Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

SIRXGLC002A Mapping and Delivery Guide
Establish compliance with legal and legislative requirements

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency SIRXGLC002A - Establish compliance with legal and legislative requirements
Description This unit describes the performance outcomes, skills and knowledge required to identify and understand the salient features of the legal environment as they affect businesses, and to establish compliance with legal and legislative requirements.
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.
Learning Outcomes and Application This unit addresses and makes special reference to business to business aspects of contract law, intellectual property, product recall risk and transfer of ownership across national boundaries.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Nil
Competency Field Governance and Legal Compliance
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Examine compliance of current business to legal systems.
  • Determine key elements of major legal systems affecting business to business operations.
  • Compare various issues affecting different forms of contract within business operations.
  • Detail business entities commonly encountered in the business environment.
  • Examine legal aspects of financial transactions within business operations.
  • Determine legal requirements for the sale of products and services across state, territory, regional and national borders.
  • Examine legal implications of e-commerce for business to business operations.
       
Element: Establish compliance of current product recall policy and procedures.
  • Develop recall procedures and guidelines for supplier-initiated recalls.
  • Develop recall procedures and guidelines for wholesale business recalling its products and services.
  • Develop recall procedures and guidelines for government or industry initiated recalls.
  • Ensure product recall procedures and guidelines comply with prevailing legislative, legal and industry requirements.
  • Circulate product recall procedures and policies to relevant personnel and business partners.
  • Establish procedures for halting or monitoring the sale and distribution of recalled products.
  • Inform staff of risks associated with recalled products.
  • Establish policy and procedures for dealing with media and consumer enquiries relating to product recalls.
  • Establish storage, isolation or disposal process for recalled products according to risk and recall notification.
  • Analyse records and reports on product recall activities and costs.
       
Element: Analyse responsibilities and accountabilities of parties undertaking business transactions.
  • Determine legal rules relating to ownership of assets and intellectual property.
  • Apply legal rules relating to the transfer of risk.
  • Design and issue warranties in compliance with relevant legislation.
  • Ensure insurance for business operations and products complies with relevant legislation.
  • Ascertain legal remedies and enforcement options available for the resolution of disputes.
       
Element: Analyse and apply principles in business and contract law.
  • Determine requirements for a valid contract to be formed in a business environment.
  • Apply remedies available for breaches of contract within a business to business transaction.
  • Analyse range of principles affecting business to business licensing and other agreements.
       
Element: Analyse how the law protects intellectual property.
  • Determine major principles relating to intellectual property and its creation.
  • Compare various forms or categories of intellectual property.
  • Determine operation of the law with regard to proprietary interests held by a company or individual in a wholesale product being traded overseas.
  • Apply law of copyright in business to business transactions and relationships.
  • Apply law of design in business to business transactions and relationships
  • Analyse various methods of regulating patents and trade marks in an international and local business environment.
  • Apply principles of assignment and licensing of intellectual property rights.
  • Determine legal consequences of franchising of intellectual property rights held by a business.
       
Element: Identify risks associated with managing supply across national boundaries.
  • Determine basic risk management strategies for addressing legal requirements when managing an international business venture or operation.
  • Determine nature and extent of risk with regard to legal requirements affecting the conduct of overseas business transactions.
  • Identify potential risk factors with regard to internationallegal requirements affecting trade and overseas business.
  • Examine roles and responsibilities of carriers and owner under legislation, conventions and rules covering transport of goods by sea.
  • Determine international application and provisions covering the sale of goods for business transactions.
  • Establish costs and consequences of non-compliance with key international legal obligations and requirements.
  • Determine risks associated with different modes of transport for products.
       


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:

satisfactory and timely completion of tasks associated with management of a business operation in compliance with legal and legislative requirements

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

implements and documents product recall procedures for a business operation

describes and complies with legal rules relating to transfer of risk and legal obligations affecting a specific range of business operations, including import and export operations

establishes and implements appropriate reporting procedures and record-keeping systems for a business operation

processes documentation relating to business and legal compliance within a set timeframe.

Context of and specific resources for assessment

Assessment must ensure access to:

relevant documentation, such as:

relevant 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, assignment, 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:

interpreting language and meaning associated with legislative, statutory, legal, insurance and contractual documents that span national and international contexts

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 to:

inform staff of risks associated with recalled products through clear and direct communication

share information

use language and concepts appropriate to cultural differences

use and interpret non-verbal communication

application of relevant legal principles

risk management.

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

remedies available for breach of contract

principles relating to intellectual property

understanding of the business context (national and international) in which the legal, insurance, rights and contractual sources of information apply

reporting requirements

contract validation

product and service warranties

information sources on product and supply arrangements for customers

business policy and procedures affecting job role or function

OHS aspects of job

relevant domestic and international law, conventions, agreements and legislation.

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.

Legal systems may include:

OHS

workplace relations

industry codes of practice

licence, patent or copyright arrangements

transport, storage and handling of goods

contract law

Australian Competition and Consumer Commission provisions

Trade Practices and Fair Trading Acts.

Different forms of contract may include or relate to:

letters of appointment or intent

external contracts

trade partners

people contracts

verbal and written orders

purchase order

petty cash

memorandums of understanding or memorandums of agreement

in-house service level agreements

contracts

common-use arrangements or standing offers

contracts as detailed under the Trade Practices Act

non-compliance

consequences.

Financial transactions may include:

deposits

withdrawals

credit card transactions

cheques

hire-purchase

cash on delivery (COD)

customer refunds

customer account management.

Legal requirements for the sale of products and services may include:

Trade Practices and Fair Trading Acts

tobacco laws

liquor laws

pricing procedures, including GST requirements

sale of second-hand goods

sale of X and R rated products

lottery legislation

industry codes of practice

OHS.

Product recall procedures and guidelines may be developed in consideration of:

timing

warnings

insurance issues

consultation with key stakeholders

organising logistics

reporting compliance

claim procedures on recalled products

legal requirements

approvals obtained

impact on business relationships and contractual arrangements.

Recall procedures and guidelines may be:

documented in hard copy or electronic manuals

implemented at business, team or operational levels

product- or service-specific

customer-specific

territory- or location-specific.

Relevant personnel may include:

internal or external contacts

employees

supervisors

relevant managers.

Staff may include:

full-time, part-time, casual or contract staff

people with varying degrees of language and literacy

people from a range of cultural, social and ethnic backgrounds

people with a range of responsibilities and job descriptions.

Principles related to intellectual property may vary according to:

nature of the product or service

nature of product or service delivery

scope of protection sought

the ability to show 'ownership'

location (e.g. international variations in legal protection)

legal and legislative provisions.

International legal requirements may include:

international legal frameworks

sale of goods and services

legal aspects of international financial transactions

law of contract

product liability

transport law

customs law

licensing agreements

agency agreements

business names and structures

joint venture agreements

ownership issues

passing of risk and title

warranties

insurance

dealing with intellectual property

e-commerce

remedies and enforcement.

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
Determine key elements of major legal systems affecting business to business operations. 
Compare various issues affecting different forms of contract within business operations. 
Detail business entities commonly encountered in the business environment. 
Examine legal aspects of financial transactions within business operations. 
Determine legal requirements for the sale of products and services across state, territory, regional and national borders. 
Examine legal implications of e-commerce for business to business operations. 
Develop recall procedures and guidelines for supplier-initiated recalls. 
Develop recall procedures and guidelines for wholesale business recalling its products and services. 
Develop recall procedures and guidelines for government or industry initiated recalls. 
Ensure product recall procedures and guidelines comply with prevailing legislative, legal and industry requirements. 
Circulate product recall procedures and policies to relevant personnel and business partners. 
Establish procedures for halting or monitoring the sale and distribution of recalled products. 
Inform staff of risks associated with recalled products. 
Establish policy and procedures for dealing with media and consumer enquiries relating to product recalls. 
Establish storage, isolation or disposal process for recalled products according to risk and recall notification. 
Analyse records and reports on product recall activities and costs. 
Determine legal rules relating to ownership of assets and intellectual property. 
Apply legal rules relating to the transfer of risk. 
Design and issue warranties in compliance with relevant legislation. 
Ensure insurance for business operations and products complies with relevant legislation. 
Ascertain legal remedies and enforcement options available for the resolution of disputes. 
Determine requirements for a valid contract to be formed in a business environment. 
Apply remedies available for breaches of contract within a business to business transaction. 
Analyse range of principles affecting business to business licensing and other agreements. 
Determine major principles relating to intellectual property and its creation. 
Compare various forms or categories of intellectual property. 
Determine operation of the law with regard to proprietary interests held by a company or individual in a wholesale product being traded overseas. 
Apply law of copyright in business to business transactions and relationships. 
Apply law of design in business to business transactions and relationships 
Analyse various methods of regulating patents and trade marks in an international and local business environment. 
Apply principles of assignment and licensing of intellectual property rights. 
Determine legal consequences of franchising of intellectual property rights held by a business. 
Determine basic risk management strategies for addressing legal requirements when managing an international business venture or operation. 
Determine nature and extent of risk with regard to legal requirements affecting the conduct of overseas business transactions. 
Identify potential risk factors with regard to internationallegal requirements affecting trade and overseas business. 
Examine roles and responsibilities of carriers and owner under legislation, conventions and rules covering transport of goods by sea. 
Determine international application and provisions covering the sale of goods for business transactions. 
Establish costs and consequences of non-compliance with key international legal obligations and requirements. 
Determine risks associated with different modes of transport for products. 

Forms

Assessment Cover Sheet

SIRXGLC002A - Establish compliance with legal and legislative requirements
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

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Assessor name:

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Assessment Record Sheet

SIRXGLC002A - Establish compliance with legal and legislative requirements

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

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