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Evidence Guide: SITXGLC501 - 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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SITXGLC501 - 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 workers.
  2. Nominate the roles and responsibilities of personnel for regulatory compliance within policies and procedures.
  3. Distribute policies, procedures and legal information to personnel at appropriate times.
  4. Organise information updates for personnel and ensure knowledge of roles and responsibilities for legal compliance.
Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all workers.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Nominate the roles and responsibilities of personnel for regulatory compliance within 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 and ensure 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:

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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

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.

Required Skills and Knowledge

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.

Range Statement

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.