Q1: You’re the manager of a new travel, tourism and hospitality or events business. Describe the nature of your business and its operations. You may base your response on your actual position with the workplace or invent a fictitious scenario.
Examples of scenarios you could use as the basis for your project include the following.
Your response to this question will form the basis of your entire project, so choose carefully. Do not create a scenario that is overly complicated or which requires an excessive amount of research, policy or procedure development.
I am a manager of a licensed bar in The Fish Shack which is seafood restaurant. Our restaurant (The Fish Shack) specializes in seafood and serves alcoholic beverages. The Fish Shack was established in 2010 and is located in Civic of Canberra. Our restaurant specializes in catering for office customers and tourists. Kitchen and beverage staff have a degree in Food Safety Program Supervisor and RSA Certificate. The goal of our restaurant is to become one of Canberra's largest seafood restaurants.
Q2: You’re responsible for planning and creating a business compliance system to ensure the establishment’s compliance with legal and licensing requirements. Which area of business operations would you like to start with?
Examples you could use as the basis for your response include the following.
On license
Restaurant and cafe licence
We have obligations in relation to RSA.
Staff must be trained in WHS and hold appropriate relevant Food Safety Supervisor qualifications.
Q3: Which of the regulatory requirements listed do you need to research for the area of operations you chose in question 2? Tick/list them.
Q4: Consult with regulatory authorities and evaluate your (one) area of business operations to determine the scope of compliance requirements. List the local, state, territory and commonwealth government laws, codes, standards or licensing requirements you need to comply with and the consequences of non-compliance for you as the manager and for the business as a whole.
Liquor licensing and RSA
Service of Alcohol to customers.
Liquor ACT_2010_ACT
https://legislation.act.gov.au/View/a/2010-35/current/PDF/2010-35.PDF
Compliance Requirement/Offence |
Section of the ACT |
Penalty |
Sale of alcohol to a child or young person |
Section 8A- supply of liquor by exempt business |
10 penalty units |
The sale is in contravention of a statute of the university |
Section 8-sale of liquor at universities |
10 penalty units |
Sells liquor to someone else and doesn’t hold a licence or permit authorising the sale |
Section 12- sell liquor without licence or permit |
100 penalty units, 12 months imprisonment or both. |
the licence is subject to a condition and fails to comply with the condition. |
Section 13- fail to comply with condition of licence or permit |
50 penalty units |
Fails to return the licence to the commissioner as soon as practicable, but not later than 21 days, after ceasing to be a licensee |
Section 46 - fail to return licence |
20 penalty units |
Fails to return the permit to the commissioner as soon as practicable, but not later than 21 days, after ceasing to be a permit-holder |
Section 66 - fail to return permit |
20 penalty units |
The licensee fails to comply with the notice. |
Section 92B-failure to amend approved risk-assessment management plan |
20 penalty units |
The employee does not hold a current RSA certificate. |
Section 100-supply liquor without RSA certificate—licensee or permit-holder |
50 penalty units |
Penalty unit:
Individual = $150
Business = $750
Q1: List all the sources you accessed and authorities you contacted to gather regulatory information specific to your area of business operations.
Liquor licensing and permits:
Liquor Practice Manual
https://www.accesscanberra.act.gov.au/ci/fattach/get/47245/1435552101/redirect/1/filename/
Liquor+practice+manual.pdf
Liquor Intoxication Guidelines
https://legislation.act.gov.au/ni/2017-352/
Access Canberra
Phone Number: 6207 2343
Email: liquor@act.gov.au
https://www.accesscanberra.act.gov.au/app/home
Q2: Assess your need for specialist legal advice. State what advice you needed, who you contacted and the advice they gave.
Legal advice in RSA license
Product or service advice
We can contact the supplier to advise on the types of alcoholic drinks they currently have, so that we can select, order and serve these drinks at the appropriate time of the day. For example, in some states the law states that after 12 pm all restaurants and bars cannot serve alcohol with high alcohol content.
Check out these websites for more general information about contracts.
This needs to follow the same theme for the following questions i.e. RSA.
Statutory reporting requirements for businesses.
RSA Policy
What policy is this Minh?
The Fish Shack is committed to complying with regulatory requirements. Compliance is of equal
important to all other operational considerations.
Scope
All parts and staff of The Fish Shack restaurant
Implementation
Responsibilities
Performance Indicators
We will observe employees working and evaluate results at the end of each month. Those who perform well will be rewarded and those who have not followed the company policy will be retrained and reviewed.
Consultation Processes
We will update continuously and notify as soon as possible to employees affected by this new policy via Email, in information boards, employee manuals or organizing a meeting of new policies of the restaurant.
Commitment to Continuous Improvement
We comply with all mandatory laws including: We comply with all laws which enable us to engage in good business practices.
Signed: ____________________________________ Date: _______________
(Operations Manager)
Source: http://www.redcliffersl.com.au/wp-content/uploads/RedcliffeRSL_RSA_Policy.pdf
Question and answer
Q1: Describe how you intend to get updated information on laws and licensing requirements.
I will regularly update the government's websites about the restaurant industry to keep up to date with new information. Besides, I also attend seminars and conferences.
We can go to https://www.accesscanberra.act.gov.au/app/home
I will contact our lawyers monthly to update new information.
Q2: Describe how and at what times you are going to distribute the policies, procedures, information updates and associated legal information to personnel.
We will update continuously and notify as soon as possible to employees affected by this new policy via Email, in information boards, employee manuals or organizing a meeting of new policies of the restaurant.
Q3: How are you going to check that all personnel understand their roles and responsibilities for legal compliance?
We will organize employee training sessions as we have new updates on government law and set a deadline for employees to complete meeting the new law. We can observe the staffs when they work. We will then conduct monthly staff observations and assessments to ensure that they understand and follow this new legal compliance.
Q4: How is a compliance policy used to manage regulatory compliance?
We will guide the policy procedure to provide employees with information to perform consistently and legally. Besides, it also promotes professionalism and knowledge among staff, it also takes steps to comply with relevant laws, policies and regulations.
Q5: What insurances will you need to purchase to minimise risk to the business?
We will buy one or more of the following insurance packages to ensure that minimize risk to our business:
Q1: What system will you use to maintain business and occupational licences?
I will use risk management and ensure you do not break the laws of RSA to maintain business and occupational licences.
Risk management is all about reducing the risk of non-compliance with legal and licensing requirements. This is achieved by identifying practices that may potentially infringe laws, and taking action to control those practices and minimise risks.
Q2: How will you check contractor compliance?
We must verify that all staff have sufficient qualifications and knowledge of the RSA and the expiry date of the qualifications before we accept them to work in our restaurant. In the process of working, we must also observe to make sure they follow the restaurant's policy
Q3: Evaluate your area of business operation over a period of time. List any non-compliance you identified and describe how you implemented modifications to comply in each case. If you created a fictitious scenario for this assessment task, create an area of non-compliance on which to base your response to this question. For example, if you developed a policy for inducting new employees on correct handling of confidential files, you might describe non-compliance such as employees sharing login details to the customer database.
Our restaurant has detected a case where an employee at the bar continued to serve alcoholic drinks to a drunk customer, because he was a patron of that employee. The next day, we recorded and reprimanded the employee. We had a meeting and re-trained all staff to make sure that the same situation did not happen in the future.
Q4: Describe any opportunities you identified to maintain knowledge of current regulatory requirements. What new information did you learn in each case? If you used a fictitious scenario for this assessment activity, describe the type of opportunities you would look for to maintain currency of knowledge.
We often check for new information related to our business through the Canberra government website. As of now, during the Covid19 pandemic, our restaurant switched to serving only takeaway and ensuring that every customer who arrives at the counter must keep a social distance.
Q5: How did you, or would you, communicate the updated regulatory information in question 4 to others?
I had a meeting and train all restaurant staff to know about this policy change. At the same time, I also updated on our restaurant website about the conversion to takeaway service only. And we also have signs in front of the restaurant about this change.
RSA Policy What policy is this Minh?
The Fish Shack is committed to complying with regulatory requirements. Compliance is of equal
important to all other operational considerations.
Scope
All parts and staff of The Fish Shack restaurant
Implementation
Responsibilities
Performance Indicators
We will observe employees working and evaluate results at the end of each month. Those who perform well will be rewarded and those who have not followed the company policy will be retrained and reviewed.
As a result of the Covid19 pandemic We only do online meetings through the Zoom application on your computer. ✓
Consultation Processes
We will update continuously and notify as soon as possible to employees affected by this new policy via Email, in information boards, employee manuals or organizing a meeting of new policies of the restaurant.
Commitment to Continuous Improvement
We comply with all mandatory laws including: We comply with all laws which enable us to engage in good business practices.
Signed: _____ Date: ______
(Operations Manager)
Q1: In tasks 1 to 3, you researched and documented policies and procedures for one area of business compliance. In this task, you must access and interpret regulatory information for an additional five areas of compliance.
Record your answers in the table provided and submit to your assessor.
Area of compliance |
Relevant industry, legislative or regulatory requirements |
Relevant sources of information |
Policies and procedures required |
e.g., Privacy |
Privacy Act National Privacy Principles |
www.oaic.gov.au |
Privacy policy |
1. Consumer protection (ACL) |
Australian Consumer Law |
Consumer policy |
|
2. The Work Health and Safety (WHS) Act |
Work Health and Safety Act 2011 |
Work health and safe policy |
|
3. Equal Employment Opportunity (EEO) and anti-discrimination |
Equal Employment Opportunity Act Anti-discrimination Act |
(EEO) and anti-discrimination policy |
|
4. Pay super for staff |
Australian Tax Office |
Superannuation |
|
5. Food health |
Food Standards Australia NZ Act Food Act Food Regulation Act |
Food Safety Standards |
|
6. Responsible Service of Alcohol Policy |
RSA Act |
https://www.accesscanberra.act.gov.au/app/answers/detail/a_id/1654/~/liquor-licensing-and-permits |
RSA policy |
In order to help The Fish Shack develop in the future, I need to set up a clear and understandable system of policies and regulations. In my opinion, I need to be knowledgeable about the restaurant's business requirements, what kind of policy should be applied and I have consulted the information from the official website of the government and our restaurant's lawyer to get that information exactly.
Those are the policies and areas you must satisfy to comply with.
Consumer protection (ACL):✓
An establishment cannot substitute a product or brand with an alternative or cheaper brand than that which is advertised.
The Work Health and Safety (WHS) Act:✓
Manager and all staffs in The Fish Shack responsible for maintaining ongoing compliance with OHS or WHS legislation, regulatory requirements, standards and codes of practice. So is everyone else in your workplace, especially HRSs and HSCs
Equal Employment Opportunity (EEO) and anti-discrimination:✓
Must not show partiality or favouritism for any person or group over another.
There are federal and state / territory EEO or anti-discrimination boards and commissions. These government organization offers information, education and consultancy services, conduct research and provide legal and policy advice. They also provide free and impartial complaint resolution services.
Pay super for staff:Is this policy?
Choice liability
If you fail to offer eligible employees a choice of super fund within 28 days of their commencing work, or make payments into the incorrect fund, you have to pay a choice liability.
Failing to keep records
If you fail to keep super records, you could be fined up to $ 3,600 for an individual and $ 16,500 for a corporation.
Superannuation guarantee charge
If you don't pay enough super, or if you miss payment deadlines, you incur additional fines, will be charged interest on shortfall amounts and incur administration fees. These fees and charges are payable to the Australian Taxation Office (ATO) and are not tax deductible.
Food health:✓
All food safety legislation in every state and territory essentially has the same aim: to prevent situations which can cause food to become unsafe to eat.
Standards covered include the design and construction of the food premises, fixtures and fittings installed, materials used on floors, walls and ceilings, and personal hygiene facilities available.
The Code details what must be contained within a food safety program using the HACCP system of hazard identification and control.
Many responsibilities are shared by both employers and employees.
Responsible Service of Alcohol Policy (RSA):✓
The Fish Shack’s acts in the best interest of its, guests and the community and promotes the Responsible Service of Alcohol.
Minors
Minors under no circumstances will be served alcohol or permitted near the bar areas in the restaurant; minors must be accompanied by a parent or legal guardian (that person being of parental age – minimum 30 years); all patrons are to provide acceptable evidence of age by way of photo identification (any person under the age of 25 may be asked at any time to show proof of age); individuals buying or providing alcohol to a minor will be asked to leave the premises; any minor producing false identification will be asked to leave the premises; management support staff who practice and enforce ID checking.
Acceptable Forms of Identification
Unduly Intoxicated & Disorderly Patrons
All staff are trained in identifying signs of undue intoxication; unduly intoxicated persons will not be served; management supports staff who do not serve unduly intoxicated patrons; unduly intoxicated patrons will be asked to leave the premises, all efforts will be made by management and staff to ensure unduly intoxicated persons receive a safe mode of transport from the premises e.g. taxi, all staff actively monitor levels of undue intoxication of all patrons, management do not support drinking practices such as binge drinking or encourage irresponsible consumption practices; management seeks to meet its duty of care obligations to all patrons.
Staff Training
Management ensure all staff are trained in Responsible Service of Alcohol
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