SITXGLC001 | Research and Comply with Regulatory Requirements

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Assessment Overview: 

Format: Performance & Knowledge (Written Report) 

PART A:  Submit research findings and documentation for legal requirements of an operation

PART B: Submit the developed compliance policy and procedure documents for six (6) different areas of compliance

PART C: Submit a short report outlining your proposed processes for compliance and continuous improvement.

To demonstrate competence each question must be answered by the student. 




You have been employed as the F&B Manager with RT 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 in Melbourne.

The property has seating for sixty (60) indoors and a terrace which has been underutilised, but can potentially provide seating for one hundred and fifty (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 apply for a liquor licence.

Once completed, the new RT 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:

The operation will operate as a company:  a new ABN is required.A liquor licence is sought for trading hours between 10.00 am and Midnight, 7 days per week.

You will be the nominated licensee.

The operation will employ approximately 15 full time and 10 casual staff during the first year plus 2 apprentice chefs.

Payroll is managed by your HR manager. 

The annual turnover is expected to exceed $3.5 million per annum.

You require all insurances common for such an operation.

There will be advertising signage on posts on the approach to either side of the property.

The establishment will be playing background music using CDs or iPod.

All other requirements will be those typical for a licensed food premises (no Gambling).

Your Task:

Reference URL = <>

Enter a location near you relevant to your employment and enter these details.

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, time frames (validity or due dates) and penalties where applicable.

2. List all the licensing and legal requirements and permits you have identified.

3. List the requirements to comply with the Food Act and the Australia New Zealand Food Standards Code.

4. List the procedures and requirements to obtain a liquor licence.

5. List all types of insurances you will require.

6. Provide an overview of your legal tax obligations and the penalties which apply for failing to comply with these.

7. List the requirements to comply with Fair work legislation. 

8. List the Work Health & Safety (WHS) requirements for the establishment.

9. Identify any areas which require provisions for risk management and outline these.

10. Identify any area which may require the need for specialist legal advice.


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

Your task is now to access and interpret regulatory information and determine the scope of compliance for the operations of the in relation to at least six (6) different areas of compliance and develop a policy and procedures.

Choose six (6) from the following:

1. Accident and incident reporting

2. Customer service

3. Cancellations, refunds and exchanges

4. Equal employment opportunity (EEO)

5. Food handling and hygiene

6. Harassment

7. Responsible service of alcohol (RSA)

8. Transport, handling and storage of food

9. Work Health & Safety (WHS):

i. consultation

ii. emergency evacuation

iii. hazard identification and risk assessment

iv. occupational rehabilitation

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


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

1. Which systems could you use to ensure consistent evaluation of operational non-compliance?

2. How could these systems assist you to implement any modifications that may be required?

3. How will you ensure you stay up to date with changes in legislation and regulatory requirements to ensure compliance?

4. 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?

5. Which type of documentation could assist you to manage compliance and continuous improvement? How should this be managed effectively?

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