SITXGLC001.priyanka Verma, PDF

Unit Result Record Sheet
SITXGLC001
Research and comply with regulatory requirements
Student Name:
PRIYANKA
BLOCK Print
VERMA
Student Number:
HP042000092
BLOCK Print
Assessment Reassessment
Completed Result Completed Result
(If required)
Satisfactory
Satisfactory
Satisfactory
Satisfactory
Date
Date
Not Yet
Not Yet
Reassessed
Assessed
(Evidence must be in
(Evidence must be
students file)
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
Student Signature:
Student Name: PRIYANKA VERMA Student ID: Hp042000092
Received by Australian College of Trade:
NAME: Signature: Date:

UNIT: SITXGLC001 Research and comply with regulatory requirements
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SITXGLC001
Research and comply with
regulatory requirements
Learner Workbook
VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019

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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

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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.

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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.

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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.

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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.

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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:

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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.
Answer: Every organization needs the following list of sources of information for compliance
with law :
 Local, state, territory or commonwealth government
departments or regulatoryagencies
 Industry associations
 Plain English documentation that explains the operational requirements of
legislation
 Computer data
 Discussions with experienced industry personnel
 Industry:
o accreditation operators
o associations and organizations
o journals
o seminars
 Libraries
 Media
 Personal observations and experience
 Unions.

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Activity 1B
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.
Answer:
All organisations must comply with legislation relating to the following:
 Anti-discrimination, especially provisions for equal employment
opportunity (EEO) andharassment
 Contracts
 Employer super annuation 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 andprotecting 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.

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Activity 1C
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.

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Activity 1D
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.
Answer: Laws and licensing regulations are in place to protect customers and employees and to
ensure thatbusiness operations run fairly, honestly and to acceptable standards.
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 non- compliance for the client include:

 Injury
 Dissatisfaction.
Regulations:
 Copyright Act 1968

 Criminal Code Act 1995 as it relates to child sex offences outside Australia
 Responsible conduct of gaming regulation.

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Activity 1E
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?
Answer: 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 resolvedwithout a third party, e.g. court proceedings
 A complaint brought forth by a customer against the organisation
cannot be resolvedwithout a third party, e.g. court proceedings
 The organisation has been accused of non-compliance by a regulatory body
How might you seek specialist legal advice?

Answer: Seeking special legal advice may include:
 Consulting with inhouse lawyers or legal representatives
 Hiring an external legal consultant, lawyer
 Consulting with in-house lawyers or legalrepresentatives
 Hiring an external legal consultant, lawyer or lawfirm
 Seeking advice from an agency with specialist legalknowledge, for example:
o the Fair Work Commission
o the Australian Competition and ConsumerCommission
o the Australian Department of Employment.

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Activity 2A
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.
Answer:
Every Employee Handbook should have the following sections and pieces.
 The Disclaimer. This states that the handbook is not a contract of employment. ...
 Company Goals and Mission Statement. ...
 Anti-Discrimination and Sexual Harassment Policies. ...
 Conduct Standards. ...
 Leave Policies. ...
 Compensation. ...
 Employee Benefits. ...
 Conflict Resolutio

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Activity 2B
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?
Answer: The roles and responsibilities of the compliance officer may include:
 To identify risks, i.e. where regulatory policies andprocedures are not being
fulfilled
 To prevent risks, i.e. to put control measures in place tomanage compliance
with regulatory policies and procedures
 To monitor and report on the effectiveness of thesecontrol measures
 To address non-compliance where it occurs
 To report back on compliance issues to the organisationand 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?
Answer: 1 Executive officers
2 Research and development team
3 Operations and production team
Their roles and responsibilities:
Executive officer role - are responsible for keeping the ship afloat. They work with all of the teams
to create synergy and hold them accountable.
Research and development team role - has the responsibility of being innovative and keeping up
with the latest trends and developments in whatever field the company is in. For example, tech
companies like Apple have to stay innovative and creative for customers to care about their
products.
Operations and production team role - 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.

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Activity 2C
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.
Answer: Employees need to be aware of their legal obligations and also their legal rights. This can
be achieved byproviding 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 orrepeated instances of non- compliance
 When there is a change in a worker’s personal role or set of responsibilities.
Distributing information about policies, proceduresand legal information to workers at
appropriate times can help to ensure that they have sufficient knowledge to complete work
tasks in accordance with the relevant regulatory requirements for theirrole.

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Activity 2D
Objective To provide you with an opportunity to discuss information updates.
When may an information update be required on policies, procedures and legal requirements?
Answer: 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.
Updates are important to ensure that employees’ knowledge stays current, as well as providing an
opportunity for knowledge of older materials to be refreshed.
How might information updates be organised?

Answer: Information updates might be organized as follows:
 Organised trainingsessions or group meetings
 Annual/bi-annualsessions
 Re-issue of handbooks orother materials
 Updates on online portalsand learning systems
 Circulated notices
 Presentations

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Activity 3A
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.
Answer: Following are the regulating authorities that govern our Gaming industry:
 ACT Gambling and Racing Commission
 NSW Office of Liquor, Gaming and Racing
 NSW Independent Liquor and Gaming Authority
 NT Department of Business
 QLD Office of Liquor and Gaming Regulation
 SA Consumer and Business Services
 TAS Department of Treasury and Finance
 VIC Commission for Liquor and Gaming Regulation
 WA Department of Racing, Gaming and Liquor

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Activity 3B
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.
Answer: The Australian Business Licence and Information Service (ABLIS) is a primary source of
informationabout required business and occupational licenses.
Businesses that commonly require a licence include:
 security providers
 second-hand dealers
 motor dealers and salespeople
 pest control operators
 building trades
 transport operators
 food and beverage companies.
What are some of the things that a contractor may need to have to be operating legally?
Answer: Contractors are workers who are not members of the organization, but who co mplete
work on behalf of the organization
Contractor 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
What are some things that may indicate that a contractor is acting in compliance with their
legal requirements?
Answer: Some research may be done from within the organisation, such as using online
searches to check whether companies are registered with the relevant industry bodies and
agencies and whether they really have any advertised accreditations. Alternatively, external
research agencies may be able to verifya company’s legitimacy and legality
 Documentation of licenses, permits, etc.
 Registration with relevant industries andassociations
 Relevant accreditations, etc.

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Activity 3C
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.
Answer: Our business operation relates with marketing where marketing goals template can be
use.
Marketing goals Template: This template is designed to help you set annual stategy and show the
success metrics for each goal. It is useful, for example, when you need to provide strategic
overview of your marketing strategy to executives or advisory boards. You can also use this
template to align the marketing team around a common set of objectives.
Another template is Marketing initiative
Use this template to visualize the high-level work needed to achieve your marketing goals. You can
change the color of each bar to track the status of your initiatives. This makes it easy to share your
planned initiatives and report on the progress. It also provides the marketing team with high-level
direction for planning activities such as go-to-market launches, campaigns, and content.

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Activity 4A
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?
Answer: Methods that can be use to maintain knowledge are:
 Discussions with experienced industry personnel
 Subscribing to regulatory newsletters
 Participating in training courses
 Membership of professional industry associations
 Participating in industry seminars
 Networking with colleagues
 Participating in industry accreditation schemes

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Activity 4B
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?
Answer: In our organisation these methods of organizational communication can be use:
 Team meetings/briefings
 Updates to online learning portals
 Email
 Re-issuing of policy and procedure
 Change of signs and notices in workspaces
 Training sessions
 Notice boards or other memos

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Activity 4C
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.
Answer: Our organization plan is to provide new services with new equipment.
Reviewing this plan
Plans, policies and procedures must be regularly reviewed to ensure that they are current and
accurate
Plans, policies and procedures cover all business operations; especially relevant if the organization
has initiated new work practices, such as offering new services or working with new equipment

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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.

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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?
Answer: Commonwealth Copyright Act (1968) provides the legislative framework for the copying and communication
of print, electronic, and audio-visual material at the University of Notre Dame Australia. The provisions of the act
apply to the research and teaching activities of both staff and students. The Copyright Act gives authors and other
copyright owners of original 'works' the exclusive right to reproduce, publish, communicate, and adapt their material;
and to licence, transfer, or sell it to other people.
Copyright infringement
Copyright is infringed if a person does or authorises the doing, in Australia, of any act falling within the copyright in a
work without the copyright owner’s permission. [16] Such conduct must relate to the whole or a ‘substantial’ part of the
work, and the test of substantiality refers primarily to the quality of what is taken

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2. Complete an application form for a license that your organisation requires. Do not submit this,
but attach the completed form to your workbook.
Features
Guided search provides business operators with information to start, grow, or close their business.
Custom search helps business operators find a specific form or service directly if they already know what
they are looking for.
State and territory governments or third party business advisory services can use ABLIS data to develop
Application Programming Interfaces (APIs). The APIs can provide a seamless end-to-end experience
within your jurisdiction’s existing user interface.
Streamlined question and answer process helps businesses get the information they need specific to
their business and circumstance.
Information is accessible to users of all ability levels and available on any device
3. Consult with a relevant regulatory authority to determine the scope of compliance in ONE
business area.
Compliance means to ensure that business practice and processes are aligned at commonly accepted norms. Companies
are expected to comply with an increasing number of regulations of different origin and complexity.
- Agreements
- Employer contributions to superannuation
- Hazard detection and mitigation, as well as the use of low-impact procedures and incident reporting
- Local community protection, including rules for land management and access, as well as preserving nearby
people' lifestyles, is provided under the Fair Work Act of 2009, which includes the National Employment
Standards sections (NES).
- Workplace relations
- Public liability and duty of care
- Work health
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 draft
one.
Answer: Components of our business compliance plan:

 Executive Summary. Your executive summary should appear first in your business plan.
 Company Description.
 Market Analysis.
 Competitive Analysis.
 Description of Management and Organization
 Breakdown of Your Products and Services
 Marketing Plan
 Sales Strategy

P a g e | 26
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

P a g e | 27
 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?
Answer: Legal responsibilities of our business:
 Register business
 Tax obligation
 Contractual agreement
 License
Liabilities
 Fines
 Penalities
 If a director is found to have been careless or dishonest in their obligations, they
may face significant fines. As the company watchdog, the Australian Securities and
Investment Commission (ASIC) investigates corporate crime and may take a number
of actions against directors who fail to meet their obligations. Significant fines and
property damage are among the consequences
2. Give examples of specific sources of information for your organisation from each of the
following categories:
 Industry associations-
 Code of conduct or ethicsdevelopers
 associations andorganisations
 accreditationproviders
 periodicals
 conferences
 Government departments or regulatory agencies

P a g e | 28
 Government departments or regulatory agencies in the local, state, territory, or
Commonwealth
 Reference books –
 Libraries
 Online sites

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3. Outline the functions and general operating procedures of at least ONE regulatory authority
for your specific industry/sector.
Answer: Australian Prudential Regulation Authority :
APRA's role
The Australian Prudential Regulation Authority (APRA) is an independent statutory authority that supervises
institutions across banking, insurance and superannuation, and is accountable to the Australian Parliament.
APRA was established by the Australian Government on 1 July 1998 following the recommendations of the Wallis
Inquiry into the Australian financial system. Prudential regulation is concerned with maintaining the safety and
soundness of financial institutions, so that the community can have confidence that they will meet their financial
commitments under all reasonable circumstances.
APRA oversees:
 authorised deposit-taking institutions (such as banks, building societies and credit unions)
 general insurers
 life insurers
 friendly societies
 private health insurers
 reinsurance companies, and
 superannuation funds (other than self-managed funds).
Under the legislation that APRA administers, APRA is tasked with protecting the interests of depositors, policyholders
and superannuation fund members.
4. What are some methods of receiving updated information on laws and licensing
requirements?
Answer: Methods of receving updated information on laws:
 Monitor regulatory agency websites. The most obvious way to stay on top of regulatory changes is to go straight to
the source. ...
 Follow regulatory agencies on social media. ...
 Subscribe to blogs & newsletters. ...
 Join industry associations. ...
 Attend conferences. ...
P a g e | 30
 Implement compliance software.
5. How are policies and procedures used in your organisation to manage regulatory compliance?
Answer:
Together, policies and procedures provide a roadmap for day-to-day operations. They ensure compliance with laws
and regulations, give guidance for decision-making, and streamline internal processes. However, policies and
procedures won't do your organization any good if your employees don't follow them.
In this way policies and procedure used to manage regulatory compliance:

 Consistent process and structure
 Better quality structure
 A safer workplace

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6. Detail the proper format for and inclusions in policies and procedures for your organisation.
Answer:
It's possible that policy and procedure will be more clearly described if:
- Instructions and explanations are given that are appropriate for the group's knowledge and experience.
 stay away from technical jargon
 When possible, use precise terms.
- Policies and procedures are explained in terms of specific job functions.
- Procedures and policies are described in terms of how they can be applied to specific job tasks.
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
 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
P a g e | 32
 Work health and safety
 Workers’ compensation, especially provisions for injury reporting and occupational
rehabilitation
Answer: Fair Work Act 2009: The Fair Work Act is one of the key Commonwealth statutes governing the
employment of mature age workers. It provides for terms and conditions of employment and sets out the rights and
responsibilities of employees, employers and employee organisations in relation to that employment.
 The Fair Work Act regulates ‘national system’ employers and employees. [51] Employment that is not covered
under the national industrial relations system remains regulated by the relevant state industrial relations
systems. However, some entitlements under the Fair Work Act extend to non-national system employees. The
Act also creates a compliance and enforcement regime and establishes several bodies to administer the Act,
including Fair Work Australia (FWA) and the FWO.
Australian Consumer Law : The Australian Consumer Law (ACL) includes:
 a national unfair contract terms law covering standard form consumer and small business contracts;
 a national law guaranteeing consumer rights when buying goods and services;
 a national product safety law and enforcement system;
 a national law for unsolicited consumer agreements covering door-to-door sales and telephone sales;
 simple national rules for lay-by agreements; and
 penalties, enforcement powers and consumer redress options.
Work Health and safety: A health and safety management system provides a structured and systematic approach to
successfully manage a range of issues in any business. Whilst it is good practice to have such a system, it is also a
proven method of managing health and safety risks in the working environment.
Greencap’s team of highly-experienced management consultants work with a broad range of organisations to successfully
implement management responses to their environment, health and safety and property risks. Considerable emphasis is
placed on integrating environmental, health and safety and property risk management systems within existing business
processes.

P a g e | 33
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

 Criminal Code Act 1995 as it relates to child sex offences outside Australia
 European Economic Directive of Foreign Travel
 Food safety
 Food Standards Australia New Zealand Act 1991
 Liquor licensing, especially as it relates to the responsible service of alcohol
 Privacy Act 1988
 Queensland Tourism Services Act 2003
 Residential Tenancy Act
 Responsible conduct of gaming regulation
Answer:
1. Privacy Act 1988: The Privacy Act 1988 (Privacy Act) was introduced to promote and protect the privacy of
individuals and to regulate how Australian Government agencies and organisations with an annual turnover
of more than $3 million, and some other organisations, handle personal information.
2. Residential Tenancy Act : The Act and the regulations set out a standard residential tenancy agreement that
gives rights and obligations to landlords and tenants. The Act gives the NSW Civil and Administrative Tribunal
(NCAT) power to hear and settle disputes about residential tenancies, including bond disputes.
3. Food Standards Australia New Zealand Act 1991: Food Standards Australia New Zealand’s (FSANZ) is
responsible for developing and managing standards for food.
 Its role is to protect the health and safety of people in Australia and New Zealand by maintaining a safe food supply.
 Some of the standards FSANZ develops are for Australia and New Zealand, others are for Australia only.
 Overall, the Australian and New Zealand standards for food are known as the Food Standards Code.
 Food standards are enforced by Australian state and territory governments, the Commonwealth Department of
Agriculture (for imported food), and the New Zealand Government.
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
Answer: Rights and responsibilities of employees and employers
Employees have responsibilities towards their employers, even if they work part time or don’t have a written
contract with their employers.
These are the main responsibilities of employees:
P a g e | 34
• to personally do the work they were hired to do
• to do their work carefully and seriously (In some cases, they could be fired or disciplined if they’re often late
for work, or if they’re absent too often or for no good reason.)
• to avoid putting themselves or others in danger
• to follow their employer’s instructions (There are some exceptions. For example, if an employer asks an
employee to do something dangerous or illegal, the employee doesn’t have to follow these instructions.
• to be loyal
Employers’ Responsibilities Towards Employees

These are the main ones:
• Employers must give their employees a place to work and make sure they have access to it. They must give
them the tools, equipment and other things they need to do their work.
• Employers must pay their employees the salary and benefits they agreed to, including vacation, paid holidays
and other types of holidays.
• Employers must make sure their employees’ working conditions are safe.
• In some cases, employers must give their employees written notice
10. List possible opportunities to maintain knowledge of regulatory requirements. Make these
specific to your organisation where possible.
Answer: Opportunities to maintain knowledge of regulatory requirement:

 Current duties and obligations of the organisation in accordance with legislation, regulation, and
standards of practice
 Conducting WHS inductions
 What types of incidents must be reported
 Requirements for consultation in the workplace
 Investigation
 How to give safe-work-practices advice
 Workplace safety checks and accidents

P a g e | 35
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.
Answer: Scope of compliance for the operations of our organization:
 Reduced legal problems

 Improved operations and safety
 Better public relations
 Higher employee retention
Areas of compliance:
1. Identification
2. Prevention
3. Monitoring
4. Detection
5. Resolution
6. Advisory

P a g e | 36
2. Develop policies and procedures for legal compliance with each of the areas of compliance
selected in question 1.
Answer: Policies can be developed with these:
1. Identify need:
 In anticipation of need (e.g. child protection policies should be in place once an organisation starts to
work with children or young people); and
 In response to need (e.g. a policy position on a government strategy may be developed in response to
a consultation paper).
2. Identify who will take lead responsibility:
 Delegate responsibility to an individual, working group, sub-committee or staff
members, according to the expertise required. (More on the management
committee's role in policy development).
3. Gather information
 Do you have any legal responsibilities in this area? Is your understanding accurate
and up to date?
4. Draft policy
 Ensure that the wording and length or complexity of the policy are appropriate to those who
will be expected to implement it.
5. Consult with appropriate stakeholders
 Policies are most effective if those affected are consulted are supportive and have the
opportunity to consider and discuss the potential implications of the policy. Depending on
whether you are developing policies to govern the internal working of the organisation or
external policy positions, you may wish to consult
6. Finalise / approve policy
 Who will approve the policy? Is this a strategic issue that should be approved by the
Management Committee or is the Committee confident that this can be dealt with
effectively by staff?
7. Monitor, review, revise
 What monitoring and reporting systems are in place to ensure that the policy is
implemented and to assess usage and responses? On what basis and when will the policy
be reviewed and revised (if necessary)?

P a g e | 37
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.
Answer: Regulatory compliance is an organization's adherence to laws, regulations, guidelines and specifications
relevant to its business processes. Violations of regulatory compliance often result in legal punishment, including
federal fines.
Examples of regulatory compliance laws and regulations include the Dodd-Frank Act, Payment Card Industry
Data Security Standard (PCI DSS), Health Insurance Portability and Accountability Act (HIPAA), Federal
Information Security Management Act (FISMA), Sarbanes-Oxley Act (SOX), EU's General Data Protection
Regulation (GDPR) and the California Consumer Privacy Act (CCPA).

P a g e | 38
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)
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)
Learner’s signature Priyanka Verma
Assessor’s signature

P a g e | 39
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.
Learner’s name Priyanka Verma
Assessor’s name
Unit of Competence
(Code and Title)
Date of assessment
Question:
Learner answer:
Assessor judgement: Satisfactory Not Satisfactory
Question:
Learner answer:

P a g e | 40
Question:
Learner answer:
Question:
Learner answer:
Question:
Learner answer:

P a g e | 41
Feedback for the learner
I have read, understood, and am satisfied with the feedback provided by the assessor.
Learner’s signature PRIYANKA VERMA
Assessor’s name

P a g e | 42
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.

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)
activity? (Please circle)
Summative Assessments: Section B checklist S NS

Summative Assessments: Section C checklist S NS


P a g e | 43
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)
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:
Learner’s signature Priyanka Verma

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Unit Result Record Sheet

Result for unit Competent Not Yet Competent

Student Name: PRIYANKA VERMA Student ID: Hp042000092

Received by Australian College of Trade:

NAME: Signature: Date:

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

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

 Address each question including any sub-points

 Demonstrate that you have researched the topic thoroughly

 Cover the topic in a logical, structured manner

 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

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

Assessment appeals process

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

Recognised prior learning

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

An explanation of observations and demonstrations:

The observation will usually require:

 Performing a work-based skill or task

 Interaction with colleagues and/or customers.

A demonstration will require:

 Performing a skill or task that is asked of you

 Undertaking a simulation exercise.

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

Third Party Guide

The reasons to use a third party may include:

Third party details (where required from the learner)

Third party name:

Position of third party:

Declaration for nominated third party

Third party signature: Date:

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

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

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

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

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

Potential consequences of non-compliance for individuals include:

Potential consequences of non-compliance for the organisation include:

Potential consequences of non- compliance for the client include:

 Copyright Act 1968

 Responsible conduct of gaming regulation.

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

How might you seek specialist legal advice?

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

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

All or some of these responsibilities may be assigned to one worker, depending on

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

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

How might information updates be organised?

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

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

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

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

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

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

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

Skills, knowledge and performance may be termed as:

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

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

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