Assessor Resource

SITXGLC501
Research and comply with regulatory requirements

Assessment tool

Version 1.0
Issue Date: March 2024


This unit applies to regulatory requirements for day-to-day business operations in the tourism, travel, hospitality and event industries 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.

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.

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

Prerequisites

Not applicable.


Employability Skills

This unit contains employability skills.




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, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

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

Evidence of the ability to:

access and interpret regulatory information and determine the scope of compliance for specific business operations

develop a diverse range of policies and procedures for legal compliance

integrate, into compliance planning activities, knowledge of:

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 specific tourism, hospitality or event business operations

use of policies and procedures in managing regulatory compliance.

Context of and specific resources for assessment

Assessment must ensure use of:

a real or simulated tourism, hospitality or event industry business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented

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.

Method of assessment

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

evaluation of a portfolio, prepared by the individual, on managing regulatory compliance for a specific business operation including:

notes and reports on regulatory information sourced

written report evaluating the scope of compliance requirements

list of policies and procedures required to manage regulatory compliance

sample policies and procedures

documents completed for submission to regulatory authorities

briefings and internal memos provided to personnel on current compliance requirements

use of case studies so the individual can suggest appropriate scope of regulatory compliance requirements for different business operations

written or oral questioning to assess knowledge of:

sources of information on regulatory compliance

objectives and primary components of laws relevant to specific tourism, hospitality or events business operations

use of policies and procedures in managing regulatory compliance

review of portfolios of evidence and thirdparty workplace reports of onthejob performance by the individual.

Guidance information for assessment

The assessor should design integrated assessment activities to holistically assess this unit with other units relevant to the industry sector, workplace and job role, for example:

BSBMGT617A Develop and implement a business plan

BSBPMG501A Manage projects

BSBRSK501A Manage risk

BSBWRT401A Write complex documents.


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.

Required skills

communication skills to:

consult with regulatory authorities to determine the scope of compliance requirements

provide clear and accurate information to personnel about roles and responsibilities in regulatory compliance

critical thinking skills to evaluate areas of business operation and determine scope of compliance

learning skills to proactively maintain current knowledge of regulatory requirements

literacy skills to:

read and interpret unfamiliar and complex materials describing regulatory requirements

research regulatory requirements specifically applicable to the business operation

write comprehensive yet easily accessible regulatory policies and procedures; complete complex documentation required by regulatory authorities

planning and organising skills to research, establish and regularly monitor all components of a business compliance system

problem-solving skills to evaluate business operations for non-compliance and implement changes to practices

self-management skills to take responsibility for regulatory compliance

teamwork skills to share updated regulatory knowledge with personnel.

Required knowledge

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

sources of information and advice on regulatory compliance including:

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

industry associations

plain English documentation that explains the operational requirements of legislation

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

a range of formats for and inclusions of policies and procedures

objectives and primary components of a broad range of local, state, territory and commonwealth government laws to which all types of businesses must comply including those 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 within the tourism, hospitality and event industries; chosen to be applicable to the individual’s context these could include:

Criminal Code Act 1995 - 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

travel agents licensing

for each relevant law, code, standard and licensing requirement, the depth of knowledge must cover any:

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 including public liability and workers compensation

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.

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, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Sources of information may include:

computer data, including 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

plain English documents, issued by government regulators, that describe laws relevant to business operations

libraries

media

personal observations and experience

reference books

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

training courses

unions.

Laws and licensing may involve:

antidiscrimination

Criminal Code Act 1995 - child sex offences outside Australia

consumer protection

contracts

EEO

environmental protection

Fair Work Act 2009

financial operations

food safety

land management

local community protection

liquor

mandatory codes of conduct, enshrined in legislation

NES

occupational licences and certification for:

food handlers and food safety supervisors

operators of table games (dealers) within licensed casinos

tour guides operating in certain destinations

public liability and duty of care

Queensland Tourism Services Act (2003)

responsible service of alcohol

responsible conduct of gaming

taxation

travel agents licensing

work health and safety

Workers Compensation

workplace relations.

Business operation may be for:

day-to-day business operations in:

events

hospitality

tourism

travel

one off:

event

tour

contract

series of:

events

tours

contracts.

Specialist legal advice may involve:

compliance consultants

industry associations

lawyers

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

Regulatory policies and procedures may include:

accident and incident reporting

counselling and discipline

customer service

cancellations, refunds and exchanges

EEO

food handling and hygiene

harassment

local community protection

minimal impact practices to reduce negative environmental impacts of water, energy and site use

responsible service of alcohol

responsible conduct of gaming

transport, handling and storage of food

waste management

work health and safety:

consultation

emergency evacuation

hazard identification and risk assessment

occupational rehabilitation.

Information updates may involve:

briefings prior to:

commencement of service period

delivery of tours

operation of event or function

internal memos

staff handbooks

staff meetings

training sessions.

Opportunities may include:

discussions with experienced industry personnel

networking with:

colleagues

suppliers

participating in:

industry accreditation schemes

industry seminars

membership of professional industry associations

training courses

subscribing to regulatory newsletters.

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 workers. 
Nominate the roles and responsibilities of personnel for regulatory compliance within policies and procedures. 
Distribute policies, procedures and legal information to personnel at appropriate times. 
Organise information updates for personnel and ensure 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

SITXGLC501 - Research and comply with regulatory requirements
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I declare that the assessment tasks submitted for this unit are my own work.

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Assessment Record Sheet

SITXGLC501 - Research and comply with regulatory requirements

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

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