Research and comply with regulatory requirements

Assessment 1

1. Name 4 sources of information you may use in order to research legal information in your industry.

2. Name a website (for your state or territory) where you can get information for small business owners and operators, particularly for legal compliance issues.

3. Name 2 types of licences a business may require in TH&E industry.

4. What are 3 consequences of businesses not complying with legislation and regulatory compliance?

5. Contracts formalise the agreement between two parties. They are binding legal documents.
List 6 types of contracts that you may need to enter into as part of running a business.

6. What are the penalties for failing to comply with the Travel Agents Acts?

7. What are the penalties for Australians who commit child sex offences while overseas?

8. List 5 issues in your industry that you may need to seek specialist legal advice about.

9. How can standard operating procedures help ensure legal compliance?

10. How can including an approval step in the SOP help you comply with WHS?

11. List 7 duties of a Compliance Manager.

12. List 3 ways that you can notify staff of updates to policies and procedures.

13. List 3 ways you (or your personnel) can keep up to date with legislation changes that may affect your 14. Name a regulatory body from your industry that you may consult for compliance advice.

15. Why must a business make sure that any contractors they employ, holds the appropriate licences?

16. List 5 documents you may need to keep up to date as proof that you are checking your businesses compliance on a regular basis.

17. In a business with a partnership structure, who has the debt liability?

18. In a business with a Company structure, can the shareholders have personal assets taken if the business assets are not enough to pay the debt?

19. List 5 matters the Federal Department of the Environment oversees

20. According to Australian law, everyone has an equal right to work and to be treated fairly while at work. It is illegal to deny someone an opportunity to work on the basis of what? (List 6 things).

21. Can your refund policy state ‘No refunds’? Why/Why not?

22. Give 5 examples of local or by-laws you might need to comply with in your industry.

Assessment 2

PART A Research and identify legal requirements for compliance

You have been employed as the F&B Manager with Imagine Group Hotels for 2 years. The Board has recently decided to use the full potential of the Beach Café which is part of the Hotel’s operation at Sea Shores. The property has seating for 60 indoors and a terrace which has been underutilised, but can potentially provide seating for 150 guests. To date, the operation catered for tourists and locals, serving light lunches and afternoon teas and patisseries during the afternoon.

It has now been decided to refurbish the place and extend the existing liquor license.

Once completed, the new Imagine Ocean Bar and Restaurant will operate 7 days a week, providing breakfast, lunch and dinner, as well as catering for functions.

The new operation will be overseen by you in your new role as Manager of the establishment. The immediate task is to research the legal requirements for establishing and operating the establishment and to obtain the relevant licences and permits required.

The facts:

  1. An extension to the existing liquor licence is sought for trading hours between 10.00 am and Midnight, 7 days per week.
  2. The operation will employ approximately 15 full time 10 casual staff during the first year plus 2 apprentice chefs.
  3. All staff other than key staff need to be recruited.
  4. The key staff to support the operations includes, a Front of House Manager, a Bar Manager, a Head Chef and a Sous Chef.
  5. The annual turnover is expected to exceed $3.5 million per annum.
  6. You require all insurances common for such an operation.
  7. There will be advertising signage on posts on the approach to either side of the property.
  8. The establishment will be playing background music using CDs or iPod.
  9. All other requirements will be those typical for a licensed food premises (no Gambling

Your task:

Go to

(Important Note: You may sign up for a free Account which will also provide you with ongoing information. Signing up for a free ABA will also allow you to store your profile for later access or use.)

Enter a suitable beachside location/post code near you, relevant to your state. Your operation is classified as a restaurant operation.

Enter all details relevant for this type of operation including common aspects not listed above which apply for the industry.

  1. Create a list or spreadsheet and categorically list all requirements, licences, support info, timeframes (validity or due dates) and penalties where applicable.
  1. List all the licensing and legal requirements and permits you have identified.
  2. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code.
  3. List the requirements to comply with the Food Act at state and local levels.
  4. List the procedures and requirements to extend a liquor licence.
  5. List the legislative requirements which apply for such a licence.
  6. List all types of insurances you will require.
  7. Provide an overview of your legal tax obligations incl. Payroll Tax and Super, and the penalties which apply for failing to comply with these.
  8. List the requirements to comply with the National Employment Standards (NES) and associated with this the EEO aspects which must be considered when recruiting your staff.
  9. List the WHS requirements for the establishment.
  10. Identify any areas which require provisions for risk management and outline these.
  11. Identify any area which may require the need for specialist legal advice.

Part B Develop and articulate regulatory policies and procedures

In Part A you have researched and identified the legal requirements for the operation of a licensed restaurant.

In Part B you are required to develop related policies and procedures for the relevant aspects you have identified in Part A for the following aspects:

  1. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code. Task: Develop the standard operating procedures for staff employed in the establishment to comply with food standards 3.2.2. Division 4, Sub 1 and 2. Responses need to reflect a set of operating procedures which reflect the following legal requirements)
  1. List the requirements to comply with the Food act at state and local levels.

Task: Establish the procedures required to ensure the local government requirements for food safety are met. (Head chef, sous-chef, 5 chefs and 2 apprentices). How will this be organised?

  1. Liquor licence- Task: You are recruiting 9 floor and bar staff. All serve alcohol. What is required to be compliant in your state? Write a house policy to reflect the Licensing legislation and provisions for the service of alcohol in your state
  1. Provide an overview of your legal tax obligations incl. Payroll Tax and Super, and the penalties, which apply for failing to comply with these.

Task: Write a procedure when each tax and super obligation is due to be reconciled and paid.

  1. List the requirements to comply with the National Employment Standards (NES) and associated with this the EEO aspects which must be considered when recruiting your staff

Task 1: Write a set of procedures for the advertising, selection, interview and recruitment processes to be employed in your organisation to reflect modern practices and meet EEO requirements. 

Task 2: List the National Employment Standards and reflect these on your organisation.

  1. WHS requirements for the establishment.

Task: Write an Anti-bullying and Harassment policy for your organisation.

 Each policy needs to include:

  1. Type of policy or procedure
  2. The purpose
  3. The procedures
  4. The person(s) or hierarchy of personnel who will be responsible
  5. The relevant forms or documents to be used (e.g. reporting form, accident/incident form etc.)
  6. Version/Date to be reviewed

Part C Compliance and Continuous Improvement

Write a short procedure outlining how you will address the following aspects for continuous improvement, communication and staying up to date:

  1. Which systems/documentation can you use to ensure consistent evaluation of operational non-compliance?
  1. How can these systems assist you to implement any modifications that may be required?
  1. How will you ensure you stay up to date with changes in legislation and regulatory requirements to ensure compliance?
  2. How can you ensure your staff at the relevant levels of responsibility will be consistently up to date with relevant information for changes as these occur?
  1. Which type of documentation can you use to assist you to manage compliance and continuous improvement? How should this be managed effectively?