SITXGLC002_AT (1)

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Local, state, territory or Commonwealth government departments The most significant sources of information are government departments and regulatory organisations. State or territorial governments manage the hospitality and tourism industry's licences and permits. Plain English documentation that explains the operational requirements of legislation The focus of plain English is communication. It makes it possible for documents to be well-designed and written so that readers can quickly read them and comprehend the information regarding legal compliance. Books and journals, written in plain English, contain precise and accurate legal information. Computer and internet Information about all workplace tasks is stored in computer data, which is a valuable business asset. Computer data will also contain information about adherence to the law. Discussions with experienced industry personnel An individual with experience in ropeway maintenance, operation, or testing has gained knowledge and skills through education, training, or work experience. As a result, business personnel in the industry stay current on operational needs. Accreditation operators Operators of accreditation programmes offer information on approaches that should be taken into account to achieve the necessary level of risk management and have someone take responsibility for the operation of a business, system, or organisation. Associations and organisations Information access to regulatory data and requirements pertinent to business operations is provided by associations and organisations. Developers of codes of conduct or ethics Prices and business operating attitudes are set by those who create industry-specific codes of conduct or ethics. Journals Journals offer guidance for network planning and business operations to ensure legal compliance. Seminars Seminars are an excellent resource for gathering information. They aid in precisely managing business operations to adhere to rules and regulations. Lawyers Lawyers are licenced legal experts who offer guidance. Since they know how businesses operate, lawyers' advice is practical regarding rules and regulations. They will assist you in keeping good ties with the State or territory. Libraries Due to the constant availability of books and magazines that discuss legal compliance and licencing in business operations, libraries are an excellent place to access information about business operations. Personal observations and A subset of this category is personal observation, where the SITXGLC002_V.1_Issued 7/7/2023 AT Page | 3

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Fair Work Act 2009, including provisions for National Employment Standards (NES)  insurance, including public liability and professional indemnity insurance  privacy law  trade mark law  work health and safety  workers’ compensation, including provisions for injury reporting and occupational rehabilitation Research the above and write a brief report on how John can comply with each of the above. PRIMARY COMPONENTS OF LEGAL PRINCPLES AND OF LOCAL, STATE, TERRIOTRY AND COMMONWELATH GOVERNMENT LAWS Objective : As a new business owner, it is my responsibility to ensure that I am across all the laws and legislations. Anti-discrimination including EEO The law must forbid all forms of discrimination and ensure that everyone has access to equal and effective protection from discrimination based on any factor, including race, colour, sex, language, religion, political opinion, national or social origin, property, birth, or another status. Anti-discrimination laws include:  Equal employment opportunity , or EEO, is the notion that everyone, regardless of race, sex, or sexual orientation, has an equal opportunity to seek employment based on merit. The Equal Opportunity prohibits employer discrimination based on particular traits for Employment (EEO) Act.  It may be harassment and against the law when someone is treated less favourably due to certain personal characteristics. Anti-trust laws The anti-trust laws generally forbid mergers and business practices that are illegal, leaving it up to the courts to determine which ones are based on the specific facts of each case. This includes prohibitions on:  Anti-cartel : Australia criminalised cartel behaviour. Making or carrying out a contract, arrangement, or understanding that contains a "cartel provision" is now a parallel criminal and civil offence.  Resale Price Maintainance : Resale price maintenance (RPM) happens when a supplier coerces a company into not selling goods for less than a specific price. Suppliers may not: exert undue influence over businesses to SITXGLC002_V.1_Issued 7/7/2023 AT Page | 6

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro damage resulting from your allegedly irresponsible business conduct, public liability insurance is intended to cover your legal bills and compensation costs. Professional indemnity insurance is an option for a variety of businesses in Australia that charge clients for specialised or expert advice. Privacy law The main piece of Australian law governing the handling of personal information about individuals is the Privacy Act 1988 (Privacy Act). This covers the federal public and private sector's collection, use, storage, and disclosure of personal information. Trade mark law According to Australian trademark law, a trademark is a symbol used to identify products or services that a person deals with or provides in the course of business from goods or services that are dealt with or provided by any other person. Work health and safety The management of risks to the health and safety of everyone at your workplace is a component of work health and safety (WHS). Those who work for you, as well as your clients, guests, and suppliers, are all included in this. Workers’ compensation Employees may receive insurance payments through workers' compensation if they are sickened or injured at work. Employees may receive payments through workers' compensation to cover their wages while unable to work. Rehabilitation costs and medical costs. 1.7. Refer to the laws, codes, standards and licensing requirements that could impact on specific operators in the tourism, travel, hospitality and event industries. Research these laws and explain how it could be applicable to John’s context in the hospitality industry:  Criminal Code Act 1995 as it relates to child sex offences outside Australia  European Economic Directive of Foreign Travel  food safety  Food Standards Australia New Zealand Act 1991  liquor licensing, including responsible service of alcohol  Queensland Tourism Services Act 2003  Residential Tenancy Act  responsible conduct of gaming regulation Criminal Code Act 1995 as it relates to child sex offences outside Australia Australian citizens who go abroad to engage in, promote, or profit from sexual activity with children are breaking the law (under 16 years of age). Despite taking place abroad, these offences are still subject to investigation and prosecution in Australia. They can result in fines and sentences of up to $500,000 for corporations and SITXGLC002_V.1_Issued 7/7/2023 AT Page | 9

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro conduct. Residential Tenancy Act For all inbound tour operators, compliance with the Tourism Services (Code of Conduct for Inbound Tour Operators) Regulation 2003 is required. It outlines how we can conduct ourselves truthfully, equitably, and expertly. Responsible conduct of gaming regulation The term "responsible conduct of gaming" (or "RCG") refers to the provision of gaming and wagering services in a way that reduces the possibility of harm from gambling to individuals and their families, and the community at large. RCG's scope extends far beyond problem gambling. 1.8. Explain the following elements for each relevant law, code, standard and licensing requirement listed in the table below:  objectives and primary components  key practices and legal risks that need to be managed  key actions needed to manage the legal risks and comply with the law  main consequences of failure to manage the legal risks or non-compliance with the law  requirements for record keeping and acceptable record keeping mechanisms Criminal Code Act 1995 as it relates to child sex offences outside Australia Objectives and primary components This Act aims to establish general guidelines for criminal responsibility under Commonwealth law. It includes all the fundamental rules of criminal responsibility regardless of how an offence is committed. Key practices and legal risks that need to be managed Drug use and distribution, sexual offences, assault offences, robbery, and gaining an unfair financial advantage are all prohibited (fraud). key actions needed to manage the legal risks and comply with the law Penalties of up to 25 years imprisonment for individuals and up to $500,000 in fines for companies. main consequences of failure to manage the legal risks or non-compliance with the law Failures will motivate more offenders to commit crimes. requirements for record keeping and acceptable record keeping mechanisms Record-keeping requirements are statements specifying which records are to be created and maintained by public offices. Typically, record-keeping requirements concern the following: creating a record, capturing a record, including necessary SITXGLC002_V.1_Issued 7/7/2023 AT Page | 12

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Assist Australians in making educated food decisions Prevent food companies from acting dishonestly and fraudulently. key actions needed to manage the legal risks and comply with the law The Food Standards Code must be followed when producing, handling, storing, and serving food and beverages. Under the joint Australian and New Zealand food regulation system, all levels of government collaborate to safeguard public health and safety: Australia's and New Zealand's respective food ministers oversee both nations' food regulations. Food Standards Australia New Zealand creates and establishes food standards, which are then incorporated into regional and State laws. State and territorial governments enforce food regulations within their borders. For imported foods, the Department of Agriculture enforces food and biosecurity laws. main consequences of failure to manage the legal risks or non-compliance with the law When a food safety programme is required by section 99 of the Food Act 2006, the Queensland Act imposes fines of up to 1000 penalty units ($75,000) for failure to have one. requirements for record keeping and acceptable record keeping mechanisms Record-keeping requirements are statements specifying which records are to be created and maintained by public offices. Typically, record-keeping requirements concern the following: creating a record, capturing a record, including necessary information, maintaining a record, providing or accepting supporting documentation, including security, storage, and handling, granting access to records, and retention and disposal of records. Liquor licensing, including responsible service of alcohol Objectives and primary components Limit the harm or ill health caused to individuals or any group of individuals as a result of alcohol use; and regulate the sale, supply, and consumption of alcohol. Considering the proper development of the alcohol industry, the tourism industry, and other hospitality industries in the State meet the needs of consumers for alcohol and related services. Key practices and legal risks that need to be managed Maintain the licenced premises reasonably, taking into account the licence class, the neighbourhood, and the general public's expectations; and Keep the premises, as well as all furnishings and fixtures inside, thoroughly clean, hygienic, and in good working order. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 15

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro main consequences of failure to manage the legal risks or non-compliance with the law A penalty unit for violating this law is worth $160 for an individual and $810 for a corporation as of the republication date. requirements for record keeping and acceptable record keeping mechanisms Records that must be made and kept by public offices are listed under record-keeping requirements. Record-keeping regulations typically address the following: creating a record, capturing a record, including necessary information, providing or accepting supporting documentation, maintaining a record, including security, storage, and handling, allowing access to records, and retention and disposal of records. Responsible conduct of gaming regulation Objectives and primary components RCG's scope extends far beyond problem gambling. By encouraging responsible gambling habits among club patrons and staff, RCG's core objectives are accomplished. The measures placed to guarantee a responsible gambling environment are maintained at all times across all related companies within the Club's corporate group are detailed in the RCG Policy of Eastern Suburbs Leagues Club Ltd ("the Club"). Key practices and legal risks that need to be managed Gambling-related criminal activity at some stage; Leads to rising criminal fraud cases where gambling is the motivation for fraud. key actions needed to manage the legal risks and comply with the law Make it mandatory for certain organisations with gambling industry licences to have a self-exclusion programme (SEP) in place for operators of gaming venues and a responsible gambling code of conduct (Code). main consequences of failure to manage the legal risks or non-compliance with the law The law stipulates non-compliance will result in specified fines or penalty units imposition. Currently, each penalty unit costs 110 dollars. Although it might not seem like much money, the minimum fines under the law begin at 10 penalty units and can go up to 100 for each offence. requirements for record keeping and acceptable record keeping mechanisms Records that must be made and kept by public offices are listed under record-keeping requirements. Record-keeping regulations typically address the following: creating records, capturing records, including necessary information, providing or accepting supporting documentation, maintaining records, including security, storage, and handling, granting access to records, and retention and disposal of records. 1.9. What are the opportunities available to maintain knowledge of legal risks and legal risk management and compliance requirements? A) Attending industry conferences and seminars B) Subscribing to legal newsletters and publications C) Participating in professional development courses and workshops D) Engaging with industry associations and networks SITXGLC002_V.1_Issued 7/7/2023 AT Page | 18

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Identify the sources of information you will use to gather information regarding the law and license compliance requirement for six (6) restaurant business operations given above. You are required to document following in the given Information Source Template provided below:  Source of information  Probable information you will source from it. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 21

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro INFORMATION SOURCE TEMPLATE Business operations Sources of information Probable information you will source from it. On-premises alcohol bar https://www.liquorandgaming.nsw.gov.au/  State liquor control board or commission regulations  Alcohol licensing laws and requirements  Responsible service of alcohol guidelines Karaoke bar https://ablis.business.gov.au/service/ag/karaoke- music-licence/342  Entertainment licensing regulations  Noise ordinances and restrictions  Any specific regulations related to karaoke activities Food serving (Mexican cuisine) https://ablis.business.gov.au/service/nsw/food- business-notification/32263  Food safety regulations and standards  Health department guidelines for food preparation and handling  Licensing requirements for restaurants serving specific cuisines Operate on a public holiday https://ablis.business.gov.au/service/nsw/exemptio n-from-restricted-trading-days/32257  Labor laws and regulations regarding holiday operations  Specific regulations related to operating a business on public holidays Staffing - Staff of 15 full-time employees to ensure smooth service https://www.fairwork.gov.au/employment- conditions/awards/awards-summary/ma000119- summary  Employment laws and regulations  Regulations related to working hours, breaks, and employee rights.  Occupational health and safety standards Infrastructure - Cooling Tower Systems https://ablis.business.gov.au/service/vic/registratio n-of-cooling-tower-systems/24594  Building codes and regulations  Cooling tower regulations and maintenance standards  Environmental health and safety guidelines for cooling systems 2.2. In this task, you will research information required for legal compliance by performing the following tasks: SITXGLC002_V.1_Issued 7/7/2023 AT Page | 22

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Evaluate areas of business operation and determine the scope of compliance requirements  Access regulatory information relevant to specific business operations given below.  Identify risks, penalties and consequences of non-compliance. The research will focus on the following areas of business operations: 1. On-premises alcohol serving 2. Karaoke bar 3. Food serving (Mexican cuisine) 4. Operate on a public holiday 5. Staffing - Staff of 15 full-time employees to ensure smooth service 6. Infrastructure - Cooling Tower Systems Document your findings in the given Legal Compliance Template given below. 1. LEGAL COMPLIANCE TEMPLATE Area of business operations: On-premises alcohol serving An on-premises licence allows the sale of alcohol for consumption on the premises when another product or service - including food, entertainment and accommodation - is sold, supplied, or provided to customers. Under 18s are allowed in premises with an on-premises licence. Compliance requirements: - RSA - Liqour License Regulatory Information Service type: alcohol Compliance/Eligibility requirements: To be eligible for this licence, you must:  be at least 18 years old  be a fit and proper person  ensure your premises and facilities meet prescribed standards and requirements  provide a copy of the local council's development consent or approval for the premises (if required and approved)  undergo a police check and provide the certificate (if you are applying as an individual)  provide a community impact statement (CIS) if you are applying to operate a public entertainment venue  provide a copy of your Responsibly Service of Alcohol (RSA) certificate or competency card (if you are applying as an individual). Ongoing compliance/eligibility requirements: All restaurants holding an on-premises licence need to meet the primary purpose test . If the primary purpose of the business or activity is the sale or supply of alcohol, you are not eligible for an on-premises licence. Fees: Fees are listed on the attached document. Form link (if available): https://www.liquorandgaming.nsw.gov.au/operating-a- business/liquor-licences/liquor-licence-fees SITXGLC002_V.1_Issued 7/7/2023 AT Page | 23

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro https://ablis.business.gov.au/service/nsw/on-premises- licence/31068 Category A Community Impact Statement - PDF Category B Community Impact Statement Form - PDF Licence Conditions Form - On-Premises - PDF Online Application Primary Service Authorisation Application Extended Trading Authorisation - On-Premises Licence - PDF Relevant resources: Liquor Licence Fees https://www.liquorandgaming.nsw.gov.au/operating-a- business/liquor-licences/liquor-licence-fees Act(s) name: Liquor Act 2007 New South Wales Regulation(s) name: Liquor Regulation 2018 New South Wales Approval time: Approval can take 30 – 100 days depending on your council and the complexity of the development you're proposing. Your DA application can be in process at the time of lodging your licence application, however your application for a liquor will not be determined until you have provided an approved DA. Administering agency: Department of Enterprise, Investment and Trade Liquor and Gaming NSW Email address: contact.us@liquorandgaming.nsw.gov.au Non-Compliance Risks: Under the Liquor Act section 142ZZ(2), unacceptable practices and promotions are those that: may encourage irresponsible drinking of alcohol (e.g. 'drinking the shelf', 'last man standing', 'all you can drink', 'drink like a fish' or 'beat the clock') Penalties: Liquor & Gaming NSW can suspend or revoke a person's RSA certification, or disqualify the person from holding an RSA certification for up to 12 months for serious breaches of the responsible serving laws, such as selling or supplying alcohol to a minor or an intoxicated person. Non-compliance consequences: On-the-spot fines On-the-spot fines (also called penalty infringement notices, or PINs) can be issued under the Liquor Act 1992 and the Wine Industry Act 1994 for various non-compliance offences. 1992. Legislation requires that fines are calculated by the amount of penalty units relating to each particular offence. 2. LEGAL COMPLIANCE TEMPLATE Area of business operations: Karaoke bar license: You need this licence if you want to play copyrighted music at your karaoke venue. This licence allows you to play music for guests to enjoy karaoke in karaoke rooms, as well as background music throughout your whole venue. This licence legally authorises the public performance of SITXGLC002_V.1_Issued 7/7/2023 AT Page | 24

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro copyrighted music from within the Australasian Performing Right Association and Australasian Mechanical Copyright Owners Society (APRA AMCOS) and Phonographic Performance Company of Australia (PPCA) global inventory of registered songs (called works), sound recordings and music videos. Your licence will be obtained from OneMusic Australia and covers the rights of the above two organisations. Compliance requirements: To be eligible for this licence you must:  apply using the relevant form  pay the appropriate licence fee. Regulatory Information Service type: Karaoke bar license Compliance/Eligibility requirements: No requirements Ongoing compliance/eligibility requirements: Annual payments Fees: Fees will vary depending on your circumstances. Please consult the Contact Officer for more information. Form link (if available): https://onemusic.com.au/media/Licences/Karaoke_Agree ment.pdf Relevant resources: Get a quote: https://portal.onemusic.com.au/ info sheet: https://onemusic.com.au/media/Information- Sheets/Karaoke.pdf Act(s) name: Copyright Act 1968 Australian Government Regulation(s) name: Copyright Regulations 2017 Australian Government Approval time: Administering agency: Australasian Performing Right Association OneMusic Australia Email address: getalicence@onemusic.com.au Non-compliance Risks: legal Consequences: Fines and Penalties: Regulatory authorities may impose fines and penalties for operating without a valid or compliant license. The severity of fines can vary based on the nature and frequency of non-compliance. License Suspension or Revocation: Serious or repeated violations may lead to the suspension or revocation of the karaoke bar license, temporarily or permanently, depending on local regulations. Penalties: https://onemusic.com.au/news/november/legal- considerations-of-playing-music-in-your-cafe-or- restaurant/ SITXGLC002_V.1_Issued 7/7/2023 AT Page | 25

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro The penalties for copyright infringement are varied. The court may order an injunction against you. This means it would stop you from playing the music in your restaurant or cafe. Alternatively, the court could fine you up to $60,500 if you are an individual and $302,500 if you are a corporation. If you are playing through a paid streaming service, you may also be liable for damages for violating the terms and conditions of your subscription. Aside from the legal consequences, any breach of copyright may damage the reputation of your cafe or restaurant. Non-compliance consequences: If you want to start playing music in your cafe or restaurant, you must ensure that you have the appropriate licences to do so. A failure to obtain these licences could mean you face hefty fines or other legal consequences. If you require assistance with the legal requirements of setting up a new cafe, LegalVision’s experienced lawyers can assist. Visit their membership page to find out more. 3. LEGAL COMPLIANCE TEMPLATE Area of business operations: Food serving (Mexican cuisine) Description Under the Food Act 1984, all food business owners (and community groups who sell food) are legally responsible to ensure that food sold or prepared for sale is safe to eat. Food safety laws affect every Victorian's health and safety. All staff in the business who handle and prepare food for sale to consumers are responsible for food safety. Please also take the time to familiarise yourself with the relevant information and free guidance materials on this website. Compliance requirements: To count with the infrastructure to provide food on a safe environment. Staff trained in food handling and hygiene. H.A.C.C.P. for kitchen equipment Regulatory Information Service type: Regulatory Obligation An obligation defined in law. A business must comply with relevant services. Compliance/Eligibility requirements: Please contact the agency to identify any eligibility requirements. Ongoing compliance/eligibility requirements: Staff training on Food handling and Hygiene Fees: Please contact the agency for more information. Form link (if available): https://formsfa.bfs.dpi.nsw.gov.au/forms/12120 Relevant resources: Food Safety Supervisors - Guide for Businesses Guidelines for Food Businesses at Temporary Events - PDF SITXGLC002_V.1_Issued 7/7/2023 AT Page | 26

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Guidelines for Mobile Food Vending Vehicles - PDF User Guides to the Food Standards Code Act(s) name: Food Act 2003 New South Wales Regulation(s) name: Food Regulation 2015 New South Wales Approval time: Food Authority licence must notify their details to either their local council or the Food Authority, depending on the type of business Administering agency: Department of Regional NSW NSW Department of Primary Industries NSW Food Authority Email address: food.contact@dpi.nsw.gov.au Non-compliance Risks: Non-compliance with food safety regulations poses severe risks to both the reputation and well-being of a food establishment. The foremost concern is the potential for foodborne illnesses, which can lead to customer health issues and legal repercussions. Contamination, improper storage, and inadequate hygiene practices can contribute to the spread of harmful bacteria and pathogens, resulting in severe health consequences for consumers. Penalties: https://www.health.vic.gov.au/publications/fact-sheet- penalties-and-infringements Non-compliance consequences: NSW Office of Local Government will measure based on your case of study 4. LEGAL COMPLIANCE TEMPLATE Area of business operations: Operate on a public holiday Compliance requirements: Retailers need to supply all the required information when submitting an exemption to trade application otherwise the application process could be delayed including:  the business and the restricted trading day (including each location if there is more than one)  proposed days and trading hours  the type of goods sold  the need for the shop to be open on the restricted trading day  the likely effect of the proposed exemption on the local economy, tourism and other businesses in the area  the number of employees and the likely effect of the proposed exemption on the shop’s workers. Regulatory Information Service type: Exemption from Restricted Trading Days - New South Wales You may need this exemption if you run a shop, and you intend to open your shop on a restricted trading day. A shop is any premises used for the retail sale of goods. Restricted trading days are:  Good Friday  Easter Sunday SITXGLC002_V.1_Issued 7/7/2023 AT Page | 27

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Anzac Day (restrictions are in force before 1pm only)  Christmas Day  Boxing Day (restrictions are only outside the Sydney Trading Precinct). All non-exempt shops must be shut on restricted trading days. Businesses of certain kinds are automatically exempt, such as hotels, bars and certain small shops. Other businesses are required to apply for an exemption. A list of automatically exempt shops is contained in Schedule 1 of the Act. Compliance/Eligibility requirements: This exemption will be granted if it can be demonstrated that it is in the public interest to do so. The Agency will take into account the:  nature of your shop and the kinds of goods sold  need for your shop to be kept open on the day or days concerned  likely effect of the proposed exemption on the local economy, tourism and small businesses and other businesses in the area  likely effect of the proposed exemption on employees of, or persons working in, your shop. Your shop will need to already be open at the time your application is made. Exemption is granted only on the condition that, on a restricted trading day, the shop is staffed only by persons who have freely chosen to work on that day. Ongoing compliance/eligibility requirements: Businesses operating under a hotel or small bar licence where liquor is sold with a meal and consumed in the dining area on the licensed premises or trading in certain Local Government Areas and those classified as small shops are exempt from requirements to remain closed on restricted trading days. All other liquor traders are required to remain closed on restricted trading days. Fees: Very important! Staff must freely choose to work and cannot be coerced, harassed, threatened or intimidated to work on a restricted trading day. A staff member being rostered to work on a restricted trading day does not mean they have freely elected to work. If none of the staff volunteer to work on a restricted trading day, casuals may then be recruited to fill any shortfall. If an employee previously agreed to work and no longer wishes to work on a restricted trading day they cannot be forced to. Small shops are exempt from 'freely elect to work' requirements. If an employee believes their employer has unfairly treated them after refusing to work or has any other employment related questions they should contact the Fair Work Ombudsman . A fine of up to $11,000 per employee may apply for any employer who is found to have coerced an employee into working on a restricted trading day or public holiday. A shopkeeper cannot be forced by their landlord to open on a restricted trading day. A landlord may be fined up to $22,000 if found to have compelled a shopkeeper to open. If a tenancy agreement contains a clause requiring a retailer to open a store on a restricted trading day it is overridden by the Retail Trading Act 2008 . Form link (if available): https://www.fairtrading.nsw.gov.au/__data/assets/pdf_file/0007/923533/Applica tion-for-retail-trading-on-restricted-trading-days.pdf Relevant resources: Schedule 1 Exempt Shops https://legislation.nsw.gov.au/view/whole/html/inforce/current/act-2008- 049#sch.1 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 28

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Act(s) name: Retail Trading Act 2008 New South Wales Regulation(s) name: NSW Fair Trading Liquor Act 2007 Approval time: Your application must be made at least 28 days prior to the restricted trading day. Administering agency: Department of Customer Service NSW Fair Trading Email address: businesslicensing@customerservice.nsw.gov.au Non-compliance Risks: Risk to get a fee and get the venue closed. Penalties: A fine of up to $11,000 per employee may apply for any employer who is found to have coerced an employee into working on a restricted trading day or public holiday. A landlord may be fined up to $22,000 if found to have compelled a shopkeeper to open. If a tenancy agreement contains a clause requiring a retailer to open a store on a restricted trading day it is overridden by the Retail Trading Act 2008. Non-compliance consequences: Besides de massive fees, you may face legal consequences. 5. LEGAL COMPLIANCE TEMPLATE Area of business operations: Staffing - Staff of 15 full-time employees to ensure smooth service Compliance requirements: Hospitality Industry (General) Award [MA000009] Who the Hospitality Award covers The Hospitality Award covers employers in the hospitality industry and their employees who fit within the classifications of the award. The hospitality industry means: all types of tourist or residential accommodation including hotels, motels, serviced apartments, resorts and caravan parks wine saloons, wine bars and taverns caterers casinos nightclubs, function areas, convention facilities and restaurants that are connected with an employer covered by the Hospitality Award (eg. a restaurant at a hotel). Regulatory Information Service type: Hiring employees checklist Compliance/Eligibility requirements: Before hiring a new employee, you need to make sure you know your rights and responsibilities. The minimum terms and conditions of employment come from an award, registered agreement and contract of employment, and the National Employment Standards (NES). An employment contract or registered agreement can't provide for less than what is in the NES. To find the right award, use our Find my award tool . To find out if an enterprise agreement applies, visit the Fair Work Commission website Ongoing compliance/eligibility requirements: Work health and safety laws Right payment: https://calculate.fairwork.gov.au/FindYourAward Code of Practice A code of practice is a set of rules which details how people in a certain industry should behave. A code of practice can be defined as a result of SITXGLC002_V.1_Issued 7/7/2023 AT Page | 29

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro legislation or by industry regulators and bodies. Fees: Fees are in the attached resource. https://ablis.business.gov.au/service/vic/restaurant-and-cafe-licence/24001 Form link (if available): https://liquorportal.vcglr.vic.gov.au/liquorportal/ Relevant resources: business.gov.au – Hiring employees business.gov.au – Employment Contract Tool Pay and Conditions Tool Templates Hiring employees course Managing employees course Act(s) name: Fair Work Act 2009 (Fair Work Act) Fair Work Regulations 2009 Regulation(s) name: Fair Work Regulations 2009 Australian Government Approval time: Not stated Administering agency: Fair Work Commission Department of Social Services Disabilities and Housing JobAccess Email address: worksafe@act.gov.au Non-compliance Risks: Not paying your employees correctly in New South Wales (NSW) can lead to various legal and financial risks. The primary risk is that it's against the law, and you could face penalties and fines for non-compliance. The Fair Work Act 2009 sets out the minimum employment conditions, including minimum wages, and non-compliance can result in legal action by the Fair Work Ombudsman. Employees may also take legal action against you for underpayment. This can damage your reputation and lead to a loss of trust among your workforce. In addition to legal consequences, there's the risk of decreased employee morale, productivity, and engagement. It's crucial to stay informed about employment laws and regulations to ensure compliance and fair treatment of your employees. Penalties: penalties for breaching the Fair Work Act: Unless a person has a reasonable excuse for not complying with the NTP, failure to comply is a contravention of the FW Act, and may result in enforcement action, including litigation. If a person fails to comply with an NTP, a Court may order penalties of up to $18,780 for an individual or $93,900 for a body corporate. Non-compliance consequences: There are many consequences when businesses fail to pay their employees correctly, including reputational damage, loss of trust, and regulatory action, such as fines and penalties. 6. LEGAL COMPLIANCE TEMPLATE Area of business operations: Infrastructure - Cooling Tower Systems Compliance requirements: A licence defines the need to obtain recognition / certification and registration to undertake a certain business activity. Regulatory Information Service type: Registration of Cooling Tower Systems You will need this registration if you own a property that has an operating cooling tower system. A cooling tower system is a number of interconnected devices which lower the temperature of water, or other fluids, through fan-forced or fan-induced atmospheric air. Cooling tower systems are often associated with air-conditioning systems and industrial processes including dry cleaning, plastic injection moulding and some dairy farming. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 30

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro The owner of land on which there is an operating cooling tower system has a legal responsibility to ensure that the cooling tower system is registered. Registration is required to ensure high maintenance standards and to minimise the incidence of water based bacteria such as legionella. A cooling tower system is defined as:  a cooling tower, or a number of interconnected cooling towers that use the same re-circulating water  any machinery that is used to operate the tower or towers  any associated tanks, pipes, valves, pumps or controls. Compliance/Eligibility requirements: If there are multiple cooling tower systems on your property, you may submit one application covering all of the cooling tower systems. Ongoing compliance/eligibility requirements: Ongoing requirements include:  you must notify the agency within thirty days of any changes to registration such as a change in ownership or decommissioning of the cooling tower  preparing a risk management plan for the cooling tower system  reviewing the risk management plan once a year  conducting an annual risk management plan audit. Fees: $119.30 One year. Fees for 2023-24 $222.60 Two years. Fees for 2023-24 $326.00 Three years. Fees for 2023-24 Form link (if available): No links available: Documents available at: https://ablis.business.gov.au/service/vic/registration-of-cooling-tower-systems/24594 Application for Registration of a Cooling Tower System - DOCX Cooling Tower System - Risk Management Plan Template - DOC Cooling Tower Systems Details Change Form - DOCX Decommissioning or Removal of a Cooling Tower System - DOCX Relevant resources: Cooling Tower Systems: https://www.health.vic.gov.au/water/cooling-tower-systems Act(s) name: Public Health and Wellbeing Act 2008 Regulation(s) name: Public Health and Wellbeing Regulations 2019 Approval time: Administering agency: Department of Health Legionella Program Email address: legionella@dhhs.vic.gov.au Non-compliance Risks: What happens if a cooling tower is not properly maintained? Maintenance is a critical part of the responsible operation of a cooling tower. Without it, dangerous bacteria such as Legionella can spread and cause serious illness in humans, and the facility may experience increased costs to operate the cooling tower if its machinery is not properly maintained. Penalties: The maximum penalty for failing to register a cooling tower system is 120 penalty units for an individual and 600 penalty units for a body corporate Non-compliance consequences: Failure to comply with the requirements under the act can result in legal notices, orders, penalty infringements (fines), and/or legal proceedings against a building occupier or owner. 2.3. In this task, you are required to arrange a meeting with Compliance Consultant (specialist) and Regulatory officer from regulatory authorities. The following will be the participants of the meeting:  You  Compliance Consultant (Trainer/assessor)  A regulatory officer from regulatory authorities. (Classmate/staff members) SITXGLC002_V.1_Issued 7/7/2023 AT Page | 31

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro The agenda of the meeting is to seek and assess specialist legal advice. Before the meeting, you need to:  Prepare meeting agenda using the template provided. During the meeting, you need to:  Apply questioning and listening techniques to check or confirm understanding.  Discuss: o Following areas of business operations:  On-premises alcohol serving  Karaoke bar  Food serving (Mexican cuisine)  Operate on a public holiday  Staffing - Staff of 15 full-time employees to ensure smooth service  Infrastructure - Cooling Tower Systems. o Seek advice regarding:  The scope of compliance requirements  The regulatory information relevant to the above-mentioned business operation  Regulatory policies and procedures that the restaurant must-have.  Request feedback from the participant.  Gain support.  Agree to make refinements, if any, considering their feedback. Compliance Consultant and Regulatory officer will provide the following specialist legal advice:  Advice to develop and clearly articulate regulatory policies and procedures in a readily accessible format to ensure accessibility to all personnel  Advice to nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures  Advise to distribute policies, procedures and legal information to personnel at the appropriate time  Advise organising information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance. After the meeting, you must complete the “Minutes-of-Meeting” template provided below. AGENDA TEMPLATE MEETING AGENDA Date: 20.07.23 Time: 7.00 Location: SBTA and SELA Chairperson: Kayla-Marie Meeting attendees: Diego, Laura (regulatory Officer) , Kayla (Compliance Officer) Agenda item/topic: Discussion/outcomes Action officer Due date: Welcome Hi I am the senior operations manager at Roma Café. Kayla 20.08.23 Agenda item 1: Topic?  The scope of compliance requirements for the six (6) business operations. Kayla 20.08.23 Agenda item 1: Topic?  The regulatory information relevant to the above- Kayla 20.08.23 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 32

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro mentioned business operation Agenda item 1: Topic?  Regulatory policies and procedures that the restaurant must- have. Kayla 20.08.23 Summary: Overall summary: discussed all three agendas and planned an approach that will help with compliance for all six (6) business operations. Decision/s: decided to implement a policy and procedure for each of the six (6) operations, to avoid no compliance. Action/s if any : N/A Kayla 20.08.23 Next meeting date/time: 20.08.23 Kayla 20.08.23 Meeting closed at: 7:10pm Kayla (Trainer and Assesor 20.08.23 Kaylamarietadros@gmail.com MEETING MINUTES TEMPLATE MEETING MINUTES Meeting objective: to seek and assess specialist legal advice. Attendees: Angel Clavijo (Operation Manager at Roma Café) Mauro (regulatory Officer) Kayla (Compliance Officer) Venue: Roma Café Date: 31.10.23 No Points discussed Actions suggested Target due 1. The scope of compliance requirements for the six (6) business operations. So we showed to the regulatory officer all the pre-work, and studies we did in order to get the new licenses on:  On-premises Check if the café has all the requirements necessary to get the bespoken licenses or if it needs for some for some adjustments in order to. 31.10.23 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 33

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro alcohol serving  Karaoke bar  Food serving (Mexican cuisine)  Operate on a public holiday  Staffing - Staff of 15 full-time employees to ensure smooth service  Infrastructure - Cooling Tower Systems. 2. The officer analysed thoroughly the regulatory information relevant to the above- mentioned business operation and provided his feedback regarding some overlooked points. Carry a costing of the total for the licenses needed. Establish a estimated time of attainment. 01.11.23 3. The officer ask the manager to review the regulatory policies and procedures that the restaurant must-have. Check what new checklist and procedures the café needs in order to be in compliance with the new Law. 01.11.23 4. The officer finishes providing his feedback and agrees to make refinements to the operational plan in order to grant the new licenses. Opertaional manager to present the new operational plan with the refinements provided by the officer. 07.11.23 Initials of attendee 1: M.A.C.M Initials of attendee 2: M. Initials of attendee 3: K. Initials of attendee 4: ASSESSMENT TASK 3: CONSIDER LEGAL RISK MANAGEMENT STRATEGIES AND ACTIONS FOR LEGAL COMPLIANCE SITXGLC002_V.1_Issued 7/7/2023 AT Page | 34

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Assessment type: Roleplay, practical tasks. Assessment instructions . This is the third assessment task where you have to demonstrate your ability consider legal risk management strategies and actions for legal compliance. You will have to refer to the case study in task 2 to complete this activity. Purpose of the assessment The purpose of the assessment task is for you to demonstrate your skills in being able to:  Articulate legal risk management strategies and actions necessary to comply with laws.  Develop practices for updating personnel to ensure they have current knowledge of roles and responsibilities for legal risk management and compliance . Assessment conditions and resources required. Skills will be demonstrated in an operational hospitality business operation. This will be:  a simulated industry environment set up for the purposes of assessment. Assessment must ensure access to:  computers, software programs, printers and 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. Develop and communicate policies and procedures for legal compliance After assessing specialist legal advice, you are required to act on it. Therefore, to act on specialist advice, you are required to perform the following tasks: 3.1. Develop regulatory policies and procedures for the following in a PDF format so that it can be readily accessible to all personnel: 1. On-premises alcohol serving - Responsible service of alcohol 2. Karaoke bar – Customer complaint handling policy 3. Food serving (Mexican cuisine) - Food handling and hygiene 4. Operate on a public holiday – Requesting and refusing to work on public holidays 5. Staff - Work health and safety 6. Infrastructure (Cooling Tower Systems) - minimal impact practices to reduce negative environmental impacts of water, energy and site use – Water and energy conservation policy and procedures. Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. Note : The owner of the restaurant has informed you that since business is in up-gradation process, it is probable that business will not have all the human resources required to nominate the roles and responsibilities for regulatory compliances. To overcome this challenge, the owner of the restaurant has instructed you to provide appropriate job roles, and the business will hire or restructure human resources appropriately to satisfy those needs. You are required to document your response in the Policies and Procedures Template given below. Policies and Procedure (Responsible service of alcohol) – 250 to 300 words approx. Minors Anyone under the age of 18 years old is considered a minor. Significant penalties can apply to anyone selling or SITXGLC002_V.1_Issued 7/7/2023 AT Page | 35

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro supplying liquor to a minor in NSW, including: on-the-spot penalty notice of $1,100 court imposed fines of up to $11,000 and/or 12 months imprisonment the licensee or approved manager can be permanently disqualified and the liquor licence suspended. The law The Liquor Act 2007 details restrictions that apply to under 18s in licensed and unlicensed premises. Section 118 Outlines the consumption of liquor by minors on a licensed premises. A minor must not obtain, consume or carry liquor away from a licensed premises. Fines range between $220 and $2,200. Read: Section 118 of the Liquor Act 2007 Section 117 Outlines the supply of alcohol to minors. A person - including a parent or responsible adult - must not sell or supply alcohol to a minor in any licensed premises in NSW. Unduly Intoxicated & Disorderly Patrons Section 5 of the Liquor Act 2007 states that a person is intoxicated if: • the person’s speech, balance, co-ordination or behaviour is noticeably affected, and • it is reasonable in the circumstances to believe that the affected speech, balance, co-ordination or behaviour is the result of the consumption of liquor. What to do if someone is intoxicated If there are reasonable grounds for you to form a belief that someone is intoxicated as a result of alcohol consumption, you must refuse service to that person. Under the law the person must also be asked to leave the premises. Procedures for dealing with intoxication incidents. should be in place and staff should be trained in these procedures. When refusing service to a person: • Introduce yourself to the person. Tell them your name and your role and ask their name. • Approach the person in a friendly and respectful manner. Patronising or authoritarian attitudes can often evoke anger and make the person more aggressive – this is a common response to threats to one’s dignity and self-respect. Try not to speak to the person in front of others. • When talking to the person: use their name; use slow, distinct speech; use short simple sentences; avoid emotion and involved discussions; use appropriate eye contact (limit for cultural reasons); and adjust speaking pace to match the patron’s. • Give clear, concrete statement that by law they cannot be served another drink. • Notify the manager/licensee/supervisor or security. Also notify other bar staff that you have refused service to the person. If a shift change is nearing, notify the new staff. • Give a clear instruction that the person must leave the premises. If necessary, guide them to the exit, ensuring that they have all their personal possessions with them. • If the person refuses to leave then you should contact police for assistance in removing the person from the premises. • If considered necessary, management may consider imposing a short term ban. Security Policies and Procedure (Responsible service of alcohol) RSA means that licensees and staff must comply with all NSW liquor laws. It also means that they must promote and support a safer environment by only selling, serving or promoting alcoholic beverages in a professional and responsible manner. Responsible Hospitality Practices It involves ensuring that alcohol is served and consumed in a safe and responsible manner. This includes checking the legal drinking age, refusing service to intoxicated individuals, and promoting a positive drinking environment. Responsible Hospitality Practices go hand in hand, emphasizing the overall responsible management of a venue to create a safe and enjoyable experience for patrons. It's about balancing the enjoyment of alcohol with the well-being of customers and the community. Noise and Amenity In many jurisdictions, including New South Wales (NSW), regulations address noise and amenity concerns related to SITXGLC002_V.1_Issued 7/7/2023 AT Page | 36

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro licensed venues. Noise levels can impact the well-being of both patrons and the surrounding community. Responsible service of alcohol extends to managing noise levels within and around licensed premises to maintain a positive environment. Venues are often required to comply with specific noise regulations, and staff should be trained to address noise- related issues appropriately. This may involve monitoring noise levels, implementing measures to reduce noise, and responding to complaints from neighbours or local authorities. Compliance with Laws  Legal Drinking Age: Ensuring that all patrons are of legal drinking age is fundamental. Staff should be trained to check identification to verify the age of customers before serving alcohol.  Service Hours: Adhering to designated service hours is crucial. Venues must comply with laws governing when alcohol service is permitted and when it must cease.  Intoxication Management: Staff should be trained to recognize signs of intoxication and refuse service to individuals who are already intoxicated. This not only helps maintain a safe environment but also ensures compliance with laws regulating alcohol service.  Licensing Regulations: Understanding and adhering to licensing regulations is essential. This includes obtaining and maintaining the necessary licenses and permits for serving alcohol.  Advertising and Promotion: Compliance extends to the marketing and promotion of alcohol. Venues should adhere to laws governing advertising content, promotions, and responsible marketing practices.  Noise and Nuisance Regulations: As mentioned earlier, venues need to comply with noise and amenity regulations. This may include managing noise levels to avoid disturbances to the surrounding community.  Security Measures: Implementing appropriate security measures to ensure the safety of patrons and staff is another aspect of compliance with laws. This may include having trained security personnel and maintaining a safe environment.  Record Keeping: Keeping accurate records of alcohol sales, incidents, and staff training is often a legal requirement. This documentation helps demonstrate compliance in the event of an inspection or inquiry.  Customer complaint handling policy and procedures (250-300 words) Complaint: Expression of dissatisfaction made to or about us, related to our services, staff, or the handling of a complaint where a response or resolution is explicitly or implicitly expected or legally required. A complaint covered by this policy can be distinguished from:  staff grievances  public interest disclosures made by our staff  Code of Ethics and Conduct complaints  responses to requests for feedback about the standard of our service provision  reports of problems or wrongdoing merely intended to bring a problem to our notice with no expectation of a response  service requests  requests for information  an expression of concern or opinion, where a response or resolution is not explicitly or implicitly expected  a merits review request, made in pursuit of a statutory right  complaints about entities we regulate. Our complaint handling process: We aim to resolve complaints as soon as possible and when the complaint is first made. If our staff member is unable to find a resolution, the customer can request a review of the issue and this review must be independent. To be an independent review, the staff member reviewing the complaint must not have been involved in the initial investigation of the complaint. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 37

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Where a person making a complaint is dissatisfied with the outcome of this further review of their complaint, they may seek an external review of our decision with, for example, the NSW Ombudsman. Our key principles There are six key principles that underpin our complaints handling processes. They are that we: enable complaints and make it easy for customers to register a complaint or feedback respond to complaints quickly and keep the customer informed resolve complaints quickly and flexibly are objective and fair, and no customer is disadvantaged by lodging a complaint ensure confidentiality where this is practical and appropriate coordinate all parties included in a complaint, whether internal to DCS or separate organisations (except independent bodies within the DCS cluster), ensuring one source of truth and building trust in our services and processes. This policy and the accompanying Complaints Handling Procedure provide details on the processes, timeframes, and expectations that these principles drive. Food Safety and Hygiene Policy and procedures (250-300 words) Food Safety and Temperature Control  Storage Temperatures: Clearly outline the required temperatures for storing different food items, including refrigeration and freezing standards.  Cooking Temperatures: Specify the minimum internal temperatures for cooking various types of food to ensure they are safe for consumption.  Temperature Monitoring: Implement regular checks and monitoring systems for refrigeration units, hot holding equipment, and food during cooking to maintain proper temperatures. Hand washing  Procedure: Clearly outline the proper handwashing procedure for all staff, including the use of soap, warm water, and proper drying methods.  Frequency: Emphasize the importance of regular handwashing, especially after handling raw food, using the restroom, or engaging in any activity that may contaminate hands.  Handwashing Stations: Ensure that handwashing stations are easily accessible and well-stocked with soap and paper towels. Cleaning and Sanitizing  Cleaning Schedule: Establish a comprehensive cleaning schedule for all areas of the kitchen, dining, and storage spaces.  Chemical Usage: Provide guidelines on the safe and proper use of cleaning chemicals and sanitizers.  Sanitizing Procedures: Detail procedures for sanitizing kitchen surfaces, utensils, and equipment to prevent the growth and spread of harmful bacteria. Pest Control  Preventive Measures: Implement preventive measures such as regular inspections, sealing entry points, and proper waste management to discourage pest infestations.  Professional Services: Consider hiring professional pest control services on a regular basis to assess and address any pest issues.  Employee Training: Train staff to recognize signs of pest activity and report them promptly to management. Staff Training  Initial Training: Ensure all staff members receive comprehensive training on food safety practices, including temperature control, handwashing, cleaning, sanitizing, and pest control.  Regular Refreshers: Conduct regular refresher courses to keep staff updated on the latest safety practices and regulations.  Documentation: Keep detailed records of staff training, including dates, topics covered, and attendance. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 38

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Policies and Procedure (Requesting and refusing to work on public holidays) (250-300 words) Requesting Time Off  Procedure: Specify the process employees should follow when requesting time off, including the preferred method of submission (e.g., written request, digital platform).  Notice Period: Establish a clear notice period for submitting time-off requests to allow for proper scheduling and staffing adjustments.  Consideration Criteria: Outline the factors considered when evaluating time-off requests, such as seniority, previous requests, and the needs of the business. Refusing Requests  Business Needs: Clearly communicate that time-off requests may be refused based on the operational needs of the business.  Fair and Transparent Process: Ensure that the process for refusing requests is fair, transparent, and consistently applied across all employees.  Alternative Solutions: Encourage supervisors to explore alternative solutions, such as shift swaps or adjustments, when refusing time-off requests. Public holidays  Requesting to Work on Public Holidays: Specify the process for employees who wish to work on public holidays, including any additional compensation or benefits.  Refusing to Work on Public Holidays: Clearly communicate the circumstances under which employees may be refused the opportunity to work on public holidays.  Compensation for Public Holiday Work: Outline the compensation or benefits provided to employees who work on public holidays, including any premium pay or additional time off. Compensation  Overtime and Premium Pay: Clearly define the compensation structure for overtime work, including any premium pay for working on holidays or outside regular hours.  Time Off in Lieu: Specify the conditions under which employees may be eligible for time off in lieu of overtime pay. Communication  Timely Responses: Ensure that employees receive timely responses to their time-off requests, whether approved or denied.  Open Communication: Encourage open communication between employees and supervisors regarding time- off requests, providing a platform for discussions and negotiations. Record - Keeping  Documentation: Establish a system for documenting all time-off requests, approvals, and denials.  Tracking Public Holiday Work: Keep accurate records of employees who work on public holidays, documenting their compensation and any additional benefits provided. Work health and safety policy and Procedures (250-300 words) Risk Management Risk management involves thinking about what could happen if someone is exposed to a hazard and how likely it is to happen. You should always aim to eliminate risks. If you can’t, you must minimise risks so far as is reasonably practicable.  Risk Assessment: Outline the process for identifying and assessing workplace hazards and risks.  Control Measures: Specify the measures in place to control and mitigate identified risks, including engineering controls, administrative controls, and personal protective equipment (PPE).  Review Process: Establish regular reviews of risk assessments to ensure ongoing effectiveness and relevance. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 39

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Training and Education  Training Programs: Provide details on the training programs offered to employees regarding workplace health and safety.  Induction Training: Outline the health and safety topics covered during employee induction to ensure new hires are well-informed from the start.  Regular Refreshers: Emphasize the importance of ongoing training and regular refresher courses to keep employees informed about the latest safety practices and procedures. Incident Reporting and Investigation  Reporting Procedure: Clearly communicate the process for reporting incidents, accidents, near misses, or hazards promptly.  Investigation Process: Outline the steps taken in the investigation of reported incidents, including the formation of investigation teams, collection of evidence, and analysis of root causes.  Corrective Actions: Specify the process for implementing corrective actions based on the findings of incident investigations. Emergency Management  Emergency Response Plan: Develop and communicate a comprehensive emergency response plan, including evacuation procedures, emergency contacts, and designated assembly points.  Training for Emergency Situations: Conduct regular emergency drills and training sessions to ensure all employees are familiar with emergency procedures.  Emergency Contacts: Clearly display emergency contact information and procedures throughout the workplace. Consultation and Participation  Employee Involvement: Emphasize the importance of employee consultation and participation in the development and review of health and safety policies and procedures.  Health and Safety Committees: If applicable, establish health and safety committees to facilitate communication and collaboration between management and employees.  Feedback Mechanisms: Provide channels for employees to offer feedback, report concerns, and actively participate in the improvement of health and safety practices. Water and energy conservation policy and procedures Water Conservation  Usage Guidelines: Establish guidelines for responsible water use in daily operations, including efficient practices in kitchens, restrooms, and landscaping.  Water-Saving Technologies: Encourage the use of water-saving technologies such as low-flow faucets, dual- flush toilets, and water-efficient appliances.  Awareness Programs: Implement awareness programs to educate employees on the importance of water conservation and their role in reducing water consumption. Energy Conservation  Energy Efficiency Practices: Outline practices for energy-efficient lighting, heating, ventilation, and air conditioning (HVAC) systems, and the use of energy-efficient appliances.  Renewable Energy: Consider incorporating renewable energy sources, such as solar or wind, where feasible.  Employee Engagement: Encourage employees to contribute to energy conservation efforts, such as turning off lights and equipment when not in use. Waste Management  Waste Reduction: Promote waste reduction practices, including the use of reusable and recyclable materials, as well as reducing single-use items.  Recycling Programs: Implement comprehensive recycling programs for paper, glass, plastic, and other recyclable materials.  Waste Disposal: Provide guidelines for proper disposal of waste, including hazardous materials, and ensure compliance with local waste disposal regulations. Monitoring and Reporting  Monitoring Systems: Establish systems for monitoring water and energy consumption, as well as waste SITXGLC002_V.1_Issued 7/7/2023 AT Page | 40

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro generation.  Regular Audits: Conduct regular audits to assess the effectiveness of conservation measures and identify areas for improvement.  Reporting Procedures: Outline procedures for reporting and documenting water and energy consumption, waste generation, and progress in conservation efforts. Compliance with Regulations  Legal Compliance: Emphasize the importance of compliance with local, state, and national regulations related to water and energy conservation, as well as waste management.  Regular Updates: Keep policies and procedures up-to-date with any changes in regulations and ensure that all employees are informed of these updates.  Documentation: Maintain records documenting compliance efforts, inspections, and any corrective actions taken to address non-compliance. 3.2. In this task, you are required to arrange a meeting with the Compliance Consultant and all the personnel you have nominated in the subtask 3.1. The following will be the participants of the meeting:  You  Restaurant staff members. o Restaurant manager o 1 Head chef o 1 Sous chef o 3 Kitchen hand o 2 Bartenders o 3 Front staff members. The meeting has the following agendas:  Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures.  Organise information updates for all the staff members to ensure their knowledge of roles and responsibilities for legal compliance is current. Before the meeting, you need to:  Prepare meeting agenda using the template provided.  Distribute the hard copies of the policies, procedures, and legal information to all the staff members. (Prepared in subtask 2.1.) During the meeting, you need to:  Discuss: o Regulatory policies and procedures developed in subtask 2.1:  Policies and Procedure (Responsible service of alcohol) SITXGLC002_V.1_Issued 7/7/2023 AT Page | 41

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Customer complaint handling policy and procedures  Food Safety and Hygiene Policy and procedures  Policies and Procedure (Requesting and refusing to work on public holidays)  Work health and safety policy and Procedures  Water and energy conservation policy and procedures o The roles and responsibilities of all staff members. o Information updates with employees to ensure their knowledge of role and responsibilities for legal compliance is current.  Apply questioning and listening techniques to check or confirm understanding.  Request feedback from participants. Restaurant staff members will:  Clarify their roles and responsibilities in maintaining compliance with regulatory policies and procedures. After the meeting, you must complete the “Minutes-of-Meeting” template provided below. AGENDA TEMPLATE MEETING AGENDA Date: 01.11.23 Time: 3:00 pm Location: Roma Café Chairperson: Miguel Angel Clavijo Monroy Meeting attendees: o Restaurant manager o 1 Head chef o 1 Sous chef o 3 Kitchen hand o 2 Bartenders 3 Front staff members. Agenda item/topic: Discussion/outcomes Action officer Due date: Welcome Greeting to all the Roma café team. Miguel Angel Clavijo Monroy 01.11.23 Agenda item 1: Topic? Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. Miguel Angel Clavijo Monroy 01.11.23 Agenda item 1: Topic? Organise information updates for all the staff members to ensure Miguel Angel Clavijo Monroy 01.11.23 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 42

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro their knowledge of roles and responsibilities for legal compliance is current. Summary: Overall summary: discussed all three agendas and planned an approach that will help with compliance for all six (6) business operations. Decision/s: decided to implement a policy and procedure for each of the six (6) operations, to avoid no compliance. Action/s if any : N/A Miguel Angel Clavijo Monroy 01.11.23 Next meeting date/time: 15.11.23 Miguel Angel Clavijo Monroy 01.11.23 Meeting closed at: 4:00 pm Miguel Angel Clavijo Monroy 01.11.23 MEETING MINUTES TEMPLATE MEETING MINUTES Meeting objective:  Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures. Organise information updates for all the staff members to ensure their knowledge of roles and responsibilities for legal compliance is current. Attendees:  Restaurant manager  1 Head chef  1 Sous chef  3 Kitchen hand  2 Bartenders 3 Front staff members. Venue: Roma Café Date: 01.11.23 No Points discussed Actions suggested Target due 1. Greeted all the attendees to the meeting and did a little ice-break activity. -Do you have any pet and what’s unique about them? Positive reaction from the staff and a much more friendly environment was noticed after the ice-breaker 01.11.23 2. Shared with the staff: Policies and Procedure (Responsible service of alcohol) All the FOH team was nominated for regulatory compliance with the responsible service of alcohol. 01.11.23 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 43

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Minors  Unduly Intoxicated & Disorderly Patrons  Security  Responsible Hospitality Practices  Noise and Amenity  Compliance with Laws 3. Shared with the staff: Customer complaint handling policy and procedures All the FOH team was nominated for regulatory compliance with customer complaint handling. 01.11.23 4. Shared with the staff: Food Safety and Hygiene Policy and procedures  Food Safety and Temperature Control  Hand washing  Cleaning and Sanitizing  Pest Control Staff Training All the Cafe team is to be on top for regulatory compliance with Food safety and hygiene. 01.11.23 5. Shared with the staff: Policies and Procedure (Requesting and refusing to work on public holidays)  Requesting Time Off  Refusing Requests  Compensation  Communicatio n Record-Keeping All the team was told their roles and responsibilities regarding the laws about requesting and refusing to work on public holidays. 01.11.23 6. Shared with the staff: Work health and safety policy and Procedures All the team was told their roles and responsibilities regarding safety at the work place; however, the manager 01.11.23 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 44

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Risk Management  Training and Education  Incident Reporting and Investigation  Emergency Management Consultation and Participation was nominated as risk management officer. 7. Shared with the staff: Water and energy conservation policy and procedures  Water Conservation  Energy Conservation  Waste Management  Monitoring and Reporting Compliance with Regulations All the team was told their roles and responsibilities regarding water and energy conservation. 01.11.23 Initials of attendee 1: M.A.C.M Initials of attendee 2: K.R. Initials of attendee 3: G.R. Initials of attendee 4: J.K. ASSESSEMENT TASK 4: ENSURE COMPLIANCE WITH LEGAL REQUIREMENTS AND MAINTAIN PERSONAL AND ORGANISATIONAL KNOWLEDGE OF LEGAL RISK MANAGEMENT STRATEGIES AND COMPLIANCE Assessment type: Scenario and practical tasks Assessment instructions . This is the fourth assessment task where you have to demonstrate your ability to ensure you understand how to manage legal risks and compliance with legal requirements and maintain personal and organisational knowledge of legal risk management strategies and compliance requirements. Purpose of the assessment The purpose of the assessment task is for you to demonstrate your skills in being able to:  Maintain business and occupational licences and check contractor contracts and conduct to avoid risk to business.  Continuously evaluate business operations for non-compliance and implement modifications. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 45

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  Identify and use opportunities to maintain knowledge of current legal risk management strategies and legal compliance requirements.  Use organisational communication methods to share updated regulatory knowledge. Assessment conditions and resources required. Skills will be demonstrated in an operational hospitality business operation. This will be:  a simulated industry environment set up for the purposes of assessment. Assessment must ensure access to:  computers, software programs, printers and 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 The business operations have been planned. You need to ensure the restaurant compliance with legal requirements. To do so, you need to communicate with regulatory authorities by submitting the required documentation for the different business operations that the restaurant will operate. 4.1.You need to draft an email to the regulatory authorities for business operations given in the templates provided and complete the required documents given in the hyperlink. Instructions for student:  You must draft the emails using the templates provided below.  You must print the documents given in the hyperlink, completed them and submit them to your trainer/assessor. Email templates. Responsible service of alcohol and Karaoke bar Purpose of Communication : To obtain On-premises Licence for alcohol serving Regulatory authorities: Licensing Officer (Victorian Commission for Gambling and Liquor Regulation Department of Justice and Community Safety) Draft email: Dear Victorian Commission for Gambling and Liquor Regulation Department of Justice and Community Safety, I trust this email finds you well. My name is Angel Clavijo, and I am writing on behalf of Roma Cafe . We are in the process of planning our business SITXGLC002_V.1_Issued 7/7/2023 AT Page | 46

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro operations and are eager to ensure full compliance with all legal requirements, specifically obtaining an On-Premises Licence for alcohol serving. Background Information: Business Name: Roma Cafe Location: Melbourne CBD Type of Licence: On-Premises Licence for Alcohol Serving Reasons for Application: Our establishment is committed to providing a safe and enjoyable environment for our patrons. We believe that obtaining an On-Premises Licence is integral to enhancing the overall experience for our customers. Steps Taken: We have thoroughly reviewed the guidelines provided by the Victorian Commission for Gambling and Liquor Regulation Department of Justice and Community Safety, and we are dedicated to meeting and exceeding the stipulated standards. Documentation Submitted: To facilitate the application process, we have compiled the necessary documentation, including: Completed application form. Floor plan detailing the designated areas for alcohol service. Proposed operating hours. Details of our Responsible Service of Alcohol (RSA) training program for staff Other relevant documents as outlined in the application requirements. Request for Guidance: We kindly request your guidance in ensuring that our application is in full compliance with the regulatory standards. Additionally, if there are any additional steps or documentation required, please do inform us promptly. Availability for Discussion: If you deem it necessary, we are more than willing to schedule a meeting or consultation to discuss our application in further detail. We understand the importance of adhering to all regulations, and we are committed to maintaining the highest standards in our operations. Thank you for your time and consideration. We look forward to your guidance on this matter. Warm regards, Angel Clavijo Senior operations manager angel.clavijo@cafe.roma.com.au Roma Cafe Documentation Required: Fill out the application form SITXGLC002_V.1_Issued 7/7/2023 AT Page | 47

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 48

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 49

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 50

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 51

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 52

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro WorkCover insurance - Victoria Purpose of Communication: To register for WorkCover insurance - Victoria Regulatory authorities: WorkSafe Advisory Service WorkSafe Victoria (Department of Treasury and Finance) Draft email: Dear WorkSafe, Advisory Service, I hope this email finds you well. My name is Angel Clavijo, and I am reaching out on behalf of Roma Cafe. We are in the process of formalizing our business operations and are keen to register for Workcover insurance in Victoria. Background Information: Business Name: Roma Cafe Location: Melbourne CBD Purpose of Registration: Understanding the importance of workplace safety and employee well-being, we are committed to fulfilling our legal obligations and ensuring a secure working environment for our team members. Steps Taken: In preparation for the registration process, we have thoroughly reviewed the guidelines provided by WorkSafe Victoria, Department of Treasury and Finance. We are dedicated to complying with all stipulated standards and requirements. Documentation Submitted: To initiate the registration process, we have compiled the necessary documentation, including: Completed application form for Workcover insurance registration. Business details and structure Number of employees and their roles Other relevant documents as outlined in the registration requirements. Request for Guidance: We kindly request your guidance in ensuring that our application is complete and in accordance with the regulatory standards. If there are any additional steps or documentation required, please inform us promptly. Availability for Discussion: If needed, we are open to scheduling a meeting or consultation to address any questions or concerns you may have regarding our application. We recognize the significance of adhering to all regulatory requirements, particularly in matters concerning workplace safety and insurance coverage. Thank you for your time and consideration. We look forward to your guidance on this matter. Warm regards, Angel Clavijo Senior operations manager SITXGLC002_V.1_Issued 7/7/2023 AT Page | 53

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro angel.clavijo@cafe.roma.com.au Roma Cafe Documentation Required: Business details and structure Number of employees and their roles Other relevant documents as outlined in the registration requirements. Request for Guidance: We kindly request your guidance in ensuring that our application is complete and in accordance with the regulatory standards. If there are any additional steps or documentation required, please inform us promptly. 4.2.To ensure compliance with legal requirements, you are required to perform the following tasks: Part A: Business Licences In a routine compliance audit, you have discovered that following business and occupational licences are due to expiry very soon: Permit to distribute Handbills  https://www.melbourne.vic.gov.au/business/grow-business/promote-business/Pages/handbills.aspx SITXGLC002_V.1_Issued 7/7/2023 AT Page | 54

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro a) To renew the permit to distribute Handbills, you are required to complete the given Compliance Maintenance Template and apply for the permit using the hyperlink provided. You must submit the screenshot of each step completed to apply for the permit. Compliance Maintenance Template Permit for: distribute Handbills, Handbill permits are one way for businesses to promote and market themselves. Permits allow businesses to distribute printed materials such as leaflets and magazines on footpaths outside their own place of business, another business (with written authorisation) or specified railway station exits. Do we need public liability insurance for this permit? All businesses must have public liability insurance to distribute handbills on footpaths in the City of Melbourne. Their insurance must be current at the date of application, as well as each day the distribution is taking place. A certificate of currency for public liability insurance for a value of at least $20 million. Public liability insurance must be maintained for the life of the permit. To keep your insurance up to date, upload a new certificate of currency to your registration. Find out more about our public liability insurance requirements . Written authorisation (on company letterhead) from any business you wish to distribute handbills from out the front of their premises. Mode of application (Online or offline): Applications Online and If you experience any technical difficulties with your permit application, please contact the Permits team on 03 9658 9658. Permit conditions and fees: Each permit allows for up to two people to distribute handbills (leaflets, brochures, place-cards, notices, books, pamphlets, newspapers, magazines, or any other printed material) in a nominated location. From 1 July 2023, the permit fee is $100 per location, per day, when distributing handbills on footpaths outside your own place of business, or another place of business, with written authorisation. The permit fee is $100 per session to distribute handbills on footpaths outside designated railway stations. Sessions are in mornings or afternoons. 'Do not litter' must be printed on the handbill in at least size 10 font. Processing time/ Advance notice: We recommend businesses register at least 10 days before their intended activity date. Timing restriction if any (when and where): Some locations such as railway station exits, are very popular and may be booked up to three months in advance. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 55

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 56

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro b) To renew the permit for outdoor café, complete the document using the provided link and submit the screenshot of each step to your trainer/assessor. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 57

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Permit for outdoor café https://www.melbourne.vic.gov.au/SiteCollectionDocuments/outdoor-cafe-permit- application.pdf SITXGLC002_V.1_Issued 7/7/2023 AT Page | 58

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 59

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 60

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro SITXGLC002_V.1_Issued 7/7/2023 AT Page | 61

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Part B: Occupational licences The occupational licences for some of the restaurant staff will going to expiry very soon. Therefore, the owner of the restaurant has asked you to gather information related to these occupation licences by completing the Occupational Licences Template given below. Occupational licences FOOD HANDLING CERTIFICATE (SITXFSA001) Cost per person: $ 45.00 Unit code and name: SITXFSA005 Use Hygienic Practices for Food Safety Pre-requisite: USI number Personal information Course Duration: Depends on the supplier minimum 8 hours Responsible Service of Alcohol (SITHFAB002) Cost per person: $1 90 .00 Unit code and name: SITHFAB002 - Provide responsible service of alcohol. Pre-requisite: There are no prerequisites or entry requirements for this unit. Please note, undertaking this qualification prior to turning 18 years age is permissible however individuals cannot serve or sell alcohol until they have turned 18. Course Duration: Depends on the supplier minimum 8 hours Part C: Contractor Compliance To avoid risk to the business, you need to check contractor compliance. Therefore, you are required to check licenses of following contractor using the hyperlink provided below: https://www.esc.vic.gov.au/electricity-and-gas/electricity-and-gas-licences-and- exemptions/electricity-and-gas-licences#tabs-container2 c) Your electricity distributor (AUSNET Electricity Services PTY LTD) d) Your Gas distributor (AUSNET Gas Services PTY LTD) SITXGLC002_V.1_Issued 7/7/2023 AT Page | 62

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Document findings in the Contractor Compliance Template given below: Contractor Compliance Template Name of the contractor: AUSNET Electricity Services PTY LTD Name of the contractor: AUSNET Gas Services PTY LTD Service provided by contractor: Electricity distributor Service provided by contractor: Gas distributor Approval date: was granted a licence to distribute electricity in October 1994, which was varied in August 2022. Approval date: was granted a licence to distribute electricity in October 1994, which was varied in August 2022. ESC File Ref: C/15/6689. ESC File Ref: C/21/31548. ESC Licence code: ED_04/1994 (SPIE) ESC Licence code: CMGAS/0104. Contractor ABN: 91 064 651 118 Contractor ABN: 43 086 015 036 Approving regulator: The Australian Energy Regulator (AER) Approving regulator: The Australian Energy Regulator (AER) SAME ABN Check ( https://abr.business.gov.au/ ) Entity name: AUSNET ELECTRICITY SERVICES PTY LTD Entity name: AUSNET GAS SERVICES PTY LTD ABN status: Active from 25 Apr 2000 ABN status: Active from 27 Apr 2000 Entity type: Australian Private Company Entity type: Australian Private Company Goods & Services Tax (GST): Registered from 01 Jul 2000 Goods & Services Tax (GST): Registered from 01 Jul 2000 SITXGLC002_V.1_Issued 7/7/2023 AT Page | 63

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Main business location: VIC 3006 Main business location: VIC 3006 4.3.In a bid to continuously evaluate business operations and check non-compliance, you have decided to do a safety inspection of the premises. Therefore, in this task, you are required to perform safety inspection using the safety inspection checklist below. Safety inspection checklist Inspection date: Monday 30 th October 2023 Inspection conduct by: Angel Clavijo – Senior Operations Manager Checklist Yes No Comments Is there enough workspace around equipment? X Is there enough space to allow free movement while doing the task? X Equipment needs to be relocated Has provision to safely store or dispose of waste X Is there any hazard due to which people can slip or trip when they move around? (e.g. on oil, grease, water, leads, hoses, cables) X safe Is it easy to get in and out of the workplace safely? (e.g. exits clearly marked and unobstructed) X Are electrical leads, plugs, sockets and switches in good condition? (e.g. not frayed or damaged) X Are there are any electrical leads or networking cables lying across the floors? X Needs to be reallocated The work area is properly illuminated? X Report any safety hazard you discover in your inspection by completing the below details: Nature of Hazard: electrical leads or networking cables lying across the floors Location : Storage room The precautionary measure taken: To ensure safety and prevent accidents, there are several precautionary measures that can be taken for electrical leads or networking cables lying across the floors. These measures are crucial to minimize tripping hazards and protect both employees and visitors. Here are some precautions to consider:  Cable Covers and Protectors: Use cable covers or protectors designed to cover and secure cables across walkways. These SITXGLC002_V.1_Issued 7/7/2023 AT Page | 64

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro covers are often made of durable materials and have a non-slip surface to prevent tripping.  Cable Mats: Invest in cable mats with channels for routing cables. These mats not only secure the cables but also provide a flat, non-slip surface for people to walk on.  Secure Cables Along Walls: Whenever possible, secure cables along walls or other surfaces using cable clips or adhesive cable organizers. This keeps cables out of the main walking paths.  Elevate Cables: Elevate cables off the floor using cable bridges or ramps. This helps create a clear pathway for walking and reduces the risk of tripping.  Designated Cable Routes: Establish designated cable routes or pathways that are separate from main walkways. Clearly mark these routes with signage to guide individuals and raise awareness.  Use Cable Ties: Use cable ties or Velcro straps to bundle and organize cables. This prevents loose cables from spreading across the floor and reduces the risk of tripping.  Regular Inspections: Implement a routine inspection schedule to check the condition of cables and cable management systems. Replace damaged cables or covers promptly.  Employee Training: Train employees on the importance of keeping walkways clear and reporting any damaged or exposed cables. Encourage a culture of safety awareness.  Temporary Cable Management: For temporary setups, such as during events or renovations, use temporary cable management solutions like cable ramps or ducts.  Emergency Procedures: Establish clear emergency procedures in case of cable-related incidents. Ensure that employees know how to respond to a cable-related emergency.  Communication: Communicate effectively by placing warning signs or labels near areas where cables are present. This alerts individuals to exercise caution in those areas.  Compliance with Regulations:  Ensure that all cable management practices comply with relevant safety regulations and standards. Date: Monday 30 th October 2023 Reported by: Angel Clavijo – Senior Operations Manager Time : 8:00 am SITXGLC002_V.1_Issued 7/7/2023 AT Page | 65

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro 4.4.To ensure business operation site is compliant to WHS laws, you are required to draft an email to safety supervisor of the restaurant. The purpose of this email is to share your findings from the safety inspection you have carried out in part A of subtask 3.3. In this email, you are also required to suggest any measures the restaurant can take to make the workplace safer for all the stakeholders and instruct the safety supervisor to implement that modification. Draft email: Dear Safety Supervisor's, I trust this message finds you well. My name is Angel Clavijo, and I recently conducted a safety inspection at Roma Cafe to assess our current workplace conditions. I would like to share with you some key findings from the inspection and propose measures to enhance safety for all stakeholders. Findings:  Limited Space for Task Execution: During the inspection, it was observed that there is insufficient space in certain areas of the restaurant to allow for free movement while performing tasks. This constraint could pose a potential risk to the well-being of our staff.  Inadequate Provision for Waste Storage/Disposal: The workplace lacks a proper provision for the safe storage or disposal of waste. This oversight can contribute to a less-than-optimal environment and may impact the overall safety and cleanliness of our premises.  Exposed Electrical Leads and Networking Cables: Another concern raised during the inspection is the presence of exposed electrical leads and networking cables lying across the floors. This creates a tripping hazard, potentially endangering both employees and guests. Recommended Measures:  Task Execution Space: I recommend reassessing the layout of work areas to optimize available space and ensure free movement for staff while performing tasks. This may involve rearranging furniture, equipment, or storage units to create a safer and more efficient workspace.  Waste Management System: Consider implementing a proper waste management system that includes designated storage areas for different types of waste. This could involve installing additional waste bins in key locations and clearly labelling them for easy identification.  Cable Management: To address the issue of exposed electrical leads and networking cables, I suggest SITXGLC002_V.1_Issued 7/7/2023 AT Page | 66

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro implementing cable management solutions such as cable covers, mats, or clips. These measures will secure the cables, reduce tripping hazards, and contribute to a safer environment. I kindly request that you review these findings and recommendations with the relevant teams. Please initiate the necessary modifications to address these concerns promptly. Your leadership in implementing these measures will significantly contribute to maintaining a safer workplace for everyone involved. If you require any additional information or assistance in implementing these changes, please feel free to reach out. Thank you for your attention to these matters, and I appreciate your commitment to ensuring the safety of our team and guests. Best regards, Angel Clavijo Senior Operations Manager angel.clavijo@roma.cafe.com.au Roma Cafe SITXGLC002_V.1_Issued 7/7/2023 AT Page | 67

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro 4.5.To use a range of opportunities to maintain knowledge of current regulatory requirements, you are required to subscribe to the following regulatory newsletters:  https://www.business.vic.gov.au/subscribe-to-newsletters SITXGLC002_V.1_Issued 7/7/2023 AT Page | 68

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro  https://www.worksafe.vic.gov.au/form/safety-alert-subscription-form SITXGLC002_V.1_Issued 7/7/2023 AT Page | 69

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Note: You must take the screenshots once you subscribe to these newsletters and submit it to your trainer/assessor. SITXGLC002_V.1_Issued 7/7/2023 AT Page | 70

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro 4.6.In this task, you are required to refer to the policies, procedures, and legal information from task 3 and share key information and your regulatory knowledge from these policies and procedures with your colleagues. To complete this activity, create a PowerPoint presentation. (Guide: 6 to 8 slides). Power point presentation attached with assessments 4.7.To continuously review and distribute plans, policies, and procedures for compliance with current laws and licensing requirements. You are required to prepare a monthly review and distribution schedule using google calendar for the next six (6) months. Invite your trainer/assessor to the review event using Google Calendar invite. Subject: Monthly Review and Distribution Schedule for Plans, Policies, and Procedures Dear Team, To ensure our continued compliance with current laws and licensing requirements, we will be implementing a structured monthly review and distribution schedule for the next six months. This will allow us to stay abreast of any updates, make necessary adjustments, and ensure that all team members are well-informed about our plans, policies, and procedures. Monthly Review and Distribution Schedule: Month 1: Policies and Procedure (Responsible service of alcohol)  Minors  Unduly Intoxicated & Disorderly Patrons  Security  Responsible Hospitality Practices  Noise and Amenity Compliance with Laws Review Date: Nov. 1st Month 2: Customer complaint handling policy and procedures Review Date: December 1st Month 3: Food Safety and Hygiene Policy and procedures  Food Safety and Temperature Control  Hand washing  Cleaning and Sanitizing  Pest Control Review Date: January 15th Month 4:Policies and Procedure (Requesting and refusing to work on public holidays)  Requesting Time Off  Refusing Requests  Compensation  Communication Review Date: February 1st SITXGLC002_V.1_Issued 7/7/2023 AT Page | 71

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Month 5: Work health and safety policy and Procedures  Risk Management  Training and Education  Incident Reporting and Investigation  Emergency Management Review Date: March 1st Month 6: Water and energy conservation policy and procedures  Water Conservation  Energy Conservation  Waste Management  Monitoring and Reporting Review Date: April 1st Procedure: Review: On the designated review date each month, the responsible team members will conduct a thorough review of our existing plans, policies, and procedures. Ensure that all documents are up-to-date and compliant with the latest laws and licensing requirements. Updates and Amendments: If any updates or amendments are required, document these changes during the review process. Approval: Seek approval from relevant stakeholders for any modifications made during the review. Distribution: On the designated distribution date, share the updated plans, policies, and procedures with all team members. Acknowledgment: Request acknowledgment from team members to ensure they have received, reviewed, and understood the updated documents. Google Calendar: A dedicated Google Calendar has been created to facilitate easy tracking and scheduling of these monthly review and distribution activities. https://calendar.google.com/calendar/u/0/r/day/2023/11/ 1 By adhering to this schedule, we aim to maintain a proactive approach to compliance and ensure that our team is well-informed and equipped to adhere to the latest legal and licensing requirements. If you have any questions or concerns about this schedule, please feel free to reach out. Best regards, SITXGLC002_V.1_Issued 7/7/2023 AT Page | 72

STUDENT ASSESMENT TOOL Qualification code/name: SIT50422 Diploma of Hospitality Management (Cookery stream) SBTA Reference: CCHD_22-2.2 Legal risks and law Unit code/name: SITXGLC002 Identify and manage legal risks and comply with law Student’s ID and name: 47537 Miguel Angel Clavijo Monroy Assessor’s name: Mauro Angel Clavijo Senior Operations Manager angel.clavijo@roma.cafe.com.au SITXGLC002_V.1_Issued 7/7/2023 AT Page | 73