RPL Process: Third Party Report on SITXGLC001 Research Compliance

This report is a third-party assessment of a candidate's competency in the SITXGLC001 unit, which focuses on researching and complying with regulatory requirements. The report evaluates the candidate's ability to identify sources of information for legal compliance, evaluate business operations, and access relevant regulatory information. It also assesses the candidate's understanding of risks, penalties, and the need for specialist legal advice. The report further examines the candidate's capacity to develop and communicate regulatory policies and procedures, nominate roles and responsibilities for compliance, and distribute legal information to personnel. Additionally, it evaluates the candidate's ability to communicate with regulatory authorities, maintain licenses, and evaluate business operations for non-compliance. The assessment includes scenarios and observations on the candidate's skills in reading, writing, oral communication, problem-solving, and planning and organizing, all within the context of ensuring compliance with legal and regulatory standards in a business setting, specifically a restaurant environment.

SITXGLC001
Research and comply with regulatory requirements
THIRD PARTY REPORT
RPL PROCESS: Please read the following instructions before completing this form
1. RPL applications are made using Application for RPL form. This form is designed to map the student’s
education, training, life and work competencies to the elements required of the unit and collect the
required evidence to prove the competencies.
2. The following sections of the form must be completed by the applicant:
 Element Mapping & Evidence
 Skills Mapping & Evidence
 Knowledge Mapping & Evidence
 Required Evidence Mapping
 Evidence List
3. Describe how you meet the stated criteria, skill or knowledge. Evidence is required for all elements,
skills, knowledge and required evidence. Attach this evidence to this form and refer to the
attachments as “Attachment A”, Attachment B” etc.
4. This form along with the required evidence is to be submitted directly to the assessor or to Frontier
Training & Technology via mail to 735 Pascoe Vale Road VIC 3046 or via email to
5. An appointed assessor will assess the RPL application and the evidence provided.
6. The assessor will make an appointment to review the RPL application form and the evidence provided
with the learner, gathering more evidence if required. The assessor will provide feedback to the
learner on the outcome of the RPL application immediately.
7. If successful, a copy of the RPL application will be stored with the student file and the RPL decision will
be reflected on the training plan and student records.
8. Students may use the Complaints and Appeals Policy and Procedure if dissatisfied with the outcome of
the RPL application.
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SITXGLC001
Research and comply with regulatory requirements
THIRD PARTY REPORT
Unit:SITXGLC001 - Research and comply
with regulatory requirements

SITXGLC001
Research and comply with regulatory requirements
ELEMENT
MAPPING &
EVIDENCE: Element / Performance Criteria
Description
(Describe what you do to meet this criteria,
work, education, experiences etc.) (your
explanation must cover a situation, location,
job type and outcome of the action)
Third Party Report
(Please comment
on the student’s
description)
Explain a scenario where the candidate
provides a full description on research
information required for legal compliance.
Please include the following in the scenario:
1.1. Identify sources of information for
compliance with laws and licensing for
business operations.
1.2. Evaluate areas of business operation and
determine scope of compliance
requirements.
1.3. Access regulatory information relevant
to specific business operation.
1.4. Identify risks, penalties and
consequences of non-compliance.
1.5. Assess and act on need for specialist
legal advice.
At the time of opening a new restaurant, I had
to get different types of approvals. Most of the
information is available online on various
government websites but books are also very
useful for understanding unpopular norms.
Consultation with chartered accountant is
another option. Operational area will be limited
and FSANZ codes have to be followed. It is
essential to take important numbers like ABN,
TFN and ABLIS. Standard penalty imposed by
ACCC on corporate body is $1.1 million. By
taking help of CA, I speeded up the process of
getting significant number like TFN and ABN.
He has done
extensive research
for completing
various legal
compliance.
Explain a scenario where the candidate
provides a full description on develop and
communication of policies and procedures
for legal compliance. Please include the
following in the scenario:
2.1. Develop and clearly articulate regulatory
policies and procedures in a format readily
accessible to all personnel.
2.2. Nominate the roles and responsibilities
of personnel for regulatory compliance in
policies and procedures.
2.3. Distribute policies, procedures and legal
information to personnel at appropriate
times.
2.4. Organise information updates for
personnel to ensure their knowledge of roles
and responsibilities for legal compliance.
First of all, I need to get ABN and then I have to
make sure that I follow codes made by FSANZ. A
rule can be made by my restaurant so that their
employees would get basic information about
the norms made by government. CA of my
company will make sure that they would file tax
return at proper time. He/she also has to make
sure that they pay the right amount.
Information of various legal binding should be
communicated before starting of restaurant.
Responsibilities towards legal compliance of
every worker should be updated on monthly
basis so that they would get information about
new laws in appropriate period of time.
He formed policies
relating to legal
compliance and
communicated it to
all the employees.
Explain a scenario where the candidate
provides a full command to ensure
compliance with legal requirements. Please
include the following in the scenario:
3.1. Communicate with regulatory
authorities when planning business
operations and submit required
documentation.
3.2. Maintain business and occupational
Business license is essential for operating a new
restaurant. Important document like MOUs and
details about company’s head office are needed
to be given to the regulatory authorities.
Internal audit can be done for avoiding various
kinds of risks relating to quality of food and
accounts. Evaluation of business operations can
be done by implementing a food safety
programme. I firmly believe that it is important
He implemented
food safety
program and
appointed a expert
of same field.

SITXGLC001
Research and comply with regulatory requirements
licences and check contractor compliance to
avoid risk to business.
3.3. Continuously evaluate business
operations for non-compliance and
implement modifications.
to show local authority the proof of executing
various policies. I hired a food safety expert
because he/she has complete knowledge about
various food standards. Chartered accountant
can assist the matter relating to non-
compliance.
SKILLS MAPPING
& EVIDENCE: Required Skills
Description
(Describe what you do to meet this skill, work,
education, experiences etc)
Third Party Report
(Please comment
on the student’s
description)
Did the candidate at all times demonstrate
reading skills to:
o Interpret unfamiliar and complex
materials describing regulatory
requirements.
o Research regulatory requirements
specifically applicable to the business
operation.
Did the candidate at all times demonstrate
writing skills to:
o write comprehensive yet easily
accessible regulatory policies and
procedures
o Complete complex documentation
required by regulatory authorities.
Did the candidate at all times demonstrate
oral communication skills to:
o Consult with regulatory authorities to
determine the scope of compliance
requirements.
Did the candidate at all times demonstrate
problem-solving skills to:
o Evaluate areas of business operation and
determine scope of compliance.

SITXGLC001
Research and comply with regulatory requirements
Did the candidate at all times demonstrate
planning and organizing skills to:
o Research, establish and regularly
monitor all components of a business
compliance system.
KNOWLEDGE
MAPPING &
EVIDENCE: Required Knowledge
Description
(Describe what you do to meet this knowledge,
work, education, experiences)
Third Party Report
(Please comment
on the student’s
description)
 Legal responsibilities and liabilities of
managers and directors in varying
business structures
 sources of information and advice on
regulatory compliance:
o local, state, territory or
commonwealth government
departments or regulatory agencies
o industry associations
o plain English documentation that
explains the operational
requirements of legislation
o computer data
o the internet
o discussions with experienced
industry personnel
o industry:
- accreditation operators
- associations and organisations
- developers of codes of conduct
or ethics
- journals
- seminars
o lawyers
o networking with colleagues and
suppliers
o libraries

SITXGLC001
Research and comply with regulatory requirements
o media
o personal observation and
experience
o reference books
o training courses
o unions
 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 and that cover:
o anti-discrimination, especially
provisions
o Australian Consumer Law (ACL)
especially provisions for refunds,
exchanges and cancellations, terms
and conditions of quotations and
consumer contracts
o contracts
o employer superannuation
contributions
o environmental protection especially
provisions for environmental hazard
identification, use of minimal impact
practices and reporting of incidents
o Fair Work Act 2009, especially
provisions for National Employment
Standards (NES)
o local community protection,
especially provisions for land

SITXGLC001
Research and comply with regulatory requirements
management and access and
protecting the lifestyle of
neighbouring residents
o taxation
o workplace relations
o environmental protection especially
provisions for environmental hazard
identification, use of minimal impact
practices and reporting of incidents
o public liability and duty of care
o work health and safety
o workers’ compensation, especially
provisions for injury reporting and
occupational rehabilitation
objectives and primary components of
laws, codes, standards and licensing
requirements that impact on specific
operators in the tourism, hospitality
and event industries; chosen to be
applicable to the individual’s context:
o Copyright Act 1968
o Criminal Code Act 1995 as it relates
to child sex offences outside
Australia
o European Economic Directive of
Foreign Travel
o food safety
o Food Standards Australia New
Zealand Act 1991
o liquor licensing, especially as it
relates to the responsible service of
alcohol
o Privacy Act 1988
o Queensland Tourism Services Act
2003
o Residential Tenancy Act
o Responsible conduct of gaming
regulation
 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

SITXGLC001
Research and comply with regulatory requirements
o main consequences of non-
compliance
o need to apply for and maintain
business or occupational licensing
and associated mandatory training
and certification requirements
o requirements for record keeping
and acceptable record keeping
mechanisms
o statutory reporting requirements for
businesses
o key business insurances required
o adherence to mandatory codes of
conduct enshrined in legislation
o requirements to develop and
implement plans, policies, codes of
conduct or incorporate certain
business practices
o rights and responsibilities of
employees and employers
o other specific action that must be
taken for legal compliance
 opportunities to maintain knowledge of
regulatory requirements:
o discussions with experienced
industry
o networking with colleagues and/or
suppliers
o participating in industry
accreditation schemes
o participating in industry seminars
o membership of professional
industry associations
o participating in training courses
o subscribing to regulatory
newsletters.
REQUIRED
EVIDENCE
MAPPING:
Required Evidence Attachment (eg, A,
B, C)

SITXGLC001
Research and comply with regulatory requirements
EVIDENCE LIST: ATTACHMENT as collected
during the 2nd stage DOCUMENT TITLE
VERIFIED
(completed by
assessor)
A
B
C
D
E
F
G
H
I
J
K
EVIDENCE
VERIFICATION:
THIS SECTION IS TO BE
COMPLETED BY AN
AUTHORISED FRONTIER
TRAINING &
TECHNOLOGY ASSESSOR
ONLY

SITXGLC001
Research and comply with regulatory requirements