The Imperial College of Australia

SITXGLC001 - Research and comply with regulatory requirements

PROJECT – C

Learner assessment guide and evidence

This assessment requires you to create a business compliance system for one area of business
operations through researching information required, establishing the compliance system and monitoring
it.

You are required to do the following.

 Complete Tasks 1, 2, 3 and 4.

 You are to provide answers to each of the questions in a separate document using MS Word or
similar word processing tools. Your document should be professionally formatted with question
retyped and answered,
 You must answer all questions satisfactorily to achieve competency in the unit.
Task 1: Research business compliance requirements

Question and answer

Q1: You’re the manager of a new travel, tourism, and hospitality or events business. Describe the
nature of your business and its operations. (Describe 5 scenarios)

Q2: You’re responsible for planning and creating a business compliance system to ensure the
establishment’s compliance with legal and licensing requirements. Which area of business
operations would you like to start with? (List minimum 3 examples)

Q3: Which of the regulatory requirements listed do you need to research for the area of
operations you chose in question 2? Tick/list them. (Individual response required based on chosen
operation)

 Anti-discrimination (including EEO and harassment)

 ACL (including refunds, exchanges and cancellations, terms and conditions of quotations
and consumer contracts)
 Contracts
 Employer superannuation contributions
 Environmental protection (including hazard identification, minimal impact practices and
incident reporting)
 Fair Work Act 2009 (including NES)
 Local community protection (including land management, land access and protecting
neighbours’ lifestyles)
 Taxation
 Workplace/industrial relations
 Insurances (including public liability and workers’ compensation which also includes injury
reporting and occupational rehabilitation)
 WHS
 Workers’ compensation especially injury reporting and occupational rehabilitation
 Criminal Code Act 1995 – child sex offences outside Australia
 European Package Travel Directive
 Food safety and Food Standards Australia New Zealand Act 1991

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 Liquor licensing and RSA
 Responsible conduct of gaming
 Queensland Tourism Services Act 2003
 Residential Tenancies Act 1997
 Travel agents licensing
Q4: Consult with regulatory authorities and evaluate your area of business operations to determine the
scope of compliance requirements. List the local, state, territory and commonwealth government
laws, codes, standards or licensing requirements you need to comply with and the consequences
of non-compliance for you as the manager and for the business as a whole. (List minimum 6)
Task 1.1 Communicate with regulatory authorities
 Communicate with regulatory authorities to acquire any necessary forms and complete them so
they’re ready for submission.
 Submit the completed forms with this Task
Question and answer
Q1: List all the sources you accessed and authorities you contacted to gather regulatory information
specific to your area of business operations.
Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted
and the advice they gave.
Task 2: Establish a business compliance system

 Based on your research in Task 1, develop the necessary regulatory policies and procedures and
document them in a format that workers can access and understand.
 Examples of policy and procedure formats and inclusions are included in the multimedia content
of this unit for your reference.
 Remember to include the following as they relate to your business and area of compliance.

 Staff roles and responsibilities for regulatory compliance including:

 any requirements to develop and implement plans, policies, codes of conduct or incorporate
certain business practices
 how to adhere to mandatory codes of conduct enshrined in legislation
 rights and responsibilities of employees and employers
 other specific actions that must be taken for legal compliance.
 Key practices prohibited by law.
 Auditing and inspection regimes.
 Mandatory training and certification requirements. This could be in the form of a training register,
training plan and/or policy.
 Requirements for record keeping and acceptable record keeping mechanisms.
 Statutory reporting requirements for businesses.
 Submit the documented policies and procedures to your assessor.

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Question and answer

Q1: Describe how you intend to get updated information on laws and licensing requirements (List 3
examples)
Q2: Describe how and at what times you are going to distribute the policies, procedures, information
updates and associated legal information to personnel. (List 6 examples)
Q3: How are you going to check that all personnel understand their roles and responsibilities for legal
compliance? (List 3 examples)
Q4: How is a compliance policy used to manage regulatory compliance?
Q5: What insurances will you need to purchase to minimise risk to the business? (List 3 examples)
Task 3: Monitor the compliance system
Question and answer
Q1: What system will you use to maintain business and occupational licences? (List 2 examples)
Q2: How will you check contractor compliance? (List 2 examples)
Q3: Evaluate your area of business operation over a period of time. List any non-compliance you
identified and describe how you implemented modifications to comply in each case. If you created
a fictitious scenario for this assessment task, create an area of non-compliance on which to base
your response to this question. For example, if you developed a policy for inducting new employees
on correct handling of confidential files, you might describe a non-compliance such as employees
sharing login details to the customer database.
Q4: Describe any opportunities you identified to maintain knowledge of current regulatory requirements.
What new information did you learn in each case? If you used a fictitious scenario for this
assessment activity, describe the type of opportunities you would look for to maintain currency of
knowledge. (List minimum 5 examples)
Q5: How did you, or would you, communicate the updated regulatory information in question 4 to
others? (List 7 examples)

Task 3.1 Revise your policies

 Review and change two of the policies or procedures you wrote in Task 2 in light of the updated
information so that they comply with the most current laws and licensing requirements.
 Highlight the changes.
 Submit the revised documents to your assessor.

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Task 4: Portfolio of evidence

Q1: In tasks 1 to 3, you researched and documented policies and procedures for one area of business
compliance. In this task, you must access and interpret regulatory information for an additional five
areas of compliance.
Use table provided below as a sample to record your answers and submit to your assessor.
Area of compliance Relevant industry, Relevant sources of Policies and
legislative or information procedures required
regulatory
requirements
e.g., Privacy Privacy Act www.oaic.gov.au Privacy policy
National Privacy
Principles

Task 4.1 Document the required policies and procedures

 Document the required policies and procedures you identified in the table in question 1.
 Examples of policy and procedure formats and inclusions are included in the multimedia content of
this unit for your reference.
 Remember to include the following where they relate to your business and area of compliance.
 Staff roles and responsibilities for regulatory compliance including:
 any requirements to develop and implement plans, policies, codes of conduct or incorporate
certain business practices
 how to adhere to mandatory codes of conduct enshrined in legislation
 rights and responsibilities of employees and employers
 other specific actions that must be taken for legal compliance.
 Key practices prohibited by law.
 Auditing and inspection regimes.
 Mandatory training and certification requirements. This could be in the form of a training register,
training plan and/or policy.
 Requirements for record keeping and acceptable record keeping mechanisms.
 Statutory reporting requirements for businesses.
 Submit your completed policies and procedures for each of the five areas of compliance to your
assessor.

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Assessor checklist
To be completed by the assessor.

Learner’s name: Student I.D.

Did the learner successfully demonstrate evidence of their ability to do the Completed
following? Yes No
Identified sources of information for compliance with laws and licensing for business
operations. (Refer to knowledge evidence for complete list of sources.)
Read and interpreted unfamiliar and complex materials describing regulatory requirements.
Evaluated areas of business operation and determined scope of compliance requirements
(for at least six different areas of compliance outlined in the knowledge evidence).
Accessed regulatory information relevant to specific business operation.
Identified risks, penalties and consequences of non-compliance.
Assessed and acted on need for specialist legal advice.
Developed, wrote and clearly articulated regulatory policies and procedures (for at least six
different areas of compliance as specified in the list of knowledge evidence).
Completed complex documentation required by regulatory authorities.
Nominated the roles and responsibilities of personnel for regulatory compliance within
policies and procedures.
Distributed policies, procedures and legal information to personnel at appropriate times.
Organised information updates for personnel and ensured knowledge of roles and
responsibilities for legal compliance.
Communicated and consulted with regulatory authorities when planning business
operations to determine the scope of compliance and submitted required documentation.
Maintained business and occupational licences and checked contractor compliance to
avoid risk to business.
Continuously evaluated business operations for non-compliance and implemented
modifications.
Identified and used a range of opportunities to maintain knowledge of current regulatory
requirements.
Used organisational communication methods to share updated regulatory knowledge.
Continuously reviewed and distributed plans, policies and procedures for compliance with
current laws and licensing requirements.
Demonstrated planning and organising skills necessary to research, establish and regularly
monitor all components of a business compliance system.
Demonstrated the legal knowledge required to take responsibility for regulatory
compliance. (In-depth knowledge requirements specified in knowledge evidence.)

Assessment Outcome
Result Satisfactory Not Satisfactory
(Please Circle)

Student Signature:

Assessor’s Comment:

Assessor’s Signature:

Date:

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