Professional Documents
Culture Documents
Research and
comply with
regulatory
requirements
Student Name:
Student Id:
Unit Details: SITXGLC001 Research and comply with
regulatory requirements
Assessment 1: Research Information required for legal compliance
Assessment 2: Develop and Communicate policies and procedures for legal compliance
of regulatory requirements
1
Assessment 1
Research
Information
required for
legal compliance
2
Contents
Introduction of business........................................................................................................................5
Location of the business........................................................................................................................5
Business structure.................................................................................................................................6
Introduce and explained the following areas of compliance:................................................................6
Business name...................................................................................................................................6
ABN number......................................................................................................................................6
GST........................................................................................................................................................6
Good and Services Tax (GST)..............................................................................................................6
BAS........................................................................................................................................................6
Business Activity Statement (BAS) and other taxation requirements................................................6
Superannuation.....................................................................................................................................7
Provide an overview of employer superannuation contributions......................................................7
Food permit (registered local council)...............................................................................................7
Food safety programme (health.vic.gov)...........................................................................................7
Provide an outline of Food Standards Australia New Zealand Act 1991................................................8
Planning Permit.................................................................................................................................8
Planning license.....................................................................................................................................8
3 planning associated planning permits............................................................................................8
Building permit......................................................................................................................................9
Three (3) building regulations that are associated with a new build.................................................9
Liquor license.........................................................................................................................................9
Liquor licensing regulations and requirements..................................................................................9
Provide an overview of the Liquor licensing, especially as it relates to the responsible service of
alcohol...............................................................................................................................................9
Music license...................................................................................................................................10
Insurance.............................................................................................................................................10
Third-party insurance (liability, building, business insurance).........................................................10
Public liability......................................................................................................................................10
Describe four (4) aspects of Public liability......................................................................................10
Describe Duty of care..........................................................................................................................11
Work cover..........................................................................................................................................11
Explain work health and safety practices and legislative requirements...............................................11
List five (5) Health and safety regulations and requirements..............................................................11
Over view of Fair Work Act 2009.........................................................................................................12
3
National Employment Standards (NES)............................................................................................12
Workplace Relations........................................................................................................................12
Provide an overview of the Australian Consumer Law (ACL)...............................................................12
List three (3) associated aspects of the Privacy Act 1988....................................................................12
Access and interpret three (3) sources of specialist legal advice
(E.g. Accountant etc.)...........................................................................................................................13
List three (3) sources of specialist advice/ specialists required............................................................13
Explain four (4) Legal and ethical business requirements....................................................................13
Explain how you would evaluate all areas of the hospitality business
operation and identify two (2) risks.....................................................................................................13
List the risks, penalties and consequences of business non- compliance (refer to your assessment and
areas covered).....................................................................................................................................13
Assessment 2:......................................................................................................................................15
Develop and Communicate.................................................................................................................15
policies and procedures.......................................................................................................................15
for legal compliance.............................................................................................................................15
1. Name of policy / procedure:........................................................................................................16
2. Name of policy / procedure:........................................................................................................17
3. Name of policy / procedure:........................................................................................................18
4. Name of policy / procedure:........................................................................................................19
5. Name of policy / procedure:........................................................................................................20
6. Name of policy / procedure:........................................................................................................21
Job Description 1:................................................................................................................................22
Job Description 2:................................................................................................................................23
ASSESSMENT 3.....................................................................................................................................24
Ensure compliant.................................................................................................................................24
legal requirements...............................................................................................................................24
and.......................................................................................................................................................24
maintain personal................................................................................................................................24
knowledge...........................................................................................................................................24
of regulatory........................................................................................................................................24
requirements.......................................................................................................................................24
ASSESSMENT 3 Written report.............................................................................................................25
Ensure compliant legal requirements and maintain personal knowledge of regulatory
requirements...............................................................................................................................25
When would you need to communicate with regulatory authorities?............................................25
4
Who might be three (3) regulatory authorities you might seek support from before, during and
after you have established your food and beverage business?........................................................25
Describe the steps you would take to access legal advice from professional support.....................25
When you would liaise (communicate) with other colleagues regarding the implications of
legislative change?...........................................................................................................................25
Why would you liaise (communicate) with other colleagues on operational aspects of the
Hospitality business?.......................................................................................................................25
When would you check contractor compliance and why?...............................................................25
When would you use a range of workplace activities (describe the activities) to maintain
knowledge of new legislative requirements?..................................................................................25
Explain how you will implement new procedures required to maintain business compliance........26
What types of training will provide staff to allow for the adaption of the new requirements?.......26
Explain how you will monitor and review these requirements........................................................26
Explain how you will evaluate the policies and procedures for effectiveness and compliance with
the Hospitality business...................................................................................................................26
PowerPoint presentation.....................................................................................................................26
ASSESSMENT 4.................................................................................................................................27
WRITTEN ASSESSMENT....................................................................................................................27
5
Introduction of business
Small café with 50 seats located on Smith street Collingwood. We serve coffee with breakfast and
brunch menus in the morning, and start serving alcohol in evening with dinner menus.
Operational time
Monday Closed
Tuesday – Friday 7am – 10 pm
Saturday – Sunday 9 am – 11 pm
Business structure
This café will sign for Sole trader business structure
A sole trader is a simple business structure and gives the owner all the decision-making power. They
can also hire people if they want to.
Key factors to consider
Business name
Tax registrations
Australia Business Number
Goods and services Tax
Superannuation
Employing people
Insurance
6
The Australian Business Licence and Information Service (ABLIS) can help you find the government
licences, permits, approvals, registrations, codes of practice, standards and guidelines you need for
your business. https://ablis.business.gov.au/
Application forms
7
Introduce and explained the following areas of
compliance:
Business name
List the steps you took to get find out about this area of compliance
Go to: : https://www.business.vic.gov.au/setting-up-a-business/how-to-start-a-business/register-a-
business-name
Note: the business should have ABN before registering a business name.
Cost
The cost of registering your business name with the Australian Securities & Investments Commission
(ASIC) is $36 for 1 year or $85 for 3 years.
Application forms
8
Outline the consequences of this if not compliant
It is an offence under section 18 of the Business Names Registration Act (Cth) to carry on a business
under an unregistered business name. Failure to adhere to this provision will result in a penalty of 30
penalty units ($3300).
ABN number
List the steps you took to get find out about this area of compliance
You may require an Australian Business Number (ABN) if you are operating a business, organisation
or enterprise in Australia. An ABN is a single identifier for all business dealings with the Australian
Taxation Office and other government departments and agencies.
Applying for an ABN is not compulsory. However, once you have registered your entity for an ABN
you will be able to:
register for GST and a business name
get an AUSkey to transact online with government agencies
be endorsed as a deductible gift recipient or an income tax exempt charity.
Cost
No fees are required.
9
Application forms
Start-ups could face fines in excess of $10.000 if they make false or misleading statements when
applying for an ABN number. Even though applying for an ABN number is not compulsory but if
you want to apply for GST you will need to apply for an ABN as well. If you are not able to quote n
ABN others will withhold tax at the top marginal rate when they pay you.
10
GST
Good and Services Tax (GST)
List the steps you took to get find out about this area of compliance
Cost
Goods and services tax (GST) are a tax of 10% on most goods, services and other items sold or
consumed in Australia. If the business is registered for GST, you have to collect this extra money (one-
eleventh of the sale price) from your customers.
Application forms
11
Outline the consequences of this if not compliant
An offender not paying tax or making short payments has to pay a penalty of 10% of the tax
amount due, subject to a minimum of Rs. 10,000. Therefore, the penalty will be high at 100% of
the tax amount when the offender has evaded i.e., where there is a deliberate fraud
BAS
Business Activity Statement (BAS) and other taxation requirements
List the steps you took to get find out about this area of compliance
Go to: : https://www.ato.gov.au/Business/Business-activity-statements-(BAS)/
A Business Activity Statement (BAS) is a tax reporting requirement by the Australian Taxation Office.
It is issued by the ATO on a monthly or quarterly basis. It reports a business' goods and services tax
(GST), pay as you go (PAYG) instalments, PAYG withholding tax and other tax obligations.
Cost
There is no applicable cost on that as it comes automatically when you apply for an ABN number and
GST.
Application forms
12
Failure to lodge (FTL) on time penalty may be applied if business’s required to lodge a return,
report or statement (or both) with ATO.
Superannuation
Provide an overview of employer superannuation contributions
List the steps you took to get find out about this area of compliance
Support info: https://www.ato.gov.au/Business/Super-for-employers/
If you are an employer you have an obligation to pay superannuation contributions on behalf of all
your eligible employees, in addition to their wages and salaries. This compulsory superannuation
guarantee requires you to:
pay superannuation for all your employees
contribute to their preferred super funds if available
pay the contributions by the quarterly cut off dates: 28 October, 28 January, 28 April and 28
July
Cost
There is no applicable cost on this application
13
Application forms
14
Food permit (registered local council)
List the steps you took to get find out about this area of compliance
A food business is any organisation that sells food or drink.
In Victoria, all food businesses must be registered through their local council and follow regulations
to ensure that the food they sell is safe to eat.
A small number of businesses do not need to register with their council, but the council still must be
informed of their activities.
All food businesses must contact their local council before starting up. Your council will let you know:
your registration requirements and any associated fees
your food business class (1, 2, 3 or 4)
if you are required to have a food safety program and a food safety supervisor.
Under the Food Act, most businesses operating in Victoria cannot sell food to the public unless they
register or notify as a food business with their local council.
A small number of businesses do not need to register with their council. However, they are still
required to notify council of their intended food business activities.
Cost
For each Additional employee over ten:
$30.00 per employee for class 1 and 2
$15.00 per employee for NFP class 1 and 2
$15.00 per employee for class 3
$8.00 per employee for NFP class 3.
New registration of premise fees:
class 1 or 2 - $296.00
class 3 - $ 148.00
NFP class 1 or 2 - $148.00
NFP class 3 - $74.00.
Fee for renewals:
class 1 and 2 - $592.00
NFP class 1 and 2 - $296.00
15
class 3 - $296.00
NFP class 3 - $148.00.
Application forms
The penalty for handling food in a way that makes the food unsafe or unsuitable, and/or selling it,
is $40,000 for an individual or $200,000 for a corporation.
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Food safety programme (health.vic.gov)
List the steps you took to get find out about this area of compliance
Go to: https://www2.health.vic.gov.au/
In Victoria, all class 1 and 2 food premises need a food safety program.
A food safety program is a written plan that shows what a business does to ensure that the food it
sells is safe for people to eat. It is an important tool to help businesses handle, process or sell
potentially hazardous foods. This is necessary to maintain safe food handling practices and protect
public health.
Some food businesses may use a registered template, and some may use an independent, audited
program. Most businesses choose to use the department-developed food safety program template
for class 2 retail and food service businesses.
Cost
Food safety program template for class 2 retail and food service businesses no. 1 version 2 can still be
used if you are already using it. Version 3 can be downloaded from the department's website at no
cost
Application forms
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Outline the consequences of this if not compliant
Infringement notices
Enforcement options such as (issuing a warning, issuing an infringement notice, taking
other statutory action, commencing a prosecution)
On the spot fines
Penalties
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Councils can issue infringement notices for certain food safety or hygiene offences. This includes a
range of offences regarding:
failure to store, process, display and transport food
lack of cleanliness and adequacy of food premises
failure to clean and sanitise food equipment
operating food premises without registration or notification
failure to keep the required records on site.
Enforcement options
providing advice or guidance to educate a proprietor of a food premises about how to
comply
issuing a warning
issuing an infringement notice
taking other statutory action
commencing a prosecution.
Planning license
3 planning associated planning permits
List the steps you took to get find out about this area of compliance
Contact your local council's building or planning department to check what types of permits and
approvals you'll need when you want to set up or make fit-out changes to your retail shop, office,
commercial or business premises.
Common planning and building permit applications
Cost
1. Footpath trading which can charge $147.
2. Liquor license which can charge $400-$500
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3. Planning permit to set up and run a business, etc. Which could be According to business but
minimum $200-$300.
4. Entertainment license which could be according to gathering of people and event from
$1000-$2000.
Application forms
Building without having a planning license could face fines of up to $60,500 for individuals and up
to $302,500 for corporations per infringement and/or up to 5 years imprisonment. The police can
also issue an on-the-spot fine of $1320 and seize copyright infringing music and devices, including
computers and servers used in the commission of the crime
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Building permit
List the steps you took to get find out about this area of compliance
You will require this permit if you intend to undertake building or development work. This includes
any construction, alteration, removal or demolition of any new or old building or structure.
As part of the permit approval, you may be required to submit management plans that describe how
you intend to deal with things like waste, flooding, termite risk, or trees and vegetation.
A building permit has commencement (6 - 12 months) and completion (6 - 36 months) time limits
that will apply depending on the nature of the building works.
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Consult the Council or a private Building Surveyor for further information on specific requirements
and conditions for this permit.
Cost
Consult the responsible council for specific information on fees to be submitted with your
application.
Application forms
The Local Authority has to see that building work complies with the Regulations. If the work does
not comply, you may be asked to alter or remove it. If you fail to do this, the Local Authority may
serve a notice requiring you do so within 28 days, and you will be liable for the costs.
Three (3) building regulations that are associated with a new build
Ref: https://www.vba.vic.gov.au/building/regulatory-framework
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the Building Act 1993 and contain, among other things, requirements relating to:
building permits
building inspections
occupancy permits
enforcement
maintenance of buildings.
Liquor license
Liquor licensing regulations and requirements
List the steps you took to get find out about this area of compliance
Go to the website: https://www.vic.gov.au/property- planning/building-construction/building-
regulations-codes.html
The licence if you operate a business and you intend to provide alcohol to your customers. This
applies to pubs, hotels and holiday resorts, as well as other businesses that supply alcohol to
customers.
A general licence authorises you to:
supply liquor to customers on your premises during ordinary trading hours for consumption
on and off the premises
supply liquor at any time to a resident, or guest of a resident, of the licensed premises
supply liquor to guests.
To be eligible for this licence you must:
be at least 18 years old, If you are applying as an individual
not be disqualified from holding a licence or BYO permit under the Act
consent to a national police check
complete the relevant forms
provide any additional information required by the agency.
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List the step to register this area of compliance
Go to https://www.vcglr.vic.gov.au/ then, download and complete the “General licence application
kit. Detail on how to lodge the completed application are included in the kit.
The applicants are advised to lodge liquor licence applications at least weeks in advance. The time
taken to process an application will vary depending on a range of factors including the complexity of
the application and any objections which may be raised.
Cost
$480.40 Fees for New Licences including:
Late night (general)
Late night (on-premises)
Late night (packaged liquor)
General
On-premises
Restaurant and cafe
Packaged liquor
Full club
Restricted club
Pre-retail
Application forms
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For a list of the 2019-20 liquor-related breaches and associated penalties which are provided for
under the Act, download Breaches under the Liquor Control Reform Act 1998 fact sheet 2019-20.
Music license
25
You will require this licence if you intend to play copyright music in your business.
A licence legally authorises the public performance of 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.
Licence
A licence defines the need to obtain recognition / certification and registration to undertake a
certain business activity.
Please consult the Contact Officer for more information regarding eligibility requirements.
Insurance
Third-party insurance (liability, building, business insurance)
Catastrophic Loss
Business insurance protects a business from closing due to a catastrophic loss. Fires, floods,
hurricanes and tornadoes have been the end of many businesses in Texas, as elsewhere. When a
company carries insurance against these types of losses, closure and loss are only temporary
instead of permanent. Companies’ should always consider business interruption insurance, a rider
on their business insurance policy, to ensure continued cash flow for the duration of a closure due
to a natural disaster.
Liability
If a customer slips and falls while on your business premises or your product has a defect that
injures a customer and you do not have insurance, this could spell the end of your business. If a
company car is involved in an accident and someone is injured, that could be disastrous as well.
Business liability insurance covers accidents that occur on the business premises, product defects
and mishaps that occur during normal business operations on and off premises.
Thef
A new business is a big target for thieves. New computers, furniture and other office equipment is
worth more at a pawn or chop shop than older equipment. Even older businesses that have just
undergone renovations and upgrades are a target. Replacement insurance protects a business in
the event equipment is stolen, replacing the missing items and paying for repairs from damage
caused by the invasion.
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Public liability
Describe four (4) aspects of Public liability
1. Products Liability
If you manufacture products, this is an essential part of the coverage you need. If someone gets
hurt due to one of your products, this coverage can pay out damages.
To reduce losses in this category, make sure all of your vehicle operators are well trained. Also,
offer safes for hotel guests to use or consider setting up a coat check for restaurants. Any steps you
can take to make your customer's possessions safer can help.
4. Legal Expenses
In addition to the payouts detailed above, you may get stuck with legal costs if someone brings a
lawsuit against your business. So that you don't have to cover those expenses out of pocket, make
sure that your public liability policy also includes legal expenses.
A duty of care is a legal obligation to avoid acts or omissions that could foreseeably lead to harm
to another person. A breach of a duty of care that leads to harm to someone amounts to the tort
of negligence. In Victoria, the law of negligence is governed by the Wrongs Act 1958, and by the
common law.
27
Remedies for breach of duty
When a person (the plaintiff) sues a person (the defendant) for breaching a duty of care, the most
common outcome is an award of monetary compensation. The amount of monetary
compensation the plaintiff is entitled to will be assessed based on the following considerations:
The effect of the detriment suffered on the plaintiff’s ability to earn money;
The extent of any personal injury;
The extent of any financial loss suffered;
The extent of any damage to personal property;
Whether the plaintiff contributed to their own harm (contributory negligence);
Work cover
List the steps you took to get find out about this area of compliance
WorkCover insurance covers employers for the cost of benefits if employees are injured or become ill
because of their work.
It is compulsory for Victorian employers and is funded by their contributions.
WorkCover insurance may cover
replacement of lost income
medical and rehabilitation treatment costs
legal costs
lump sum compensation in the event of a serious injury.
28
4. The cost of your premium will be calculated: The cost of your premium will be calculated
after the registration process is complete. If you disagree with the calculation, you have the
right to request a review.
Cost
Please consult the responsible agency for information on fees to be submitted with your application.
Application forms
WorkSafe's penalty provisions are designed to encourage employers to comply with their
WorkCover insurance obligations and to promote equity through the potential implications of
premium avoidance.
Employers are required to exercise reasonable care and make full and true disclosures to their
WorkCover Agent and WorkSafe regarding their insurance.
There are severe penalties that may apply if WorkSafe believes that incorrect information has
been supplied with the deliberate intent of reducing the amount of premium payable.
29
The OHS Act seeks to protect the health, safety and welfare of employees and other people at
work. It also aims to ensure that the health and safety of the public is not put at risk by work
activities.
WorkSafe’s role
WorkSafe has many functions under the OHS Act. For example, we:
monitor and enforce compliance with the OHS Act and regulations
make recommendations to the Minister about the OHS Act, regulations and compliance
codes
promote public awareness and discussion about occupational health, safety and welfare
issues
publish OHS statistics
Penalties
The OHS Act provides for the following maximum penalties:
for corporations is $3,171,400, and
for individuals is $285,426.
The current value (for the financial year 2017-18) of a penalty unit is $158.57. Changes to the rate
occur with effect from 1 July each year.
30
soft-tissue injuries to wrists, arms, shoulders, neck or legs
hernias
chronic pain
4. Hazardous substances
Substances (chemicals and chemical products) are covered by the general duties under the
OHS Act. In addition, Victoria has specific legislation covering both hazardous substances and
dangerous goods in the workplace. Hazardous substances are covered by the OHS Regulations,
and Dangerous Goods are covered by the Dangerous Goods Act and Regulations.
The Fair Work Regulations 2009 are the main legislation we deal with. They govern the employee /
employer relationship in Australia. They provide a safety net of minimum entitlements, enable
flexible working arrangements and fairness at work and prevent discrimination against employees.
The Fair Work (State Referral and Consequential and Other Amendments) Act 2009 and the Fair
Work Amendment (State Referrals and Other Measures) Act 2009 changes the FW Act to allow states
to refer matters to the Australian federal government to form a national workplace relations system.
Before this, workplace laws were set and administered by most individual states. States kept their
workplace relations powers over state and local government employees.
Cost
No fees are required.
Application forms
31
Outline the consequences of this if not compliant
From 31 July 2015, the maximum penalty for each breach of the Fair Work Act 2009 (Cth) (FW Act)
has increased to $54,000. The change is a result of a recent amendment to the Crimes Act 1914
(Cth) (Crimes Act), which has increased the value of a penalty unit from $170 to $180.
You will be required to comply with these National Employment Standards (NES) if you are an
employer. The NES are ten minimum standards of employment entitlements for employees
covered by the national workplace relations system.
The ten standards in summary are:
1. maximum weekly hours of work
2. requests for flexible working arrangements
3. parental leave and related entitlements
4. annual leave
5. personal / carers leave and compassionate leave
6. community service leave
7. long service leave
8. public holidays
9. notice of termination and redundancy pay
10. provision of a Fair Work Information Statement.
Please consult the Contact Officer for more information and to ascertain the level of compliance
that may be required.
32
Penalties
Failure to abide by a direction to pay superannuation can result in a fine of up to $10,500- or 12-
months imprisonment.
Workplace Relations
As set out in the Fair Work Act 2009 and other workplace legislation, the key elements of our
workplace relations framework are:
A safety net of minimum terms and conditions of employment.
A system of enterprise-level collective bargaining underpinned by bargaining obligations
and rules governing industrial action.
Provision for individual flexibility arrangements as a way to allow an individual worker and
an employer to make flexible work arrangements that meet their genuine needs, provided
that the employee is better off overall.
Protections against unfair or unlawful termination of employment.
Protection of the freedom of both employers and employees to choose whether or not to
be represented by a third party in workplace matters and the provision of rules governing
the rights and responsibilities of employer and employee representatives.
Australia’s workplace relations laws are enacted by the Commonwealth Parliament. The practical
application of the Fair Work Act in workplaces is overseen by the Fair Work Commission and the
Fair Work Ombudsman.
The Australian Consumer Law (ACL) is a national law that sets out consumer rights (consumer
guarantees). These consumer guarantees apply to all products and services. Examples of
consumer guarantees include:
services must be provided with acceptable care and skill
goods must match the descriptions on the packaging and labels, and in promotions and
advertising
the goods must be of acceptable quality and fit for the purpose for which they are
intended to be used.
The ACL replaced pre-existing State and Territory consumer protection laws. This means that the
ACL will apply regardless of where in Australia your businesses customers or clients are located.
The ACL also includes:
a national product safety law and enforcement system
a national unfair contract terms law covering standard form contracts
a national law for unsolicited consumer agreements replacing pre-existing State and
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Territory laws about door-to-door sales and other direct marketing
simple national rules for lay-by agreements
penalties, enforcement powers and consumer redress options.
It is important that you are aware of your rights and obligations under the ACL.
The Privacy Act 1988 (Privacy Act) was introduced to promote and protect the privacy of
individuals and to regulate how Australian Government agencies and organisations with an annual
turnover of more than $3 million, and some other organisations, handle personal information.
A breach of an Australian Privacy Principle is an ‘interference with the privacy of an individual’ and
can lead to regulatory action and penalties.
34
Local Government support
Local councils in Victoria usually have a business development unit that can provide a wealth of
information and services for businesses within their municipality. To find your local council and the
information they offer visit the http://knowyourcouncil.vic.gov.au/
Industry associations
Visit our guide to Victorian industries to find out which industry associations and professional
bodies represent your industry. Many industry groups run seminars and networking events that
can help business migrants build a business in Victoria.
Business accountants
To verify the data, analyse it, and use it to generate reports, perform audits, and prepare financial
reporting records, like tax returns, income statements, and balance sheets. An accountant's
analysis can provide information for forecasts, business trends and opportunities for growth.
2. Anti-discrimination:
It is important to ensure that access to training and promotion for our staff is fair and equitable.
This is addressed to the anti-discrimination act 1977
3. Environment
Environmental laws that affect your business will depend on your business type. Federal, state and
local governments jointly administer the environmental protection laws in Australia. As a business
owner, you need to understand which laws apply to you.
4. Privacy
The Privacy Act 1988 (Privacy Act) regulates how personal information is collected, stored, used
35
and shared. You may also need to check the Do Not Call Register before undertaking particular
marketing activities.
Begin by finding out about risk management practices and how you can use them. You should also
talk to others involved in your business (including your employees and customers) to decide on
the best way to manage risk in your business.
Before you decide what to do, you’ll need to work out what your risks are, and which ones are
most urgent:
1. Identify – work out what risks your business could face.
2. Analyse – find the level of the risks and which ones are most urgent.
3. Evaluate – compare the risk against set risk criteria to decide what to do.
2. Imprisonment
Individuals can be imprisoned for breaches of health and safety law, with sentences of up to six
months in the Magistrates’ Courts and up to two years in the Crown Courts.
3. Loss of Reputation
36
Any organisation which fails to comply with legislation runs the risk of a loss of reputation and
with it the loss of customers. The damage caused to an organisation’s reputation by a criminal
conviction could last longer than the initial financial outlay.
37
Reference
https://www2.health.vic.gov.au/public-health/food-safety/food-businesses/food-safety-program
https://www.business.gov.au/SearchResult?query=register+business&page=2
https://asic.gov.au/for-business/registering-a-business-name/before-you-register-a-business-name/
https://ablis.business.gov.au/service/vic/food-business-compliance-in-victoria/31183?modal=true
file:///C:/Users/Student/Downloads/Food%20safety%20program%20template%20for%20Class
%202%20version%203%20(1).pdf
https://www.yarracity.vic.gov.au/services/building-in-yarra/building-permit-process-explained
http://sbo-edv.com/2017/10/26/four-areas-your-public-liability-insurance-needs-to-cover/
https://www.gotocourt.com.au/civil-law/vic/duty-of-care/#:~:text=A%20duty%20of%20care
%20is,and%20by%20the%20common%20law.
https://www.legislation.gov.au/Details/C2018C00512
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Assessment 2:
39
1. Workplace Health and Safety Policy
Purpose of the policy
To remove or reduce the risks to the health, safety and welfare of all workers, contractors
and visitors, and anyone else who may be affected by our business operations
To ensure all work activities are done safely.
Overview of policy
To providing and maintaining a safe and healthy workplace for all workers (including contractors
and volunteers) as well as clients, visitors and members of the public. Hazards and risks to health
and safety will be eliminated or minimised, as far as is reasonably practicable.
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Identifies any prerequisite knowledge and skills (if any)
Know how to take reasonable care for their own health and safety
Follow safe work procedures, instructions, and rules
Participate in safety training
Report health and safety hazards
Report all injuries and incidents
Use safety equipment and personal protective equipment as instructed
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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2. Food Safety policy
Purpose of the policy
To identify and manage hazard to food safety that may occur in all food handling operations
carried out in restaurant
Overview of policy
Food safety policy is an important and compulsory tool for any premises that handle process or
sell potentially hazardous foods, and it helps to maintain safe food handling practices and protect
consumer health.
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Lists all documents to be used within the procedure
Details where records will be stored (and for how long)
Documents to be used within the procedure:
List of hazards and details of the hazard analysis
CCP determination
Critical limit determination
Training needs analysis
All data will be recorded in computer system and it will last for up to 1 years.
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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3. Incident and accident reporting:
Purpose of the policy
To make sure that incidents are investigated according to the injury, or injury potential of an event,
in accordance with company policy and OH&S legislation.
Overview of policy
It is designed to outline the purpose and procedure for reporting any on-the-job accidents. The
company is committed to enforce all health and safety guidelines to avoid such occurrences and
expects employees to comply.
Investigate accidents to determine the root cause with the objective of preventing a recurrence
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Identifies any prerequisite knowledge and skills (if any)
Knowledge of how to reduce hazards
Knowledge of reporting accident to right person
All the reports will be stored in files and relevant information will be recorded in computer system.
All the information will be stored as long as business operation.
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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4. Consumption of alcohol:
Purpose of the policy
Overview of policy
The guidelines for serving alcohol are to ensure the safety and well-being of every person that
attends the restaurant premises. Alcohol will be served in accordance with the restaurant’s values
and requirements of the restaurant’s liquor licence
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Lists all documents to be used within the procedure
Details where records will be stored (and for how long)
Documents to be used within the procedure:
Alcohol consumption policy
Stock report
All the reports will be stored in files and relevant information will be recorded in computer system.
All the information will be stored as long as possible until the business ends
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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5. Payroll:
Purpose of the policy
The aim of this procedure is to enable staff to promptly find answers to payroll issues regarding
pay, leave, employment entitlements and conditions of the workplace
Overview of policy
A payroll policy describes the payroll process as it relates to administration of salaries,
timekeeping, payroll schedules and payment methods.
Procedures:
1. Each employee will complete and submit a signed individual time sheet showing hours
worked, sick time, vacation time and holiday time taken.
2. Each supervisor will review for accuracy and sign time sheets. All time sheets are to be
sent to the Executive Director for approval and signature.
3. If an employee has not yet enrolled for direct deposit, the payroll check will be distributed
to the employee normally, no earlier than 4 P.M. the fifth (5TH) workday following the
close of the pay period.
4. Payroll deductions will be made for F.I.C.A., Federal and State Income Taxes, applicable
health benefits and any other amounts required by State or Federal law. These
accumulated deductions will be submitted to the proper entity on or before their due
date.
5. An accounting of deductions will be given to the employee as part of the payroll
documentation. Staff are instructed to verify that the deductions are correct and maintain
their pay stubs.
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Utilises illustrations, analogies, models, (where appropriate) etc
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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6. Name of policy / procedure:
Purpose of the policy
To prevent discrimination and ensure that all staffs feel safe, respected and fully valued at
workplace.
Overview of policy
To prevent discrimination and protect our employees, customers, and stakeholders from offensive
and harmful behaviours. This policy supports our overall commitment to create a safe and happy
workplace for everyone.
All employees should have knowledge and the right to be treated fairly at work.
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Lists all documents to be used within the procedure
Details where records will be stored (and for how long)
Documents relate to the following Federal Laws:
Sex Discrimination Act 1984
Racial Discrimination Act 1975
Disability Discrimination Act 1992
Age Discrimination Act 2004
Australian Human Rights Commission Act 1986
Tips:
Lists (or depicts) sequentially exactly what must be done (whilst
noting exceptions)
Ensures each step is neither too large or too small
Includes hints and helps (where appropriate)
Allocates responsibility for implementation
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Job Description 1:
JOB DESCRIPTION
JOB TITLE: <Role name>
Barista
Full-time worker
LOCATION: <The physical address that the employee will work at. If the job requires travel, state
the primary location>
Collingwood, Melbourne
Jirapat
MAIN DUTIES/RESPONSIBILITIES:
<Outline the duties and responsibilities of the position>
Qualifications: <What qualifications, licences or education level does the employee need?>
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Experience: <What type and how much experience is needed?>
PERFORMANCE GOALS:
<The level of performance you expect from the employee >
Reliable
A clear communicator
Punctual
Job Description 2:
JOB DESCRIPTION
JOB TITLE: <Role name>
Part-time worker
LOCATION: <The physical address that the employee will work at. If the job requires travel, state
the primary location>
Collingwood, Melbourne
Jirapat
MAIN DUTIES/RESPONSIBILITIES:
<Outline the duties and responsibilities of the position>
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Have proven experience in café experience
Be a team player
Be in the habit of using your initiative
Display confidence with a fun and friendly personality
Demonstrate that the customer is your number one priority regardless of your role
Have a can-do attitude
Be able to work a rotating roster, or commit to a regular structure that works for all
Qualifications: <What qualifications, licences or education level does the employee need?>
Skills: <List skills needed for the job, including any technical or interpersonal skills>
Hands-on experience with cash register and ordering information system (e.g. Revel
POS or Toast POS)
Good communication
Customer service
PERFORMANCE GOALS:
<The level of performance you expect from the employee >
Reference:
https://www.worksafe.vic.gov.au/resources/controlling-ohs-hazards-and-risks-handbook-
workplaces
https://www.industrysuper.com/understand-super/super-guarantee-calculator/super-
guarantee-changes/
https://foodservices.insureon.com/resources/cost/restaurants
https://www.aihw.gov.au/reports-data/behaviours-risk-factors/alcohol/overview
https://bizfluent.com/about-7396105-payroll-policy-procedures.html
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ASSESSMENT 3
Ensure compliant
legal requirements
and
maintain personal
knowledge
of regulatory
requirements
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ASSESSMENT 3 Written report
Ensure compliant legal requirements and maintain personal knowledge of
regulatory requirements
In this assessment you will need to provide a report of no less than 600 words that highlights;
Or when business:
opening
apply for license or permission
updating the law and regulation changes
During and after food business operating: we should keep contact with
Food Safety Authority Australia and New Zealand (FSANZ) , to comply with all food safety
regulation requirements. This document needs to be updated regularly and must be kept
on the premises of food business and it could be audited at any time.
Australian compensation and consumer commission (ACCC) is an independent authority of
the Australian Government. To ensure that individuals and businesses comply with
Australian competition, fair trading, and consumer protection laws administered under the
Competition and Consumer Act 2010
Describe the steps you would take to access legal advice from
professional support.
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When you would liaise (communicate) with other colleagues
regarding the implications of legislative change?
When there are any legislative changes on operational aspects, all staffs should be informed. It
needs to communicate with staffs early and engaging with them before that legislations are
effective.
Why would you liaise (communicate) with other colleagues on
operational aspects of the Hospitality business?
To ensure that all staffs are following all business aspects and it allows the business to be
productive and operate effectively.
Keeping contractors informed by monthly or yearly, regarding their evolving duties and updating
documents throughout the length of the job is important. It’s the best way to ensure that legal
requirements are being met and the OHS knowledge which employees require is always
appropriate for their tasks.
Step1: identify and use a range of opportunities to maintain knowledge of current regulatory
requirement
By using organisational communication method to share updated regulatory knowledge
Provide clear and accurate information to personnel about roles and responsibilities in
regulation
Consult with regulatory authorities to determine the scope of compliance requirements
Step3: Continuously review and distribute plans, policies, and procedure for compliance with
current laws and regulation requirements.
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What types of training will provide staff to allow for the adaption of
the new requirements?
Providing seminars to train staffs about the new requirement, on the job training, to exercise on the
new requirement.
Explain how you will evaluate the policies and procedures for
effectiveness and compliance with the Hospitality business.
The workers should be supervised to ensure application of learnings and safe work
procedures.
Refresher training or re-certification requirements should be monitored, and workers
provided notification as applicable.
Provide staff meeting to ensure that they keep up on date
Regularly check on review policies regularly to ensure they are current and in line with any
changes within the organization.
PowerPoint presentation
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ASSESSMENT 4
WRITTEN ASSESSMENT
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Assessment 4- written assessment
1. What is consideration in relation to a Hospitality business contract?
4. What are the obligations of a Hospitality workplace in relation to EEO and harassment?
The obligations of a hospitality workplace in relation to EEO and harassment is that the employers
are required not to discriminate against employee and job applicants based upon certain
characteristics, such as age, race, colour, creed, sex, religion, and disability.
5. Under Australian Consumer Laws, what are a Hospitality organizations responsibility in relation
to:
Refunds: under the Australian Consumer Law, the hospitality business organization is required to
give a refund or replacement for an item/product if there is a major problem with a product covered
by consumer guarantees.
Exchanges: If a product that a consumer buy fails to meet a consumer guarantee, the business
organization is obliged to provide an exchange of for the product under the Australian Consumer
Law.
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Cancellations: under the Australian Consumer Law, if the business cannot fix a required service,
major/minor problem within a reasonable time, the consumer has the right to cancel the contract.
6. What is the main objective of the Food Safety Act? What does it cover?
It is the statutory obligation to treat food intended for human consumption in a controlled and
managed way. The key requirements of the Act are that food must comply with food safety
requirements, must be "of the nature, substance and quality demanded", and must be correctly
described (labelled).
Legislation covers all parts of the food production and distribution chain, including:
production.
processing.
packaging and labelling.
importing.
distribution.
retailing and.
catering.
8. As a food handler, what are your personal hygiene requirements as set out in Food Safety
Standards 3.2.2, division 4.15?
• take all practicable measures to ensure his or her body, anything from his or her body, and
anything he or she is wearing does not contaminate food or surfaces likely to come into
contact with food;
• take all practicable measures to prevent unnecessary contact with ready to-eat food;
• ensure outer clothing is of a level of cleanliness that is appropriate for the handling of food
that is being conducted;
• only use on exposed parts of his or her body bandages and dressings that are completely
covered with a waterproofed covering;
• not eat over unprotected food or surfaces likely to come into contact with food;
• not sneeze, blow or cough over unprotected food or surfaces likely to come into contact
with food;
• not spit, smoke or use tobacco or similar preparations in areas in which food is handled; and
9. What are your legal requirements in regard to the reporting of health and illness whilst working
with food and beverages?
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If a food handler has a foodborne illness or has vomiting, diarrhea, a fever, or a sore throat with a
fever they must inform their supervisor. The food handler must not handle any food where there is a
chance, they might make the food unsafe or unsuitable.
10. How does a general liquor license differ from a package liquor license?
Package liquor license is a business license for liquor that enables them to sell alcohol to the public,
to be consumed away from their premises such as bottle shops/ supermarkets while the General
liquor license authorizes a business to supply liquor to customers on their premises during ordinary
trading hours for consumption on and off the premises, supply liquor at any time to a resident, or
guest of a resident, of the licensed premises, supply liquor to guests.
12. What are the penalties for supplying liquor to an intoxicated person, or allowing drunk or
disorderly persons on your Hospitality premises? What defence may you put forward?
The defence that you might put forward is to reason out that you are not aware that the
person was intoxicated or drunk before you serve him/her a liquor.
13. What is the current Taxation Ruling relating to the retention of Hospitality business records?
The current taxation ruling relating to the retention of the business records, business must keep their
business record for at least five years.
GST free purchase – GST free purchases are those goods and/or services purchase that is registered
as a GST free, such as, most basic foods, some medical, health and care services, some religious
services and charitable activities, etc.
Capital purchase – capital purchases are capital items that the business purchase including, business
assets such as machinery, computers and cars and land and building.
Input taxed supplies – input taxed is a supply that the seller cannot charge GST on and also cannot
claim any GST incurred in relation to that supply. Such as interest income, dividend income or
residential income.
Non-GST – it is the supply of goods and services that does not come under the purview of GST while
other taxes maybe applicable. Example of non-GST are petrol, alcohol, etc
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• Taxable sales – taxable sales are the total value of a company’s sales that are subject to
the sales tax.
• GST input tax credits – GST input tax credit is a credit for the tax included in the price of
your business inputs.
• Net GST payable – Net GST payable is the amount paid or payable
16. Some items included in the G1 label at the GST section of a BAS statement are gross sales,
interest earned and gross fees for services. List 4 items that should not be included.
• Wages
• Superannuation
• Tax payment
• Fines
17. What does the Superannuation Guarantee (Administration) Act 1992 regulate?
The Superannuation Guarantee (Administration) Act 1992 is the primary legislation affecting
employers and details the administrative arrangements for the operation of the Superannuation
Guarantee (SG) scheme, including assessment of the employer's liability, calculation of the SG
charge, payment of the charge and distribution of payments received. The Superannuation
Guarantee Charge Act 1992 imposes a charge on employers who do not provide the required level of
superannuation payments for employees
18. Under the Superannuation Guarantee (Administration) Act 1992, what are Hospitality
employers required to do in terms of superannuation?
Requires all employers to provide a set, minimum level of superannuation each year for each
employee. Where an employer fails to provide the minimum level of support, the employer is liable
to pay the SGC (like a tax).
19. Describe the following business structures in terms of tax and ownership:
Sole trader - Sole trader structure allows businesspeople to use their individual Tax File Number to
lodge tax returns and gives them a full control of their assets and business decision.
Partnership - Partnership requires a separate Tax File Number and must apply for ABN for all
business dealings. Unlike sole trader, partnership business owners have shared control and
management of the business with their partners
Company - Company must be registered for goods and services tax (GST) if the annual GST turnover
is $75,000 or more. It also requires business owners to understand and comply with all obligations
under the Corporation Act 2001. In this business structure, means business operation are controlled
by directors and stakeholders.
20. Describe how the PAYG system works in the Hospitality industry.
Pay as you go (PAYG) is a system for making regular payments towards your expected end of year
income tax liability. You report and pay your PAYG instalments on your business activity statement
(BAS).
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21. What is the main objective of the Fair Work System?
The purpose of this system is to provide a balanced framework for productive workplace relations
which promotes national economic prosperity and social inclusion for all Australians.
22. Describe the 5 minimum employment conditions as set out by the Australian Fair Pay and
National Employment Standards?
4. Annual leave
23. What is the name of the Act that employees and employers must adhere to regarding
workplace safety in each state of Australia? (Victoria)
Occupational Health and Safety Act 2004 (Vic) Occupational Health and Safety Act 1984 (WA)
Work Health and Safety Act 2011 (ACT) Australian Capital Territory, Work Health and Safety
Act 2011 (NSW) New South Wales
Work Health and Safety Act 2011 (NT) Northern Territory Work Health and Safety Act 2011
(Qld) Queensland
Work Health and Safety Act 2012 (SA) South Australia Work Health and Safety Act 2012 (Tas)
Tasmania
The purpose of the Work Health and Safety laws (WHS laws) is to protect the health, safety and
welfare of employees, volunteers and other persons who are at, or come in to contact with a
workplace. Different laws exist in each state and territory.
25. Describe the employer’s responsibility in relation to workplace health and safety.
Provide a workplace free from serious recognized hazards and comply with standards, rules
and regulations issued under the OSH Act.
Examine workplace conditions to make sure they conform to applicable OSHA standards.
Make sure employees have and use safe tools and equipment and properly maintain this
equipment.
Keep records of work-related injuries and illnesses. (Note: Employers with 10 or fewer
employees and employers in certain low-hazard industries are exempt from this
requirement.
26. What is ‘duty of care’, and how does it apply to managers within the hospitality industry?
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having an appropriate insurance coverage,
seeking the right professional advice, and
by learning from the mistake of others
29. Describe the steps an employee should take if they are injured at work (in terms of workers
compensation)
The national workplace relations system is a collection of legislation that applies to most employees
and employers in Australia. It includes the Fair Work Act 2009, the National Employment Standards,
registered agreements and awards.
31. List 7 different ways you can maintain your knowledge of regulatory requirements within the
hospitality sector
32. Identify and describe the basic requirements for two licenses and what might cause these
licenses to be deemed non-compliant and therefore cancelled as a result?
Liquor licence
The penalties of non-complaint: Maximum penalty of $5,338 for individuals (if the premises is not in
a restricted area)
The penalties of non-complaint: Penalties for copyright infringement range from injunctions,
damages and costs through to fines of up to $60,500 for individuals and up to $302,500 for
corporations for each infringement and/or up to 5 years imprisonment per offence. Police can also
issue on-the-spot fines of $1320 per offence and seize any pirate product.
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33. Briefly explain the basic requirements of the Federal Government’s Superannuation Guarantee
Levy.
Employer need to pay superannuation contributions at least four times a year, by the cut off dates
each quarter. The minimum super amount you have to pay currently is 9.5% of an employee's
ordinary time earnings.
34. Briefly describe the key responsibilities of an employer under the Commonwealth “Racial
Discrimination Act 1975”
35. Briefly describe the key responsibilities of an employee under the Commonwealth “Racial
Discrimination Act 1975”
36. To ensure that chefs and cooks in a Hospitality business comply with the Food Act, what might
be 3 procedures that you could establish and put into place in your Hospitality business?
PPE program
37. Describe the main objectives of the Copyright Act 1968 in relation to the operation of a
Hospitality business and provide 2 examples.
Copyright is a right belonging to the owner or licensee of a literary, artistic or dramatic work, film or
sound recording, to reproduce, perform or otherwise deal with the work. The law of copyright in
Australia is contained in the Copyright Act 1968.
38. Explain the main purpose of the Privacy Act 1988 and 3 types of customer information that a
Hospitality business must keep private.
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The law which regulates the handling of personal information about individuals. Personal
information is information or an opinion about an identified individual, or an individual who is
reasonably identifiable. Three types of information that the business must keep private:
Customer’s name
Contact information
Customer’s address
39. Where might your source documentation that explains the operational and legislative
requirements of a Hospitality business?
• Business.gov.au
• Local council
40. List 6 ways that you can update your knowledge on hospitality compliance.
42. Apart from updating your knowledge on hospitality compliance, list 4 other ways you could
source opportunities to maintain your knowledge of regulatory Hospitality requirements
44. Why must a hospitality business maintain occupational licensing and certification
requirements?
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The licensing provides consumers with evidence of capability. Only appropriately qualified persons
are able to undertake prescribed work types. Clients are safeguarded from contractors or service
providers who may have insufficient knowledge and experience to undertake the proposed work
45. List 3 statutory record keeping requirements that a hospitality business needs to maintain
compliance.
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