SITXGLC002

Identify and manage legal risks

and comply with the law

Learner Workbook
 Table of Contents
Table of Contents...........................................................................................................................1
Instructions to Learner...................................................................................................................3
Assessment instructions................................................................................................................3
Assessment requirements.............................................................................................................5
Candidate Details...........................................................................................................................6
Assessment – SITXGLC002: Research and comp............................................................................6
Observation/Demonstration..........................................................................................................8
Third Party Guide...........................................................................................................................9
Third party details (required information from the learner).........................................................9
Activities......................................................................................................................................10
Activity 1A....................................................................................................................................10
Activity 1A checklist – for assessor..............................................................................................11
Activity 1B....................................................................................................................................12
Activity 1B checklist – for assessor..............................................................................................13
Activity 1C....................................................................................................................................14
Activity 1C checklist – for assessor..............................................................................................15
Activity 1D...................................................................................................................................16
Activity 1D checklist – for assessor..............................................................................................17
Activity 1E....................................................................................................................................18
Activity 1E checklist – for assessor...............................................................................................19
Activity 2A....................................................................................................................................20
Activity 2A checklist – for assessor..............................................................................................21
Activity 2B....................................................................................................................................22
Activity 2B checklist – for assessor..............................................................................................23
Activity 2C....................................................................................................................................24
Activity 2C checklist – for assessor..............................................................................................25
Activity 2D...................................................................................................................................26
Activity 2D checklist – for assessor..............................................................................................27

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 Activity 3A....................................................................................................................................28
Activity 3A checklist – for assessor..............................................................................................29
Activity 3B....................................................................................................................................30
Activity 3B checklist – for assessor..............................................................................................31
Activity 3C....................................................................................................................................32
Activity 3C checklist – for assessor..............................................................................................33
Activity 4A....................................................................................................................................34
Activity 4A checklist – for assessor..............................................................................................35
Activity 4B....................................................................................................................................36
Activity 4B checklist – for assessor..............................................................................................37
Activity 4C....................................................................................................................................38
Activity 4C checklist – for assessor..............................................................................................39
Summative Assessments..............................................................................................................40
Section A: Skills activity................................................................................................................41
Summative assessments: Section A checklist..............................................................................42
Section B: Knowledge activity (Q & A).........................................................................................43
Summative assessments: Section B checklist..............................................................................46
Section C: Performance activity...................................................................................................47
Summative assessments: Section C checklist...............................................................................48
Workplace Documentation – for learner.......................................................................................49
Workplace documents checklist..................................................................................................49
Supplementary Oral Questions (optional) – for assessor...............................................................50
Competency record to be completed by assessor.........................................................................53

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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

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  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.

Collusion
Collusion is the presentation by a learner of an assignment as their own that is, in fact, the result in
whole or in part of unauthorised collaboration with another person or persons. Collusion involves
the cooperation of two or more learners in plagiarism or other forms of academic misconduct and,
as such, both parties are subject to disciplinary action. Collusion or copying from other learners is
not permitted and will result in a “0” grade and NYC.

Assessments must be typed using document software such as (or similar to) MS Office. Handwritten
assessments will not be accepted (unless, prior written confirmation is provided by the
trainer/assessor to confirm).

Competency outcome
There are two outcomes of assessments: S = Satisfactory and NS = Not Satisfactory (requires more
training and experience).

Once the learner has satisfactorily completed all the tasks for this module the learner will be
awarded “Competent” (C) or “Not yet Competent” (NYC) for the relevant unit of competency.

If you are deemed “Not Yet Competent” you will be provided with feedback from your assessor and
will be given another chance to resubmit your assessment task(s). If you are still deemed as “Not Yet
Competent” you will be required to re-enrol in the unit of competency.

Additional evidence
If we, at our sole discretion, determine that we require additional or alternative
information/evidence in order to determine competency, you must provide us with such
information/evidence, subject to privacy and confidentiality issues. We retain this right at any time,
including after submission of your assessments.

Confidentiality
We will treat anything, including information about your job, workplace, employer, with strict
confidence, in accordance with the law. However, you are responsible for ensuring that you do not
provide us with anything regarding any third party including your employer, colleagues and others,
that they do not consent to the disclosure of. While we may ask you to provide information or
details about aspects of your employer and workplace, you are responsible for obtaining necessary
consents and ensuring that privacy rights and confidentiality obligations are not breached by you in
supplying us with such information.

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Assessment appeals process
If you feel that you have been unfairly treated during your assessment, and you are not happy with
your assessment and/or the outcome as a result of that treatment, you have the right to lodge an
appeal. You must first discuss the issue with your trainer/assessor. If you would like to proceed
further with the request after discussions with your trainer/assessor, you need to lodge your appeal
to the course coordinator, in writing, outlining the reason(s) for the appeal.

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.

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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.

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.

Candidate Details
Assessment – SITXGLC002: Identify and manage legal risks and comply with law
Please complete the following activities and hand in to your trainer/assessor for marking. This forms
part of your assessment for SITXGLC002: Identify and manage legal risks and comply with law

Name: _____________________________________________________________

Address: _____________________________________________________________

_____________________________________________________________

Email: _____________________________________________________________

Employer: _____________________________________________________________

Declaration

I declare that no part of this assessment has been copied from another person’s work with the
exception of where I have listed or referenced documents or work and that no part of this
assessment has been written for me by another person. I also understand the assessment
instructions and requirements and consent to being assessed.

Signed: ____________________________________________________________

Date: ____________________________________________________________

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If activities have been completed as part of a small group or in pairs, details of the learners
involved should be provided below:

This activity workbook has been completed by the following persons and we acknowledge that it
was a fair team effort where everyone contributed equally to the work completed. We declare that
no part of this assessment has been copied from another person’s work with the exception of where
we have listed or referenced documents or work and that no part of this assessment has been
written for us by another person.

Learner 1: ____________________________________________________________

Signed: ____________________________________________________________

Learner 2: ____________________________________________________________

Signed: ____________________________________________________________

Learner 3: ____________________________________________________________

Signed: ____________________________________________________________

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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.

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Third Party Guide
You should supply details of the third party to the assessor before you commence the activities (see
below), unless the assessor has already selected a third party themselves. The assessor can then
contact the third party in instances where they require more evidence to determine competency, or
they cannot observe certain tasks themselves.

The reasons to use a third party may include:

 Assessment is required in the workplace
 Where there are health and safety issues related to observation
 Patient confidentiality and privacy issues are involved.

If you are not employed, or able to complete demonstrative tasks in the workplace, you will need to
inform the assessor. They will be able to provide you with a simulated environment in which to
complete these tasks.

We would prefer that, wherever possible, these be “live” issues for your industry and require
application of the principles that you are learning as part of your training. Where this is not possible,
you and your third party should simulate the activity tasks and demonstrations that you believe
would be likely to arise in your organisation or job role.

Third party evidence can also be used to provide “everyday evidence” of tasks included in your work
role that relate to the unit of competency but are not a part of the formal assessment process.

The third party is not to be used as a co-assessor – the assessor must make the final decision on
competency themselves.

Documents relevant to collection of third party evidence are included in the Third Party section in
the Observations/Demonstrations document.

Third party details (required information from the learner)

A third party may be required for observations or demonstrations; please provide details below of
your nominated third party and obtain their signature to confirm their agreement to participate. This
information will be required by your trainer/assessor in advance of arranging any future
observations or demonstrations.

Third party name: ______________________________________________________________

Position of third party: ______________________________________________________________

Telephone number: ______________________________________________________________

Email address: ______________________________________________________________

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Declaration for nominated third party
I declare my intention to act as third party for (learner’s name here) __________________________

Third party signature: _____________________________________ Date: ___________________

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.

Federal:
- Alcohol and Tobacco Tax and Trade Bureau (TTB): Regulates
alcoholic beverages, including licensing, labeling, and
advertising.
- Food and Drug Administration (FDA): Oversees food safety
and sanitation standards, including labeling and allergen
information.
- Occupational Safety and Health Administration
(OSHA): Ensures employee safety and health in
workplaces, including workplace hazards and injury
prevention.
- Department of Labor (DOL): Regulates wage and hour
laws, employee benefits, and workplace discrimination.

State and Local:

- State Department of Health: Enforces food safety
regulations, inspects restaurants, and issues licenses.
- State Liquor Control Board: Issues and regulates liquor
licenses for restaurants and bars.
- Local Building Department: Ensures your premises meet
safety and zoning codes.
- Local Fire Department: Conducts fire inspections and enforces
fire safety regulations.

Hospitality Industry Associations and Trade Groups:

- National Restaurant Association (NRA): Provides resources and
guidance on legal and regulatory issues for restaurants.
- American Hotel & Lodging Association (AHLA): Offers resources and

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 advocacy for hotels and lodging establishments.
- State and Local Hospitality Associations: Connect with organizations
specific to your state or region for localized information and support.
Legal and Regulatory Publications:
- NRA Restaurant Law: Monthly newsletter covering legal and
regulatory updates for restaurants.
- Hotel Lawyer: Blog and online community focused on legal issues in
the hospitality industry.
- Food Safety News: Independent news source covering food safety
outbreaks and regulations.

Activity 1A checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

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The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

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.

Food Safety and Hygiene:

- Licensing and Permits: Ensure you have the necessary licenses and
permits for food handling and service, often issued by state health departments.
- HACCP (Hazard Analysis Critical Control Points): Implement a HACCP
plan to identify, control, and prevent foodborne illness hazards.
- Food Handling and Storage: Adhere to regulations on food handling
temperatures, sanitation practices, allergen labelling, and storage
conditions.
- Waste Disposal: Follow proper procedures for disposing of food waste and
grease to prevent pests and environmental contamination.
Alcohol Regulation:
- Liquor Licenses: Acquire and maintain licenses for serving alcoholic
beverages within your jurisdiction.

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 - Age Verification: Implement procedures to verify age of patrons
purchasing alcohol, typically including ID checks.
- Responsible Service of Alcohol: Train staff on responsible service practices
to prevent over-consumption and intoxication.
- Recordkeeping: Maintain records of alcohol sales and age verification
checks as required by regulations.
Health and Safety:
- Workplace Safety: Comply with regulations on employee safety, including
fire safety, emergency procedures, equipment maintenance, and hazard
prevention.
- Work Hours and Wages: Follow minimum wage and overtime regulations
for employees, including breaks and time off.
- Discrimination and Harassment: Implement policies and procedures to
prevent discrimination and harassment in the workplace.
- Accessibility: Ensure your premises are accessible to people with
disabilities, complying with relevant building codes and accessibility
standards.
Data Privacy and Security:
- Guest Data Protection: Implement procedures to protect guest
data, including credit card information and personal information.
Cybersecurity: Secure your IT systems and data from cyberattacks and
breaches.
- Privacy Policies: Create and communicate clear privacy policies to guests
regarding data collection and usage.
Fire Safety:
- Fire Code Compliance: Ensure your premises meet fire safety
codes, including fire exits, extinguishers, and alarm systems.
- Regular Inspections: Conduct regular fire safety inspections and employee
training on fire prevention and extinguisher use.

Activity 1B checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name Wenjia NEOH

Assessor’s name
Unit of Competence

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(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

Activity 1C
Estimated Time 10 Minutes
Objective To provide you with an opportunity to access regulatory information relevant to
specific business operation.
Access regulatory information relevant to your organisation’s specific business
operation. Use the information you have researched to create a 10-minute
PowerPoint presentation on compliance to your class.

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 This activity will need to be observed, and a signed record of this observation
(completed by the assessor or third party) should be uploaded in your answer. It
should detail what was done, when it was done, the time it was completed in,
the completed actions and the overall outcome of the tasks.

Research may be completed outside of class time, if preferred by the assessor.

Activity 1C checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

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Learner’s signature
WJ NEOH
Assessor’s signature

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.

Food Safety and Hygiene:

- Regulation: Hazard Analysis Critical Control Points (HACCP) plan
implementation (required by most governments globally)
Risks:
- Foodborne illness outbreaks: Public health risk leading to
illness, hospitalization, and even death.
- Damage to reputation: Negative publicity, boycotts, and loss of customer
trust.
- Financial penalties: Fines from health authorities, potential lawsuits from
affected patrons.
Consequences:
- Closure of the establishment, license revocation.
- Increased insurance premiums.
- Difficulty attracting and retaining staff due to negative reputation.
Alcohol Regulation:
- Regulation: Age verification and responsible service of alcohol (RSA)
(varies by jurisdiction)
Risks:
- Over-service and intoxication: Leading to violence, accidents, and public
safety concerns.
- Underage drinking: Legal liability for serving minors, potential criminal
charges.
- License suspension or revocation: Loss of ability to operate.
Consequences:
- Fines and civil penalties.
- Criminal charges for staff and/or management.
- Damage to reputation and loss of business.

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 Fire Safety:
- Regulation: Fire code compliance (specifics vary by location)
- Risks:
Property damage and potential loss of life in case of a fire.
Injuries to staff and guests.
Legal liability for negligence and property damage.
Consequences:
- Fines and penalties from fire marshals.
- Closure of the establishment.
- Difficulty acquiring insurance due to non-compliance.

Activity 1D checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 24 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

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The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

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?

• A complaint brought forth by an employee against an employer cannot be

resolved
• A complaint brought forth by a customer against the organisation cannot be
resolved
• The organisation has been accused of noncompliance
• The organisation is unsure of their legal obligations and/or how to fulfil them.

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.
 A customer’s complaint against an organization cannot be handled
without the involvement of a third party, such as through legal action.
 A regulatory authority has accused the organization of being out of
compliance; the organization is unaware of its legal duties and/or how to
fulfil them; and the organization is unsure of how to secure the required
license’s.

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Activity 1E checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 24 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

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Activity 2A
Estimated Time 25 Minutes
Objective To provide you with an opportunity to develop and clearly articulate regulatory
policies and procedures in a format readily accessible to all personnel.
Write a section for inclusion in an employee handbook. It may cover any aspect
of regulation, policy and/or procedure that you choose. What you write should
be clearly worded and suitable for your audience. It must also accurately reflect
policy, procedure and legal requirements for staff in your organisation.

Workplace policies This section describes policies that apply to everyone at our
company: employees, contractors, volunteers, vendors and stakeholders alike.
These policies help us build a productive, lawful and pleasant workplace.
Confidentiality and data protection We want to ensure that private information
about clients, employees, partners and our company is well-protected. Examples
of confidential information are:
■ Employee records
■ Unpublished financial information
■ Data of customers/partners/vendors
■ Customer lists (existing and prospective)
■ Unpublished goals, forecasts and initiatives marked as confidential As part of
our hiring process, we may ask you to sign non-compete and non-disclosure
agreements (NDAs.) We are also committed to:
■ Restrict and monitor access to sensitive data.
■ Develop transparent data collection procedures.
■ Train employees in online privacy and security measures.
■ Build secure networks to protect online data from cyberattacks.
■ Establish data protection practices (e.g. secure locks, data encryption, frequent
backups, access authorization.) We also expect you to act responsibly when
handling confidential information. You must:
■ Lock or secure confidential information at all times.
■ Shred confidential documents when they’re no longer needed.
■ Make sure you view confidential information on secure devices only.
■ Only disclose information to other employees when it’s necessary and
authorized.
■ Keep confidential documents inside our company’s premises unless it’s
absolutely necessary to move them. You must not:
■ Use confidential information for your personal benefit or profit.
■ Disclose confidential information to anyone outside of our company.
■ Replicate confidential documents and files and store them on insecure devices.
This policy is important for our company’s legality and reputation. We will
terminate any employee who breaches our confidentiality guidelines for personal
profit. We may also discipline any unintentional breach of this policy depending on
its frequency and seriousness. We will terminate employees who repeatedly
disregard this policy, even when they do so unintentionally.

Employee Code of Conduct As an employee, all company policies mentioned above

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 apply to you. We have some additional expectations about your behaviour at
work, which we outline here. We can’t cover every single case of conduct, but we
trust you to always use your best judgement. Reach out to your manager or HR if
you face any issues or have any questions.

Activity 2A checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 24 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

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Learner’s signature
WJ NEOH
Assessor’s signature

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?

- Identify risks
- Prevent accident
- Monitor and report on control measures
- Address non compliance
- Report 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?

Chef – cert IV in commercial cookery qualification

Manager – Food safety supervisor license
Bartender – RSA License

Activity 2B checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name Wenjia NEOH

Assessor’s name

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Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

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.

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 Ans: - Have been address verbally in class.

Activity 2C checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

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Learner’s signature
WJ NEOH
Assessor’s signature

Activity 2D
Estimated Time 15 Minutes
Objective To provide you with an opportunity to discuss information updates.
When may an information update be required on policies, procedures and legal
requirements?

• There are changes in policies, procedures or law

• There are changes in or additions to usual business operations within the
organisation, which requires adherence to new or further regulations.

How might information updates be organised?

• Organised training sessions or group meetings
• Annual/bi-annual sessions
• Re-issue of handbooks or other materials
• Updates on online portals and learning systems
• Circulated notices
• Presentations.

Activity 2D checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

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Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

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.

- Competition and consumer Act 2010

- Australian Consumer Law (ACL)
- National Trade Measurement legislation
- Food standards Codes
- Country of Origin food labelling
- Franchising code of conduct

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Activity 3A checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

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Learner’s signature

Assessor’s signature

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.

- Approval to manage licensed Premises

- Australian Business Number Registration
Australian Consumer Law
- Australian Privacy Principles
- Employer Requirements – Superannuation Guarantee
- Food Business Notification
- Food safety Management tools
- Plant item registration

What are some of the things that a contractor may need to have to be operating
legally?

- Work health and safety

- Recognised Competency Card (Liquor)

What are some things that may indicate that a contractor is acting in
compliance with their legal requirements?

License is updated and always renews before expired date.

Activity 3B checklist – for assessor

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name

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Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

Activity 3C
Estimated Time 30 Minutes
Objective To provide you with an opportunity to continuously evaluate business
operations for non-compliance and implement modifications
Assess one area of business operations within your organisation for its
compliance with regulatory policy and procedure (an audit). Where a template
for this exists, e.g. a checklist, this should be used. Write a summary of your

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 findings.

You will need to notify either your council or the NSW Food Authority if you intend
to operate a food business.
Notification must be submitted to council for the following types of businesses:
-retail food outlets, including:
-cafes and restaurants
-takeaway outlets
-food stalls at periodic or one-off events
-mobile food outlets
-coffee carts
-food trucks
-retail bakeries
-retail seafood outlets
-delicatessens
-chemists
-cinemas
-corner and convenience
-petrol stations
-school and sporting facility canteens
-water carters.
school canteens and children’s services (for example, childcare or daycare where
food is provided)
manufacturers, distributors, caterers, or importers who sell direct to the final
consumer (excluding water-based food service such as river / harbour.

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Activity 3C checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

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Activity 4A
Estimated Time 15 Minutes
Objective To provide you with an opportunity to identify opportunities to maintain
knowledge of current regulatory requirements.
What are some of the methods you can use to maintain knowledge of current
regulatory requirements?

• Discussions with experienced industry personnel

• Networking with colleagues and/or suppliers
• Participating in industry accreditation schemes
• Participating in industry seminars

➢ Membership of professional industry associations

➢ Participating in training courses
➢ Subscribing to regulatory newsletters.

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Activity 4A checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name
Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

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Activity 4B
Estimated Time 10 Minutes
Objective To provide you with an opportunity to list organisational communication
methods to share updated regulatory knowledge.
Which organisational communication methods are used within your
organisation to share updated regulatory knowledge?

• Organised training sessions or group meetings

• Annual/bi-annual sessions
• Re-issue of handbooks or other materials
• Updates on online portals and learning systems
• Circulated notices
• Presentations.

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Activity 4B checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

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Activity 4C
Estimated Time 25 Minutes
Objective To provide you with an opportunity to review plans, policies and procedures for
compliance with current laws and licensing requirements.
Review one of your organisation’s plans, policies or procedures for compliance
with current laws and licensing requirements.

Compliance testing
• Testing is usually divided into sections according to the different work areas of
the business and follows a template
• The organisation may also develop its own compliance manual, which may
outline procedures for assessing and evaluating compliance.

Frequency of compliance testing

• Compliance testing, or audits, should not be one-off procedures, but continual
processes
• Where the consequences of noncompliance are greater, the frequency of
compliance testing may be higher.

Implement modifications
• Creating procedures for work practice that enforce regulatory requirements
(control measures)
• Informing staff of changes and providing training where necessary
• Monitoring new control measures
• Updating written policy and procedure.

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Activity 4C checklist – for assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the unit activity. Indicate in the table below if the learner is deemed
satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name Wenjia NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature
WJ NEOH
Assessor’s signature

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Summative Assessments
The summative assessments are the major activities designed to assess your skills, knowledge and
performance, as required to show competency in this unit. These activities should be completed
after finishing the Learner Guide. You should complete these as stated below and as instructed by
your trainer/assessor.

Skills, knowledge and performance may be termed as:

 Skills – skill requirements, required skills, essential skills, foundation skills

 Knowledge – knowledge requirements, required knowledge, essential knowledge,

knowledge evidence

 Performance – evidence requirements, critical aspects of assessment, performance

evidence.

Section A: Skills activity

The skills activity is designed to be a series of demonstrative tasks that should be assessed by
observation (by the assessor or third party, depending on the circumstances).

It will demonstrate all of the skills required for this unit of competency – your assessor will provide
further instructions to you, if necessary.

Section B: Knowledge activity (Q & A)

The knowledge activity is designed to be a verbal questionnaire where the assessor asks you a series
of questions to confirm your competency for all of the required knowledge in the unit of
competency.

Section C: Performance activity

The performance activity is designed to be a practical activity performed either in the workplace or a
simulated environment. You should demonstrate the required practical tasks for the unit of
competency and be observed by the assessor and/or third party, as applicable to the situation. If the
third party is required to observe you, you will need to make the required arrangements with them.

If necessary for the activities, you should attached completed written answers, portfolios or any
evidence of competency to this workbook.

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Section A: Skills activity
Objective: To provide you with an opportunity to show you have the required skills for this unit.

This activity will enable you to demonstrate the following skills:

Reading skills to:

 Interpret unfamiliar and complex materials describing regulatory requirements

 Research regulatory requirements specifically applicable to the business operation

Writing skills to:

 Write comprehensive yet easily accessible regulatory policies and procedures

 Complete complex documentation required by regulatory authorities

Oral communication skills to:

 Consult with regulatory authorities to determine the scope of compliance

requirements

Problem-solving skills to:

 Evaluate areas of business operation and determine scope of compliance

Planning and organising skills to:

 Research, establish and regularly monitor all components of a business compliance

system

Answer the activity in as much detail as possible, considering your organisational requirements.

1. Read the Copyright Act 1968. How could the requirements of this Act be incorporated into
organisational policy and procedure?

2. Complete an application form for a license that your organisation requires. Do not submit this,
but attach the completed form to your workbook.

3. Consult with a relevant regulatory authority to determine the scope of compliance in ONE
business area.

4. Outline all components of your organisation’s business compliance plan. Where one does not
exist, use your knowledge of your organisation’s legal and regulatory requirements to draft
one.
- Australian Consumer Law
- Approval to Manage Licensed Premises

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 - Australian Business Number Registration

Summative assessments: Section A checklist

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the summative assessment. Indicate in the table below if the learner is
deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment 23 JAN 2024
Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

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Assessor’s signature

Section B: Knowledge activity (Q & A)

Objective: To provide you with an opportunity to show you have the required knowledge for this
unit.

The answers to the following questions will enable you to demonstrate your knowledge of:

 Legal responsibilities and liabilities of managers and directors in varying business

structures

 Sources of information and advice on regulatory compliance

 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

 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

 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

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

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 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

Answer each question in as much detail as possible, considering your organisational requirements
for each one.

1. What are your legal responsibilities in the context of your own business structure? What
liabilities will you face if you fail to fulfil these responsibilities?
- Fines
- Temporary closures
- Paying compensation
- criminal prosecution

2. Give examples of specific sources of information for your organisation from each of the
following categories:

 Industry associations
- Hospitality Association
 Government departments or regulatory agencies
- Department of Regional NSW
- Local Land Service
- The food authority NSW
 Reference books
- The Australian Hospitality Handbook

3. Outline the functions and general operating procedures of at least ONE regulatory authority
for your specific industry/sector.

Food safety supervisor- The role of Food Safety Supervisors (FSS) oversees day-to-day food
handling operations and ensure risks are managed. The NSW FSS program helps businesses
meet their obligations under the Food Standards Code, NSW Food Act and Food Regulation.
The role of an FSS is to minimise the risk of customers becoming ill from food poisoning
because of incorrect handling and preparation of food. Statistics show that incorrect food
handling practices in retail and hospitality food businesses account for up to 50 per cent of
foodborne illness outbreaks in NSW, costing the community hundreds of millions of dollars
each year in healthcare and lost revenue. Appointing an FSS gives food businesses a better
level of onsite protection for food safety and gives consumers peace-of-mind when dining out,
taking away, or buying food in NSW.

4. What are some methods of receiving updated information on laws and licensing
requirements?

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 - Stay informed.
- Attend online conference and events.
- Email
- Subscribing to regulatory newsletters

5. How are policies and procedures used in your organisation to manage regulatory compliance?
Standard Policies and Procedures
- Well written policies help employers manage staff more effectively by clearly defining
acceptable and unacceptable behaviour in the workplace and set out implications of not
complying with those policies.

6. Detail the proper format for and inclusions in policies and procedures for your organisation.
Title Page:
- Little Viet Kitchen
- Title: Policies and Procedures Manual
- Date-30/01/2024
Table of Contents:
- Clearly outline the sections and subsections for easy navigation.
Introduction:
- Briefly explain the purpose and scope of the manual.
- Provide an overview of the organization commitment to compliance and quality service.
Policy Section:
- Clearly defined policies with titles and reference numbers.
- Each policy should cover a specific aspect of the organization and operations.
- Begin with a statement of the policy and procedure purpose.
Procedure Section:
- Corresponding procedures aligned with each policy.
- Step-by-step instructions on how to implement each policy.
- Include roles and responsibilities for different positions within the organization.
Responsibilities and Authorities:
- Clearly define roles and responsibilities related to the policies and procedures.
- Specify who is responsible for implementation, monitoring, and reporting.
Compliance:
- Address how the organization ensures compliance with local, state, and federal
regulations.
- Reference relevant laws and standards applicable to the hospitality industry.
Training and Development:
- Outline the organization’s approach to employee training on policies and procedures.
- Specify the frequency and methods of training
Communication Plan:
- Detail how policies and procedures will be communicated throughout the organization.
- Include methods for updates and revisions.
Monitoring and Evaluation:
- Describe the methods for ongoing monitoring and evaluation of policy and procedure
effectiveness.
- Include metrics or key performance indicators (KPIs).
Documentation and Record-Keeping:
- Specify the types of documentation required to evidence compliance.
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 - Outline record-keeping procedures, including retention periods.
Emergency Procedures:
- Detail procedures to be followed in case of emergencies or crises.
- Include evacuation plans, communication protocols, and emergency contacts.
Appendix:
- Include any supplementary documents, forms, or checklists.
- Ensure that these materials are referenced in the main body of the manual.
Review and Revision History:
- Document when the manual was last reviewed and updated.
- Keep a revision history to track changes over time.
Approval and Acknowledgment:
- Include a section for approval signatures from relevant stakeholders.
- Implement an acknowledgment form for employees to sign, indicating they have read and
understood the policies and procedures.

7. Describe the objectives and primary components of at least THREE local, State, Territory and
Commonwealth government laws to which all businesses must comply and that cover:

 Anti-discrimination, especially provisions for equal employment opportunity (EEO) and

harassment in workplace, example;
- RACE
- GENDER
- SEX
- DISABILITY
- RELIGION
- COLOUR TONE

 Australian Consumer Law (ACL) especially provisions for refunds, exchanges and
cancellations, terms and conditions of quotations and consumer contracts ensuring fair
treatment and transparency.
 Contracts Laws- Govern the legal obligations and rights of parties entering agreements,
ensuring enforceability and clarify in contractual relationships.
 Employer superannuation contributions Laws- Mandate contributions by employers
toward employee’s retirement funds to ensure financial security in retirement.
 Environmental protection Laws- identify and mutilate environmental hazards, promote
sustainable practices, and mandate reporting of environmental incidents.
 Fair Work Act 2009 Laws- Establish National Employment standards (NES) to ensure fair
and equitable conditions for employees, covering various aspects of employment such as
leave entitlements and working hours.
 Local community protection, especially provisions for land management and access and
protecting the lifestyle of neighbouring residents.
 Taxation Laws- Regulate the imposition and collection of taxes to fund public services and
infrastructure.
 Workplace relations Laws- Govern relationships between employers and employees,
ensuring fair treatment, dispute resolution mechanisms, and collective bargaining rights.
 Public liability and duty of care Laws- define responsibilities for individuals and
organisations to prevent harm to others and ensure compensation for damages caused.

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  Work health and safety Laws- Promote safe working environments, identify hazards, and
mitigate risks to prevent workplace accidents and injuries.
 Workers’ compensation Laws-provide compensation and support for employees injured in
the workplace, including provisions for injury reporting and occupational rehabilitation.
8. Describe the objectives and primary components of laws, codes, standards and licensing
requirements of at least THREE of the following, in the context of your specific industry or
sector:

 Copyright Act 1968

- Protect the rights of creators by regulating the use arid reproduction of their original
works.
 Criminal Code Act 1995 as it relates to child sex offences outside Australia
- Establish legal provisions to prosecute individual in child sex offences committed aboard
by Australian citizens or residents.
 European Economic Directive of Foreign Travel
- Govern foreign travel related to European economic directive, likely concerning and
agreements pertaining to economic activities across European countries.
 Food safety
- Involves storing, handling, and preparing of food carefully to reduce the spread of bacteria
and minimises your risk of becoming sick, or causing illness in people who eat the foods
you prepare. Preparing and cooking food properly and to the right temperature reduces
the risk of food poisoning.
 Food Standards Australia New Zealand Act 1991
- Establish standards and regulations for food safety and labelling in Australia and New
Zealand to protect public health.
 Liquor licensing, especially as it relates to the responsible service of alcohol
- Regulate the sale and consumption of alcohol, with a focus on responsible service
practices to prevent alcohol-related harm and ensure public safety.
 Privacy Act 1988
- Protect individual’s; privacy by regulating the handling of personal information by
organizations, ensuring transparency and accountability in data management.
 Queensland Tourism Services Act 2003
- Regulate tourism services in QLD, likely focusing on standards, licensing, and promotion of
tourism activities.
 Residential Tenancy Act
- likely focusing on standards, licensing, and promotion of tourism activities. Govern the
rights and responsibilities of landlords and tenants I residential rental agreements,
ensuring fair and transparent tenancy agreements.
 Responsible conduct of gaming regulation
- Regulate the gaming industry to promote responsible gambling practices, prevent
gambling-relate harm, and ensure the integrity of gaming operations.

9. Create a presentation on ONE relevant law, standard or licensing requirement, which shows
the following depth of knowledge:

 Key practices that are prohibited by the law

 Auditing and inspection regimes
 Main consequences of non-compliance
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  Need to apply for and maintain business or occupational licensing and associated
mandatory training and certification requirements
 Requirements for record keeping and acceptable record keeping mechanisms
 Statutory reporting requirements for businesses
 Key business insurances required
 Adherence to mandatory codes of conduct enshrined in legislation
 Requirements to develop and implement plans, policies, codes of conduct or incorporate
certain business practices
 Rights and responsibilities of employees and employers
 Other specific action that must be taken for legal compliance

Slide 1: Title Slide

Title: Understanding the Privacy Act 1988
Subtitle Key Compliance Requirements and Implications

Slide 2. Introduction
- Brief overview of the Privacy Act 1988
- Importance of privacy protection in the digital age

Slide 3: Key Practices Prohibited by the Law

- Unauthorized collection, use, and disclosure of personal information
- Failure to secure personal information from misuse, interference, loss, or unauthorized a

Slide 4:
- Auditing and Inspection Regimes
- Regular audits by the Office of the Australian Information Commissioner (OAIC)
- Inspection of privacy practices and data handling procedures

Slide 5: Main Consequences of Non-Compliance

Slide 6: Business or Occupational Licensing Requirements

- No specific licensing requirement, but compliance with Privacy Act mandator for all
businesses handling personal information

Slide 7: Mandatory Training and Certification Requirements

- Training on privacy principles and data handling procedures for employees handling
personal information.

Slide 8: Requirements for Record Keeping

- Maintain records of personal information handling practices
- Document consent for data collection and use

Slide 9: Statutory Reporting Requirements

- Notification of data breaches to affected individuals and OAIC
- Annual reporting of data breaches to OAIC

Slide 10: Key Business Insurances Required

- Cyber liability insurance to cover data breaches and privacy-related claims
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 Slide 11: Adherence to Mandatory Codes of Conduct
- Compliance with Australian Privacy Principles (APPs)
- Obligation to develop and implement a Privacy Policy outlining data handling practices
Slide 12: Requirements for Developing Policies and Codes of Conduct
- Implementation of privacy policies and procedures tailored to the organization’s.
operations
- Incorporation of privacy principles into business practices

Slide 13: Rights and Responsibilities of Employees and Employers

- Employees have the right to privacy and protection of personal information.
- Employers responsible for safeguarding employee data and complying with privacy laws

Slide 14 Other Specific Actions for Legal Compliance

- Regular privacy impact assessments
- Appointment of a Privacy Officer to oversee compliance efforts.

Slide 15 Conclusion
- Recap of key compliance requirements under the Privacy Act 1988
- Importance of prioritizing privacy protection in business operations

10. List possible opportunities to maintain knowledge of regulatory requirements. Make these
specific to your organisation where possible.

Industry Associations and Networks: Joining industry associations such as the Restaurant &
Catering Association or the Australian Hotels Association provides access to resources,
seminars, and networking events where regulatory updates are often discussed.

Professional Development Workshops and Seminars: Attend workshops and seminars

specifically tailored to the hospitality industry, focusing on topics like food safety, liquor
licensing laws, and workplace health and safety regulations. Online Training Courses: Online
courses offered by industry-specific training providers or regulatory bodies. These courses
often cover compliance requirements in areas such as food handling, responsible service of
alcohol, and workplace safety.

Government Websites and Publications: Regularly visit government websites such as the
Australian Government Department of Health and Safe Work Australia for updates on
regulatory requirements related to food safety, workplace health and safety, and employment
laws.

Consulting with Legal and Regulatory Experts: Establish relationships with legal experts or
consultants specializing in hospitality industry regulations. They can provide tailored advice
and updates on changes in laws and regulations affecting the industry.

Internal Training Programs: Develop internal training programs for staff members to ensure
can provide tailored advice and updates on changes in laws and regulations affecting the
industry.

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 Internal Compliance Audits: Perform internal compliance audits to assess how well the
organization is adhering to regulatory requirements. Use audit findings to identify areas for
improvement and implement corrective actions.

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Summative assessments: Section B checklist
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the summative assessment. Indicate in the table below if the learner is
deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

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Section C: Performance activity
Objective: To provide you with an opportunity to demonstrate the required performance
elements for this unit.

This activity will enable you to demonstrate the following performance evidence:

 Access and interpret regulatory information and determine the scope of compliance
for the operations of a specific tourism, travel, hospitality or events business in
relation to at least six different areas of compliance

 Develop policies and procedures for legal compliance with each of the above areas
of compliance

 Integrate into compliance planning activities and documentation:

o sources of detailed information and advice on regulatory compliance

o objectives and primary components of a broad range of local, state, territory

and commonwealth government laws relevant to the specific to the business
operations

o use of policies and procedures in managing regulatory compliance.

Answer the activity in as much detail as possible, considering your organisational requirements.

1. Access and interpret regulatory information and determine the scope of compliance for the
operations of your organisation in relation to at least SIX different areas of compliance.
Food Safety Compliance:
- Access and interpret regulatory information from the Food Standards Australia New
Zealand Act 1991 and associated regulations.
- Determine compliance requirements for food handling, storage, preparation, and hygiene
practices.
- Scope of compliance includes obtaining relevant food safety certifications, Implementing
Hazard Analysis and Critical Control Points (HACCP) plans and ensuring staff training in
food safety protocols.
-
Liquor Licensing Compliance:
- Access and interpret regulatory information from the Liquor Act relevant to each state or
territory where the restaurant operates.
- Determine compliance requirements for obtaining and maintaining liquor licenses,
responsible service of alcohol (RSAL, and managing intoxicated patrons
- Scope of compliance includes ensuring staff undergo RSA training, adhering to prescribed
trading hours, and maintaining records of alcohol sales and incidents.

Employment Law Compliance:

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 - Access and interpret regulatory information from the Fair Work Act 2009 and associated
regulations. -Determine compliance requirements for employment contracts, wages,
working hours, leave entitlements, and workplace health and safety
- Scope of compliance Includes adhering to National Employment Standards (NES) award
rates, penalty rates, providing a safe work environment, and preventing discrimination
and harassment.

Privacy Compliance:
- Access and Interpret regulatory Information from the Privacy Act 1988 and the Australian
Privacy Principles (APPs),
- Determine compliance requirements for handling and protecting customer and employee
personal information. Scope of compliance includes developing and implementing a
privacy policy. obtaining consent for data collection and implemented. Security measures
to prevent.

Health and Safety Compliance:

- Access and interpret regulatory information from the Work Health and Safety Act relevant
to each state or territory.
- Determine compliance requirements for identifying and mitigating workplace hazards,
providing training and supervision, and maintaining safety records.
- Scope of compliance includes conducting regular workplace inspections, providing
appropriate personal protective equipment (PPE), and reporting workplace incidents as
required.

Environmental Compliance:
- Access and interpret regulatory information from environmental protection laws and local
council regulations.
- Determine compliance requirements for waste management, energy efficiency, water
conservation, and pollution prevention.

2. Develop policies and procedures for legal compliance with each of the areas of compliance
selected in question 1.

Food Safety Policy and Procedures:

Policy:
- Our restaurant chain is committed to ensuring the highest standards of food safety to
protect the health and well- being of our customers and employees.
Procedure
- All employees must undergo food safety training and hold a valid Food Handler and
Certificate.
- Food must be stored, handled, and prepared according to MACC principles and relevant
regulations.
- Regular Inspections and audits of food storage, preparation areas, and equipment will be
conducted to ensure compliance.
- Any food safety incidents or concerns must be reported immediately to management for
Investigation and corrective action.
- Records of food safety training. Inspections, and incidents will be maintained and
regularly.
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 - Reviewed.

Liquor licencing Policy and Procedures:

Policy
- Our restaurant chain is committed to responsible service of alcohol and compliance with a
relevant liquor licensing laws and regulations.
Procedures
- All staff Involved in the sale or service of alcohol must hold a valid Responsible Service of
Alcohol (RSA) certificate.
- Alcohol will only be sold or served during approved trading hours and in compliance with
applicable sensing conditions. Intoxicated patrons’ will not be served alcohol, and
measures will be in place to prevent underage drinking.

Employment Law Policy and Procedures

Policy
- Our restaurant chain is committed to complying with all relevant employment laws and
regulations to ensure lake and equitable treatment of our agreements.
Procedures
- All employment contracts will be in accordance which National Employment Standards
(NES) and relevant awards or agreements.
- Employees will be provided with written information about their rights, entitlements, and
responsibilities under employment law.
- Measures will be in place to prevent discrimination, harassment, and unfair dismissal in
the workplace.
- Health and safety training and procedures will be provided to all employees to ensure a
safe work enchantment.
- Any grievances or complaints related to employment law will be promptly investigated
and addressed in accordance with company polices and relevant legislation.

Privacy Policy and Procedures:

Policy:
- Our restaurant chain Is committed to protecting the privacy and confidentiality of
personal.
- Information collected from customers, employees, and other stakeholders.
Procedures:
- Personal Information will only be collected for specified purposes and with the consent of
the Individual.
- Measures will be in place to securely store and protect personal Information from
unauthorised access, use, or disclosure.
- Customers and employees will have the right to access and correct their personal
Information upon request.

Health and safety policy and procedures

Policy
- Our restaurant chain is committed to provide employees, customers, and visitors. wealthy
work environment for all
Procedures:

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 - Regular risk assessments will be conducted to identify and mitigate workplace hazards,
with controls implemented to monitrice risk.
- All employees will receive health and safety training and instruction on safe work practices
and emergency procedures.
- incident reporting procedures will be in place to ensure timely reporting and investigation
of workplace accidents, injuries, or near misses.
- Adequate first aid facilities and trained first aid personnel will be always available.
Records of health and safety training, risk assessments, incidents, and corrective actions will
be maintained and regularly reviewed.

Environmental Policy and Procedures:

Policy:
- Our restaurant chain is committed to minimalizing its environmental impact and
promoting sustainability in all aspects of our operations.
Procedures:
- Measures will be in place to reduce waste generation, increase recycling, and conserve
resources such as water and energy.
- Environmentally friendly products and practices will be prioritized, Including sustainable
sourcing of ingredients and eco-friendly packaging.
- Regular environmental audits will be conducted to assess compliance with environmental
laws and Identify opportunities for improvement.

3. Integrate into compliance planning activities and documentation:

 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 the specific business operations
 Use of policies and procedures in managing regulatory compliance

This activity will need to be observed, and a signed record of this observation (completed by
the assessor or third party) should be uploaded in your answer. It should detail what was
done, when it was done, the time it was completed in, the completed actions and the overall
outcome of the tasks.

Sources of Detailed information and Advice on Regulatory Compliance:

- Include a section in the compliance planning documentation outlining sources of detailed
information and advice on regulatory compliance.
- Specify sources such as government websites, regulatory authorities, industry
associations, legal experts, and consultants.
- Provide contact information and links to relevant resources for easy access by
management and staff.

Objectives and Primary Components of Government Laws:

- Develop a comprehensive overview of local, state, territory, and Commonwealth
government laws relevant to the restaurant chain’s operations.
- Identify key objectives and primary components of each law, including food safety
regulations, liquor licensing laws, employment legislation, privacy laws, health and safety
regulations, and environmental protection laws.
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 - Outline how each law impacts specific aspects of the business operations, such as food
handling practices, alcohol service procedures, employment contracts, data privacy
policies, workplace safety protocols, and environmental sustainability. Initiatives.
- Emphasise the importance of policies and procedures in ensuring regulatory compliance
and rick management.
- Provide guidance on the development, implementation, and maintenance of policies and
procedures tailored to meet legal requirements and industry best practices.
- Highlight the role of policies and procedures in standard Ing practices, training employees,
mitigating risks, and demonstrating commitment to compliance.
- Include templates and examples of policies and procedures for key areas of compliance,
such as food safety, liquor licensing, employment law, privacy, health and safety, and
environmental management.
- Encourage regular review and updates to policies and procedures to reflect changes in
laws, regulations, and business practices.

Summative assessments: Section C checklist

This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the summative assessment. Indicate in the table below if the learner is
deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.

Learner’s name WENJIA NEOH

Assessor’s name
Unit of Competence
(Code and Title)
Date(s) of assessment

Has the activity been answered and performed fully, as required to assess the Yes No
competency of the learner? (Please circle)

Has sufficient evidence and information been provided by the learner for the Yes No
activity? (Please circle)

Comments

Provide your comments here:

The learner’s
Not yet satisfactory Satisfactory
performance was:

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If not yet satisfactory, date for reassessment:

Feedback to learner:

Learner’s signature

Assessor’s signature

Workplace Documentation – for learner

Workplace documents checklist
To demonstrate and support workplace knowledge, workplace documents can be submitted to the
assessor or third party. Indicate in the table below the documents that have been provided. Please
refer to your trainer/assessor if clarification is required or if you have any further questions on what
you are able to provide or use.

Document name/description Document attached

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

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 Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

Yes No (Please circle)

For RTO use only

Have originals or digital copies been supplied for the workplace Yes No (Please circle)
documents?

If not originals, have the originals been validated or checked? Yes No (Please circle)

Learner’s signature

Assessor’s signature

Supplementary Oral Questions (optional) – for assessor

The below table is for you to document any supplementary verbal questions you have asked the
learner to determine their competency. For example, if you are unsure of their answer to a question
in the Learner Workbook, you may choose to ask them a supplementary question to clarify their
understanding of the relevant criteria.

Learner’s name

Assessor’s name

Unit of Competence
(Code and Title)

Date of assessment

Question:

Learner answer:

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Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

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Assessor judgement: Satisfactory Not Satisfactory

Question:

Learner answer:

Assessor judgement: Satisfactory Not Satisfactory

Feedback for the learner

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I have read, understood, and am satisfied with the feedback provided by the assessor.

Learner’s name

Learner’s signature

Assessor’s name

Assessor’s signature

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Competency record to be completed by assessor
This should be used by the trainer/assessor to document the learner’s skills, knowledge and
performance as relevant to the overall unit. Indicate in the table below if the learner is deemed
competent or not yet competent for the unit or if reassessment is required.

Learner’s name

Assessor’s name

Unit of Competence
(Code and Title)

Date(s) of assessment

Has the learner completed all required assessments to a satisfactory standard? Yes No
(Please circle)

Has sufficient evidence and information been provided by the learner to prove Yes No
their competency across the entire unit? (Please circle)

The learner has been assessed as competent in the elements and performance criteria and the
evidence has been presented as:

Authentic Yes No
(Please circle)

Valid Yes No
(Please circle)

Reliable Yes No
(Please circle)

Current Yes No
(Please circle)

Sufficient Yes No
(Please circle)

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Learner is deemed: Not yet competent Competent

If not yet competent, date for re-assessment:

Comments from trainer/assessor:

Learner’s signature

Assessor’s signature

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