Research and Comply With Regulatory Requirements

Research and Comply With Regulatory Requirements

SITXGLC001

Assessment 1 Research and Plan Compliance Requirements

Assessment 2 Monitor Business Compliance System

Assessment 3 Written Test

Student Name FORMTEXT

Student ID FORMTEXT

Group ID: FORMTEXT

Contents

TOC o "1-3" h z u ASSESSMENT COVER SHEET PAGEREF _Toc9516557 h 3Student Agreement: PAGEREF _Toc9516558 h 3Student Declaration: PAGEREF _Toc9516559 h 3Due Dates and Submission: PAGEREF _Toc9516560 h 3Assessment No. PAGEREF _Toc9516561 h 3Assessment Method PAGEREF _Toc9516562 h 3Assessment Description PAGEREF _Toc9516563 h 3Assessment Due Date PAGEREF _Toc9516564 h 3ASSESSMENT OUTCOME PAGEREF _Toc9516565 h 4Student Feedback: PAGEREF _Toc9516566 h 4ASSESSMENT 1 - RESEARCH AND PLAN COMPLIANCE REQUIREMENTS PAGEREF _Toc9516567 h 5Assessment Instructions PAGEREF _Toc9516568 h 5Task 1: Research PAGEREF _Toc9516569 h 5Task 2: Create policies PAGEREF _Toc9516570 h 8Task 3: Induction Manual and Presentation PAGEREF _Toc9516571 h 9Assessor checklist PAGEREF _Toc9516572 h 10Task 5: Questions PAGEREF _Toc9516573 h 12ASSESSMENT 2 MONITOR BUSINESS COMPLIANCE SYSTEM PAGEREF _Toc9516574 h 14ASSESSMENT 3 WRITTEN TEST PAGEREF _Toc9516575 h 17Trainer Confirmation: PAGEREF _Toc9516576 h 17

ASSESSMENT COVER SHEETThis Assessment Cover Sheet outlines the requirements for assessment submission at Stanley College. Before any assessment/s can be accepted/marked by your trainer, this document must be signed for each unit completed.

Student Name: FORMTEXT Group ID: FORMTEXT Student ID/Email Address: FORMTEXT @stanleycollege.edu.au

Trainer Name: FORMTEXT Unit of Competence: SITXGLC001 Research and comply with regulatory requirements

Student Agreement:By signing this Agreement, I confirm that I have read the Assessment Submission Guidelines, as detailed in the Student Handbook (available via www.stanleycollege.edu.au/downloads). In particular:

The work submitted is my own and does not contain another persons work represented as my own. I understand that academic dishonesty is a breach of the Stanley College Code of Conduct and could lead to cancellation. I understand that I must acknowledge in an appropriate manner all information and sources of assistance used in my assessments.

If my trainer believes that my assessment has been plagiarised, then he/she must collect all evidence and refer the matter to the Course Coordinator and Student Support Officer.

I have followed all submission, presentation and file name guidelines outlined in the submission guidelines. I am aware that if I dont follow required guidelines, this could result in my assessments being returned unmarked and/or fees being incurred.

I understand that I must not receive undue assistance or the unauthorised help of others in the preparation of my assessment work.

I will not allow other students to access or copy any of my assessment work.

I understand that if I am not satisfied with my assessment result, I have the right to appeal within 30 working days of receiving a result. (The Complaints and Appeals Process is available in the Student Handbook via www.stanleycollege.edu.au/downloads)

Student Declaration:I hereby declare that I have read the above statement and that all the materials I submit for assessments are entirely my own and meet all of Stanley Colleges assessment requirements.

Student Signature: FORMTEXT Date: FORMTEXT

-14097036068000Due Dates and Submission:Please confirm the due dates for all assessments for this unit with your trainer:

Assessment No.Assessment MethodAssessment DescriptionAssessment Due DateAssessment 1 FORMTEXT Research and Plan Compliance Requirements Due Date: FORMTEXT

Assessment 2 FORMTEXT Monitor Business Compliance System Due Date: FORMTEXT

Assessment 3 FORMTEXT Written Test Due Date: FORMTEXT

Assessments must be submitted by the due dates listed on this page, to the following locations:

Health (Aged Care) Submitted in person to trainer, handwritten. (Assessment for BSBITU201 requires electronic submission to your trainer) / Work Based Training portfolio submitted in person to your trainer (paper).

Commercial Cookery/Patisserie (Certificate III only) (cookery@stanleycollege.edu.au ) All assessments and Portfolio submitted electronically / Work Based Training portfolio submitted in person to James St front office (Paper).

Commercial Cookery/Patisserie (Certificate IV only) /Hospitality (hospitality.assessments@stanleycollege.edu.au) All assessments to be submitted electronically.

Business (management@stanleycollege.edu.au) All assessments to be submitted electronically.

Translation and Interpreting (interpreting.translation@stanleycollege.edu.au) All assessments to be submitted electronically.

Early Childhood Education (Certificate III only) - Submitted in person to trainer, handwritten / Work Based Training portfolio submitted in person to your trainer (paper).

Early Childhood Education (Diploma only) - (ECE@stanleycollege.edu.au) All assessments to be submitted electronically / Work Based Training portfolio submitted in person to your trainer (paper).

Professional Year Program All assessments are submitted in person (paper) to trainer or Program Manager/Internship portfolio submitted in person to the Program Manager (paper).

All submitted assessments file names must include the following details (if electronically submitted):

Class_Full name_Student ID_Unit of Competence_Assessment Number_Trainer_Date submitted

Example: C4CC01A_Elvis PRESLEY_12000634_BSBDIV501A_Rami_DDMMYYYY

ASSESSMENT OUTCOMEAssessment One (1): Outcome

Satisfactory FORMCHECKBOX Not Satisfactory FORMCHECKBOX Resubmission Date: FORMTEXT

Assessment Two (2): Outcome

Satisfactory FORMCHECKBOX Not Satisfactory FORMCHECKBOX Resubmission Date: FORMTEXT

Assessment Three (3): Outcome

Satisfactory FORMCHECKBOX Not Satisfactory FORMCHECKBOX Resubmission Date: FORMTEXT

Trainers Feedback: FORMTEXT

Trainers Name: FORMTEXT

Trainers Signature: FORMTEXT Date: FORMTEXT

Students please note:

Your results will be made available in your Student Portal. Your Trainer will also email you with feedback on your performance, including where gaps are identified. Please ensure you regularly login to your student portal and Stanley College email to check this information. All decisions, including Assessments Outcomes can be appealed. For more information please refer to our Complaints and Appeals Policy (available from Student Services team or via our website).

Student Feedback:Please take the time to provide us with any feedback on your experience during the delivery and assessment experience by emailing us directly at feedback@stanleycollege.edu.auAlternatively you can complete the anonymous monthly student feedback survey.

ASSESSMENT 1 - RESEARCH AND PLAN COMPLIANCE REQUIREMENTS

Assessment InstructionsYou are about to purchase a Restaurant as The Culinary Workshop or a Hospitality business of your choice. Your role is the new owner of the business. Your assessment project is to create a business compliance system for the area of your business operations through researching information required, establishing the compliance system and monitoring it. Completing assessment activitys A and B will demonstrate your ability to do this. This project should contain detailed information and demonstrate your understanding of the law, business compliance needs, and your ability to undertake this managerial responsibility.

Task 1: ResearchYou are responsible for planning and creating a business compliance system to ensure the establishments compliance with legal and licensing requirements. Following the above instructions please take the time to research and answer the below questions and where you have researched attach any documentation downloaded as evidence.

Q1:Please provide a list of the licenses required for your business.

Q2:Explain how you would consult with regulatory authorities and evaluate your area of business operations to determine the scope of compliance requirements.

Q3:Name five consequences (as per below list), of not complying with requirements; both for you as the manager and for the business as a whole. Complete the full spreadsheet provided to assess each risk.

Requirement Risk Consequence manager Business Outcome if Risk not Addressed

WHS Liquor licensing Hygiene HR/IR Waste/environmental impact Q4:Please take the time to complete the following two parts of this question in relation to communicating with regulatory authorities.

A.) Explain how you would communicate with regulatory authorities to acquire any necessary forms and how you would complete them so theyre ready for submission.

B.)Please send an email requesting the necessary information for your application to your local chosen council. Please ensure you address all the required licenses and ensure you focus on progressing your application forward in this communication.

Please screenshot your completed email and attach in a word document here. Address your email to fakecouncil@stanleycollege.edu.auScreenshot Email on Word Doc here:-(Insert as an Object here)

Q6:Assess your need for specialist legal advice. Please state two specific areas and discuss why you would need specialist advice in these areas.

Task 2: Create policiesBased on your research in Task 1, develop the necessary regulatory policies and procedures for 6 requirements in your new business. Using the template provided please then document them in a format workers can access and understand. Attach each policy in the required space provided. Please be aware each policy should discuss:

Your overall approach to that area of the business

The appropriate legislative information and references

Training you intend to provide.

Employer and employee responsibilities.

Please use the below Policy template below and read the Policy template for assistance. Please note red and blue font on the template is provided for your assistance, please read this then delete and replace with your own content.

Template Document Template support Guide

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Please now complete your 6 policies and insert in the provided space below. We have provided you with the first three options. You are required to research and provide policies also for another three areas of the business which would be applicable.

1.

WHS policy (Insert Your policy document here)

2.

Hygiene policy (Insert Your policy document here)

3.

Liquor licensing policy (Insert Your policy document here)

4.

*Please name your policy (Insert Your policy document here)

5.

*Please name your policy (Insert Your policy document here)

6.

*Please name your policy (Insert Your policy document here)

Task 3: Induction Manual and PresentationInduction Manual

You are required to use your above policies and now create an induction manual for your new team members. Within this you need to cover the following areas ensuring you cover information across all areas of compliance in your policies produced:

Staff roles and responsibilities for 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

rights and responsibilities of employees and employers

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 a training register, training plan and/or policy.

Requirements for record keeping and acceptable record keeping mechanisms

Statutory reporting requirements for businesses

Risk and penalties

Please attach your induction manual in the provided space here:

Induction Manual:-(Insert Your Manual here)

Induction Presentation

Using the above information you are please complete the following task. You need to run short induction session for your staff members (class). You need to prepare and perform your session with the following requirements:

Each student to produce/prepare 6 slide minimum covering their induction.

Presentations to last between 8-10 minutes.

Must cover all areas of the induction plan students have prepared.

Attach Power point presentation below in the provided space

Attach your personal Induction PPT here:

Power Point Presentation

(Insert as an Object here)

Assessor checklist

To be completed by the assessor following presentations:

Learners name: FORMTEXT

Observable skill/task the learner is required to demonstrate Date / Trainer Initials Satisfactory Sign off Comments

Identifies sources of information for compliance with laws and licensing for business operations. Yes

FORMCHECKBOX Reads and interprets unfamiliar and complex materials describing regulatory requirements. Yes

FORMCHECKBOX Evaluates areas of business operation and determines scope of compliance requirements. Yes

FORMCHECKBOX Accesses regulatory information relevant to specific business operation. Yes

FORMCHECKBOX Identifies risks, penalties and consequences of non-compliance. Yes

FORMCHECKBOX Develops, writes and clearly articulates comprehensive regulatory policies and procedures in a format readily accessible to all workers. Yes

FORMCHECKBOX Distributes policies, procedures and legal information to personnel at appropriate times. Yes

FORMCHECKBOX Organises information updates for personnel and ensures knowledge of roles and responsibilities for legal compliance. Yes

FORMCHECKBOX Uses organisational communication methods to share updated regulatory knowledge. Yes

FORMCHECKBOX Demonstrates the teamwork skills necessary to share updated regulatory knowledge with personnel. Yes

FORMCHECKBOX Continuously reviews and distributes plans, policies and procedures for compliance with current laws and licensing requirements. Yes

FORMCHECKBOX Shows the self-management skills required to take responsibility for regulatory compliance. Yes

FORMCHECKBOX Demonstrates the legal knowledge required to take responsibility for regulatory compliance. Yes

FORMCHECKBOX FORMTEXT FORMTEXT

Trainers signatureDate

FORMTEXT FORMTEXT

Learners signatureDate

Task 5: QuestionsPlease answer the following in relation to this process:

Q1:Describe how you intend to get updated information on laws and licensing requirements.

Q2:Describe how and at what times you are going to distribute the policies, procedures and any associated legal information to personnel.

Q3:How are you going to check that all personnel understand their roles and responsibilities for legal compliance?

Q4:How is a compliance policy used to manage regulatory compliance?

Q5:Please discuss business insurance below by answering the two parts of this question.

A. What mandatory business insurances will you need?

B. Which additional insurances will you purchase to minimise risk to the business?

ASSESSMENT 2 MONITOR BUSINESS COMPLIANCE SYSTEMPlease answer all the following questions in relation to monitoring your system:

Q1:What system will you use to maintain business and occupational licences?

Q2:How will you check contractor compliance?

Q 3:Evaluate your area of business operation over a period of time.

List any non-compliance issues (minimum 3) you have 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 or use one of the below cases.

Food safety Source Doc WHS Source Doc Accident Source Doc HR issue Source Doc WHS Source Doc

s s s s

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.

Q5:How did you, or would you, communicate the updated regulatory information in question 4 to others?

ASSESSMENT 3 WRITTEN TESTInstructions: You will be required to sit a written test based on this subject.

You are required to answer all questions correctly.

You have three attempts to do this.

It is a closed book exam (Mobile phones and Laptops/materials not accepted)

Your will be given a scheduled date and time with 90 minutes to complete the test.

Name: Completed Date:

FORMTEXT Click here to enter a date.

Trainer Confirmation:Trainers please confirm students pass rate

Trainer Name: Completed Date: Pass Rate Attained (%)

FORMTEXT

Click here to enter a date.