Intellectual Property of The Australian Institute of Professional Education
PORTFOLIO OF EVIDENCE: ACTIVITIES

Part 1: Research and comply with regulatory requirements

Activities 1, 2, 3 and 4
Objective Identify sources of information for compliance with laws and licensing for
business operations

Activity Identify at least six sources where we can obtain information we need (about
compliance with laws and licencing for business operations):
1.
2.
3.
4.
5.
6
With anti-discrimination regulations, list and discuss in as much detail as
necessary, at least four points that we need to be very aware of to ensure
compliance:
1.
2.
3.
4.
Within the public liability and duty of care regulations/requirements, name and
explain at least three points we need to follow to be compliant:
1.
2.
3.
What are our responsibilities under Workers Compensation legislation? Explain
in as much detail as you can:
Activity 5
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Objective Evaluate areas of business operation and determine scope of compliance
requirements

Activity What certification do staff require when operating in the following areas:
? Bar service
? Gaming room attendant
? Food service person?

Activity 6

Objective Access regulatory information relevant to specific business operation

Activity In relation to EEO (Equal Employment Opportunity) what regulatory
requirements do we need to be aware of? Identify and explain them:
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 7
Objective Identify risks, penalties and consequences of non-compliance

Activity Investigate and list the penalties that would apply for each of the following:
? Supply liquor to intoxicated person
? Permit drunken/disorderly person on licensed premises
? Supply liquor to underage person, other than as permitted
? Permit liquor to be supplied to underage person, other than as permitted
? Liquor is supplied to underage person on licensed premises, other than as
permitted
? Permit underage person on licensed premises, other than as permitted
? A gaming venue has allowed access to an ATM machine within the gaming
room
? Failure to display appropriate responsible gaming posters in the appropriate
areas.
? Allowing minors to be in the gaming area and/or allowing them to play the
machines.
? Does not have in place or fails to follow the self-exclusion program
? A café fails to ensure a pest-free area
? A food organisation fails to check temperatures in line with their food safety
plan.
? Staff do not hold the appropriate food safety certifications.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 8

Objective Develop and clearly articulate regulatory policies and procedures in a format
readily accessible to all workers

Activity Research to identify and briefly explain the policies and procedures that a travel
or tourism company of your choice currently has in place for its employees.
IN THE EVENT YOU CANNOT FIND POLICIES OR PROCEDURES FOR A TRAVEL OR
TOURISM COMPANY OF YOUR CHOICE, PLEASE USE THE FOLLOWING TO
INVESTIGATE AND PROVIDE ANSWERS/INFORMATION FOR THIS ACTIVITY:
(e.g.) AIPE – policies/procedures for AIPE students (international VET students)
NOTE: you can find the policies and procedures on the AIPE website-
http://www.aipe.edu.au/aipe-policies/

If you have any questions please ask your trainer/assessor for assistance.

Is there any information that is missing? Identify any policies or procedures that need to be developed for this company.
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 9
Objective Nominate the roles and responsibilities of personnel for regulatory compliance
within policies and procedures

Activity Who are usually/typically the people responsible for policy and procedure
compliance in an organisation? Why? Identify and explain for a minimum of
at least 3 people here.
1.
2.
3.

Activity 10
Objective Communicate with regulatory authorities when planning business operations
and submit required documentation

Activity What is the regulatory submission process usually employed in an organisation?
Can you identify some of the people/job positions that would typically be
involved in this submission process? Explain why they would be involved.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 11
Objective Maintain business and occupational licences and check contractor compliance
to avoid risk to business

Activity What process is typically used in an organisation to check outside contractor
compliance? Explain in as much detail as possible.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
PORTFOLIO OF EVIDENCE: ACTIVITIES

Part 1: Research and comply with regulatory requirements

Activities 1, 2, 3 and 4
Objective Identify sources of information for compliance with laws and licensing for
business operations

Activity Identify at least six sources where we can obtain information we need (about
compliance with laws and licencing for business operations):
1.
2.
3.
4.
5.
6
With anti-discrimination regulations, list and discuss in as much detail as
necessary, at least four points that we need to be very aware of to ensure
compliance:
1.
2.
3.
4.
Within the public liability and duty of care regulations/requirements, name and
explain at least three points we need to follow to be compliant:
1.
2.
3.
What are our responsibilities under Workers Compensation legislation? Explain
in as much detail as you can:
Activity 5
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Objective Evaluate areas of business operation and determine scope of compliance
requirements

Activity What certification do staff require when operating in the following areas:
? Bar service
? Gaming room attendant
? Food service person?

Activity 6

Objective Access regulatory information relevant to specific business operation

Activity In relation to EEO (Equal Employment Opportunity) what regulatory
requirements do we need to be aware of? Identify and explain them:
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 7
Objective Identify risks, penalties and consequences of non-compliance

Activity Investigate and list the penalties that would apply for each of the following:
? Supply liquor to intoxicated person
? Permit drunken/disorderly person on licensed premises
? Supply liquor to underage person, other than as permitted
? Permit liquor to be supplied to underage person, other than as permitted
? Liquor is supplied to underage person on licensed premises, other than as
permitted
? Permit underage person on licensed premises, other than as permitted
? A gaming venue has allowed access to an ATM machine within the gaming
room
? Failure to display appropriate responsible gaming posters in the appropriate
areas.
? Allowing minors to be in the gaming area and/or allowing them to play the
machines.
? Does not have in place or fails to follow the self-exclusion program
? A café fails to ensure a pest-free area
? A food organisation fails to check temperatures in line with their food safety
plan.
? Staff do not hold the appropriate food safety certifications.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 8

Objective Develop and clearly articulate regulatory policies and procedures in a format
readily accessible to all workers

Activity Research to identify and briefly explain the policies and procedures that a travel
or tourism company of your choice currently has in place for its employees.
IN THE EVENT YOU CANNOT FIND POLICIES OR PROCEDURES FOR A TRAVEL OR
TOURISM COMPANY OF YOUR CHOICE, PLEASE USE THE FOLLOWING TO
INVESTIGATE AND PROVIDE ANSWERS/INFORMATION FOR THIS ACTIVITY:
(e.g.) AIPE – policies/procedures for AIPE students (international VET students)
NOTE: you can find the policies and procedures on the AIPE website-
http://www.aipe.edu.au/aipe-policies/

If you have any questions please ask your trainer/assessor for assistance.

Is there any information that is missing? Identify any policies or procedures that need to be developed for this company.
VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 9
Objective Nominate the roles and responsibilities of personnel for regulatory compliance
within policies and procedures

Activity Who are usually/typically the people responsible for policy and procedure
compliance in an organisation? Why? Identify and explain for a minimum of
at least 3 people here.
1.
2.
3.

Activity 10
Objective Communicate with regulatory authorities when planning business operations
and submit required documentation

Activity What is the regulatory submission process usually employed in an organisation?
Can you identify some of the people/job positions that would typically be
involved in this submission process? Explain why they would be involved.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices

Intellectual Property of The Australian Institute of Professional Education
Activity 11
Objective Maintain business and occupational licences and check contractor compliance
to avoid risk to business

Activity What process is typically used in an organisation to check outside contractor
compliance? Explain in as much detail as possible.

VERSION 1.0 MARCH 2014 SITXGLC501 Research and comply with regulatory requirements
SITXWHS401 Implement and monitor work health and safety practices