: ‘acceptance of food deliveries procedures’. Upload the completed documents to your learning platform for assessment. © Didasko Learning Resources www.didasko-online.com 5

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Task 5: Question and answer  Answer all the questions. Q1: Describe how you intend to obtain regular updates relating to changes to any relevant laws and licensing requirements. Identify what sources you could access information from, either electronically or in person. - Preparation, workshops, and lectures Either online or in person, attend and engage in conference as well as legislative training sessions and seminars. - Designate an overseer of conformity. Suggest naming a specific individual to manage enforcement matters for your company. In the very least, appoint a staff member who is responsible for periodically searching for changes to applicable regulations. - Check websites periodically for revised criteria. Make it a routine to visit websites daily that publish revised business guidelines. The Medicaid and Medicare Systems (CMS), bureau of transportation and OSHA pages provide lots of services and frequently have revised compliance material. Q2: Describe how you are going to ensure that the employees of the organisation have current knowledge of roles and responsibilities for legal risk management and compliance. When the company hires any employees, it would be the time to allocate and distribute company’s policies, and train them with procedures, and specific legal information about the company’s rules and regulations. There are number of ways to distribute such policies or procedures. - Ask employees to check their workplace handbook or management manual. - Offer instruction where possible. - Inform staff beforehand. - Place in writing your rules and practises and make them accessible to all the staff. - Ensure the company is provided the energy, money, and workers to enforce the programme. Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance? - There should be consistency with the compliance system, continuous observation in working stream would help to enforce all the compliances. - Weekly updates about the information would prefer the staff to use and implement the policies and procedures more effectively. - Easily make strategies and processes available to the team. © Didasko Learning Resources 2023 Edition 6

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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Q4: What insurances will you need to purchase to minimise risk to the business? - Professional Employment Coverage This prevents employees against harm responsibility, including the litigation expense of protecting themselves from lawsuits resulting from an event, omission, or breach of duty in the context of your job. - Insurance for Industry It is built to shield you against unexpected incidents such as explosion, earthquake, burglary, and unintended harm against material damage damages. - Administrative responsibility protection Management liability coverage covers the organisation and its executives such as the business director and senior executives, against the costs and liabilities of managing the firm-the fault for corruption and incompetence. Q5: Choose three of the following legal principles that have been incorporated into local, state, territory and commonwealth government laws that all businesses must comply with. Name your selected topic and briefly describe the key objectives or primary components of each one.  Anti-discrimination, especially provisions for Equal Employment Opportunity (EEO) and harassment  Anti-trust laws (“restrictive trade practices”), including the prohibitions on anti-cartel, resale price maintenance and third line forcing  Australian Consumer Law (ACL), especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts  Contract formation and content  Copyright laws  Duty of care and negligence  E-commerce and social media  Employer superannuation contributions  Fair Work Act 2009, especially provisions for National Employment Standards (NES)  Insurance, including public liability and professional indemnity insurance  Privacy law  Trade mark law  Work health and safety  Workers’ compensation, especially provisions for injury reporting and occupational rehabilitation. a) Law 1 - Australian Consumer Law (ACL), especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts - © Didasko Learning Resources www.didasko-online.com 7

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project b) Law 2 - Work health and safety (WHS) c) Law 3 - Anti-discrimination, especially provisions for Equal Employment Opportunity (EEO) and harassment Q6: Choose three of the following laws, codes, standards and licensing requirements that impact the industry your workplace or business created for this project: tourism, hospitality or event industry. Name your selected law and briefly describe the key objectives or primary components of each one.  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  Queensland Tourism Services Act 2003  Residential Tenancy Act  Responsible conduct of gaming regulation. a) Law 1 - European Economic Directive of Foreign Travel b) Law 2 - Food Standards Australia New Zealand Act 1991 c) Law 3 - Responsible conduct of gaming regulation. Q7: For each of the six risk management strategies and legal compliance actions that you developed in Task 4, explain how you would integrate them into operational planning activities. - Implement a risk management Framework based on the risk policy - Establish the context - Identify risks - Analyse and evaluate risk - Treat and manage risks - Communicate and consult - Monitor and reveiw © Didasko Learning Resources 2023 Edition 8

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Task 6: Maintain the compliance system – Question and answer  Answer all the questions. Q1: What system will you use to maintain business and occupational licences? - Joining and meeting with the industrial associations would help the compliance to be updated. As in meeting there always be the discussions about current and upcoming policies regarding the respective business. - Eventually, a licencing agent would help to make all the legal and prevocational work for the business to be updated. Q2: How can you evaluate contractor compliance? - Plan the existing contracts. Business should chart the current main contractors and provide a simple view of the contracting rate within the framework. - Examine conformity to jobs legislation. Agency can notify each of the vendors to verify whether they comply with employment laws such as email or time dictated litigation. Q3: Evaluate compliance with the policies and procedures and list any non- compliances you identify. Describe how you implemented modifications to ensure compliance 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. - Unsatisfactory law for commission on health and welfare. May be the equipment would not be treated with more care as they need to be. Proper trainings to use equipment should be provided specially to the new employees. - A shortage of risk management in all workforce fields. Fire and damage controls should be taken pro-actively to minimize any potential risks. - Many engaged with health and safety technology services lack business knowledge, skills, and credentials. Experts related to the field like our business of hospitality, expert chefs and kitchen hands, trained waiters and managerial positioners must be hired to maintain the business reputations. 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. - Sign up for Newsletters. © Didasko Learning Resources www.didasko-online.com 9

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SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project Sign up for email lists and alerts provided by law firms, legislators, enforcement bodies, trade unions, and other organisations related to the sector. - Expert Outsource Partner with a trustworthy provider who is willing to offer experience and up-to date information in a specific enforcement field. - Weekly or Monthly workshops Organizing internal or external workshops would help in retaining knowledge of contemporary regulatory constraints and obligations. - Use Automated Solutions Technology will also centralise the details around the company’s policies, making monitoring simpler. - Industrial Associations These organisations warn their membership to major changes related to your company, and when you have concerns, they will typically act as a tool. Q5: How did you, or would you, communicate the updated regulatory information in Q4 to others? - Provision of updates to the higher management staff must be the prioritized factor for our business so that they can diversify into their respective departments. - Weekly meeting either with all staff or with intra-departmental staff would help to communicate more effectively. - Publicise the procedures or policies on the reception walls or in staff maintaining places. - Give individual copies to each of the staff members. - Have discussion about the relative new policies very often so that everyone focusses on them. - Electronically remind your workers of adjustments through e-mail, email service or a password protected portion on the corporate website. - Keep consultation sessions and where appropriate add views of the staff. © Didasko Learning Resources 2023 Edition 10

SITXGLC002 IDENTIFY AND MANAGE LEGAL RISKS AND COMPLY WITH THE LAW – Project ASSESSOR TO COMPLETE Assessor comments and feedback provided to learner Result for this assessment task  Satisfactory  Not satisfactory Assessor declaration  I declare that I have assessed all submissions and responses to questions provided by the learner in accordance with the RTO’s assessment benchmarks, procedures and instructions.  I have provided feedback to the learner and verified their understanding of the assessment outcomes, comments and suggestions for improvement. Assessor name: ________________________________________ Assessor signature: _____________________________________ Date: ___________________________ © Didasko Learning Resources www.didasko-online.com 11

SITXGLC002_Assessment_B_Project_V4-1

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