SITXGLC001 Gurpreet Singh (1)

UNIT: SITXGLC001 Research and comply with regulatory requirements Unit Result Record Sheet SITXGLC001 Research and comply with regulatory requirements Student Name: BLOCK Print Gurpreet Singh Student Number: BLOCK Print HPO1220002 Assessment Completed (Evidence must be in students file) Result Date Assessed Reassessment Completed (If required) (Evidence must be in students file) Result Date Reassessed Satisfactory Not Yet Satisfactory Satisfactory Not Yet Satisfactory 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: Gurpreet Singh Student Name: Gurpreet Singh Student ID: HPO1220002 Received by Australian College of Trade: NAME: Signature: Date:

UNIT: SITXGLC001 Research and comply with regulatory requirements

P a g e | 2 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

P a g e | 3 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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.

P a g e | 5 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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.

P a g e | 6 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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.

P a g e | 8 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. Within every organization there will be legal requirements that the organisation must fulfil. Laws and licensingareinplacetoensurethatbusinessoperationsareregulated,fairandsafe,andtoensurethat customers and staff are protected from injury, harm, discrimination or other mistreatments Laws and licensing may relate to, for example: ➢ Best practice standards for work tasks ➢ Training and qualifications requirements for staff ➢ Restrictions for the sale of certain goods and services, e.g. alcohol, cigarettes, age-restricted media, etc. ➢ Anti-discrimination law ➢ Grievances procedures  WHS law.

P a g e | 9 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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 recognizing which laws and licensing requirements relate to your specific industry, the goods its sell or the services it provides. For example, many industries may fall into the category of ‘hospitality’, but even within this category, the types of organizations and services can vary greatly and therefore have very different legal requirements.

P a g e | 11 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. Risks, penalties and consequences Laws and licensing regulations are in place to protect customers and employees and to ensure that business operations run fairly, honestly and to acceptable standards. The risks, penalties and consequences of non-compliance with laws and licensing regulations, therefore, can be severe. Potential consequences of non-compliance for individuals include: ➢ Counseling ➢ Disciplinary action ➢ Transfer, demotion, dismissal ➢ Legal liability ➢ A fine.

P a g e | 12 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. How might you seek specialist legal advice? ➢ 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:  the Fair Work Commission  the Australian Competition and Consumer Commission  the Australian Department of Employment.

P a g e | 14 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. 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? Roles and responsibilities of individuals in relation to regulatory compliance may be reflected in: ➢ Employment contracts ➢ Workplace schedules ➢ Other written record, which may be on display ➢ Any written instructions where responsible personnel are identified. Employees should know their own responsibilities and the responsibilities of their colleagues. This information may be circulated through meetings, memos, written instructions, schedules or in any other appropriate format.

P a g e | 15 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. 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 in accordance with the relevant regulatory requirements for their role. Information may be distributed : ➢ In handbooks or written formats given to employees ➢ In relevant group meetings ➢ During training sessions ➢ In feedback sessions ➢ On online learning portals.

P a g e | 17 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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 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.

P a g e | 18 VCID. ACOT Training and Assessment/SITXGLC001/Learner Workbook/V1.1/July 2019 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. Licensing Communication with regulatory authorities may be required in order to obtain a license to run certain business operation in Australia. Examples of activities that require licensing include: ➢ Sale of alcohol (Liquor license) ➢ Gaming (Gaming license) ➢ Charter fishing ➢ Operating in protected areas. What are some of the things that a contractor may need to have to be operating legally? Contractor compliance 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. What are some things that may indicate that a contractor is acting in compliance with their legal requirements? Evidence of contractor compliance may include: ➢ Documentation of licenses, permits, etc. ➢ Registration with relevant industries and associations ➢ Relevant accreditations, etc.