SITHOC16 Hospitality Compliance – Research Report
ASSESSMENT BRIEF
Course SIT40516 Certificate IV in Commercial Cookery
SIT60313 Advanced Diploma of Hospitality
Subject Title SITHOC16 Hospitality Compliance
Unit(s) of Competency SITXGLC001 Research and comply with regulatory requirements
Title of Assessment Task Research Report
Due End of Module 6
Introduction/ Overview
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, develop, implement and continuously review and update policies and practices for business compliance.
Materials and Equipment
You will need the following: The college will provide the following:
• You will need to obtain information on all legal • All academic learning materials for this requirements for the operation of a commercial subject. This includes the following:
hospitality business. • Subject outlines
• Laptop/computer. • Assessment briefs
• Microsoft word and Adobe Reader • Marking Guide
• Subject resources
Assessment Instructions
Scenario
Congratulations, you have recently purchased venue X in the capital of your state (for example, Sydney if you live in NSW). Venue X has been an important venue on the live music scene in your state for years. It is well known for its indie music, live gigs, as well as serving great food, having a bottle shop, poker machines and also accommodation- important components to any hospitality business, with its multi-purpose license. You have been working as a manager in the hospitality industry for five years and have now decided that it is time for you to take the next step and purchase your own place- Venue X. You have never previously been a business owner but you are very excited at the prospect of being your own boss. Your challenge now is to register your business and follow all legal requirements to ensure compliance with legislation.
In your report you must include the following areas:
• Taxation requirements and obligations
• Types of insurance policies required
• Licenses required (e.g. liquor license)
• Regulatory policies and procedures
• Information updates and accessibility
Report Content
Part 1
1.1 Business Operation
Outline the type of business that you have chosen to open and the facilities that you will operate in your venue. You must choose at least 3 or more from the list below (you do not need to include all of them):
• Bottle Shop/ Wine shop
• Live Music Venue
• Gaming Machines
• Restaurant (Indoor/Outdoor seating)
• Bar/s
• Accommodation
• External catering events
You may choose to base your venture on a similar venue that already exists and use this company as your template, alternatively you can create your own hypothetical business
1.2 Business Structure
Choose a business structure and explain why you have chosen this particular structure for your new business.
Choose between sole trader/partnership/company, and include a short description of which business structure you have chosen, inclusive of why you have made this decision, alongside the pros and cons. In your answer you should make reference to limited/unlimited liability.
1.3 Legal Obligations and Requirements.
You are required to outline the points below regarding the registration of your business:
• A tax file number (TFN) and its purpose
• An Australian business number (ABN) and its purpose • Goods and services tax (GST), and its purpose • Pay as you go (PAYG) withholding.
Include the following in your answer:
• What it is?
• Why your business needs one,
• How you apply for each one, including step-by-step guide in order to ensure legal compliance and a website link if required?
• Include what the implications would be to your business of non-compliance with any of these regulatory bodies
1.4 Specialist Legal Advice
Should you need advice setting up your new business, identify what type of legal advice you may seek. Give three examples of different sources of legal advice that would be beneficial to your new business, explain why you have selected this body/company or organisation- include a website or link to the company.
Part 2
2.1 Different insurance policies required for business compliance
List four insurance policies that would be essential in order to operate your business and explain in detail what each entails.
In your answer you should explain the 3 main insurances that are pre- requisites for any business to open. Explain what each insurance covers and why a business needs it.
• Superannuation
• Public Liability
• Workers Compensation
For the 4th insurance, you may choose any one of the business insurances that are in your workbook.
2.2 Statutory reporting requirements for businesses
Outline what records/reports must be completed and why in order to comply with legislation and statutory requirements for either workers compensation or public liability incidents. Include in your answer provisions for accident/injury reporting.
Part 3
3.1 Licences required (e.g. liquor licence)
Discuss the following in detail:
• Identify what type of license/s are required for your venue based on the facilities that you have chosen to operate at your venue- this may include accommodation, bottle shop, gambling machines, food and live music.
(See 1.1 of Task 1)
• Explain the purpose of each license type that you would require.
You would need to look at whether you require on or off premise license/ small bar license/entertainment etc.
3.2 Obtaining the relevant license
• How to obtain the relevant licence/s required in your state in order to operate your venue (this should be illustrated in a step by step format or a flow chart)
• Outline the required documentation that would need to be submitted • Include the links to relevant websites and documentation that is required.
It may be beneficial to access the Liquor & Gaming NSW website of your state and download and read through how to obtain an alcohol license. There is an example of a flowchart on this website, however you may find that not all parts are relevant to your assignment. Most importantly, use this as a guide and create a flowchart, which reflects the steps that you would follow when applying.
3.3 Non Compliance
• List 5 potential violations to your license that could cease your venue to operate if they were to take place.
• Highlight the potential risks, penalties and consequences of non-compliance.
• Outline key strategies that you would implement to ensure compliance with up-to-date legislation and policies and procedures. .
• Outline a technique to continuously evaluate business operations for non-compliance and implement modifications.
• Summarise ways in which these strategies would be communicated to your staff.
• Create a template for an in house memo that will be sent to key staff notifying them of changes/updates to policies/procedures due to recent legislation changes.
3.4 Licensee Responsibilities
• Identify and explain the responsibilities of a licensee. (At least four responsibilities.) • Include three examples of the relevant signage that needs to be displayed.
Include a list of responsibilities, such as ensuring that all staff employed have a current and up to date RSA issued in the relevant state. Include at least 4 responsibilities.
Part 4
4.1 Regulatory Policies and Procedures
Identify six different regulatory policies and procedures that are required by law to be implemented by your business. For example, this may include any of the following;
• EEO
• Food handling and hygiene
• Harassment
• Local community protection
• Minimal impact practices to reduce negative environmental impacts of water, energy and site use
• Responsible conduct of gaming
• Transport, handling and storage of food
• Waste management
• Work health and safety:
• Hazard identification and risk assessment
• Occupational rehabilitation.
4.2 Development and implementation
Based on your research in Task 4.1, develop two 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.
4.3 Further Implementation
Choose two different policies and procedures identified in section 4.1 and explain the following points:
• Why it is imperative for this policy to be implemented within your workplace? (Include three reasons for each policy.)
For example, explain why it is important to ensure the provision of a safe working place as per the Work Health & Safety Act 2011/ or why it is important to comply with the minimum award wages and provisions.
• What would be the potential consequences should the business not comply with the standards set by the regulatory body. For example if the organisation were not to have an anti-harassment and bullying procedure what would be the potential ramifications.
• Explain how the regulatory policies and procedures outlined in 4.1 would be articulated and accessible to all workers. (Including any updated regulatory knowledge.) Include at least two different communication strategies and why you deem these to be effective techniques.
• What strategies would the business use to monitor and review regulatory compliance and implement modifications in accordance with current laws/ statutory and licensing requirements? (List three.)
4.4 Employer/employee responsibilities.
• Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures (include 5 responsibilities for each) you could discuss: 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.
Part 5
5.1 Sourcing relevant industry information
For the subsequent acronyms/names, find out the following:
• What does the acronym/name stand for
• Explain what the organisation does
• Provide a link to their website
• Explain why it may be necessary for your business to keep up to date with these regulatory bodies.
(a) FWC
(b) ILGA
(c) United Voice
(d) FSANZ
Part 6
6.1 Report Writing and Format.
• Correct report format/structure
• Headings/sub headings and numbering
• Grammar
• Punctuation
• Referencing
For a report format it is imperative that students use headings, sub headings, and numerically list all sections that correspond with the contents page of the report. Also include a reference list at the end.
Submission Instructions Checklist:
? Part 1
? Part 2
? Part 3
? Part 4
? Part 5
? Part 6
• The work is to be submitted via the learning portal.
• All items must be submitted.
• All items must be satisfactorily answered / addressed / completed in order for you to achieve a “Satisfactory” outcome for this assessment.
• Clear, constructive and accurate feedback will be given to you on your results and performance by your lecturer online
• The assessment items you submit will be retained by the college as evidence of your performance
Assessment Policy Think Policies and Procedures relating to assessments, and associated forms, are available via http://www.think.edu.au/studying-at-think/policies-and-procedures
Marking Guide
Course SIT40516 Certificate IV in Commercial Cookery
SIT60313 Advanced Diploma of Hospitality
Subject Title SITHOC16 Hospitality Compliance
Unit of Competency SITXGLC001 Research and comply with regulatory requirements
Title of Assessment Task Research Report
Assessment Criteria Satisfactory Non-Satisfactory
1.1. Business Operation Outline of your type of business is included; it may be based on a hypothetical organisation or a hospitality business that already exists. Identified at least 3 or more of the facilities you will operate. The response did not fulfil the requirements of the question
1.2. Business Structure Choose between sole trader/partnership/company. Included a short description of which business structure you have chosen, inclusive of why you have made this decision, alongside the pros and cons. In your answer you have make reference to limited/unlimited liability. The response did not fulfil the requirements of the question
1.3. Legal Obligations and Requirements. You have successfully addressed the legal obligation and requirements with respect to your chosen business. In addressing the terms, TFN, ABN, GST, PAYG, you have identified what the terms mean, how they are obtained and why they are essential to your business. The response did not fulfil the requirements of the question
1.4. Specialist Legal Advice You have successfully identified the various types of legal advice you may need (minimum of 3, e.g.
contractual, legal liability, insurance), A link to the website or regulatory body is included. The response did not fulfil the requirements of the question
2.1. Different insurance policies required for business compliance You have successfully identified four types of insurance covers (including the 3 main insurances that are prerequisites for any business to open – Superannuation, Public Liability and Workers Compensation) as well as explaining the relevant cover and explaining why it would be necessary for your business. The response did not fulfil the requirements of the question
2.2. Statutory reporting requirements for businesses Outlined the various records and reports and why they are necessary, which are required by legislation for workers compensation and public liability incidents. The response did not fulfil the requirements of the question
3.1. Licences required (e.g.
liquor licence) Addressed the licences you need for your business venue chosen to operate from part 1.1, to be legally compliant by identifying the relevant licences and explaining each licence. The response did not fulfil the requirements of the question
3.2. Obtaining the relevant license You have considered the process to obtain relevant licenses – this could include a flow chart or step by step guide. You have outlined the documentation needed to submit in order to obtain all relevant licences for your proposed business and included the links to the relevant websites. The response did not fulfil the requirements of the question
3.3. Non Compliance You have successfully addressed 5 potential violations to your licences and highlighted the potential risks, penalties and consequences. Consider every aspect as required by the question to include key strategies to implement, techniques to evaluate operations, strategies of communication and creation of a template for an in-house memo. The response did not fulfil the requirements of the question
3.4. Licensee
Responsibilities You have addressed at least four responsibilities of a licensee and in doing so you have included in your answer three examples of relevant signage as required by legislation. The response did not fulfil the requirements of the question
4.1. Regulatory Policies and Procedures Identify 6 different regulatory requirements to ensure compliance with legislation – this may include EEO, food handling and hygiene, harassment, responsible conduct of gaming, hazard identification and risk assessment and waste management for example. The response did not fulfil the requirements of the question
4.2. Development and implementation Two necessary regulatory policies and procedures are developed, which are documented in a format that workers can access and understand. You have included all elements of the questions as they relate to your business and area of compliance
The response did not fulfil the requirements of the question
4.3. Further Implementation You successfully explained a further
2 of the policies identified in question 4.1 and explained the implications of non-compliance. The response did not fulfil the requirements of the question
4.4. Employer/ employee responsibilities You have nominated the roles and responsibilities of personnel for regulatory compliance in policies and procedures (minimum of 5 responsibilities for each role you The response did not fulfil the requirements of the question
have chosen).
5.1. Sourcing relevant industry information You have successfully addressed the meaning of the acronyms/names, as required by the question. The response did not fulfil the requirements of the question
6.1. Report Writing and
Format The report format is correct; you must use headings, sub headings, and numerically list all sections that correspond with the contents page of the report. Also include a reference list at the end. Proofread your work to thoroughly check grammar, punctuation and clarity of understanding. The response did not fulfil the requirements of the question