SITXGLC002 Identify and manage legal risks and comply with law
- Subject Code :
SITXGLC002
- University :
others Exam Question Bank is not sponsored or endorsed by this college or university.
- Country :
Australia
SITXGLC002 Identify and manage legal risks and comply with law
Assessment Task 2 Project
Pre-assessment checklist
Purpose
The pre-assessment checklist helps students determine if they are ready for assessment. The Trainer/Assessor must review the checklist with the student before the student attempts the assessment task. If any items of the checklist are incomplete or not clear to the student, the Trainer/Assessor must provide relevant information to the student to ensure they understand the requirements of the assessment task. The student must ensure they are ready for the assessment task before undertaking it.
Section 1: Information for Trainers/Assessors
- Please make sure the student has completed the necessary prior learning before attempting this assessment.
- Please make sure you as a Trainer/Assessor have clearly explained the assessment process and tasks to be completed.
- Please make sure the student understands what evidence is required to be collected and how.
- Please make sure the student knows their rights and the complaints and appeal process.
- Please make sure the student has discussed any special needs or reasonable adjustments to be considered during the assessment (refer to the Reasonable Adjustments Strategy Matrix).
- Please make sure the student has access to a computer and the internet (if they prefer to type the answers).
- Please ensure that your student must have all the required resources needed to complete this Unit Assessment Task (UAT). (Refer to Training and assessment resources for more information).
- Due date of this assessment task is according to the timetable.
- In exceptional (compelling and compassionate) circumstances, an extension to submit an assessment can be granted by the Trainer/Assessor.
- Evidence of the compelling and compassionate circumstances must be provided together with the request for extension to submit the assessment work.
- Request for an extension to submit assessment work must be made before the due date of this assessment task.
Assessment task instructions |
- The student is required to complete eight activities.
- Activity 1: Assess business compliance
- Activity 2: Assessing and acting on Specialist advice
- Activity 3: Develop legal risk management strategies and actions.
- Activity 4: Maintain business and occupational licences and check contractor contracts
- Activity 5: Develop policies and procedures
- Activity 6: Ensure management of legal risks and compliance with legal requirements.
- Activity 7: Implement the action plan
- Activity 8: Discussions with experienced industry personnel
- Student must complete all the activities of this assessment task.
- Students are to identify and manage legal risks and comply with laws applicable to the case study business operations.
- Students must to identify legal risks, access and interpret regulatory information, and determine action required to manage legal risks and to comply with applicable laws.
Instructions for Trainers/Assessors:
- The following forms are the basis of specific evidence that you need to collect from students for assessment in this assessment task.
- The task and specific assessment requirements that are provided to students are also outlined.
- Refer to all the red, bold, and italic text for a guide to suggested answers for assessments and also for instructions on how to use the assessment tools.
- Ensure all outlined conditions of assessment requirements are met.
- For each assessment task a Unit Assessment Result Sheet (UARS) form is to be completed. This is located at the end of each assessment task.
- This Unit Assessment Result Sheet (UARS) allows the Trainer/Assessor to record the following items correctly:
- Outcome of the assessment task as either Satisfactory (S) or Not Satisfactory (NS).
- Feedback to candidate
- Student declaration
- Trainer/Assessor declaration
- The Trainer/Assessor and the student must sign the Unit Assessment Result Sheet (UARS) to show that the student was provided with the task outcome.
- The mapping document should be referred to identify what aspects of the Unit of Competency are being addressed by each assessment task.
- Once all assessment tasks allocated to this Unit of Competency have been undertaken, an Assessment plan is to be completed to record the unit outcome. The outcome will be either Competent (C) or Not Yet Competent (NYC).
- The Assessment Plan is available with the Unit Assessment Pack (UAP) Cover Sheet.
- Each Assessment Plan should be referred to note the Unit Assessment Result Sheet (UARS) outcome as Satisfactory (S) or Not Satisfactory (NS), and this information then transferred to the final result in the Assessment Plan as Competent (C) or Not Yet Competent (NYC).
- If all assessment tasks are deemed Satisfactory (S), then the unit outcome is Competent (C).
- If at least one of the assessment tasks is deemed Not Satisfactory (NS), then the unit outcome is Not Yet Competent (NYC).
Resources required to complete the assessment task: |
- Computer
- Internet
- MS Word
- Telephone
- Communication technology used to source information on legal risk management and compliance
- Current legislation
- Current materials displayed or published by government regulators
- Information issued by industry associations or commercial publishers
Scenario: |
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Feast of Flavours story Feast of Flavours was begun when 3 school friends met for a drink, and the idea of opening a world-class restaurant was conceived with a little help from a bottle of Pinot Noir. After 3 years and innumerable ups and downs, Feast of Flavours was born. Objective The objective of a Feast of Flavours is to create a culinary experience that gives people the most delicious dining experience possible. At Feast of Flavours, customers will discover the flavours of the world and a variety of unique cultures. It is an amalgamation of cuisines from around the globe under one roof with an ambience designed to complement the culinary joy diners will feel. Feast of Flavours will delight patrons who enjoy exploring and experimenting with flavours. Menu options The Feast of Flavours menu ranges from a variety of local cuisines to ones from across the globe, carefully chosen to be a part of Breakfast, Lunch and Dinner. The restaurant ambience is beautifully crafted with soft lighting, artistic decorations, and elegant design. The menu has been fashioned by a Michelin 3-star chef and his team, including world-class chefs from across the world. At Feast of Flavours, you can also find cocktails and beverages curated to give a unique experience with each slow slip. A complete list of the menu options can be located at the Feast of Flavours simulated website. Meetings & Events Feast of Flavours is acknowledged as an industry leader delivering the best food service to its customers. The restaurant is also equipped to handle private or corporate events including team outings, birthday parties, or special celebrations. Customers can choose from the below options to book for their upcoming event. Family Table seats 10 guests Community Table seats up to 15-20 guests Private Dining Room seats up to 25-30 guests The restaurant is determined to cater for any customer within 2 minutes of their arrival and serve delicious food and drinks within 15 minutes of the order. Feast of Flavours has 15 staff on Friday and Saturday, including 4 chefs, 3 Bar attendants, 3 support staff /kitchen hands, and 5 waitresses. Context of assessment Recently, the restaurant has received several complaints from customers about food safety issues, such as undercooked meat and unsanitary conditions in the kitchen. Additionally, the restaurant has not been in compliance with liquor licensing regulations, as they have been serving alcohol without checking identification (ID) of customers. Furthermore, the restaurant has been facing some employment law issues, including allegations of wage theft and discrimination. There have also been complaints from employees regarding unsafe working conditions and lack of proper training. On top of that, the restaurant has not been complying with privacy laws, as they have been collecting and sharing customers' personal information without their consent. In terms of environmental regulations, the restaurant has been found to be in violation of waste disposal regulations, as they have been improperly disposing of cooking oil and other waste products. Finally, the restaurant has also been facing consumer protection law issues, as there have been reports of misleading advertising and false claims about the quality of their food. As a result of these non-compliance issues, Feast of Flavours is facing the possibility of fines, legal action, and reputational damage. They will need to take immediate steps to address these issues and come into compliance with all relevant laws and regulations to avoid further consequences. Assume that you have just been appointed as the new Operations Manager as the Owner of the business is stepping back. The Owner wants to make sure that it is complying with the relevant laws and licensing obligations, and you have been asked to look into this. Once these have been established, you will be responsible for developing policies, procedures and other supporting documentation or templates needed to ensure staff comply with the relevant legislation at all times. You are required to read and understand the given scenarios and policies and procedures to complete the activities below. |
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Activity 1: Assess business compliance |
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Your task |
Part A Purpose For this task, students must identify and evaluate legal risks in all areas of business operation for which legal risk management and compliance is required. Role and participants Operations Manager Assume that you are a newly appointment Operation Manager. You are responsible for overseeing business operations and ensuring legal compliance. Owner Your classmate will act as the owner who has recently stepped back from the business and hired an Operations Manager to fitful the role of the manager. Tasks to be performed As an operations manager, you are required to research the business operations of Feast of Flavours and identify the legal and compliance issues that require assistance. You will be required to prepare a report on the legal risks and compliance requirements that the business needs to consider. There must be at least six different legal risks identified in the report that will require risk management and legal compliance. The report will also provide information about the sources of information that will help in managing the legal and compliance issues identified. While working on the laws and license requirements, you need to access the regulatory and legal information that is associated with the Feast of Flavours and include it in the report. Moreover, the report also needs to include information about the risks, penalties, and consequences if this non-compliance is not resolved. The report needs to cover the following: Overview of the business Areas of business operations that need risk management and compliance Six different legal issues present in the organisation Sources of information that need to be referred to comply with laws and licensing Regulatory and legal information relevant to business operations Risk, penalties, and consequences of the compliance Part B Purpose As an operations manager you are aware that, some of the areas of the business require legal advice so you need to send an email to the specialist who can help you with the legal and compliance issues present in Feast of flavours. The email will include the information obtained from the report and will highlight the legal and compliance issues. The email will request a legal advice form the specialist which will help in resolving the compliance issues in the restaurant. |
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You will be required to complete and/or attach. |
You are required to complete the report and email template below and submit it to the trainer. |
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Compliance report template |
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Assess each area of the business operations and complete each of the following sections. It must be relevant to the area that you are studying. |
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Overview of business Feast of Flavours is a high-end restaurant offering a global culinary experience with a focus on diverse cuisines, curated by a team led by a Michelin 3-star chef. The restaurant also caters to private and corporate events, emphasizing a unique dining atmosphere with soft lighting, artistic decor, and elegant design. Feast of Flavours is not just a restaurant but a culinary journey, aiming to provide a global dining experience. It's designed to offer an ambiance that complements the exploration of flavors from around the world, managed by a team including a Michelin-starred chef. This business model not only promises a unique dining experience but also extends its services to private and corporate events, which adds layers of complexity to its operations, particularly in terms of legal and compliance requirements. |
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Areas of business operations that need risk management and compliance Food Safety: The recent complaints about undercooked meat and unsanitary kitchen conditions indicate critical areas needing immediate attention. Compliance with food safety regulations is essential to prevent health risks to customers. Liquor Licensing: The restaurant has been non-compliant with liquor license regulations by not checking IDs of customers, posing legal risks related to underage drinking and over-serving. Employment Laws: Allegations of wage theft, discrimination, unsafe working conditions, and lack of proper training highlight a need for compliance with labor laws to ensure fair treatment and safety of employees. Privacy Laws: The improper handling of customer data, including collection and sharing without consent, breaches privacy regulations, risking legal action and loss of customer trust. Environmental Regulations: Violations in waste disposal, particularly with cooking oil and other waste, require adherence to environmental laws to prevent environmental damage and legal penalties. Consumer Protection Laws: Misleading advertising and false claims about food quality can lead to legal action under consumer protection statutes, impacting the restaurant's reputation and finances. |
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Six different legal issues present in the organisation dgdg Food Safety: - Implement a food safety plan to ensure compliance with health regulations. - Train staff on proper food handling and sanitation practices. Liquor Licensing: - Establish procedures for verifying customer ages to comply with licensing laws. - Ensure staff are trained on the responsible service of alcohol. Employment Practices: - Review payroll and employment contracts for compliance with wage laws. - Provide anti-discrimination and safety training for employees. Privacy Compliance: - Develop a privacy policy to protect customer data. - Train staff on data protection practices and ensure compliance with privacy laws. Environmental Practices: - Implement sustainable waste management and proper disposal procedures. - Conduct environmental audits to ensure compliance with environmental regulations. Consumer Protection: - Ensure advertising is accurate and honest to avoid misleading claims. - Handle customer complaints efficiently and transparently. |
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Sources of information that needs to be referred to comply with laws and licensing Government Websites: Access to current legislation and regulatory guidelines from local, state, and federal government bodies responsible for health, employment, privacy, and environment. Industry Associations: Materials and guidance from hospitality and restaurant associations on best practices for compliance. Legal Advisors: Consultations with legal professionals specializing in hospitality law for detailed advice on compliance strategies. |
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Regulatory and legal information relevant to business operations Health and Safety: Compliance with regulations from health departments concerning food handling, preparation, and storage to ensure safety for consumers. Liquor Laws: Understanding and adhering to state and local alcohol service laws to manage liquor liability risks. Labor Laws: Ensuring compliance with wage, working hours, safety, and anti-discrimination laws. Privacy Laws: Implementing policies in line with data protection regulations like GDPR or local equivalents. Environmental Laws: Compliance with waste management and environmental protection regulations. Consumer Protection: Adhering to advertising standards and ensuring truthful representation of services and products. |
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Risk, penalties and consequences of the compliance
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Part B: Email to specialist for legal advice |
To: vikran.kumar@hilton.edu.au |
From: anyamitha23@gmail.com |
Date: 20/01/2025 |
Subject: Request for legal advice on compliance issues |
Attachment: report from part A |
Message: |
Dear Mr. Kumar I hope this email finds you well. I am reaching out to seek your expert guidance on several pressing compliance and risk management issues that our restaurant, Feast of Flavours, is currently facing. As the newly appointed Operations Manager, I am committed to ensuring that we adhere to all relevant laws and regulations to maintain our reputation and avoid potential legal repercussions. 1. Food Safety Compliance: We have received multiple complaints regarding undercooked meat and unsanitary conditions in our kitchen. These issues pose significant health risks to our customers and could lead to severe penalties from health authorities. I would appreciate your advice on developing a robust food safety management system, including regular staff training and kitchen audits, to ensure compliance with health regulations. 2. Liquor Licensing Regulations: Our current practices for serving alcohol have been found lacking, particularly in verifying customer ages. This oversight has resulted in violations of liquor licensing laws. I am seeking your guidance on establishing strict procedures for ID verification and ensuring all staff are adequately trained in responsible alcohol service. 3. Employment Law Concerns: There have been allegations of wage theft, discrimination, and unsafe working conditions within our establishment. These issues not only threaten our legal standing but also impact employee morale and productivity. I would like your assistance in reviewing our payroll systems, employment contracts, and workplace safety protocols to ensure full compliance with employment laws. 4. Privacy Law Compliance: We have been inadvertently collecting and sharing customer personal information without proper consent, which violates privacy laws. I am looking for your expertise in developing a comprehensive privacy policy and training program for our staff to protect customer data and comply with the Privacy Act 1988. 5. Environmental Regulation Adherence: Our waste disposal practices, particularly concerning cooking oil, have been found non-compliant with environmental regulations. I am interested in your recommendations for implementing sustainable waste management practices and conducting environmental audits to ensure compliance. 6. Consumer Protection Issues: There have been reports of misleading advertising and false claims about the quality of our food. I seek your advice on ensuring that all marketing materials accurately reflect our offerings and that we handle customer complaints effectively to maintain consumer trust. Your expertise in these areas is invaluable to us, and I am eager to implement your recommendations to address these challenges comprehensively. Please let me know a convenient time for us to discuss these matters further. Thank you for your attention and assistance. I look forward to your guidance. Warm regards, Anya Mitha Operations Manager Feast of Flavours |
Part B: Email response from specialist |
To: Student |
From: Trainer |
Date: xx/xx/20xx |
Subject: RE: Request for legal advice on compliance issues |
Attachment: Report form Part A |
Message: |
Dear Student Name, Thank you for reaching out to me for advice on legal and compliance issues present in Feast of Flavours. I have reviewed the information provided in your email and the compliance report, and I believe there are several areas that require attention to ensure that the business is compliant with relevant laws and regulations. Regarding your request for legal advice, I would like to clarify that as a specialist in compliance, I am not authorised to provide legal advice. However, I can offer my expertise in identifying potential legal and compliance risks and providing recommendations on risk management strategies to mitigate those risks. Based on the information provided, I would recommend that Feast of Flavours consider implementing the following measures to manage the identified legal and compliance issues: Food safety: Conduct regular food safety training for all staff, ensure that all ingredients are sourced from reputable suppliers, and implement effective food handling and preparation practices to prevent contamination and foodborne illnesses. Liquor licensing and responsible service of alcohol: Ensure that all staff are trained in responsible service of alcohol, implement measures to prevent underage drinking and the service of alcohol to intoxicated customers, and comply with laws regarding the sale and service of alcohol. Employment laws: Ensure that employees are provided with safe working conditions, paid fairly, and treated with respect and dignity. Conduct regular health and safety training and implement measures to prevent workplace accidents. Privacy laws: Develop and implement a privacy policy that complies with relevant laws and regulations, ensure that customer data is collected and stored securely, and implement measures to prevent data breaches. Environmental regulations: Implement sustainable practices to reduce the restaurant's environmental footprint, including waste management, water usage, and energy consumption. Reputation management: Develop a crisis management plan to respond to any negative reviews or customer complaints promptly and effectively, monitor social media and online reviews to manage the restaurant's online reputation, and provide high-quality food and service to maintain a positive reputation. I hope that these recommendations are helpful in addressing the legal and compliance issues present in Feast of Flavours. If you have any further questions or require additional support, please do not hesitate to contact me. Best regards, Trainer name |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Identify legal risks and compliance needs. |
1.1 Overview of the business Student will review the website and provide information about the business Student will highlight the services provided by the business |
r Yes r No |
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1.2 Evaluate areas of business operation for which legal risk management and compliance is required. Student reviewed business operations Student determine the businesses current legal compliance Student determined businesses legal risks Student identified if the legal risks were managed Student review business documents Student sourced information from: o local, state, territory or Commonwealth government departments or regulatory agencies o plain English documentation that explains the operational requirements of legislation o researched the internet o industry associations and organisations o regulation authorities |
r Yes r No |
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1.3 Identify legal risks and compliance requirements that are present in business operations. Student determined legal compliance for all areas of business operations for relevant: o Legislation o Regulations o Codes of practice o Professional standards o Regulation authorities o Industry associations Student determined the risks and consequences Student reviewed the business operations and identified the areas which have risks |
r Yes r No |
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2. Research information required for legal compliance. |
2.1 Identify sources of information for compliance with laws and licensing for business operations. Student researched and gathered information from: o local, state, territory or Commonwealth government departments or regulatory agencies o plain English documentation that explains the operational requirements of legislation o researched the internet o industry associations and organisations o regulation authorities Student researched the sources for each of the legal areas Student ensured that sources of information were current and reliable Student ensured that the location was relevant to the information gathered such as state |
r Yes r No |
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2.2 Access regulatory and other legal information relevant to specific business operation. Student identified for each legal risk: o Practices that are prohibited by the law o Auditing and inspection regimes needed to ensure compliance o The main consequences of non-compliance o Business or occupational licensing and associated compulsory training and certification o Required record keeping and acceptable record keeping mechanisms o Statutory reporting requirements o Any business insurance(s) required o Mandatory codes of conduct enshrined in legislation o Required plans, policies, codes of conduct or business practices o The rights and responsibilities of employees and employers o Any other actions that must be taken for legal compliance |
r Yes r No |
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2.3 Identify risks, penalties and consequences of non-compliance Student identified the risk associated with each of the legal areas Student identified the penalties and consequences associated with each of the legal areas |
r Yes r No |
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2.4 Access the legal advice from specialist Sent the email to the specialist Included the legal areas for which specialist advice is required Gathered the feedback form the specialist Understood advice from the specialist |
r Yes r No |
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Activity 2: Assessing and acting on Specialist advice |
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Your task. |
Purpose In this task, you are required to go through the email received from the specialist and identify the suggestion provided by the specialist. Once the advice is identified, you will be required to act on at least one of the advice provided by the specialist. Role and participants Operations Manager You will act as the operations manager who has received the advice form the specialist and is reviewing the advice provided by the specialist. You have identified that training is most effective method which can be incorporated in the restaurant to ensure compliance with government regulations. As an operations manager, you are required to conduct a training session with all the staff to train them about the legal risks which are present in the organisation and how these can be avoided. The session will provide knowledge about the strategies which needs to be followed to ensure that organisation comply with legal regulations. Staff members Your classmates will act as the staff members who will participate in the training session. They will ask questions about the legal risks present in the organisation, how these risks can be resolved, what their role is in ensuring that organisation doesnt have legal issues. After session is delivered, you will be required to gather the feedback form to identify how effective the session is and what changes does restaurant needs to make to ensure everyone comply with government regulations. The training session will cover the following: Greet everyone Main objective of the session Legal risks present in the organisation Compliance needs that organisation needs to obtain Ways to ensure organisation is complying with legal risks Role of staff in complying with government regulations |
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You will be required to complete / attach. |
You will be required to deliver the training session and obtain feedback from the staff. Your trainer will observe you while you are delivering the training session and will complete the observation checklist. |
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Timeframe |
You will be required to complete this task in 10-15 minutes. You can request for additional time if required. |
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Training session notes |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Research information required for legal compliance. |
1.1 Acted on the legal advice obtained from specialist Gathered the feedback from the specialist Understood the advice for all the six legal areas Prepared the training session to implement the advice received from the specialist Greeted everyone Explained the main objective of the session o Discussion on the legal areas o Discussion on the advice obtained from the specialist Discussed the legal risks present in the organisation o Food Safety Regulations o Liquor Licensing o Employment Laws o Privacy Laws o Environmental Regulations o Consumer Protection Laws Discussed the compliance needs of the organisation o Develop food safety program o Obtained liquor license and responsible service of alcohol o Provide safe work environment to the employees Discussed the methods that organisation needs to follow to comply with legal areas o Conduct training session o Update the policies and procedures o Develop employment policies to provide safe work environment |
r Yes r No |
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Activity 3: Develop legal risk management strategies and actions. |
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Your task. |
Purpose In this activity, you will be required to prepare and communicate the risk management strategies and compliance actions against the legal areas (identified in activity 1) that needs to be taken to comply with the laws and regulations to ensure that there is no legal issue present in the organisation. Role and participants Operations Manager You will act as the operations manager who will be required to develop a risk management plan including the following: The risk management strategies and action plan for the following areas: o Food Safety Regulations o Liquor Licensing o Employment Laws o Privacy Laws o Environmental Regulations o Consumer Protection Laws Create a communication plan including the procedures to keep staff up to date with the latest information regarding their roles and responsibilities in legal risk management and compliance. Include the strategies for regularly assessing business operations to identify any areas of non-compliance. Recognise opportunities to stay up to date on current legal risk management strategies and compliance requirements. Activity 3B: Communicate with the team. In this activity, you will act as the operational manager and as per your risk management plan and the communication plan developed in the previous activity 3A one of the strategies you selected for the successful communication of the legal compliance in your organisation is to send an informative email to the staff members. For this purpose, you are required to send an email to the company owner, manager and the team leader and communicate to them the new developed plan, strategies and procedures to ensure effective management of legal risks and compliance with legal requirements in your organisation. You are also required to clearly write down in the email stating each staff member role and responsibilities in maintaining the legal compliance in the organisation. Three of your classmates will act as the company owner, manager, and the team leader to whom you are required to send an email. They will receive your email and respond back to your email with acknowledgment of their roles and responsibilities. |
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You will be required to complete. |
Email to the Owner and the heads of departments including the attachments of each policy and procedure Email to all Feast of Flavours staff including each of the policies and procedures |
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3A: Risk management strategies and compliance actions |
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Tell 6 legal area, what is gonna be the risk assessment strategy and action plan (what and how we going to do), and timeframe and who is responsible TEMPLET
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Communication plan
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Strategies to assess business operations
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Opportunities to stay up to date on current legal risk management strategies and compliance requirements
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Part 3B: Email to management and staff |
To: Management and Staff |
From: anyamitha23@gmail.com |
Date: 1st February 2025 |
Subject: New Legal Compliance Plan and Procedures for Feast of Flavours Restaurant |
Attachments: Compliance_Report.pdf |
Dear Team, I hope this message finds you well. I am writing to share a comprehensive report that outlines our current compliance status and operational improvement strategies for Feast of Flavours. Key Points of the Report: A. Compliance Issues: 1. Food safety protocols and corrective actions. 2. Steps to ensure adherence to liquor licensing regulations. 3. Measures to address employment law issues. B. Operational Improvements: 1. Implementation of staff training programs. 2. New procedures for waste management. 3. Enhanced data privacy practices.C. Action Plan: 1. Immediate steps to address non-compliance. 2. Long-term strategies for continuous improvement. Please review the attached report thoroughly and prepare any questions or feedback for our upcoming meeting on [Thursday 28th February 2025]. We must work together to ensure these strategies are effectively implemented. Thank you for your attention to these important matters. Best regards, Anya Mitha Manager |
Part 3B: Email from management and staff |
To: StudentName |
From: TrainerName |
Date: xx/xx/20xx |
Subject: Re: New Legal Compliance Plan and Procedures for Feast of Flavours Restaurant |
Attachments: |
Message: Dear StudentName, Thank you for sharing the new legal compliance plan and procedures for Feast of Flavours Restaurant. We appreciate the effort that you and your team have put into developing this plan to ensure that we are effectively managing legal risks and complying with all legal requirements. As the owner/manager/team leader of the restaurant, we acknowledge our roles and responsibilities in maintaining legal compliance in the organisation. We understand that it is crucial to provide regular training and education to all staff members to ensure that they are aware of their responsibilities and that they follow the procedures outlined in the plan. We fully support the implementation of the new plan and procedures and we will work with you to ensure that they are effectively implemented and followed by all staff members. We also recognise the importance of conducting regular internal reviews to identify any areas of non-compliance and address them promptly. Thank you once again for sharing the plan and procedures with us. We are confident that with your leadership and our collective efforts, we can maintain legal compliance and manage legal risks effectively in Feast of Flavours Restaurant. Best regards, TrainerName |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Consider legal risk management strategies and actions for legal compliance. |
1.1. Developed a risk management plan for the following areas: Food Safety Regulations Liquor Licensing Employment Laws Privacy Laws Environmental Regulations Consumer Protection Laws 1.1.1 Plan complied with the legal and regulatory requirements 1.1.2 Plan included strategies and actions for each of the legal areas identified 1.1.3 Strategies and actions developed were clear and specific to the organisation's needs and operations 1.1.4 The plan outline the responsibilities of different roles and positions in managing legal risk 1.1.5 Provided strategies and actions are feasible and realistic for implementation 1.1.6 Plan included timelines and deadlines for implementation and review |
r Yes r No |
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1.2 Develop a Communication Plan: 1.2.1 Communication plan outlined procedures for keeping staff up to date on legal risk management and compliance 1.2 2 Selected communication methods were effective for reaching all staff members 1.2.3 Communication plan include procedures for receiving feedback and addressing any concerns or questions from staff members |
r Yes r No |
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1.3 Develop the assessment Strategies for continuous improvement of the business: 1.3.1 Strategies developed ensure regularly assessing of business operations to identify areas of non-compliance 1.3.2 Assessment strategies specific to each legal area and tailored to the organisations operations 1.3.3 Assessment strategies include procedures for documenting findings and implementing corrective actions 1.3.4 Outlined procedures for implementing any necessary updates or changes to the risk management plan based on new legal requirements or changes in the organisation's operations |
r Yes r No |
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1.4 Recognised opportunities to stay up to date on current legal risk management strategies and compliance requirements. 1.4.1 Developed plan recognised opportunities for staying up to date on current legal risk management strategies and compliance requirements 1.4.2 Identified specific resources for staying informed |
r Yes r No |
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1.5 Communicated legal risk management strategies and actions necessary to comply with laws to the staff members: 1.5.1 Sent the email to the correct recipients (company owner, manager, and team leader) 1.5.2 Clearly communicated the new risk management plan, strategies, and procedures in the email 1.5.3 Clearly outlined each staff member's role and responsibilities in maintaining legal compliance in the organisation 1.5.4 Used formal language and tone in the email 1.5.5 Received responses from the recipients acknowledging their roles and responsibilities |
r Yes r No |
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Activity 4: Maintain business and occupational licences and check contractor contracts |
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Your task. |
Purpose: To identify and prevent potential legal and financial issues arising from the non-compliance of the licenses or contractor contracts to ensure the business operates in compliance with applicable laws and regulations. Task to be performed In this activity you are required to regularly maintain and update business and occupational licenses while monitoring contractor contracts and their conduct to minimise risk to the business. For this purpose, you are required to refer to the appendix A, B and C (attached as additional documents) and refer to the health permit, liquor license and contractor contracts provided and analyse whether or not they comply with the current legal and regulatory requirements. (Note: Only for this assessment activity, you are required to consider while analysing the permits and contracts that the year is April 2022) You are required to identify whether the licenses and contracts are current for operating the business operations as per the legal and regulatory requirements by referring to the following the government websites and make necessary changes where required. https://liquorportal.vcglr.vic.gov.au/liquorportal/Default.aspx https://ablis.business.gov.au/service/vic/health-services-permit/24544 https://business.gov.au/legal/fair-trading/fair-trading-laws You are required to perform the following tasks: Review the relevant industry legislation and regulations as provided above. Analyse the validity of the licenses and permits of the business. Identify issues related with the contract. Update the relevant section of the areas of the contracts in the provided template (Highlight the section that you have updated) |
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You will be required to complete / attach. |
You are required to perform the activity as per the above provided instructions. You are required to complete the provided template: Validity of the documents and update relevant sections of contract. Your trainer will observe your performance and complete the provided checklist. |
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Template: Validity of the documents and update relevant sections of contract |
Validity of the permits and licenses |
Step 1: Review Existing Documents - Collect all relevant permits and licenses required for the business, such as food safety certificates, liquor licenses, employment permits, and waste disposal permits. - Check Expiry Dates: Verify the validity and expiry dates of these documents to ensure they are current and have not lapsed. Step 2: Verify Compliance Requirements - Regulatory Review: Ensure all permits and licenses comply with local, state, and federal regulations. - Contact Authorities if Needed: If uncertain, contact the issuing authorities for confirmation of requirements and validity. Step 3: Update Contract Sections - Identify Contract Sections: Determine which sections of the contract relate to permits and licenses. - Amend Sections as Necessary: Update relevant sections to reflect current validity and requirements, citing specific permits/licenses and their details. Step 4: Documentation - Record Changes: Document any changes made to the contract, including reasons for updates and correlations with the permits and licenses. - Maintain Updated Records: Ensure the updated documents and contract sections are filed systematically for easy access and review. Step 5: Communication - Inform Stakeholders: Notify relevant stakeholders of the changes, ensuring they understand the updates and compliance implications. |
Issues related with the contract |
Ambiguities in Terms: - Issue: Vague or unclear language can lead to different interpretations. - Solution: Review and clarify ambiguous terms. Use precise language and define key terms clearly to avoid misunderstandings. Compliance with Legal Requirements: - Issue: The contract may not align with current legal standards. - Solution: Ensure the contract complies with local, state, and federal laws. Consult legal advice if necessary to update terms according to regulatory changes. Validity of Permits and Licenses: - Issue: Contracts may rely on permits or licenses that are expired or soon to expire. - Solution: Regularly verify the status of all necessary permits and licenses and update the contract to reflect current statuses to avoid operational interruptions. Breach of Contract: - Issue: Parties may not fulfill their contractual obligations. - Solution: Include clear consequences for breaches and outline procedures for resolving disputes. Consider mediation or arbitration clauses for conflict resolution. Payment Terms: - Issue: Incomplete or complex payment terms can lead to financial disputes. - Solution: Ensure payment schedules, amounts, and methods are clearly specified and agreed upon by all parties. Intellectual Property Rights: - Issue: Lack of clarity about ownership or usage rights of intellectual property. - Solution: Clearly specify ownership rights and the scope of usage for any intellectual property involved in the contract. Termination Clauses: - Issue: Unclear termination conditions can complicate the ending of contracts. - Solution: Define clear criteria for contract termination, including notice periods and any penalties for early termination. Force Majeure: - Issue: Unforeseen events can disrupt contractual obligations. - Solution: Include a force majeure clause that defines what constitutes an unforeseeable event and the procedures to follow if one occurs. |
Updated contract |
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Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Ensure management of legal risks and compliance with legal requirements. |
1.1. Reviewed relevant industry legislation and regulations. 1.1.1 Reviewed the correct legislation and regulations applicable to the business including but not limited to: Food Safety Regulations Liquor Licensing Employment Laws Privacy Laws Environmental Regulations Consumer Protection Laws 1.1.2 Demonstrated understanding of the legal and regulatory requirements. 1.1.3 Identified any recent changes or updates to the legislation and regulations. |
r Yes r No |
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1.2 Analysed the validity of the business licenses and permits. 1.2.1 Checked the expiration dates of all licenses and permits. 1.2.2 Verified that all licenses and permits are current and up-to-date. 1.2.3 Checked that the type of licenses and permits obtained match the business operations. |
r Yes r No |
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1.3 Identified any issues related to the contractor contracts. 1.3.1 Checked that all contracts are current and up-to-date. 1.3.3 Checked that all contractors are properly licensed and insured. 1.3.4 Checked that all contracts contain the necessary clauses, such as indemnification, liability, and termination. 1.3.5 Identified any potential conflicts of interest or other ethical concerns. |
r Yes r No |
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1.4 Updated relevant sections of the contract template. 1.4.1 Updated the sections related to the identified issues in the contract. 1.4.2 Highlighted the sections that were updated to ensure clarity. 1.4.3 Used appropriate formal language and terminology. 1.4.4 Ensured that the changes were consistent with legal and regulatory requirements. |
r Yes r No |
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1.5 Demonstrated attention to detail in reviewing licenses and contracts. 1.5.1 Checked all licenses and contracts thoroughly for accuracy and completeness. 1.5.2 Demonstrated an understanding of the importance of attention to detail in legal and regulatory compliance. 1.5.3 Followed a systematic and structured approach in reviewing licenses and contracts. |
r Yes r No |
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1.6 Followed the provided instructions for the activity. 1.6.1 Followed the provided instructions for the activity in completing the tasks. 1.6.2 Demonstrated an understanding of the activity objectives. 1.6.3 Followed the appropriate steps in completing the activity. |
r Yes r No |
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1.7 Used the appendix documents appropriately. 1.7. 1Used the appendix documents to complete the tasks in the activity. 1.7.2 Demonstrated an understanding of how to use the appendix documents. 1.7.3 Followed the instructions for using the appendix documents. |
r Yes r No |
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Activity 5: Develop policies and procedures |
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Your task. |
Purpose: Incorporate risk management strategies and legal compliance actions into operational planning activities. For this purpose, you are required to develop policy and procedure for the following areas by complying with the legal and regulative requirements relevant to your business: Liquor Licensing Privacy Environmental Health And Safety Consumer Protection Task to be performed. In this activity you will act as the operations manager, and you are responsible to ensure that the organisation operational activities comply with the industry legislation and regulations. For this purpose, you are required to develop the policy and procedure for effective implementation of the risk management strategies developed in the activity 3. You are required to perform the following tasks: Review the relevant industry legislation and regulations. Analyse the current business operation issues (refer to the case scenario and activity 1,3 and 4) Develop the following policy and procedure: o Liquor Licensing Policy and Procedure o Privacy Policy and Procedure o Environmental Policy and Procedure o Health And Safety Policy and Procedure o Consumer Protection Policy and Procedure |
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You will be required to complete / attach. |
You are required to perform the activity as per the above provided instructions. You are required to complete the below provided five policy and procedure templates: Liquor Licensing Policy and Procedure Privacy Policy and Procedure Environmental Policy and Procedure Health And Safety Policy and Procedure Consumer Protection Policy and Procedure Once completed submit the policy procedure templated to your trainer/assessor. Your trainer will observe your performance and complete the provided checklist. |
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1: Liquor Licensing Policy and Procedure |
Write the statement write the procedure (must check the id, training) make sure to write 5/6 procedure |
2: Privacy Policy and Procedure |
3: Environmental policy and procedure |
4: Health and Safety Policy and Procedure |
5: Consumer Protection policy and procedure |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Develop policies and procedures |
1.1 Continuously evaluate business operations for non-compliance and implement modifications. Review the industry legislation and regulation o Referred to the government websites o Analysed the impact not following legislation and regulations Analyse the current operation issues o Identified the legal risks and compliance issues present in the organisation o Identified the root cause behind the issues Develop the policies and procedures o Developed the six policies and procedures o Addressed the issues present in the organisation |
r Yes r No |
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Activity 6: Ensure management of legal risks and compliance with legal requirements. |
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Additional scenario |
Feast of flavours was found to be in violation of several employment laws during a routine inspection by the Fair Work Ombudsman. Specifically, in the following areas had not been paying overtime rates to its staff for work performed outside of normal hours, had not been maintaining proper records of employee hours and wages, and had not been providing appropriate meal breaks. As a result, the Fair Work Ombudsman issued fines and sanctions against the Feast of Flavours. The restaurant management was deeply concerned about the non-compliance issues and recognised the need to take immediate action to ensure that the cafe was in compliance with employment laws. |
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Your task. |
Purpose: To evaluate the business operations for non-compliance and develop an action plan for the issues identified. Task to be performed: In this activity you will act as the operation manager, and you are required to analyse the business operations of the Feast of Flavours provided in the additional scenario. You are required to identify what current practices are being used by the feast of flavours and develop an action plan to overcome the compliance issues within the restaurant. You are required to perform the following activities: Analyse the current business operations (refer to the additional scenario) Identify the current practices used by the feast of flavours (refer to the simulated website and analyse whether any specific policy and procedures are followed) Develop an action plan to resolve the compliance issues. |
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You will be required to complete / attach. |
Your Trainer/Assessor will observe you during the telephone conversation with the local council staff member. Email of the completed registration document |
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Template: Action plan |
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Analysis of current business operation and practices |
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The 3issues Based ot the issues make soe action plan (how to fix the issues) |
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Action plan |
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Action |
Description |
Responsible Party |
Deadline |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Ensure management of legal risks and compliance with legal requirements. |
1.1 Continuously evaluate business operations for non-compliance and implement modifications. Analyse the issues present in the organsiation o Not paying overtime o Not maintaining proper records o No proper meal breaks Identified the current practices of the business o Not following the government regulations Develop the action plan o Identified the actions that needs to be taken to address the issues o Identified the responsible parties for the desired actions o Highlighted the deadline for each of the action item |
r Yes r No |
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Activity 7: Implement the action plan |
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Your task. |
Purpose: To make changes in the current non-compliance practices (Employment policy) and implement the modifications within the organisation. Task to be performed: In this activity you will act as the operation manager, and you are required to update the current employment policy and procedure to include the issues identified in the activity 5. You are required to conduct research and identify the relevant legislations and regulations based on which you have to update the current employment policy and procedure attached as the appendix D. Once you have developed the policy and procedure you are required to communicate this with your staff mentioning the new changes in the employment policy and procedure. You are also required to explain in your email the importance of complying with the employment policy and procedure. You also need to attach the updated policy and procedure along with your email. Three of your classmates will act as the staff members to whom you are required to send an email, they will receive the email and confirm that they have read and understood the email and will comply with the changes specified in the new employment policy and procedure. |
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You will be required to complete / attach. |
You are required to submit the updated employment and wage compensation. |
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Revised Policy: Employment and Wage Compensation |
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Flaws addressed in the Revised Policy and Procedures: |
Email to management and staff |
To: |
From: |
Date: |
Subject: |
Attachments: |
Message: |
Email from management and staff |
To: TrainerName |
From: StudentName |
Date: xx/xx/20xx |
Subject: Re: Updated Employment Policy and Procedure |
Attachments: Updated Employment Policy and Procedure |
Message: Dear Operations manager Thank you for sharing the updated Employment Policy and Procedure with us. I have read and understood the changes made, and I will ensure to comply with the new policy and procedure. It is important for us to follow these policies and procedures to ensure that our workplace is a safe and fair environment for everyone. I appreciate the effort taken by the management to identify and address the flaws in our employment practices, and I am confident that the new policies and procedures will lead to improved compliance with employment laws. Please let me know if there is anything else I can do to assist in ensuring compliance with the new policies and procedures. Thank you again for sharing the updated Employment Policy and Procedure. Best regards, TrainerName |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Implement the action plan |
1.1 Continuously evaluate business operations for non-compliance Referred to the previous employment policy Identified the issues present in the policy Identified the legislation and regulations that will help to update the employment policy Developed the employment policy Sent the email to the team about the changes made in the employment policy Obtained feedback from the team that policy changes are understood |
r Yes r No |
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Activity 8: Discussions with experienced industry personnel |
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Your task. |
Purpose To maintain updated knowledge of current legal risk management strategies and legal compliance requirement as per the industry standards. Role and participant: Operations manager: You are working as an operational manager and as part of your role you are required to maintain and update the industry specific legal and regulatory requirements on-going basis. For this purpose, Feast of Flavours provide access to their senior staff to contact the industry experts for the development of the knowledge to maintain the current legal risk management strategies and legal compliance requirements. You are required to take part in the training session and discuss the current trends and updates related to the regulatory requirements. Before going to the training session, you are required to refer to the research done in the previous activities and collect information on which your discussion will be based. Industry expert in legal compliance: One of your classmates will act as the industry experts. Industry experts will assist you to understand the legal obligations that you and restaurant must comply. Expert will provide you with guidance on various legal requirements, such as food safety regulations, liquor licensing laws, and employment laws related to the feast of flavours that will help you to avoid any legal issues, fines, and reputational damages. Tasks to be performed. For this activity, you need to perform the following tasks: Before attending the training session, refer to the research conducted in the previous activities related to the legal risk management strategies and legal compliance requirements (refer to activity 3) specific to the Feast of Flavours industry. Look for industry-specific regulations and standards related to food safety, liquor licensing laws, and employment laws. Participate in the training session provided by the industry expert of Feast of Flavours. Listen carefully to the industry expert's on legal compliance requirements and ask questions for clarification. Take notes during the training session and document any important points that are discussed. (Training and learning document template) After the training session, review your notes and research findings. Summarise the key legal risk management strategies and legal compliance requirements that are relevant to Feast of Flavours. Identify any new information or updates provided by the industry expert and note how they impact the restaurant. Communicate these changes to the relevant staff members and ensure that they are aware of any new legal requirements. Three of your classmates will act as the staff members to whom you are required to send the information gathered from the industry experts on the current risk management strategies and compliance requirements. |
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You will be required to complete / attach. |
You will be required to complete the training and learning document and email template. |
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Training and Learning Document Template |
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Participant Name: ___________________________ Date of Training: ____________________________ |
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Objectives |
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Topic/Subject |
Key Points Discussed |
Email to three staff members |
To: |
From: |
Date: |
Subject: |
Attachments: |
Message: |
Email from staff |
To: StudentName |
From: TrainerName |
Date: xx/xx/20xx |
Subject: Re: Industry expert training session |
Attachments: |
Message: Dear [Operation Manager], I hope this email finds you well. I am writing to acknowledge the receipt of your email regarding the industry expert training that you recently attended. Thank you for sharing with us the key points discussed during the training session. I appreciate your effort in keeping us informed about the latest industry trends and regulations related to food safety, liquor licensing laws, and employment laws. I understand that this information will be beneficial for our restaurant to comply with legal requirements and enhance our operations. I would like to assure you that I have read and understood the new information and updates provided by the industry expert. As a member of the staff, I will do my best to ensure that we comply with these regulations and maintain the high standards of our restaurant. Thank you again for sharing this valuable information with us. Please let me know if there is anything else I can assist you with. Best regards [Staff Name] |
Performance criteria checklist for unit assessment task: |
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Trainer/ Assessor to complete |
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Trainer name: Date: |
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Does the candidate meet the following criteria? |
Satisfactory / Not Satisfactory |
Trainer/Assessor Comments |
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1. Maintain personal and organisational knowledge of legal risk management strategies and compliance requirements. |
1.1 Identify and use opportunities to maintain knowledge of current legal risk management strategies and legal compliance requirements. Reviewed the research done in the previous activities Identified the industry specific regulations and standards related to legal issues Attended the training session Gathered the information from the industry specialist about the current legal compliance requirements Took notes of the training session to share with the team Prepared the email containing the latest information about the risk management strategies and compliance requirements |
r Yes r No |
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1.2 Use organisational communication methods to share updated regulatory knowledge. Sent the email to everyone Included the information gathered from the session No spelling and grammar mistake |
r Yes r No |
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