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Evidence Guide: SITXGLC001 - Research and comply with regulatory requirements

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

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SITXGLC001 - Research and comply with regulatory requirements

What evidence can you provide to prove your understanding of each of the following citeria?

Research information required for legal compliance.

  1. Identify sources of information for compliance with laws and licensing for business operations.
  2. Evaluate areas of business operation and determine scope of compliance requirements.
  3. Access regulatory information relevant to specific business operation.
  4. Identify risks, penalties and consequences of non-compliance.
  5. Assess and act on need for specialist legal advice.
Identify sources of information for compliance with laws and licensing for business operations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access regulatory information relevant to specific business operation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risks, penalties and consequences of non-compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess and act on need for specialist legal advice.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and communicate policies and procedures for legal compliance.

  1. Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.
  2. Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures.
  3. Distribute policies, procedures and legal information to personnel at appropriate times.
  4. Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance.
Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure compliance with legal requirements.

  1. Communicate with regulatory authorities when planning business operations and submit required documentation.
  2. Maintain business and occupational licences and check contractor compliance to avoid risk to business.
  3. Continuously evaluate business operations for non-compliance and implement modifications.
Communicate with regulatory authorities when planning business operations and submit required documentation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain personal and organisational knowledge of regulatory requirements.

  1. Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.
  2. Use organisational communication methods to share updated regulatory knowledge.
  3. Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements.
Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use organisational communication methods to share updated regulatory knowledge.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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.