Assessor Resource

SITXGLC001
Research and comply with regulatory requirements

Assessment tool

Version 1.0
Issue Date: March 2024


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.

It applies to senior personnel who operate independently or with limited guidance from others and who are responsible for making a range of operational business and regulatory compliance decisions.

No occupational licensing, certification or specific legislative requirements apply to this unit at the time of publication.

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



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.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Research information required for legal compliance.

1.1.Identify sources of information for compliance with laws and licensing for business operations.

1.2.Evaluate areas of business operation and determine scope of compliance requirements.

1.3.Access regulatory information relevant to specific business operation.

1.4.Identify risks, penalties and consequences of non-compliance.

1.5.Assess and act on need for specialist legal advice.

2. Develop and communicate policies and procedures for legal compliance.

2.1.Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.

2.2.Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures.

2.3.Distribute policies, procedures and legal information to personnel at appropriate times.

2.4.Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance.

3. Ensure compliance with legal requirements.

3.1.Communicate with regulatory authorities when planning business operations and submit required documentation.

3.2.Maintain business and occupational licences and check contractor compliance to avoid risk to business.

3.3.Continuously evaluate business operations for non-compliance and implement modifications.

4. Maintain personal and organisational knowledge of regulatory requirements.

4.1.Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.

4.2.Use organisational communication methods to share updated regulatory knowledge.

4.3.Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements.

Evidence of the ability to complete tasks outlined in elements and performance criteria of this unit in the context of the job role, and:

access and interpret regulatory information and determine the scope of compliance for the operations of a specific tourism, travel, hospitality or events business in relation to at least six different areas of compliance

develop policies and procedures for legal compliance with each of the above areas of compliance

integrate into compliance planning activities and documentation:

sources of detailed information and advice on regulatory compliance

objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations

use of policies and procedures in managing regulatory compliance.

Demonstrated knowledge required to complete the tasks outlined in elements and performance criteria of this unit:

legal responsibilities and liabilities of managers and directors in varying business structures

sources of information and advice on regulatory compliance:

local, state, territory or commonwealth government departments or regulatory agencies

industry associations

plain English documentation that explains the operational requirements of legislation

computer data

the internet

discussions with experienced industry personnel

industry:

accreditation operators

associations and organisations

developers of codes of conduct or ethics

journals

seminars

lawyers

networking with:

colleagues

suppliers

libraries

media

personal observations and experience

reference books

training courses

unions

functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries

methods of receiving updated information on laws and licensing requirements

use of policies and procedures in managing regulatory compliance

formats for and inclusions in policies and procedures

objectives and primary components of local, state, territory and commonwealth government laws to which all types of businesses must comply and that cover:

anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment

Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts

contracts

employer superannuation contributions

environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents

Fair Work Act 2009, especially provisions for National Employment Standards (NES)

local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents

taxation

workplace relations

public liability and duty of care

work health and safety

workers’ compensation, especially provisions for injury reporting and occupational rehabilitation

objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators in the tourism, hospitality and event industries; chosen to be applicable to the individual’s context:

Copyright Act 1968

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.

Skills must be demonstrated in an operational tourism, travel, hospitality or events business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented. This can be:

an industry workplace

a simulated industry environment.

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.

Assessors must satisfy the Standards for Registered Training Organisations’ requirements for assessors.


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.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Research information required for legal compliance.

1.1.Identify sources of information for compliance with laws and licensing for business operations.

1.2.Evaluate areas of business operation and determine scope of compliance requirements.

1.3.Access regulatory information relevant to specific business operation.

1.4.Identify risks, penalties and consequences of non-compliance.

1.5.Assess and act on need for specialist legal advice.

2. Develop and communicate policies and procedures for legal compliance.

2.1.Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.

2.2.Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures.

2.3.Distribute policies, procedures and legal information to personnel at appropriate times.

2.4.Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance.

3. Ensure compliance with legal requirements.

3.1.Communicate with regulatory authorities when planning business operations and submit required documentation.

3.2.Maintain business and occupational licences and check contractor compliance to avoid risk to business.

3.3.Continuously evaluate business operations for non-compliance and implement modifications.

4. Maintain personal and organisational knowledge of regulatory requirements.

4.1.Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.

4.2.Use organisational communication methods to share updated regulatory knowledge.

4.3.Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements.

Evidence of the ability to complete tasks outlined in elements and performance criteria of this unit in the context of the job role, and:

access and interpret regulatory information and determine the scope of compliance for the operations of a specific tourism, travel, hospitality or events business in relation to at least six different areas of compliance

develop policies and procedures for legal compliance with each of the above areas of compliance

integrate into compliance planning activities and documentation:

sources of detailed information and advice on regulatory compliance

objectives and primary components of a broad range of local, state, territory and commonwealth government laws relevant to the specific to the business operations

use of policies and procedures in managing regulatory compliance.

Demonstrated knowledge required to complete the tasks outlined in elements and performance criteria of this unit:

legal responsibilities and liabilities of managers and directors in varying business structures

sources of information and advice on regulatory compliance:

local, state, territory or commonwealth government departments or regulatory agencies

industry associations

plain English documentation that explains the operational requirements of legislation

computer data

the internet

discussions with experienced industry personnel

industry:

accreditation operators

associations and organisations

developers of codes of conduct or ethics

journals

seminars

lawyers

networking with:

colleagues

suppliers

libraries

media

personal observations and experience

reference books

training courses

unions

functions and general operating procedures of regulatory authorities of particular relevance to the tourism, hospitality and events industries

methods of receiving updated information on laws and licensing requirements

use of policies and procedures in managing regulatory compliance

formats for and inclusions in policies and procedures

objectives and primary components of local, state, territory and commonwealth government laws to which all types of businesses must comply and that cover:

anti-discrimination, especially provisions for equal employment opportunity (EEO) and harassment

Australian Consumer Law (ACL) especially provisions for refunds, exchanges and cancellations, terms and conditions of quotations and consumer contracts

contracts

employer superannuation contributions

environmental protection especially provisions for environmental hazard identification, use of minimal impact practices and reporting of incidents

Fair Work Act 2009, especially provisions for National Employment Standards (NES)

local community protection, especially provisions for land management and access and protecting the lifestyle of neighbouring residents

taxation

workplace relations

public liability and duty of care

work health and safety

workers’ compensation, especially provisions for injury reporting and occupational rehabilitation

objectives and primary components of laws, codes, standards and licensing requirements that impact on specific operators in the tourism, hospitality and event industries; chosen to be applicable to the individual’s context:

Copyright Act 1968

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.

Skills must be demonstrated in an operational tourism, travel, hospitality or events business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented. This can be:

an industry workplace

a simulated industry environment.

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.

Assessors must satisfy the Standards for Registered Training Organisations’ requirements for assessors.

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
Identify sources of information for compliance with laws and licensing for business operations. 
Evaluate areas of business operation and determine scope of compliance requirements. 
Access regulatory information relevant to specific business operation. 
Identify risks, penalties and consequences of non-compliance. 
Assess and act on need for specialist legal advice. 
Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel. 
Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. 
Distribute policies, procedures and legal information to personnel at appropriate times. 
Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. 
Communicate with regulatory authorities when planning business operations and submit required documentation. 
Maintain business and occupational licences and check contractor compliance to avoid risk to business. 
Continuously evaluate business operations for non-compliance and implement modifications. 
Identify and use a range of opportunities to maintain knowledge of current regulatory requirements. 
Use organisational communication methods to share updated regulatory knowledge. 
Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements. 

Forms

Assessment Cover Sheet

SITXGLC001 - Research and comply with regulatory requirements
Assessment task 1: [title]

Student name:

Student ID:

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

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Result: Competent Not yet competent

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Assessment Record Sheet

SITXGLC001 - Research and comply with regulatory requirements

Student name:

Student ID:

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

(add lines for each task)

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Overall assessment result: Competent Not yet competent

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