Assessor Resource

SIRXGLC001A
Monitor compliance with legal and legislative requirements affecting business operations

Assessment tool

Version 1.0
Issue Date: April 2024


This unit involves identifying and understanding relevant legislation, establishing a legal structure for a business, complying with statutory requirements, minimising risks and securing rights to products and services.

This unit describes the performance outcomes, skills and knowledge required to investigate and comply with the legal and administrative requirements for establishing and maintaining a wholesale businesses.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Nil

Employability Skills

The required outcomes described in this unit contain applicable facets of employability skills. The Employability Skills Summary of the qualification in which this unit is packaged will assist in identifying employability skills requirements.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, the range statement and the Assessment Guidelines for this Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

identifies, analyses and describes a range of basic business structures

accesses and interprets a range of relevant legal and technical advice on operational matters

determines and formally details the compliance of existing business operations with legal and legislative requirements

confirms and describes the rights of consumers, covering a range of service and product delivery scenarios for a business

utilises relevant legal and statutory rights to protect the business brand and intellectual property.

Context of and specific resources for assessment

Assessment must ensure access to:

relevant documentation, such as:

legislation and statutory requirements

information on the internal and external operating environment

business policy and procedures manuals

information on:

business operations

markets

competitors

products and services

suppliers.

Methods of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

observation of performance in the workplace

third-party reports from a supervisor

review of portfolios of evidence

written or verbal questioning to assess knowledge and understanding.

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.

Assessing employability skills

Employability skills are integral to effective performance in the workplace and are broadly consistent across industry sectors. How these skills are applied varies between occupations and qualifications due to the different work functions and contexts.

Employability skills embedded in this unit should be assessed holistically in the context of the job role and with other relevant units that make up the skill set or qualification.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

This section describes the essential skills and knowledge and their level, required for this unit.

The following skills must be assessed as part of this unit:

literacy and numerical skills in order to:

interpret basic documents of a statutory, legal and contractual nature within a business context

determine the costs and consequences of non-compliance with key legal obligations and requirements affecting wholesale transactions

recording, storing and transferring information

researching, planning, analysing and organising information

interpersonal communication skills.

The following knowledge must be assessed as part of this unit:

legal structures of businesses

legal rights and responsibilities of different business structures

relevant consumer law, commercial law and legislation within the context of the business and work outcome

financial reporting and accounting

service and consumer rights and business obligations

key regulatory organisations and bodies

community and consumer representative groups

sources of legal and technical expertise and advice

approval processes

confidentiality and security requirements

information sources on product and supply arrangements for customers

concepts of ownership (products, concepts, technology, ideas, etc.)

business policy and procedures affecting job role or function

OHS aspects of job.

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording in the performance criteria is detailed below.

Suitability of business structure may vary according to:

preferences of owners

requirements of funding bodies

confidentiality considerations

taxation considerations

superannuation considerations.

Legal and legislative provisions may include:

OHS

workplace relations

workers' compensation

industry codes of practice

licence, patent or copyright arrangements

environmental protection legislation

equal employment opportunity (EEO) and anti-discrimination law

emergency procedures

transport, storage and handling of goods

contract law

Australian Competition and Consumer Commission provisions

Trade Practices and Fair Trading Acts.

Statutory and regulatory requirements may vary in relation to:

types of products and services provided

size, type and location of business

business merchandise range

characteristics of specific products or services

varying levels of staff training

worksite-specific context, variations and environments.

Insurance requirements vary according to:

types of products and services provided

intended use of products or services

location of market.

Records may be:

manual

electronic.

Sources of information may be:

verbal communication, including face-to-face, telephone and radio

written instructions and communication such as data exchange, letters, emails

non-verbal communication

feedback

direct or indirect

electronic or hard copy.

Rights and obligations may be determined by consulting internal or external experts in areas such as:

law

finance

trade

insurance

economics

technical and scientific

probity.

Brand may encompass:

product brands

company brands

supplier brands

registered trade marks

registered brands

intellectual property.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Examine legal options for the most suitable type of business structure. 
Investigate legal rights and responsibilities of the business to ensure business is adequately protected under legal and legislative provisions. 
Confirm statutory requirements affecting the structure of the wholesale business and take steps to ensure full compliance. 
Confirm statutory and regulatory requirements affecting the operations of the business and take appropriate steps to ensure full compliance. 
Determine insurance requirements and acquire adequate cover to ensure risk minimisation. 
Secure registration of wholesale business according to owner/operator preferences and legal requirements. 
Maintain and update legal documents and relevant records according to security and access requirements. 
Secure information on any purchase rights and ensure full understanding of their implications. 
Establish conditions applying to production and supply of wholesale products and services to ensure compliance with legal and contractual requirements. 
Establish cost of procurement rights to wholesale products and services, including ongoing financial planning. 
Confirm rights and responsibilities applying to the use of wholesale products and services to ensure accurate information is communicated to customers. 
Secure legal advice on contractual rights and obligations, if required, to clarify wholesale business liabilities. 
Ensure production rights secured are based on an informed assessment of all available information. 
Determine brand ownership and protection rights. 
Secure contractual procurement rights to provide optimal conditions for production of wholesale products and services. 

Forms

Assessment Cover Sheet

SIRXGLC001A - Monitor compliance with legal and legislative requirements affecting business operations
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

SIRXGLC001A - Monitor compliance with legal and legislative requirements affecting business operations

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: