Assessor Resource

SISXIND404A
Promote compliance with laws and legal principles

Assessment tool

Version 1.0
Issue Date: May 2024


This unit applies to staff in leadership and supervisory roles, responsible for organisation systems in a variety of sport, fitness and recreation environments. This may include staff working as program, recreation or swim school coordinators or managers across a range of programs and locations, sport development officers or administrators as well as those working in outdoor field locations, such as outdoor leaders and logistics coordinators.

This unit describes the performance outcomes, skills and knowledge required to apply legislation relevant to organisation operations. The unit focuses on analysis and interpretation of relevant legislation to inform the review of current organisation systems to determine compliance with legal obligations and promote the modification or development and implementation of systems to promote organisation compliance.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable

Employability Skills

This unit contains employability skills.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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:

identify and clarify the implications of laws, legal requirements and organisation contracts on operating systems and services and seeks legal advice where appropriate

review current organisation systems to determine areas of operation that do not comply with laws and legal requirements, and document and report findings to appropriate personnel in a timely manner

make recommendations to better promote compliance and support staff in implementing policies and procedures that promote compliance with laws and legal requirements

anticipate problems or constraints that may affect the organisation’s ability to comply with legal and contractual obligations and incorporate them into a contingency plan.

Context of and specific resources for assessment

Assessment must ensure:

implementation and monitoring of recommendations in consultation with staff, and participation in organisation compliance reviews that are of sufficient breadth to demonstrate competency and consistency of performance.

Assessment must also ensure access to:

sources of information about legal and contractual obligations

current organisational policies, procedures and operational work systems

sources of legal advice and associated documentation

resources, staff and documentation required for the review of organisational systems.

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:

observation of interacting with staff as part of the review process

oral and or written questioning to assess knowledge of relevant legislation and its impact on the specific sport, fitness and recreation organisation

portfolio showing evidence of review outcomes and actions

third-party reports from a supervisor detailing work performance.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended for example:

SISXIND211 Develop and update sport, fitness and recreation industry knowledge.

SISXRSK502 Manage organisational risks.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Required skills

communication skills to:

liaise with colleagues

convey information about legal obligations

seek feedback on organisation policies, procedures and implementation strategies to support organisation compliance and undertake a review of these systems

language and literacy skills to:

undertake research of relevant legislation and legal information

interpret and update information to promote compliance

document information to support compliance

problem-solving skills to:

review compliance of current organisation policies and procedures

identify problems and gaps

modify or develop initiatives to promote compliance with legal obligations

technology skills to access relevant legal information from electronic sources.

Required knowledge

organisation systems and their relationship to legislative obligations to enable understanding of the purpose and aims of these systems and their effective functioning

organisation policies and procedures related to legislative requirements and compliance to enable an assessment of gaps and potential modifications to be identified

legislation and industry codes of practice which govern operations to enable organisation compliance

evaluation techniques to enable the effective review of organisation policies and procedures

appropriate implementation strategies for organisation policies and procedures that meet compliance 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 may include:

reference books

media

industry and or employer associations

industry journals

internet

clients and suppliers

legal experts.

Laws and legal information may include:

company

taxation

contract

insurance and superannuation

environment

child protection

consumer protection and trade practices

licensing

industrial relations

equal employment opportunity

anti-discrimination

Work Health and Safety

privacy.

Implications may include:

delivery of services

safety

employment

privacy

constitutional structure

contracts

funding accountability.

Appropriate personnel may include:

managers

supervisors

board members

colleagues

local government.

Types of contracts may include:

funding

sponsorships

employment

service and or supply of goods and services

preferred providers

licences

trademarks

transfers

franchises.

Organisational policies and procedures may include:

legislative requirements

contract establishment and management

business compliance and management reporting

monitoring and reviewing procedures.

Implementation strategies may include:

staff training

organisation communication strategies

information sessions and updates.

Required actions may include:

modifying current policies and procedures

developing new policies and procedures

modifying current implementation strategies

developing new implementation strategies.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Identify and access sources of laws and legal information that relate to the organisation. 
Analyse laws and legal information and identify implications for the organisation. 
Record information and communicate to appropriate personnel. 
Identify the types of contracts used by the organisation and the rationale for their use. 
Identify and analyse contractual obligations and their implications for individuals and the organisation. 
Identify and assess current organisation policies and procedures and implementation strategies to determine compliance with legal requirements. 
Identify aspects of organisation operations that may infringe or not meet legal obligations. 
Assess the need for and access legal advice on infringements and gaps where appropriate. 
Report and document outcomes of assessment and make recommendations for required actions to address infringements and gaps to relevant personnel. 
Circulate recommendations to affected staff for feedback and discussion. 
Develop or modify policies, procedures and implementation strategies as appropriate based on recommendations and feedback to promote compliance with legal obligations. 
Document new or modified policies, procedures and implementation strategies. 
Communicate new or modified policies, procedures and implementation strategies within organisation. 
Implement new or modified policies, procedures and implementation strategies and monitor their effectiveness in complying with legal requirements. 
Update legal knowledge and share with colleagues. 
Use updated knowledge in planning for workplace systems and operational processes. 

Forms

Assessment Cover Sheet

SISXIND404A - Promote compliance with laws and legal principles
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

SISXIND404A - Promote compliance with laws and legal principles

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: