Develop a set of interview questions that will assist you in gathering enough information to complete the table below


Small business study, preferably food industry (cafes, restaurant).
If unable to do food industry, you can begin with whatever field is comfortable within the small business industry.

Assessment Description

For this assessment task, you will need to demonstrate your skills and knowledge relating to the legal and risk management requirements of a small business.

Assessment Task 2 of 3
Compliance investigation – Short answer questions/portfolio of evidence


Read through the scenario and all the provided tasks before commencing with this assessment task.

  1. Read the following scenario:
Investigating noncompliance within a business

You have been contacted by a local business owner to conduct an investigation for areas of noncompliance within their business. The area the business owners think they are not meeting their compliance obligations is in their legal requirements in relations to the type of legal documents and records they must keep as a business owner.

You will need to conduct each of the steps of an investigation and undertake research to answer the questions below.

  1. Conduct this investigation role play on a business to determine what is required to be legally compliant in reference to documentation and record keeping.

Note: You will need to come up with the specific situation and type of business and industry your role play will focus on. This is your choice and it is suggested you choose a business you are familiar with.

  1. Your role play must:
    1. include a volunteer to help out such as, a colleague, friend or family member to act as the business owner. You should brief the volunteer on the situation and type of business and industry before you begin.
    2. be conducted as an interview with the business owner (volunteer)
    3. demonstrate your research skills on what adjustments are needed in order for the business to establish compliance
  2. Develop a set of interview questions that will assist you in gathering enough information to complete the table below. Some examples could be:
  • What is your business structure?
  • Are you aware of any legal documents or records you are required to keep?
  • If so, what do you keep?
  • How do you currently store your documents and records to keep them safe and secure?
  • Are you aware of penalties for non-compliance as a business owner?
  1. Once you have completed the role play, consult with a business expert/ advisor/ specialist regarding your findings to assess whether the business would be legally compliant in its document and record keeping. You will need to provide evidence of this consultation, this could consist of:
  • An email between you and the specialist; or
  • A transcript of a phone call or meeting
  • Notes (minutes) you took within the meeting


  1. Once you have conducted the role play interview and consult, you will need to complete:
    1. Table 1 by answering the questions listed
    2. Table 2 the action plan including corrective actions for this business.

Table 1

What industry does the business belong to?

What type of business is it?

List the type of documents and records this business needs to keep and maintain to be legally compliant.
Outline the suggestions would you make to the business owner to ensure the documents are kept safe and secure whilst still allowing access to employees?
Explain to the business owner what legal rights they have to protect their products and services.
Which business expert/adviser/specialist did you consult and come to listing the suggested compliance requirements.

Which consultation method did you use.


Table 2

Now that you have determined what the business needs to do to be compliant and have consulted with a business expert/advisor, develop an action plan stating the requirements and necessary corrective actions.

Complete the Action plan template below listing the corrective actions that the business owner will need to undertake to be compliant.

  Corrective actions What is to be established and implemented Responsibilities allocated to whom? What communication methods will you use to inform stakeholders of these recommendations Completion date



You will need to complete:

Task 1 – appropriate answers to questions
Provide evidence of consultation
Task 2 – action plan

Note: Use the checklist above as a guide to ensure you have completed all the assessment requirements.

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