SITXGLC001 research and comply with regulatory requirements

https://legislation.act.gov.au/View/a/2010-35/current/PDF/2010-35.PDF

Penalty unit:

Individual = $150

Business = $750

Task 1.1 Communicate with regulatory authorities

• Communicate with regulatory authorities to acquire any necessary forms and complete them so they’re ready for submission.
• Submit the completed forms to your assessor.

Question and answer

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

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

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

• A lawyer can assist you to gain a better understanding of newly updated policies in the area of serving alcoholic beverages.
• They will help you to help you build a clear policy in this area.

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.

Task 2: Establish a business compliance system

This needs to follow the same theme for the following questions i.e. RSA.

• Based on your research in Task 1, develop the necessary regulatory policies and procedures and document them in a format that workers can access and understand.
• Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference.
• Remember to include the following as they relate to your business and area of compliance.

• Staff roles and responsibilities for regulatory compliance including:
• any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
• how to adhere to mandatory codes of conduct enshrined in legislation
• rights and responsibilities of employees and employers
• other specific actions that must be taken for legal compliance.

• Key practices prohibited by law.
• Auditing and inspection regimes.
• Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.
• Requirements for record keeping and acceptable record keeping mechanisms.

Statutory reporting requirements for businesses.

• Submit the documented policies and procedures to your assessor.

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

• Management encourage staff to be trained efficiently and effectively for their job and continue to update their skills as the industry progresses.
  • Management ensure all staff are trained in Responsible Service of Alcohol.
  • All staff have signed this policy and agree to abide by its contents.
  • A register is kept to ensure all staff have read and understand this policy.
  • Regular staff meetings are held to ensure staff are kept informed of changes within the industry, records are kept of all meetings including attendance.
  • Staffing levels behind the bar will be monitored at all times to ensure responsible service of alcohol is enforced and to clear empty cans, bottles and glasses to ensure a safe environment for all patrons

Responsibilities

• We provide free water to all customers by way of drinking fountains located throughout bottled water at a reasonable price.
• We provide non-alcoholic and low alcohol drinks.
• We promote awareness of drink spiking issues.
• We encourage patrons to monitor and control their consumption of liquor.
• We will supply liquor in standardised quantities that can be recognised by patrons.
• We will serve half measures of spirits on request.
• We will deter patrons from rapid or excessive alcohol consumption.

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.

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:

• Life insurance
• Employee dishonesty
• Workers compensation
• Trauma insurance
  • Personal or loss of income insurance
  • Public liability insurance
  • Third party personal injury insurance
  • Electronic equipment
  • Machinery breakdown
  • Accidents and liability insurance
  • Total and permanent disability insurance

Task 3: Monitor the compliance system

Question and answer

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.

Task 3.1 Revise your policies

• Review and change two of the policies or procedures you wrote in Task 2 in light of the updated information so that they comply with the most current laws and licensing requirements.
• Highlight the changes.
• Submit the revised documents to your assessor.

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

• Management encourage staff to be trained efficiently and effectively for their job and continue to update their skills as the industry progresses.
  • Management ensure all staff are trained in Responsible Service of Alcohol.
  • All staff have signed this policy and agree to abide by its contents.
  • A register is kept to ensure all staff have read and understand this policy.
  • Regular staff meetings are held to ensure staff are kept informed of changes within the industry, records are kept of all meetings including attendance.
  • Staffing levels behind the bar will be monitored at all times to ensure responsible service of alcohol is enforced and to clear empty cans, bottles and glasses to ensure a safe environment for all patrons

Responsibilities

• We provide free water to all customers by way of drinking fountains located throughout the Club or bars or bottled water at a reasonable price.
• We provide non-alcoholic and low alcohol drinks.
• We promote awareness of drink spiking issues.
• We encourage patrons to monitor and control their consumption of liquor.
• We will supply liquor in standardised quantities that can be recognised by patrons.
• We will serve half measures of spirits on request.
• We will deter patrons from rapid or excessive alcohol consumption.
• As a result of the Covid19 pandemic, our restaurant only serves drinks and takeaway food
• As a result of the Covid19 pandemic, our restaurant will do the social distance at the drinks order counter

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)

Task 4: Portfolio of evidence

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.

Task 4.1 Document the required policies and procedures

• Document the required policies and procedures you identified in the table in question 1.
• Examples of policy and procedure formats and inclusions are included in the multimedia content of this unit for your reference.
• Remember to include the following where they relate to your business and area of compliance.

• Staff roles and responsibilities for regulatory compliance including:
• any requirements to develop and implement plans, policies, codes of conduct or incorporate certain business practices
• how to adhere to mandatory codes of conduct enshrined in legislation
• rights and responsibilities of employees and employers
• other specific actions that must be taken for legal compliance.
• Key practices prohibited by law.
• Auditing and inspection regimes.
• Mandatory training and certification requirements. This could be in the form of a training register, training plan and/or policy.
• Requirements for record keeping and acceptable record keeping mechanisms.
• Statutory reporting requirements for businesses.

• Submit your completed policies and procedures for each of the five areas of compliance to your assessor.

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):✓

• Consumer protection law ensures The Fish Shack is conducted in a way that guards customers against unfair practices (fraud, unsafe products, price fixing, misrepresentation of goods and services)

• The Fish Shack Restaurant:
  • I'm guaranteed that the supplier has the right to be selling their service and will carry it out with reasonable care and skill within a reasonable time frame.

• Goods are of acceptable quality
  • Products I purchase should be acceptable in appearance and finish as well as fit for their purpose, free from defects, safe and durable.

• Descriptions are accurate
  • All descriptions of products and services should be accurate. The business needs to supply me with products and services which match those described personally or in their catalogs, TV commercials, etc. If they can't, they need to substitute a suitable product or service.

• Right to a refund
  • If I cancel a service, I have the right to a refund minus any cancellation fees.
  • If I buy a product with a minor problem, the supplier can choose between providing a repair, replacement or refund. If the problem is major, I have the right to a refund or replacement. In either case, I would need to show proof of purchase.

• Warnings given about cancellation fees
• The business must tell me in advance if there's a cancellation fee, how much it is, and in what circumstances they charge it.
• A crucial aspect to bear in mind is that terms and conditions of quotations and consumer contracts must be fair.

• Practices are prohibited in the Fish Shack:
• Substituting products

An establishment cannot substitute a product or brand with an alternative or cheaper brand than that which is advertised.

• An establishment that sells alcohol can't pour a cheaper brand into the bottles of a Higher quality product and sell them at the higher price.
• Nor could this establishment empty beer drip trays back into barrels
• Misleading pricing
• False advertising
• Misleading prize giveaways and competitions

The Work Health and Safety (WHS) Act:✓

• A WHS management system is a legal requirement with a number of aims.
• To reduce the number of workplace injuries and illnesses
• To minimize costs associated with workplace accidents
• To satisfy ethical concerns or responsibilities
• To comply with industrial relations considerations
• To improve productivity and financial performance

• Employers' WHS responsibilities:
• Basically, to provide a safe workplace! Employers have a duty of care to ensure no one is injured at work or negatively affected by workplace activities
• Every person involved in the management of the organization (employers, directors, supervisors, Managers) understands the duties set out in WHS legislation.
• Management identifies potential risks to health, safety and welfare in the workplace. They address these risks through an effective and well-documented WHS system.
• What constitutes diligent behaviour in one workplace may differ from another. Every workplace is unique and needs to be assessed on an individual basis. However, there are some distinct legal responsibilities that apply to an employer's duty of care

• Employees' WHS responsibilities:
• Ensure your own safety as well as that of other workers and people in the workplace.
  • Take responsibility and participate in WHS safety practices.
  • Follow safety directions from supervisors and managers and obey their requests to comply with WHS policies and procedures if it's 'reasonably practicable' to do so.
  • Cooperate with their employer on any action taken by the employer to comply with WHS legal requirements.
  • Follow WHS instructions, signs and procedures
  • Use Personal Protection Equipment (PPE) and clothing issued to you.
  • Inform the employer about hazards and injuries
• Checking compliance:

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:✓

 

• Aim is Employers must not allow any prejudices or stereotyped views to influence who they hire, how they treat employees, terms and conditions of employment, promotion and transfer opportunities, leave entitlements, and who they dismiss or make redundant

• Deal fairly, equally and respectfully to all the people in any matter
• Prevent from granting special favours to anyone based on their social or cultural attributes
• Prevent from threatening, humiliating people because of their social or cultural attributes

Must not show partiality or favouritism for any person or group over another.

• Compliance:
• Treat customers and colleagues justly according to natural laws and / or their rights.
• Deal fairly, equally, respectfully and sensitively with everyone.
• Don't show partiality or favourite for one person over another.
• Don't grant special favours to someone just because they have certain social or cultural attributes.
• Don't discriminate against, threaten, humiliate or intimidate people because of their social or cultural attributes

• Checking compliance:

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.

• The consequences of non-compliance:
• An employer who discriminates against an employee or group of employees, or who allows an employee to be subjected to discrimination or harassment by other employees, can expect to pay for their unlawful behaviour.
• An employee was denied a promotion on religious grounds (being Christian, but not Catholic). They had a long working history with the employer and this had never been an issue in the past. They responsibilities personal suffering and depression as a result of the discrimination and were awarded $ 27,500 by The Queensland Anti-discrimination Tribunal.
• An employee was the victim of racial discrimination and victimization. When she complained to management, she was unsatisfied with the weak apology and lack of action taken. The New South Wales Administrative Decisions Tribunal (ADT) ordered the employer to pay $ 5,000 for the racist remark and $ 10,000 for its' inappropriate and unreasonable 'handling of the complaint

Pay super for staff:Is this policy?

• Aim: Contributing to a super fund is an effective way of saving money to provide people with an income when they're no longer working due to retirement or permanent / temporary disability

• Under the Commonwealth Superannuation Guarantee Charge Act (1992) and the Superannuation Guarantee (Administration) Act (1992), all employers have a legal Obligation to pay super contributions on behalf of their employees. This is in addition to the salary payment made to employees

• Superannuation aims to contribute a super savings to employees. This amount will be withdrawn and used by law.

• Compliance:

• Pay super to employees aged 18 or over, who:
• are paid $ 450 (before tax) or more in a calendar month, and
• work full-time, part-time or casually.
• Pay super to employees under the age of 18, who:
• earn $ 450 (before tax) or more in a calendar month, and
• work more than 30 hours per week

• The minimum amount of super that must be paid is 9.50% of the employees' ordinarytimes earningseach quarter until 30 June 2018. This is known as the super guarantee. From then on, it will increase by 0.5% per year until it reaches 12%.

• Checking compliance:
• Super payments are registering and managed by trustees of the superannuation fund to maximise investment growth.
• Trustees have a legal responsibility to make decisions in the best interests of all their fund members. They must act honestly and written to the government regulators that they are fit and proper persons to do this.
• There are three government bodies that regulate superannuation.
  • Australian Securities and Investments Commission (ASIC)
  • Australian Prudential Regulation Authority (APRA)
  • Australian Taxation Office (ATO)

• The consequences of non-compliance:

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:✓

• Food safety aims:

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.

• Principles of the Food Standards Code:
• Any food sold from the premises must be safe and suitable for human consumption.
• The premises (including the equipment, appliances and utensils used in the premises) must be kept in a clean and sanitary condition.
• Prepared food is stored in a manner that protects it from contamination(glossary).
• Food handlers must take all reasonable measures to ensure the safety and suitability of the food they help produce.
• Food handlers must have the skills and knowledge they need to handle food safely as they carry out the work, they are responsible for.
• Staff skills and knowledge must include food safety and food hygiene matters.

• Requirements for food premises

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.

• Food safety programs

The Code details what must be contained within a food safety program using the HACCP system of hazard identification and control.

• Employer
• Supply all necessary equipment, cleaning materials and PPE to clean, maintain and sanitise equipment correctly.
• Provide appropriate and adequate personal hygiene and hand washing facilities.
• Maintain the premises, fittings, fixtures and equipment to a high level of cleanliness.
• Ensure food handlers have appropriate skills and knowledge in food safety issues and food hygiene practices through on-the-job or formal training.

• Employees
• Exercise overall responsibility in doing whatever is reasonable to make sure that you do not make food unsafe or unsuitable for people to eat.
• Follow all workplace food safety, health and hygiene procedures.
• Know and understand food safety and food hygiene procedures.
• Take all reasonable measures not to handle food or surfaces likely to come into contact with other food in a way that is likely to compromise the safety and suitability of food.
• Report health concerns to your supervisor and do not handle food if there is a possibility of contamination.
• Notify your supervisor if you know or suspect that you may have contaminated food whilst handling it.

• Shared responsibilities

Many responsibilities are shared by both employers and employees.

• Work in a manner that minimises risk of harm or illness to any person, whether that person is a customer consuming food or a fellow staff member.
• Make sure any food sold from the premises is safe and suitable for human consumption.
• Report food safety and food hygiene concerns as they arise.
• Maintain appropriate food safety documentation such as temperature logs and illness registers

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.

• All of our staff are trained in Responsible Service of Alcohol
• A copy of the Statements of Attainments are kept by management in a register
• Management and staff constantly reinforce Responsible Service of Alcohol principles and practices in every day trade
• Management support staff who practice and enforce 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

 

• Current Drivers Licence
• Current Passport
• Current 18+ Card
• Victorian Key pass

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 encourage staff to be trained efficiently and effectively for their job and continue to update their skills as the industry progresses.

Management ensure all staff are trained in Responsible Service of Alcohol