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Updating and distributing plans and polices for compliance

Purpose of the Assessment
The purpose of this assessment is to assess the student in the following learning outcomes: Competent (C)
SITXWHS004 Establish and maintain a work health and safety system
1.1.Access and interpret key legislative documents to ensure WHS system complies with regulatory requirements, standards and codes.
1.2.Design a WHS management system to suit characteristics and needs of the organisation, in consultation with appropriate personnel.
1.3.Identify and provide adequate financial, human and specialist external resources to address WHS management practices.
1.4.Develop and clearly articulate WHS policies and procedures in a format readily accessible to all personnel.
1.5.Define and allocate health, safety and security responsibilities within relevant job descriptions.
1.6.Consult with key personnel, and develop and implement a plan for WHS training requirements.
1.7.Establish and monitor a system for keeping WHS records.
1.8.Establish and maintain systems to ensure communication of WHS information to personnel.
2.1.Establish and maintain appropriate consultative processes to suit characteristics and needs of organisation.
2.2.Plan for and ensure that consultation is conducted at times designated by legislation.
2.3.Resolve issues raised through consultation.
2.4.Provide employees with accessible information on the outcomes of consultation.
3.1.Develop or access hazard identification and risk assessment templates that incorporate criteria for assessing risks.
3.2.Plan for and ensure systematic hazard identification at times designated by legislation.
3.3.Develop procedures for the ongoing identification of types of hazards designated by legislation.
3.4.Develop procedures for the assessment and control of risks associated with identified hazards.
3.5.Nominate within procedures the roles and responsibilities of personnel for hazard identification, risk assessment and risk control.
3.6.Take a lead role in controlling risks, including implementing interim or emergency solutions.
3.7.Manage the response to any incident or accident, and follow legislative requirements for notifying and cooperating with WHS government regulators.
4.1.Assess and maintain ongoing compliance with occupational health and safety (OHS) or WHS legislation and regulatory requirements, standards and codes.
4.2.Consult with a range of personnel to elicit feedback on WHS policies, procedures and practices.
4.3.Assess effectiveness of WHS management practices and develop, implement, document and communicate improvements and changes to the WHS system.
SITXGLC001 Research and comply with regulatory requirements
1.1. Identify sources of information for compliance with laws and licensing for business operations.
1.2. Evaluate areas of business operation and determine scope of compliance requirements.
1.3. Access regulatory information relevant to specific business operation.
1.4. Identify risks, penalties and consequences of non-compliance.
1.5. Assess and act on need for specialist legal advice.
2.1. Develop and clearly articulate regulatory policies and procedures in a format readily accessible to all personnel
2.2. Nominate the roles and responsibilities of personnel for regulatory compliance in policies and procedures
2.3. Distribute policies, procedures and legal information to personnel at appropriate times
2.4. Organise information updates for personnel to ensure their knowledge of roles and responsibilities for legal compliance
3.1. Communicate with regulatory authorities when planning business operations and submit required documentation
3.2. Maintain business and occupational licences and check contractor compliance to avoid risk to business
3.3. Continuously evaluate business operations for non-compliance and implement modifications
4.1. Identify and use a range of opportunities to maintain knowledge of current regulatory requirements
4.2. Use organisational communication methods to share updated regulatory knowledge
4.3. Continuously review and distribute plans, policies and procedures for compliance with current laws and licensing requirements
Assessment/evidence gathering conditions
Each assessment component is recorded as either Competent (C) or Not Yet Competent (NYC). A student can only achieve competence when all assessment components listed under “Purpose of the assessment” section are recorded as competent. Your trainer will give you feedback after the completion of each assessment. A student who is assessed as NYC (Not Yet Competent) is eligible for re-assessment.
Resources required for this Assessment
  • Upon completion, submit the assessment printed copy to your trainer along with assessment coversheet

  • Any additional material will be provided by your Trainer

Instructions for Students
  • Feedback on each task will be provided to enable you to determine how your work could be improved. You will be provided with feedback on your work within two weeks of the assessment due date. All other feedback will be provided by the end of the term.

  • Should you not answer the questions correctly, you will be given feedback on the results and your gaps in knowledge. You will be given another opportunity to demonstrate your knowledge and skills to be deemed competent for this unit of competency.

TABLE OF CONTENT

CONTENT PAGES MARKS MARKS ACHIEVED
Task 1 - Legislative compliance requirement information research (Total of 25 Marks)
Q1: Awareness of legislative compliance requirements 4
Q2: Legal responsibilities and liabilities 3
Q3: Culture supporting compliance and ethical conduct 4
3
6
2
  1. Risk assessment for non-compliance

3
Task 2 – Policy Development (Total of 18 marks)
Policy 1 (Area 1) 3
Policy 2 (Area 2) 3
Policy 3 (Area 3) 3
Policy 4 (Area 4) 3
Policy 5 (Area 5) 3
Policy 6 (Area 6) 3
Task 3 - Compliance and continuous improvement (Total of 7 marks)
  1. Ensuring consistent evaluation of operational compliance

4
3
TOTAL MARKS 50

The Restaurant Café’ is currently open:

Monday – Friday: 6:00 am – 9:00 pm

Sunday: 6:00 am to 11:00 pm

ACA Restaurant Cafe’ has been experiencing consistent growth in sales and numbers of customers over the last two years.

Summary of Scenario 1:

Feedback from Mr Smith:

  • Inappropriate behaviour by staff (Sally) while taking the orders – commented on accent, talking to others while taking orders, abrupt approach, rushing, no support with options of products or substituting suitable products when not available, not aware of prices of products, and complaining to customer about busy periods

  • Poor staff presentation, etiquette and hosting – not trained

Feedback from Staff:

  • Lack of staff are working on the floor

Summary of Scenario 2:

  • reputational damage

Summary of Scenario 4:

  • bullied at work and discriminated due to young age

  • work injury

  • witnessed by staff and customers

  • not witnessed by anyone

  • hazard identified

  • witnessed partially by staff during occurrence (putting the heavy item down and not witnessing picking up the item from back of premise)

  • staff witnessed after effect of injury

  1. Written Responses:

Respond to the following queries in the appropriate spaces below:

<50% marks of the allocated marks for the questions and answers in Task 1 (Q1 – Q3), will be given for providing theoretical aspect and remaining 50% marks for providing the relevancy on how the information fits in with business operations of ACA Restaurant Café’. Only theoretical responses will not be accepted, and 50% marks will be allocated, should that be the case. However, Assessor to assess if relevant theory has been provided by the student as per the requirement of the tasks. Non-relevant answers will be considered not satisfactory>

11 Marks

  1. List the best methods with examples (list at least 4 data) of receiving this updated information on laws and licensing requirements for ACA Restaurant Café’? Please explain in detail. <0.5 marks for stating the methods and 0.5 marks for the explanation. Total of 1 mark>

Must consider for keeping current with changes in legislation, laws and regulations.

  • networking with colleagues and/or suppliers

  • participating in industry accreditation schemes

4 Marks

Question 2: Based on the information provided in the above Task 1 Q1, who from the organisational structure of ACA Restaurant Café’ and what legal responsibilities and liabilities should they take in for the following:

3 Marks

<0.5 mark allocated for identifying relevant personnel and 0.5 mark allocated for stating their legal responsibilities and liabilities. Total of 1 mark for each a, b and c task requirements. Total of 3 marks for this Task 1Q2 >

  1. how will he/she resolve this issue in accordance to fair work legislation and notify the relevant staff of the plan of resolution/changes?

<1 mark allocated for stating the resolution process and 1 mark for relevancy to the given considerations stated below. Total of 2 marks>

  • superannuation contributions (any deductions)

  • contracts

  • specialist advice from ATO (of applicable)

4 marks

  • industry associations

  • operational requirements of legislation documents

  • media

  • personal observations and experience

  • accreditation operators

  • associations and organisations

  • accident and incident reporting

  • customer service

  • responsible service of alcohol (RSA)

  • transport, handling and storage of food

  • occupational rehabilitation

<0.25 mark allocated for each area listed (total of 1.5 marks), 0.25 mark for listing of the sources you require for those 6(six) areas you evaluated (total of 1.5 marks). Responses must be relevant to Scenario 1-5. Non-relevant data will be assessed not satisfactory. Total of 3 marks>

Suggested regulatory information are given within the template for your understanding. You are to only choose those relevant laws and licencing that reflect with the 6(six) areas identified, as stated in the above Task 1B. You will be required to remove the other area of laws that may not be relevant/ not applicable to the given Scenarios 1-7.

One suitable example has been stated as a provision for your comprehension on how to utilise the template.

  1. Demonstrate the depth of knowledge you must be aware of for the identified relevant areas of law to ensure you, as the Manager of ACA Restaurant Café; can confirm appropriate implementation of these laws within the business. 2 marks

Area Key practices prohibited by the law Auditing and inspection arrangements Licencing/ certification requirements and renewal Insurances required
<Example: WHS> <Example: People must not be discouraged or prevented from raising health and safety issues> <Example: at least once every three months> <Example: Relevant Staff to hold first aid certification> <Example: Workers Compensation Insurance>

Consider the following:

  • discussion regulatory authorities to document business operational risk plan

<1 mark allocated for all 3 (three) relevant data given for risks, likelihood, consequence and penalties stated. Non-relevant data will be assessed not satisfactory Total of 3 marks>

Task 2 – Policy Development

Enter details of the regulatory policies and procedures data using the template (within the given spaces in the template) to ensure it is in a format that can be accessible to all personnel.

Consider the following whilst designing the policies:

  • rights and responsibilities of employees and employers

  • other specific action that must be taken for legal compliance

Policy 1: (Area 1) 3 marks

Policy 2: (Area 2) 3 marks

Type of policy or procedure < state the type of policy /procedure> <0.5 mark>
Purpose < state the purpose of this policy> <0.5 mark>
Procedures < details of the procedure><0.5 mark>
Responsible person(s) < based on the organisational hierarchy of personnel who will be responsible><0.5 mark>
Relevant forms or documents to be used <e.g. reporting form, accident/incident form etc.> <0.5 mark>
Version/Date to be reviewed <provide the date the policy will be reviewed><0.5 mark>
Type of policy or procedure < state the type of policy /procedure> <0.5 mark>
Purpose < state the purpose of this policy> <0.5 mark>
Procedures < details of the procedure><0.5 mark>
Responsible person(s) < based on the organisational hierarchy of personnel who will be responsible><0.5 mark>
Relevant forms or documents to be used <e.g. reporting form, accident/incident form etc.> <0.5 mark>
Version/Date to be reviewed <provide the date the policy will be reviewed><0.5 mark>
Type of policy or procedure < state the type of policy /procedure> <0.5 mark>
Purpose < state the purpose of this policy> <0.5 mark>
Procedures < details of the procedure><0.5 mark>
Responsible person(s) < based on the organisational hierarchy of personnel who will be responsible><0.5 mark>
Relevant forms or documents to be used <e.g. reporting form, accident/incident form etc.> <0.5 mark>
Version/Date to be reviewed <provide the date the policy will be reviewed><0.5 mark>

By using the developed and/modified policies and procedures as stated in Task 2 to ensure compliance with laws and regulations, give guidance for decision-making, and streamline internal processes.

A well-managed set of policies can aid in creating and maintenance to keep them up to date on these requirements and in compliance with relevant bodies.

You may study the following compliance framework to support the development of the steps and provide your findings in the given template below:

  • milestones for acknowledgement

  • measure understanding of staff

  • compliance management system and documentation e.g. checklists, reports or legal forms

  • program performance & compliance reporting

Area of Law Key Act to confirm compliance Modifications implemented as per the policies Actions to be taken to ensure compliance
  1. Ensure your staff at the relevant levels of responsibility is consistently up to date with the relevant information of the 6 (six) areas for changes as stated in the above Task 3A. 3 marks

Based on the organisational structure as given in the Business Summary plan of ACA Restaurant Café (available on e-learning), provide detailed communication plan on how you will share the updated regulatory knowledge and the modification incorporated within the policies and procedures.

  • make the policies and procedures easily accessible to all staff

<0.5 mark allocated for each, providing all 6 (six) relevant data of areas, modified information, responsible staff, communication and distribution method. Total of 3 marks>

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