Unit Result Record Sheet

SITXGLC001
Research and comply with regulatory
requirements
Student Name: JASPREET SINGH
BLOCK Print
Student Number: HP09190069
BLOCK Print
Assessmen Reassessmen
t Result t Completed Result
Completed (If required)

Not Yet Satisfactory

Not Yet Satisfactory
Date
Satisfactory

Satisfactory
Date
Reassessed
Assesse
(Evidence must be in
d students file)
(Evidence must be
in students file)

Written Assessment
Questions
Summative Written
Assessment Questions
Summative Practical
Demonstration of Skills

Result for unit Competent Not Yet Competent

Assessor Name:
Signature:
& Signature
Date result
reached:

Comments:

Student Declaration:
I declare that:
 I was made aware of all assessment requirements for this/these unit/s
 I have received feedback from my assessor on the results of each individual assessment task and my overall result
for this/these unit/s
 I have been made aware of the reassessment policy for any assessment tasks and/or units that I have not yet
satisfactorily completed
 All work for assessment tasks submitted for this unit is my own with no part of any assessment being
copied/plagiarised from another person’s work, except where authorized and listed/referenced

JASPREET SINGH
Student Signature:

Student Name: JASPREET SINGH Student ID: HP09190069

Received by Australian College of Trade:

UNIT: SITXGLC001 Research and comply with regulatory requirements
NAME: Signature: Date:

UNIT: SITXGLC001 Research and comply with regulatory requirements

 Page |1

SITXGLC001
Research and comply with
regulatory requirements
Learner Workbook

VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019

 Table of Contents
Table of Contents..............................................................................................................................2
Instructions to Learner..........................................................................Error! Bookmark not defined.
Assessment instructions..................................................................Error! Bookmark not defined.
Assessment requirements............................................................................................................. 5
Observation/Demonstration.............................................................................................................6
Third Party Guide..............................................................................................................................7
Third party details (required information from the learner)..........................................................7
Activities...........................................................................................................................................8
Activity 1A...................................................................................................................................... 8
Activity 1B...................................................................................................................................... 9
Activity 1C.................................................................................................................................... 10
Activity 1D.................................................................................................................................... 11
Activity 1E.................................................................................................................................... 12
Activity 2A.................................................................................................................................... 13
Activity 2B.................................................................................................................................... 14
Activity 2C.................................................................................................................................... 15
Activity 2D.................................................................................................................................... 16
Activity 3A.................................................................................................................................... 17
Activity 3B.................................................................................................................................... 18
Activity 3C.................................................................................................................................... 19
Activity 4A.................................................................................................................................... 20
Activity 4B.................................................................................................................................... 21
Activity 4C.................................................................................................................................... 22
Summative Assessments.................................................................................................................23
Section A: Skills activity................................................................................................................ 24
Section B: Knowledge activity (Q & A)......................................................................................... 26
Section C: Performance activity................................................................................................... 31
Workplace Documentation – for learner.........................................................................................33
Workplace documents checklist.................................................................................................. 33
Supplementary Oral Questions (optional) – for assessor................................................................34
Competency record to be completed by assessor...........................................................................37
Instructions to Learner
Assessment instructions
Overview
Prior to commencing the assessments, your trainer/assessor will explain each assessment task and
the terms and conditions relating to the submission of your assessment task. Please consult with
your trainer/assessor if you are unsure of any questions. It is important that you understand and
adhere to the terms and conditions, and address fully each assessment task. If any assessment task
is not fully addressed, then your assessment task will be returned to you for resubmission. Your
trainer/assessor will remain available to support you throughout the assessment process.

Written work
Assessment tasks are used to measure your understanding and underpinning skills and knowledge of
the overall unit of competency. When undertaking any written assessment tasks, please ensure that
you address the following criteria:

 Address each question including any sub-points

 Demonstrate that you have researched the topic thoroughly

 Cover the topic in a logical, structured manner

 Your assessment tasks are well presented, well referenced and word processed

 Your assessment tasks include your full legal name on each and every page.

Active participation
It is a condition of enrolment that you actively participate in your studies. Active participation is
completing all the assessment tasks on time.

Plagiarism
Plagiarism is taking and using someone else's thoughts, writings or inventions and representing them
as your own. Plagiarism is a serious act and may result in a learner’s exclusion from a course. When
you have any doubts about including the work of other authors in your assessment, please consult
your trainer/assessor. The following list outlines some of the activities for which a learner can be
accused of plagiarism:

 Presenting any work by another individual as one's own unintentionally

 Handing in assessments markedly similar to or copied from another learner

 Presenting the work of another individual or group as their own work

 Handing in assessments without the adequate acknowledgement of sources used, including

assessments taken totally or in part from the internet.

If it is identified that you have plagiarised within your assessment, then a meeting will be organised
to discuss this with you, and further action may be taken accordingly.
Collusion
Collusion is the presentation by a learner of an assignment as their own that is, in fact, the result in
whole or in part of unauthorised collaboration with another person or persons. Collusion involves
the cooperation of two or more learners in plagiarism or other forms of academic misconduct and,
as such, both parties are subject to disciplinary action. Collusion or copying from other learners is
not permitted and will result in a “0” grade and NYC.

Assessments must be typed using document software such as (or similar to) MS Office. Handwritten
assessments will not be accepted (unless, prior written confirmation is provided by the
trainer/assessor to confirm).

Competency outcome
There are two outcomes of assessments: S = Satisfactory and NS = Not Satisfactory (requires more
training and experience).

Once the learner has satisfactorily completed all the tasks for this module the learner will be
awarded “Competent” (C) or “Not yet Competent” (NYC) for the relevant unit of competency.

If you are deemed “Not Yet Competent” you will be provided with feedback from your assessor and
will be given another chance to resubmit your assessment task(s). If you are still deemed as “Not Yet
Competent” you will be required to re-enrol in the unit of competency.

Additional evidence
If we, at our sole discretion, determine that we require additional or alternative
information/evidence in order to determine competency, you must provide us with such
information/evidence, subject to privacy and confidentiality issues. We retain this right at any time,
including after submission of your assessments.

Confidentiality
We will treat anything, including information about your job, workplace, employer, with strict
confidence, in accordance with the law. However, you are responsible for ensuring that you do not
provide us with anything regarding any third party including your employer, colleagues and others,
that they do not consent to the disclosure of. While we may ask you to provide information or
details about aspects of your employer and workplace, you are responsible for obtaining necessary
consents and ensuring that privacy rights and confidentiality obligations are not breached by you in
supplying us with such information.

Assessment appeals process

If you feel that you have been unfairly treated during your assessment, and you are not happy with
your assessment and/or the outcome as a result of that treatment, you have the right to lodge an
appeal. You must first discuss the issue with your trainer/assessor. If you would like to proceed
further with the request after discussions with your trainer/assessor, you need to lodge your appeal
to the course coordinator, in writing, outlining the reason(s) for the appeal.
 Recognised prior learning
Candidates will be able to have their previous experience or expertise recognised on request.

Special needs
Candidates with special needs should notify their trainer/assessor to request any required
adjustments as soon as possible. This will enable the trainer/assessor to address the identified needs
immediately.

Assessment requirements
Assessment can either be:
 Direct observation
 Product-based methods e.g. reports, role plays, work samples
 Portfolios – annotated and validated
 Questioning
 Third party evidence.
If submitting third party evidence, the Third Party Observation/Demonstration document must be
completed by the agreed third party.
Third parties can be:
 Supervisors
 Trainers
 Team members
 Clients
 Consumers.
The third party observation must be submitted to your trainer/assessor, as directed.

The third party observation is to be used by the assessor to assist them in determining competency.

The assessment activities in this workbook assess aspects of all the elements, performance criteria,
skills and knowledge and performance requirements of the unit of competency.

To demonstrate competence in this unit you must undertake all activities in this workbook and have
them deemed satisfactory by the assessor. If you do not answer some questions or perform certain
tasks, and therefore you are deemed to be Not Yet Competent, your trainer/assessor may ask you
supplementary questions to determine your competence. Once you have demonstrated the
required level of performance, you will be deemed competent in this unit.

Should you still be deemed Not Yet Competent, you will have the opportunity to resubmit your
assessments or appeal the result.

As part of the assessment process, all learners must abide by any relevant assessment policies as
provided during induction.
If you feel you are not yet ready to be assessed or that this assessment is unfair, please contact your
assessor to discuss your options. You have the right to formally appeal any outcome and, if you wish
to do so, discuss this with your trainer/assessor.

Observation/Demonstration
Throughout this unit, you will be expected to show your competency of the elements through
observations or demonstrations. Your trainer/assessor will have a list of demonstrations you must
complete or tasks to be observed. The observations and demonstrations will be completed as well as
the activities found in this workbook.

An explanation of observations and demonstrations:

Observation is on-the-job

The observation will usually require:

 Performing a work-based skill or task

 Interaction with colleagues and/or customers.

Demonstration is off-the-job

A demonstration will require:

 Performing a skill or task that is asked of you

 Undertaking a simulation exercise.

Your trainer/assessor will inform you of which one of the above they would like you to do. The
observation/demonstration will cover one of the unit’s elements.

The observation/demonstration will take place either in the workplace or the training environment,
depending on the task to be undertaken and whether it is an observation or demonstration. Your
trainer/assessor will ensure you are provided with the correct equipment and/or materials to
complete the task. They will also inform you of how long you have to complete the task.

You should be able to demonstrate the skills, knowledge and performance criteria required for
competency in this unit, as seen in the Learner Guide.
Third Party Guide
You should supply details of the third party to the assessor before you commence the activities (see
below), unless the assessor has already selected a third party themselves. The assessor can then
contact the third party in instances where they require more evidence to determine competency, or
they cannot observe certain tasks themselves.

The reasons to use a third party may include:

 Assessment is required in the workplace
 Where there are health and safety issues related to observation
 Patient confidentiality and privacy issues are involved.
If you are not employed, or able to complete demonstrative tasks in the workplace, you will need to
inform the assessor. They will be able to provide you with a simulated environment in which to
complete these tasks.

We would prefer that, wherever possible, these be “live” issues for your industry and require
application of the principles that you are learning as part of your training. Where this is not possible,
you and your third party should simulate the activity tasks and demonstrations that you believe
would be likely to arise in your organisation or job role.

Third party evidence can also be used to provide “everyday evidence” of tasks included in your work
role that relate to the unit of competency but are not a part of the formal assessment process.

The third party is not to be used as a co-assessor – the assessor must make the final decision on
competency themselves. Documents relevant to collection of third-party evidence are included in
the Third Party section in the Observations/Demonstrations document.

Third party details (where required from the learner)

A third party may be required for observations or demonstrations; please provide details below of
your nominated third party and obtain their signature to confirm their agreement to participate. This
information will be required by your trainer/assessor in advance of arranging any future
observations or demonstrations.

Third party name:

Position of third party:

Telephone number:

Email address:

Declaration for nominated third party

I declare my intention to act as third party for (learner’s name here)

Third party signature: Date:

Activities
Complete the following activities individually or in a group (as applicable to the specific activity
and the assessment environment).

Activity 1A
Estimated Time 25 Minutes
Objective To provide you with an opportunity to identify sources of information for
compliance with laws and licensing for business operations.
Make a list of sources of information for compliance with laws and licensing for your specific
organisation’s business operations.

Sources of information and advice on regulatory compliance may include:

➢ 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:
o accreditation operators
o associations and organisations
o developers of codes of conduct or ethics
o journals
o seminars
➢ Lawyers

➢ Networking with:
o colleagues
o suppliers

➢ Libraries

➢ Media

➢ Personal observations and experience

➢ Reference books

➢ Training courses

➢ Unions.
You should refer to these sources regularly to ensure that your knowledge stays current.
Activity 1B
Estimated Time 30 Minutes
Objective To provide you with an opportunity to evaluate areas of business operation
and determine scope of compliance requirements.
Evaluate the areas of your own organisation’s business operation and determine the scope of
your compliance requirements.

The scope of compliance requirements relates to recognising which laws and licensing
requirements relate to your specific industry, the goods its sell or the services it provides.

All organisations must comply with legislation relating to the following:

➢ 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
Activity 1C
Estimated Time 10 Minutes
Objective To provide you with an opportunity to access regulatory information relevant
to specific business operation.
Access regulatory information relevant to your organisation’s specific business operation. Use
the information you have researched to create a 10-minute PowerPoint presentation on
compliance to your class.

This activity will need to be observed, and a signed record of this observation (completed by the
assessor or third party) should be uploaded in your answer. It should detail what was done,
when it was done, the time it was completed in, the completed actions and the overall outcome
of the tasks.

Research may be completed outside of class time, if preferred by the assessor.

PPT ATTACHED
Activity 1D
Estimated Time 20 Minutes
Objective To provide you with an opportunity to identify risks, penalties and
consequences of non-compliance.
Using the scope of compliance that you have identified in previous questions, outline the risks,
penalties and consequences of non-compliance with at least THREE mandatory
regulations/Acts, etc.

Potential consequences of non-compliance for individuals include:

➢ Counselling
➢ Disciplinary action
➢ Transfer, demotion, dismissal

Potential consequences of non-compliance for the organisation include:

➢ Losing a license
➢ Fines
➢ Temporary closure

Potential consequences of noncompliance for the client include:

➢ Injury
➢ Dissatisfaction.

Regulations :

 Copyright Act 1968

 Criminal Code Act 1995 as it relates to child sex offences outside Australia
Activity 1E
Estimated Time 15 Minutes
Objective To provide you with an opportunity to describe the circumstances that may
require specialist legal advice.
Under what circumstances might an organisation need to seek specialist legal advice?

Assess need for specialist legal advice

Specialist legal advice may need to be sought by an organisation for a number of reasons.

For example:
➢ A complaint brought forth by an employee against an employer cannot be resolved
without a third party, e.g. court proceedings
➢ A complaint brought forth by a customer against the organisation cannot be resolved
without a third party, e.g. court proceedings
➢ The organisation has been accused of non-compliance by a regulatory body
➢ The organisation is unsure of their legal obligations and/or how to fulfil them
➢ The organisation is unsure of how to obtain the necessary licenses.

Specialist legal advice can help to ensure that the organisation’s response to any issues or grievances
is done legally and that proper record is kept of actions taken than can be used if necessary in a legal
setting, such as in countering a compensation claim.

Specialist legal advice may be sought, therefore, where there is uncertainty about how to fulfil legal
obligations or the correct manner to respond to a complaint or grievance.

How might you seek specialist legal advice?

Act on need for specialist legal advice

Obtaining specialist legal advice may involve:

➢ Consulting with in-house lawyers or legal

representatives
➢ Hiring an external legal consultant, lawyer or law
firm
➢ Seeking advice from an agency with specialist legal
knowledge, for example:
 o the Fair Work Commission

o the Australian Competition and Consumer Commission

o the Australian Department of Employment.

Where no legal advice is available within the organisation, external help may be sought.
Activity 2A
Estimated Time 25 Minutes
Objective To provide you with an opportunity to develop and clearly articulate
regulatory policies and procedures in a format readily accessible to all
personnel.
Write a section for inclusion in an employee handbook. It may cover any aspect of regulation,
policy and/or procedure that you choose. What you write should be clearly worded and suitable
for your audience. It must also accurately reflect policy, procedure and legal requirements for
staff in your organisation.

It is important to ensure that workers are aware of the regulatory policies and procedures with
which they must comply. This helps to ensure that the business is operating in accordance with its
legal obligations and that the work area remains a safe space for customers and employees.

Policies and procedures may be presented to employees in a number of ways.

For example:
➢ Employee handbook/written policies and procedures

➢ Presentations

➢ Orientation training and refresher training

➢ Group meetings

➢ Practical demonstrations

➢ Role plays

➢ Online learning platform

➢ Mentorship or coaching.

Policy and procedure may be more clearly articulated if:

➢ Instructions and explanations are given that are suitable for the knowledge and
experience of the group
o avoid technical ‘jargon’
o use specific terms where helpful

➢ Policy and procedure is explained in the context of specific job roles

➢ Policy and procedure is explained in terms of how it may be applied to specific work
tasks.
Activity 2B
Estimated Time 15 Minutes
Objective To provide you with an opportunity to outline the roles and responsibilities of
personnel for regulatory compliance in policies and procedures.
What may be the roles and responsibilities for a designated compliance officer?

The roles and responsibilities of the compliance officer may include:

➢ To identify risks, i.e. where regulatory policies and procedures are not being fulfilled

➢ To prevent risks, i.e. to put control measures in place to manage compliance with
regulatory policies and procedures

➢ To monitor and report on the effectiveness of these control measures

➢ To address non-compliance where it occurs

➢ To report back on compliance issues to the organisation and to advise on compliance

issues.

All or some of these responsibilities may be assigned to one worker, depending on the structure of
the organisation and how it delegates the responsibilities of ensuring regulatory compliance.

Identify at least THREE work members in your organisation. What are their individual
compliance roles and responsibilities? Why do you think they were nominated for these?

 The sales and marketing team is responsible for bringing the product to market.They use
several different methods to get the word out about their new invention. They usually do this
through advertisements on TV, Internet, radio, and even printed mail to promote the product.
 Executive officers are responsible for keeping the ship afloat. They work with all of the teams
to create synergy and hold them accountable.
 The operations and production team is responsible for bringing the product to life. They
receive the product's vision from the research team and then bring the product into its
finished stage.

The roles and responsibilities of each member of staff in relation to compliance may be
determined by:

➢ Job role and job level

➢ Work area

➢ Specialist knowledge or qualifications, e.g. safety officer, first aid officer, etc.
Activity 2C
Estimated Time 15 Minutes
Objective To provide you with an opportunity to distribute policies, procedures and
legal information to personnel at appropriate times.
During a class, distribute the section of an employee handbook that you created in Activity 2B.
Respond to any questions or concerns from class members.

Employees need to be aware of their legal obligations and also their legal rights. This can be
achieved by providing staff with sufficient information about policies, procedures and relevant
sections of the law

Appropriate times to distribute this information may include:

➢ Initial training or orientation

➢ Refresher training

➢ When there are changes in policy, procedure or the law

➢ In response to an instance or repeated instances of non-compliance

➢ When there is a change in a worker’s personal role or set of responsibilities.

Distributing information about policies, procedures and legal information to workers at appropriate
times can help to ensure that they have sufficient knowledge to complete work tasks.
Activity 2D
Estimated Time 15 Minutes
Objective To provide you with an opportunity to discuss information updates.
When may an information update be required on policies, procedures and legal requirements?

Updates are important to ensure that employees’ knowledge stays current, as well as providing an
opportunity for knowledge of older materials to be refreshed.

Updates may be required when:

➢ There are changes in policies, procedures or law

➢ There are changes in or additions to usual business operations within the organisation,
which requires adherence to new or further regulations.

It may be your responsibility to source information about the most current regulatory requirements
for your organisation.

This may involve:

➢ Subscribing to regulatory newsletters

➢ Using the sources outlined in section 1.1 of this unit.

How might information updates be organised?

There are a number of ways that information updates may be organised. Some of these may depend
on the systems that the organisation has in place, such as online portals for staff and messaging
systems and structures for sharing information.

They may include:

➢ Organised training sessions or group meetings

➢ Annual/bi-annual sessions

➢ Re-issue of handbooks or other materials

➢ Updates on online portals and learning systems

➢ Circulated notices

➢ Presentations.
Activity 3A
Estimated Time 15 Minutes
Objective To provide you with an opportunity to identify the relevant regulatory
authorities.
Which are the regulatory authorities that govern your industry and/or industry sector for your
location? List them.

Regulatory authorities are the governing bodies for compliance with policies and procedures in
their respective fields. The governing regulatory body for specific business operations will vary
depending on the business operation and its industry.

Some may be national or international bodies, but often regulatory authorities are specific to
individual States/Territories.

Examples of regulatory authorities in the hospitality/tourism industry include:

➢ Food safety

o ACT Health Directorate, http://www.health.act.gov.au/

o NSW Food Authority, http://www.foodauthority.nsw.gov.au/

o NT Department of Health, http://www.health.nt.gov.au/

o QLD Department of Health, http://www.health.qld.gov.au/

o SA Department of Health, http://www.sahealth.sa.gov.au/

o TAS Department of Health and Human Services, http://www.dhhs.tas.gov.au/

o VIC Department of Health, http://www.health.vic.gov.au/

o WA Department of Health, http://www.health.wa.gov.au/

➢ Gaming

o ACT Gambling and Racing Commission, www.gamblingandracing.act.gov.au

o NSW Office of Liquor, Gaming and Racing, www.olgr.nsw.gov.au

o NSW Independent Liquor and Gaming Authority, www.ilga.nsw.gov.au

o NT Department of Business, www.dob.nt.gov.au

o QLD Office of Liquor and Gaming Regulation, www.olgr.qld.gov.au

o SA Consumer and Business Services, www.cbs.sa.gov.au

o TAS Department of Treasury and Finance, www.treasury.tas.gov.au

o VIC Commission for Liquor and Gaming Regulation, www.vcglr.vic.gov.au

o WA Department of Racing, Gaming and Liquor, www.rgl.wa.gov.au
Activity 3B
Estimated Time 25 Minutes
Objective To provide you with an opportunity to maintain business and occupational
licences and check contractor compliance to avoid risk to business.
Using the Australian Business Licence and Information Service (ABLIS), conduct a search for
which business and occupational licenses your organisation must have to operate legally.

The Australian Business Licence and Information Service (ABLIS) can be used to source tailored
information about licensing requirements within your industry and for specific business operations.
Applications for licenses or permits may also be submitted through ABLIS. The website can be
accessed at: https://ablis.business.gov.au/pages/home.aspx (Access date: 07/06/16).
The Australian Business Licence and Information Service (ABLIS) is a primary source of
information about required business and occupational licenses. This service can be used to research
business and occupational license requirements and to submit applications for the issuing or
renewal or business and occupational licenses.

List Business Licences

 Licence to play music in a hotel or bar

 Inter-hotel and club links licence

 Hotel licence (Liquor)

What are some of the things that a contractor may need to have to be operating legally?

What are some things that may indicate that a contractor is acting in compliance with their
legal requirements?

Contractors are workers who are not members of the organisation, but who complete work
on behalf of the organisation. Contractors may be from any industry, such as events
managers for one-off promotional days or tradesman for expanding a building’s premises. It
is the responsibility of the organisation to ensure that the contractors it employs are
compliant with the regulations that govern their field and that they are sufficiently trained
and qualified to complete the work for which they are hired.

Contractors may need to have:

➢ Proper insurance

o public liability insurance

o professional indemnity insurance

o WorkCover insurance

➢ All necessary licenses

➢ Trained and qualified staff

➢ Safety compliance.
Activity 3C
Estimated Time 30 Minutes
Objective To provide you with an opportunity to continuously evaluate business
operations for non-compliance and implement modifications
Assess one area of business operations within your organisation for its compliance with
regulatory policy and procedure (an audit). Where a template for this exists, e.g. a checklist, this
should be used. Write a summary of your findings.

Regular workplace safety checks ensure your workplace meets basic standards of
safety. This checklist will help you evaluate how well you are currently managing
safety in your workplace.

Storage
Are items placed neatly and securely on shelves? YES NO

Are heavy items stored below shoulder height? YES NO

Can items on high shelves be easily reached? YES NO

Comments/Corrective Action Required:

Housekeeping

Are floor surfaces free of water, oil or other fluids? YES NO

Are floor surfaces even?(e.g.no loose tiles or carpet that is torn or has ridges)

YES NO

Are walkways and doorways clear of boxes, extension cords and litter? YES NO

Are stairways kept clear of boxes, equipment and other obstructions? YES NO

Are work areas, walkways and stairs well lit? YES NO

Are work stations tidy and well-maintained? YES NO

Are emergency procedures clearly displayed? YES NO

Comments/Corrective Action Required:

First Aid
Are First Aid Kits located in easily accessible and prominent areas? YES NO
Are First Aid Kit contents clean and tidy? YES NO
Are First Aid Kit contents within their expiry date? YES NO
Are First Aid Kit contents full and/or suitably replenished? YES NO
Comments/Corrective Action Required:

If you need assistance or have any questions please feel free to contact our friendly Customer
Service Team on 1800 65 1173
Activity 4A
Estimated Time 15 Minutes
Objective To provide you with an opportunity to identify opportunities to maintain
knowledge of current regulatory requirements.
What are some of the methods you can use to maintain knowledge of current regulatory
requirements?

Opportunities to maintain knowledge of regulatory requirements may include:

➢ 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.

Activity 4B
Estimated Time 10 Minutes
Objective To provide you with an opportunity to list organisational communication
methods to share updated regulatory knowledge.
Which organisational communication methods are used within your organisation to share
updated regulatory knowledge?

Organisational communication methods for the sharing of regulatory knowledge may

include:
➢ Team meetings/briefings

➢ Updates to online learning portals

➢ Email

➢ Re-issuing of policy and procedure, e.g. employee handbook

➢ Change of signs and notices in works spaces

➢ Notice boards or other memos

➢ Training sessions / presentations.

Activity 4C
Estimated Time 25 Minutes
Objective To provide you with an opportunity to review plans, policies and procedures
for compliance with current laws and licensing requirements.
Review one of your organisation’s plans, policies or procedures for compliance with current
laws and licensing requirements.

Review plans, policies and procedures

Plans, policies and procedures must be regularly reviewed to ensure that they are current and
accurate.

During a review, you may check that:

➢ Plans, policies and procedures

have the most current
information and ensure that
work practice is to the most
current standards

➢ Plans, policies and procedures

cover all business operations;
especially relevant if the
organisation has initiated new
work practices, such as offering
new services or working with
new equipment
➢ Plans, policies and procedures are worded in a way that can be easily understood;
noncompliance in the workplace could indicate instructions that are vague or poorly
worded
➢ The correct personnel (by name or job title) are indicated in procedures.
In your organisation’s plans, policies and procedures there should be no inaccurate
information and no
room for misinterpretation. Regular review can help to ensure that plans, policies and
procedures
remain suitable and relevant.
Summative Assessments
The summative assessments are the major activities designed to assess your skills, knowledge and
performance, as required to show competency in this unit. These activities should be completed
after finishing the Learner Guide. You should complete these as stated below and as instructed by
your trainer/assessor.

Skills, knowledge and performance may be termed as:

 Skills – skill requirements, required skills, essential skills, foundation skills

 Knowledge – knowledge requirements, required knowledge, essential knowledge,

knowledge evidence

 Performance – evidence requirements, critical aspects of assessment, performance

evidence.

Section A: Skills activity

The skills activity is designed to be a series of demonstrative tasks that should be assessed by
observation (by the assessor or third party, depending on the circumstances).

It will demonstrate all of the skills required for this unit of competency – your assessor will provide
further instructions to you, if necessary.

Section B: Knowledge activity (Q & A)

The knowledge activity is designed to be a verbal questionnaire where the assessor asks you a series
of questions to confirm your competency for all of the required knowledge in the unit of
competency.

Section C: Performance activity

The performance activity is designed to be a practical activity performed either in the workplace or a
simulated environment. You should demonstrate the required practical tasks for the unit of
competency and be observed by the assessor and/or third party, as applicable to the situation. If the
third party is required to observe you, you will need to make the required arrangements with them.

If necessary for the activities, you should attached completed written answers, portfolios or any
evidence of competency to this workbook.
Section A: Skills activity
Objective: To provide you with an opportunity to show you have the required skills for this unit.

This activity will enable you to demonstrate the following skills:

Reading skills to:

 Interpret unfamiliar and complex materials describing regulatory requirements

 Research regulatory requirements specifically applicable to the business operation

Writing skills to:

 Write comprehensive yet easily accessible regulatory policies and procedures

 Complete complex documentation required by regulatory authorities

Oral communication skills to:

 Consult with regulatory authorities to determine the scope of compliance

requirements

Problem-solving skills to:

 Evaluate areas of business operation and determine scope of compliance

Planning and organising skills to:

 Research, establish and regularly monitor all components of a business compliance

system

Answer the activity in as much detail as possible, considering your organisational requirements.

1. Read the Copyright Act 1968. How could the requirements of this Act be incorporated into
organisational policy and procedure?

Copyright is a broad term that encompasses the exclusive economic rights of the creator or author
of an original work to control its use, reproduction and communication. A work must be in a
material form in order to be protected by copyright. Third-party copyright material means copyright
works created by someone other than you. Moral rights mean the automatic personal rights of an
author or creator to protect the integrity of their work. Takedown notice means a notice issued by a
copyright owner, or nominated agent acting on their behalf, outlining alleged unlawful activity on a
network or online environment.

Policies and procedures may relate to:

 information technology and computer usage
 computer security measures
 employment contracts, including responsibility for intellectual property
 confidentiality agreements within the organisation or among people who may need to know about the
copyright material, so as to keep the copyright secret prior to commercialisation
 2. Complete an application form for a license that your organisation requires. Do not submit this,
but attach the completed form to your workbook.

The Australian Business Licence and Information Service (ABLIS) is a primary source of
information about required business and occupational licenses. This service can be used to
research business and occupational license requirements and to submit applications for the
issuing or renewal or business and occupational licenses.
The website may be accessed at: https://ablis.business.gov.au/pages/home.aspx (Access
date: 07/06/16).

FORM INSTRUCTIONS

License Types

 Check the box for the license or licenses for which you are applying.
 If your license type is not listed check the “other” box and write in the name of your license.

License Actions

 Change Ownership: means you are applying for a liquor license at a business that has the same type of liquor
license for which you are applying and the liquor license is current (not expired).
 New Outlet: means you are applying for a liquor license at a location that currently doesn’t have a liquor
license.
 Greater Privilege: means you already have a Limited On-Premises Sales liquor license at a business
and you want to give up that liquor license and get a Full On-Premises Sales liquor license.
 Additional Privilege: means you already have a liquor license at a business and want to add another
liquor license at that business.
 Other. The most common actions are:
® Addition of Partner: means you are adding a person or legal entity as a license applicant
® Change of Location: means you are moving your existing business and the same liquor license to a different
location
® Second or Third Location: a Brewery-Public House licensee is allowed to apply for a second location; a
Winery licensee and Grower Sales Privilege licensee may apply for a third location

Entity or Individuals applying for the license

 Any person or legal entity (like a corporation or limited liability company) that will own or control the
business must be listed as an applicant. This includes a person or legal entity that will:
® Receive profits from the business
® Occupy the real property (either as an owner or tenant)
® Have control over the personal property
® Provide food service
® Manage or operate any part of the licensed premises other than as an employee
 If you are applying as a legal entity the name of the legal entity will be the applicant.
 If you are not applying as a legal entity then your name should be listed as the applicant.

Trade Name
 This is the name you will call the business (the name customers will see).

Business Location

 This is the street address of the location that will have the liquor license.

Business Mailing Address

 If you don’t want the OLCC to send you mail to your business location address, this is where the OLCC will
send your mail.

Business Numbers

 If you have phone and/or fax number for the business list it here; or
 If you don’t have a phone and/or fax number for the business leave this section blank.

Is the business at this location currently licensed by the OLCC

 If you are taking over a business where alcohol is made, sold, or served the current owner should be able to
tell you the type of liquor license at that location.

Will you have a manager?

 A manager is a person who is not an applicant or licensee; however this is a person who has decision-
making authority and whose primary duties include controlling the operation of the licensed premises and
its agents regarding the sale and service of alcohol. [This definition may apply to more than one
person.]
 If you will have a manager as described above, you must include a completed OLCC Individual History form
for this person with your application.

What is the local governing body where your business is located?

 The local government is the local city if your business address is within the city’s limits; or
 The local government is the local county if your business address is outside the city’s limits.

Contact person for this application

 This is the person the OLCC can contact.

Applicant Signature(s)

 Each individual person listed in the “Entity or Individuals applying for the license” section must sign the
application.
 If an applicant in the “Entity or Individuals applying for the license” section is a legal entity only one person who
is authorized to sign for the legal entity need sign the application.
3. Consult with a relevant regulatory authority to determine the scope of compliance in ONE
business area.

Contractors are workers who are not members of the organization, but who complete work on
behalf of the organization. Contractors may be from any industry, such as events managers for
one-off promotional days or tradesman for expanding a building’s premises.

Scoping is one of the keys to a successful compliance program. When scoping the
requirements, take into account all the relevant business, legal, regulatory, and contractual
compliance requirements. Requirements will vary from industry to industry and from country
to country.

Consulting with a relevant regulatory authority : Understanding the reasons for the various
rules, laws and regulations that govern your business will help you take advantage of any
benefits they offer while ensuring you stay in compliance at all times.
Obtaining a business license in your town and paying your taxes. The importance of
compliance is more evident as issues become more complex when your business grows. You
will have expanded responsibilities regarding your workers, covering hiring, firing,
discrimination, harassment, safety, wages, payroll and benefits. The way you make and sell
your product and service might fall under the auspices of a government agency, such as a
restaurant needing to meet health department guidelines.
1. Reduced Legal Problems
2. Improved Operations and Safety
3. Better Public Relations
4. Higher Employee Retention

4. Outline all components of your organisation’s business compliance plan. Where one does not
exist, use your knowledge of your organisation’s legal and regulatory requirements to draf
one.

An effective compliance plan includes the development, implementation, and adherence to

standardised operational compliance policies, procedures, standards of conduct, safeguards and
written guidelines that outlines an organisation’s expectations of its employees. Compliance plan
includes :

 Executive summary
 Market analysis
 Sales strategy
 Competitive Analysis
 Description of management and organisartion
 Company Description

Additionally :

 Management Commitment
 Written Compliance Program
 Continuous Risk Assessment
  Compliance Monitoring
 Compliance Auditing and Self-Assessment

You must consider your legal requirements when starting your business. If you do not follow
legislative requirements and regulations, your business can face serious penalties. A range of legal
requirements may affect your business.

Business structure
• You must keep all registrations for your business structure up to date. For example,
your business name must be renewed when due and you must lodge annual returns
if you operate a company.
• The Corporations Act 2001 (Cwlth) details requirements relating to companies and
financial products and services.
• Taxation requirements of businesses include GST and PAYG.
• If you go into a partnership, your solicitor should draw up a written contract before
you begin trading or make any financial commitments.
Leasing premises
• Retail shop leases must comply with the Retail Shop Leases Act 1994.
• Your solicitor should read any lease before you sign to ensure the terms and
conditions are appropriate and you understand your obligations before you
sign.
• If you operate a home business, your local council may limit the number of people
who can work there. You can use the local government directory to find contact
Section B: Knowledge activity (Q & A)
Objective: To provide you with an opportunity to show you have the required knowledge for this
unit.

The answers to the following questions will enable you to demonstrate your knowledge of:

 Legal responsibilities and liabilities of managers and directors in varying business

structures

 Sources of information and advice on regulatory compliance

 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

 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

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

o key practices that are prohibited by the law

o auditing and inspection regimes

o main consequences of non-compliance

o need to apply for and maintain business or occupational licensing and

associated mandatory training and certification requirements

o requirements for record keeping and acceptable record keeping mechanisms

o statutory reporting requirements for businesses

o key business insurances required

o adherence to mandatory codes of conduct enshrined in legislation

o requirements to develop and implement plans, policies, codes of conduct or

incorporate certain business practices

o rights and responsibilities of employees and employers

o other specific action that must be taken for legal compliance

  Opportunities to maintain knowledge of regulatory requirements

Answer each question in as much detail as possible, considering your organisational requirements
for each one.

1. What are your legal responsibilities in the context of your own business structure? What
liabilities will you face if you fail to fulfil these responsibilities?

Some of the most important obligations for directors include the duty to:

• act in good faith

• act in the best interests of the company
• exercise care and diligence
• prevent the company trading while insolvent, (when it is unable to pay its debts)
• report to the liquidator on the affairs of the company if the company is being
wound up
• help the liquidator (e.g. by giving the liquidator the company books and records
that the director may have in his/her possession).

Business owners have many different kinds of responsibilities under the federal, state, and local laws.
one important responsibility is to always consult with an attorney who is familiar with laws and
business obligations in your area to ensure you are in full legal compliance. The following are some
legal responsibilities that business owners have.

 Licenses, permits, and registration

 Taxes
 Human Resources
 Premises Liability
 Product Safety
2. Give examples of specific sources of information for your organisation from each of the
following categories:

 Industry associations

The Industry Associations industry is in the mature stage of its economic life cycle. Industry value
added, which measures an industry's contribution to the economy, is expected to grow by an
annualised 1.9% over the 10 years through 2022-23. This represents an underperformance compared
with Australian GDP, which is forecast to rise by an annualised 2.5% over the same period.

 Check out trade association websites for your industry (some info may not be open to non-
members).
 Follow trade associations on social media.
 Once you’ve “done your homework” with library resources, read about important companies
in the industry, investigated association web sites, and still don’t have all the information you
need...try contacting relevant associations with specific industry questions.

 Government departments or regulatory agencies

A government or state agency, often an appointed commission, is a permanent or semi-

permanent organization in the machinery of government that is responsible for the
oversight and administration of specific functions, such as an intelligence agency. There
is a notable variety of agency types. Although usage differs, a government agency is
normally distinct both from a department or ministry, and other types of public body
established by government. The functions of an agency are normally executive in
character, since different types of organizations (such as commissions) are most often
constituted in an advisory role— this distinction is often blurred in practice however A
regulatory agency (also regulatory authority, regulatory body or regulator) is a public
authority or government agency responsible for exercising autonomous authority over
some area of human activity in a regulatory or supervisory capacity. An independent
regulatory agency is a regulatory agency that is independent from other branches or
arms of the government.

University Libraries can help you locate information and publications from:

 the Federal government;

 the State of Ohio;
 local governments, including cities and counties;
 other political entities; and
 international governmental organizations.
 Reference books

Any written or printed composition of some length is called a book. It covers all
kinds of reading materials in any form, which serves the purpose of readers
whether for general or recreational reading or for study and research or for
more consultation as source of information. On the other hand a reference
book is usually consulted briefly to determine specific information.
3. Outline the functions and general operating procedures of at least ONE regulatory authority
for your specific industry/sector.

All organisations involved in the delivery or support of public health services are
required to comply with the general law including obligations of duty of care to
patients, as well as specific State and Commonwealth requirements designed to
regulate the functioning of public sector or health related bodies. A guide to key legal
obligations of public health organisations is available on the NSW Health website at:
www.health.nsw.gov.au/aboutus/legal/legal.asp All persons employed by, or providing
a service to, a public health organisation have legislative obligations, whether they are
clinicians caring for patients / clients, contractors, administrative or support staff,
senior managers or board members. Local health district management has a role in
ensuring and monitoring compliance with applicable legislation, the general law and
NSW Health policy. Clinical staff have a duty of care to their patient/clients; and these
staff should be familiar with relevant legislation, professional standards of practice,
and NSW Health policy directives and guidelines.
Information is readily accessible from professional associations (such as
Colleges, Guilds and registration and professional authorities); training bodies (such as
universities) and NSW Health
It may be necessary to communicate with regulatory authorities for a wide number of
reasons that may relate to requesting to undertake certain business activities, to
declare certain activities, or to request information.
For example, communication with a regulatory authority may be required in order to:
- Submit an application for a license or permit
- Renew licenses or permits
- Present business information for review
- Submit tax returns
- Declare activities
- Request materials, etc.
general operating procedures:
- Compliance testing
- Frequency of compliance testing
- Implement modifications
4. What are some methods of receiving updated information on laws and licensing
requirements?
Some qualifications, skill sets or units of competency have additional licence application
requirements. These requirements might apply nationally, or in a particular state or territory. Where
licensing requirements differ from the requirements of the training package, RTOs must ensure that all
aspects of the training package are met. Licensing requirements should be seen as additional to the
training package requirements.

- Regular meetings with HSRs and HSC members

- Regular workplace inspections and safety audits
- Hazard identification and risk assessments
- Health and safety issues on the agenda for every staff meeting
- Regular consultation with the health and safety officer
- Intranet notification system for WHS issues
- Suggestion box
- Health and safety signage and notices throughout workplace
- Formal health and safety issue resolution processes
- Regularly check sites for updated standards
- Join industry associations
- Attend trainings, conferences, and seminars
- Designate a compliance officer
- Outsource with experts

5. How are policies and procedures used in your organisation to manage regulatory compliance?

Workplace policies are statements of principles and practices dealing with the ongoing
management and administration of the organisation. Policies act as a guiding frame of reference
for how the organisation deals with everything from its dayto-day operational problems or how to
respond to requirements to comply with legislation, regulation and codes of practice. It is
important that policies are reasonable, that employees are aware and clearly understand what
the policy is trying to achieve. Policies are a statement of purpose, which highlight broad
guidelines on action to be taken to achieve that purpose. The statement of purpose should not be
more than one page in length, but this will vary depending on the policy.

 Provide effective documentation

 Ensure your policies are practical
 Clearly explain the benefits
 Monitor effectively
 Recognize and reward
6. Detail the proper format for and inclusions in policies and procedures for your organisation.

Every organization needs policies to guide its affairs. However, developing a policy is not as simple as it
might seem. There are a lot of things you need to do when creating one.

INTRODUCTION TO “POLICY”
To properly develop or write an effective policy, familiarize yourself with some basic concepts and
vocabulary.
You need to know what a policy is, why you should create one, the pros and cons of having a policy,
what good policy looks like, and your responsibility as a policy owner.

Why create a policy?

 With a standard policy in place, management becomes less stressful. Employees follow the policy
rules, unnecessary mistakes and misunderstandings are averted, and the organization runs
smoothly.
 A policy ensures that decisions are made fairly, whether they concern individuals or the organization
as a whole.
 It is the medium through which your organization’s plans, rules, and aspirations are made known to
all members of staff.
 A policy statement doubles as a legal document. It states clearly the employee-employer
relationship, putting both the interests of the organization and its employees into consideration.

The pros and cons of writing a policy.

Pros
Policies empower an organization’s employees
Give little or no room for errors
It encourages employee accountability
Cons
It might not allow for creative thinking
It could be interpreted in various ways
It needs to be updated regularly

Characteristics of a good policy

1. It is written in simple terms and clear language.

2. It has well-defined procedures. The procedures should clearly indicate how instructions in the policy
should be carried out.
3. The policy takes into consideration the benefits of the employees, making sure the rules are fair.
4. It is easy to understand so that employees can easily adhere to the rules.

Responsibilities of policy owners

o You are responsible for reviewing policies that may need updating.
o You determine who will be affected by the policy and ensure that their opinions are well represented in
the policy.
o You delegate authority to policy administrators who then ensure that there is the effective management
of the policy.
o You create a training plan that will help educate and train employees on the workings of the policy.

practices (staff recruitment, training, holiday leave arrangements, promotions,

performance appraisals, supervision)Complaints and disputes procedures
Case management procedures (how the agency determines eligibility for the service,
assesses client need and individual goal setting to address needs identified)
Occupational health and safety
procedures Conflict resolution
processes Communication
Delegations (who can make decisions about what, eg approval process for spending money)
Notification of child abuse procedures
Critical incidents
procedures
Confidentiality Referral
Duty of care
Coordination /networkig
with external agencies
7. Describe the objectives and primary components of at least THREE local, State, Territory and
Commonwealth government laws to which all businesses must comply and that cover:

 Anti-discrimination, especially provisions for equal employment opportunity (EEO) and

harassment

Anti-discrimination law refers to legislation designed to prevent discrimination

against particular groups of people; these groups are often referred to as protected
groups or protected classes. Anti-discrimination law may include protections for
groups based on sex, age, race, ethnicity, nationality, disability, mental illness or
ability, sexual orientation, gender, gender identity/expression, sex characteristics,
religious, creed, or individual political opinions.

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

The Australian Consumer Laws (ACL), being Schedule 2 to the Competition and
Consumer Act 2010, is uniform legislation for consumer protection, applying as a
law of the Commonwealth of Australia and is incorporated into the law of each of
Australia's states and territories. The law commenced on 1 January 2011,
replacing 20 different consumer laws across the Commonwealth and
force.

 Contracts
 Employer superannuation contributions

The purpose of the Employer Superannuation (Objective) is to establish the primary objective of the
superannuation system, and to provide that subsidiary objectives can be prescribed by regulation. The
contribution will also require the preparation of a ‘statement of compatibility’ for future or regulations
relating to changes in superannuation. There are a number of key laws that regulate the superannuation
system in Australia. These include:

• Superannuation Industry (Supervision) Act 1993—establishes the broad framework for the regulation of
superannuation funds and for payments into the system, investments and the requirements for eligibility
for tax concessions
• Superannuation Guarantee (Administration) Act 1992—establishes the framework for the superannuation
guarantee system that provides for compulsory employer contributions in certain circumstances and
• Income Tax Assessment Act 1997—includes many of the tax rules and rates relating to superannuation
contributions, investments and benefits.

 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

The Fair Work Act 2009 (Act) is the primary piece of legislation governing
Australia’s workplaces. It is the foundation to all standards and regulations for t
employment and something that employers in all industries and within all
business sizes should be familiar with. It started operation on 1 July 2009.
 Taxation
 Workplace relations
 Public liability and duty of care
 Work health and safety

Health and safety objectives are useful to create a health and safety program that aims at
reducing harm to your employees. In turn this is then will help to reduce the number of injuries
and illnesses within your workplace.

1. Increase the visibility of the business health and safety expectations across all
stakeholders, including suppliers and customers
2. Ensure all employees are aware of the Health and Safety procedures

Workplace relations:
According to the National Commission on Labour, “the goal of labour management relations may
be stated as maximum productivity leading to rapid economic development, adequate
understanding among employers, workers and Government of each other’s role in industry,
commitment to industry and to the individual way of life

Objectives of employer-employee relations are as follows:

 To develop and maintain harmonious relations between management and labour so
essential for higher productivity of labour and industrial progress in the country.
 To safeguard the interests of labour as well as management by securing the highest level of
mutual understanding and goodwill between all sections in industry.
 To establish and maintain industrial democracy based on the participation of labour in the
management and gains of industry, so that the personality of every individual is fully
recognised and developed.
 To avoid all forms of industrial conflict so as to ensure industrial peace by providing better
working and living standards to workers.

 Workers’ compensation, especially provisions for injury reporting and occupational

rehabilitation

Workers’ compensation helps lower the cost and impact of work-related injury and illness through:

 replacing income
 paying medical and rehabilitation expenses
 permanent impairment payments
 death entitlements.

Each state and territory has its own scheme and an authority that oversees it. The Commonwealth has 3
schemes.
Generally, the state or territory where a person works covers them. If they’re a Commonwealth employee,
the Commonwealth covers them.
Each scheme has different approaches to:
 coverage
 benefits
 return to work
 self-insurance
 common law
 dispute resolution
 cross-border arrangements.
8. Describe the objectives and primary components of laws, codes, standards and licensing
requirements of at least THREE of the following, in the context of your specific industry or
sector:

 Copyright Act 1968

It classifies the several sectors

1.Food service to vulnerable populations

2.Production and processing of oysters and other bivalves
3.Production of manufactured and fermented meat
4.Catering operations

Objectives may include:

 the purpose and character of the dealing;
 the nature of the work or adaptation;
 the possibility of obtaining the work or adaptation within a reasonable time at an ordinary
commercial price;
 the effect of the dealing upon the potential market for, or the value of, the work or
adaptation; and
 where only a part of the work is copied, the amount and substantiality of that part compared
to the whole work or adaptation. [20]

 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

The Australia New Zealand Food Standards Code (the Code) sets legal requirements for the labelling,
composition, safety, handling, and primary production and processing of food in Australia. The Code is
applied and enforced in Victoria under the Food Act 1984.

 Liquor licensing, especially as it relates to the responsible service of alcohol

 Privacy Act 1988

You have a right to have your personal information kept private. We adhere to laws in social security,
health, child support, redress and disability services.

 Queensland Tourism Services Act 2003

 Residential Tenancy Act
 Responsible conduct of gaming regulation

9. Create a presentation on ONE relevant law, standard or licensing requirement, which shows
the following depth of knowledge:

 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

PPT ATTACHED

10. List possible opportunities to maintain knowledge of regulatory requirements. Make these
specific to your organisation where possible.

5 golden techniques to maintain knowledge of regulatory requirements:

HSRs need to have a wide range of WHS knowledge, including:

• The organisation's current requirements and obligations in accordance with legislation,

regulation and codes of practice

• How to conduct WHS induction

• The types of incidents that are notifiable

• Requirements for consultation in the workplace

• How to advise on safe work practices

• The process for WHS audits and accident investigations

• Review internal process to follow up with regulatory changes

• Use a compliance software and review it regularly

• Build a team to keep track of regularty changes

• Many EHS blogs that publish regulatory news and updates. For example, you can
subscribe to our blog for industry news, regulatory changes, tips, and resources just for
EHS professionals. Here are some other great EHS blogs to check out.

• Good relationship with your regulators puts you in a position to provide feedback on
how new rules are created. Once drafted, regulators may also seek comments on the
proposed rule. Participating in the rulemaking process helps regulators improve their rules,
and ensures that your voice is heard.
Section C: Performance activity
Objective: To provide you with an opportunity to demonstrate the required performance
elements for this unit.

This activity will enable you to demonstrate the following performance evidence:

 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:

o sources of detailed information and advice on regulatory compliance

o objectives and primary components of a broad range of local, state, territory

and commonwealth government laws relevant to the specific to the business
operations

o use of policies and procedures in managing regulatory compliance.

Answer the activity in as much detail as possible, considering your organisational requirements.

1. Access and interpret regulatory information and determine the scope of compliance for the
operations of your organisation in relation to at least SIX different areas of compliance.

 Funding bodies, such as Commonwealth and State Government departments.

 Peak bodies (organisations that represent the interests of those working in the community and social
services sector, for example, Queensland Council of Social Services (QCOSS) http://www.qcoss.org.au
 Industry-wide awards and levels, e.g. the Social and Community Services (SACS) award
http://www.asu.asn.au/sacs/
 Organisational structures. For example, does your role include an administrative role as well as a client
service role?
 Internal policies and procedures. For example, you might be the allocated WH&S representative for your
team.
 Commonwealth and State Government standards and guidelines based on legislation,
e.g. Disability Service Standards or Standards of Care for Child in Care.

Compliance officers can help business units to define the risks they should include in their risk self-
assessment. You can also help business units implement policies, procedures, or controls that make
sense for their operations. The business unit owns the risk, but the steps it takes to control that risk
are ones the business unit devised with the advice and consent of the compliance team — that’s the
ideal arrangement you’re trying to achieve
Scope of compliance for the operations of your organization :
o Reduced legal problems
o Higher operations and safety
o Better public and employe relation
o Improve safety
 Six Area Of compliance
 Advisory
 Indentification
 Resolution
 Detection
 Monitoring
 Prevention
2. Develop policies and procedures for legal compliance with each of the areas of compliance
selected in question 1.
DEVELOPING COMPLIANCE POLICIES AND PROCEDURES

Compliance policy and procedure documents are the foundation of any compliance program, both in terms of
organization and management of the program. These document also facilitate compliance with applicable laws,
regulations and standards by compliance high risk operational areas. Some organizations post their own policies
online and are free to download. If using this approach care must be taken when copying and pasting another
organization’s document.

 Claims Development & Submission

 Clinical Research
 Coding
 Cost Reports
 Human Resources Management
 Quality of Care
 Recovery Audit Contractors
 Stark Law
 what would be expected of a ‘reasonable’ person in the same situation
 the worker’s roles and responsibilities within the organisation
 the worker’s training and experience
 the practicalities of the situation
 current community values relating to acceptable practice
3. 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 business operations
 Use of policies and procedures in managing regulatory compliance

This activity will need to be observed, and a signed record of this observation (completed by
the assessor or third party) should be uploaded in your answer. It should detail what was
done, when it was done, the time it was completed in, the completed actions and the overall
outcome of the tasks.

This fact sheet provides an overview of the legal, operational and business issues relevant to the retail and
wholesale trade industry, which includes businesses that sell or distribute goods

Establishing effective policies and procedures does not begin and end with regulations. It takes the right
amount of collaboration, the right types of distributive mediums, and the right methods to measure
understanding. All of these things take an enormous amount of time and energy, but automating them with a
software solution can increase efficiency, and ensure compliance with your policies and procedures. Here are 5
steps to ensure compliance, and what software features to look for to choose the best possible solution
Workplace Documentation – for learner
Workplace documents checklist
To demonstrate and support workplace knowledge, workplace documents can be submitted to the
assessor or third party. Indicate in the table below the documents that have been provided. Please
refer to your trainer/assessor if clarification is required or if you have any further questions on what
you are able to provide or use.

Document name/description Document attached

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

For RTO use only

Have originals or digital copies been supplied for the workplace Yes No (Please circle)
documents?

If not originals, have the originals been validated or checked? Yes No (Please circle)
JASPREET SINGH
Learner’s signature

Assessor’s signature
Supplementary Oral Questions (optional) – for assessor
The below table is for you to document any supplementary verbal questions you have asked the
learner to determine their competency. For example, if you are unsure of their answer to a question
in the Learner Workbook, you may choose to ask them a supplementary question to clarify their
understanding of the relevant criteria.

JASPREET SINGH
Learner’s name

Assessor’s name

Unit of Competence
(Code and Title)

Date of assessment

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Feedback for the learner

I have read, understood, and am satisfied with the feedback provided by the assessor.
JASPREET SINGH
Learner’s name
JASPREET SINGH
Learner’s signature

Assessor’s name

Assessor’s signature
Competency as recorded by Assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the overall unit. Indicate in the table below if the learner is deemed
competent or not yet competent for the unit or if reassessment is required.

Learner’s name JASPREET SINGH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment
Activities List 1A-1E, 2A-2D, 3A – 3C, 4A – 4C S NS
Have the activities been answered and performed fully, as required to assess Yes No
the competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activities? (Please circle)
Comments from trainer/assessor:

Summative Assessments: Section A checklist S NS

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)
Comments from trainer/assessor:

Summative Assessments: Section B checklist S NS

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)
Comments from trainer/assessor:

Summative Assessments: Section C checklist S NS

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)
Comments from trainer/assessor:

Unit Result
Has the learner completed all required assessments to a satisfactory Yes No
standard? (Please circle)

Has sufficient evidence and information been provided by the learner to Yes No
prove their competency across the entire unit? (Please circle)

Has the learner completed all required assessments to a satisfactory Yes No

standard? (Please circle)

Has sufficient evidence and information been provided by the learner to Yes No
prove their competency across the entire unit? (Please circle)
Comments from trainer/assessor:

The learner has been assessed as competent in the elements and performance criteria and the evidence has
been presented as:

Yes No
Authentic
(Please circle)

Yes No
Valid
(Please circle)

Yes No
Reliable
(Please circle)

Yes No
Current
(Please circle)

Yes No
Sufficient
(Please circle)

The learner is deemed: Not yet Competent Competent

If not yet satisfactory, date for reassessment:

Comments from trainer/assessor:

JASPREET SINGH
Learner’s signature

Assessor’s signature