Unit of competency Outline
Date retreived
22/07/2026 10:00 PM AWST
22/07/2026 10:00 PM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Research and comply with regulatory requirements
Research and comply with regulatory requirements
Unit of competency
National Code
SITXGLC501
SITXGLC501
State Code
WF783
WF783
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
15/10/2014
Field of Education
080301 - Business Management
Original Release Date
15/10/2014
Nominal Hours
70
Description
This unit describes the performance outcomes, skills and knowledge required to comply with laws and licensing requirements for specific business operations. It requires the ability to access and interpret regulatory information, determine scope of compliance, develop, implement and continuously review and update policies and practices for business compliance.
Notes
Elements and Performance Criteria
1. Research information required for legal compliance.
- 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.
2. Develop and communicate policies and procedures for legal compliance.
- 2.1 Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all workers.
- 2.2 Nominate the roles and responsibilities of personnel for regulatory compliance within policies and procedures.
- 2.3 Distribute policies, procedures and legal information to personnel at appropriate times.
- 2.4 Organise information updates for personnel and ensure knowledge of roles and responsibilities for legal compliance.
3. Ensure compliance with legal requirements.
- 3.1 Communicate with regulatory authorities when planning business operations and submit required documentation.
- 3.2 Maintain business and occupational licences and check contractor compliance to avoid risk to business.
- 3.3 Continuously evaluate business operations for non-compliance and implement modifications.
4. Maintain personal and organisational knowledge of regulatory requirements.
- 4.1 Identify and use a range of opportunities to maintain knowledge of current regulatory requirements.
- 4.2 Use organisational communication methods to share updated regulatory knowledge.
- 4.3 Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements.
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Sources of information may include:
computer data, including the Internet
discussions with experienced industry personnel
industry:
accreditation operators
associations and organisations
developers of codes of conduct or ethics
journals
seminars
lawyers
networking with:
colleagues
suppliers
plain English documents, issued by government regulators, that describe laws relevant to business operations
libraries
media
personal observations and experience
reference books
local, state, territory or commonwealth government departments or regulatory agencies
training courses
unions.
Laws and licensing may involve:
antidiscrimination
Criminal Code Act 1995 - child sex offences outside Australia
consumer protection
contracts
EEO
environmental protection
Fair Work Act 2009
financial operations
food safety
land management
local community protection
liquor
mandatory codes of conduct, enshrined in legislation
NES
occupational licences and certification for:
food handlers and food safety supervisors
operators of table games (dealers) within licensed casinos
tour guides operating in certain destinations
public liability and duty of care
Queensland Tourism Services Act (2003)
responsible service of alcohol
responsible conduct of gaming
taxation
travel agents licensing
work health and safety
Workers Compensation
workplace relations.
Business operation may be for:
day-to-day business operations in:
events
hospitality
tourism
travel
one off:
event
tour
contract
series of:
events
tours
contracts.
Specialist legal advice may involve:
compliance consultants
industry associations
lawyers
local, state, territory or commonwealth government departments or regulatory agencies.
Regulatory policies and procedures may include:
accident and incident reporting
counselling and discipline
customer service
cancellations, refunds and exchanges
EEO
food handling and hygiene
harassment
local community protection
minimal impact practices to reduce negative environmental impacts of water, energy and site use
responsible service of alcohol
responsible conduct of gaming
transport, handling and storage of food
waste management
work health and safety:
consultation
emergency evacuation
hazard identification and risk assessment
occupational rehabilitation.
Information updates may involve:
briefings prior to:
commencement of service period
delivery of tours
operation of event or function
internal memos
staff handbooks
staff meetings
training sessions.
Opportunities may include:
discussions with experienced industry personnel
networking with:
colleagues
suppliers
participating in:
industry accreditation schemes
industry seminars
membership of professional industry associations
training courses
subscribing to regulatory newsletters.
Sources of information may include:
computer data, including the Internet
discussions with experienced industry personnel
industry:
accreditation operators
associations and organisations
developers of codes of conduct or ethics
journals
seminars
lawyers
networking with:
colleagues
suppliers
plain English documents, issued by government regulators, that describe laws relevant to business operations
libraries
media
personal observations and experience
reference books
local, state, territory or commonwealth government departments or regulatory agencies
training courses
unions.
Laws and licensing may involve:
antidiscrimination
Criminal Code Act 1995 - child sex offences outside Australia
consumer protection
contracts
EEO
environmental protection
Fair Work Act 2009
financial operations
food safety
land management
local community protection
liquor
mandatory codes of conduct, enshrined in legislation
NES
occupational licences and certification for:
food handlers and food safety supervisors
operators of table games (dealers) within licensed casinos
tour guides operating in certain destinations
public liability and duty of care
Queensland Tourism Services Act (2003)
responsible service of alcohol
responsible conduct of gaming
taxation
travel agents licensing
work health and safety
Workers Compensation
workplace relations.
Business operation may be for:
day-to-day business operations in:
events
hospitality
tourism
travel
one off:
event
tour
contract
series of:
events
tours
contracts.
Specialist legal advice may involve:
compliance consultants
industry associations
lawyers
local, state, territory or commonwealth government departments or regulatory agencies.
Regulatory policies and procedures may include:
accident and incident reporting
counselling and discipline
customer service
cancellations, refunds and exchanges
EEO
food handling and hygiene
harassment
local community protection
minimal impact practices to reduce negative environmental impacts of water, energy and site use
responsible service of alcohol
responsible conduct of gaming
transport, handling and storage of food
waste management
work health and safety:
consultation
emergency evacuation
hazard identification and risk assessment
occupational rehabilitation.
Information updates may involve:
briefings prior to:
commencement of service period
delivery of tours
operation of event or function
internal memos
staff handbooks
staff meetings
training sessions.
Opportunities may include:
discussions with experienced industry personnel
networking with:
colleagues
suppliers
participating in:
industry accreditation schemes
industry seminars
membership of professional industry associations
training courses
subscribing to regulatory newsletters.
The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the ability to:
access and interpret regulatory information and determine the scope of compliance for specific business operations
develop a diverse range of policies and procedures for legal compliance
integrate, into compliance planning activities, knowledge of:
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 specific tourism, hospitality or event business operations
use of policies and procedures in managing regulatory compliance.
Context of and specific resources for assessment
Assessment must ensure use of:
a real or simulated tourism, hospitality or event industry business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented
computers, software programs, printers and communication technology used to administer regulatory requirements
current legislation
current plain English regulatory documents distributed by government regulators
codes of practice and standards issued by regulatory authorities
regulatory information and business management manuals issued by industry associations or commercial publishers
current commercial policies and procedures used to manage regulatory issues.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
evaluation of a portfolio, prepared by the individual, on managing regulatory compliance for a specific business operation including:
notes and reports on regulatory information sourced
written report evaluating the scope of compliance requirements
list of policies and procedures required to manage regulatory compliance
sample policies and procedures
documents completed for submission to regulatory authorities
briefings and internal memos provided to personnel on current compliance requirements
use of case studies so the individual can suggest appropriate scope of regulatory compliance requirements for different business operations
written or oral questioning to assess knowledge of:
sources of information on regulatory compliance
objectives and primary components of laws relevant to specific tourism, hospitality or events business operations
use of policies and procedures in managing regulatory compliance
review of portfolios of evidence and thirdparty workplace reports of onthejob performance by the individual.
Guidance information for assessment
The assessor should design integrated assessment activities to holistically assess this unit with other units relevant to the industry sector, workplace and job role, for example:
BSBMGT617A Develop and implement a business plan
BSBPMG501A Manage projects
BSBRSK501A Manage risk
BSBWRT401A Write complex documents.
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the ability to:
access and interpret regulatory information and determine the scope of compliance for specific business operations
develop a diverse range of policies and procedures for legal compliance
integrate, into compliance planning activities, knowledge of:
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 specific tourism, hospitality or event business operations
use of policies and procedures in managing regulatory compliance.
Context of and specific resources for assessment
Assessment must ensure use of:
a real or simulated tourism, hospitality or event industry business operation for which a tailored set of regulatory requirements can be researched and compliance management implemented
computers, software programs, printers and communication technology used to administer regulatory requirements
current legislation
current plain English regulatory documents distributed by government regulators
codes of practice and standards issued by regulatory authorities
regulatory information and business management manuals issued by industry associations or commercial publishers
current commercial policies and procedures used to manage regulatory issues.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
evaluation of a portfolio, prepared by the individual, on managing regulatory compliance for a specific business operation including:
notes and reports on regulatory information sourced
written report evaluating the scope of compliance requirements
list of policies and procedures required to manage regulatory compliance
sample policies and procedures
documents completed for submission to regulatory authorities
briefings and internal memos provided to personnel on current compliance requirements
use of case studies so the individual can suggest appropriate scope of regulatory compliance requirements for different business operations
written or oral questioning to assess knowledge of:
sources of information on regulatory compliance
objectives and primary components of laws relevant to specific tourism, hospitality or events business operations
use of policies and procedures in managing regulatory compliance
review of portfolios of evidence and thirdparty workplace reports of onthejob performance by the individual.
Guidance information for assessment
The assessor should design integrated assessment activities to holistically assess this unit with other units relevant to the industry sector, workplace and job role, for example:
BSBMGT617A Develop and implement a business plan
BSBPMG501A Manage projects
BSBRSK501A Manage risk
BSBWRT401A Write complex documents.
Replaces
| State Code | National Code | Title | Type |
|---|---|---|---|
| S6531 | SITXGLC001A | Develop and update legal knowledge required for business compliance | Unit of competency |
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AWQ46 | SITXGLC001 | Research and comply with regulatory requirements | Unit of competency |