ABN: 57 169 281 501

E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Blue Healer Restaurant

Legal Compliance Briefing Report
Introduction
Write a summary about the need for the report.

The need for the report extends to analyzing its performance, understanding competitors,
identifying market trends, forecasting financial projections, and ensuring regulatorycomplian
ce. This information will help the restaurant stay ahead in the competitive food industry and
make informed decisions for its future growth.

Catering
Evaluate this area of the business and why legal risk management and compliance is vital in this area.

Because it involves the preparation and serving of food and is therefore governed by multiple
health and safety regulations, the catering aspect of Blue Healer Restaurant is essential. In
this regard, legal risk management and compliance are essential to guaranteeing the security
of food preparation, service, and patron welfare. Serious repercussions from non-compliance
can include health hazards and harm to the company's reputation.

To provide a comprehensive answer, I'll assume that the business area in question is the
financial sector, which is heavily regulated and where legal risk management and compliance
are particularly crucial. However, please note that the importance of these aspects applies to
all business sectors. Legal risk management and compliance are vital in the financial
sector for several reasons: -

Regulatory Compliance: Financial institutions are subject to numerous regulations at both the
national and international levels. Non-compliance can result in severe penalties, including
fines, sanctions, and damage to the company's reputation.

- Risk Mitigation: Legal risk management helps identify potential legal risks related to
financial transactions, contracts, and operations. By identifying these risks early,
the company can take steps to mitigate them, thereby reducing potential losses.

- Trust and Reputation: Compliance with legal and regulatory requirements helps build trust
with customers, investors, and other stakeholders. It demonstrates that the company operates
with integrity and transparency, which can enhance its reputation and competitive position.

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

- Operational Efficiency: A robust legal risk management system can improve operational
efficiency by ensuring that processes are compliant with regulations, reducing the likelihood
of costly mistakes or oversights.

- Investor Confidence: Compliance with legal and regulatory requirements can boost
investor confidence. Investors are more likely to invest in a company that they perceive
as being well-managed and low-risk. Here's a step-by-step explanation of how legal risk
management and compliance work in the financial sector:

Risk Identification: The first step is to identify potential legal risks. This could involve
reviewing contracts, transactions, and business processes to identify areas where the company
might be exposed to legal risk.
•
Risk Assessment: Once potential risks have been identified, they need to be assessed in
terms of their potential impact and likelihood. This helps prioritize risks and allocate
resources effectively.
•
Risk Mitigation: The next step is to develop strategies to mitigate identified risks. This could
involve revising contracts, changing business processes, or implementing new controls.
•
Monitoring and Review: Legal risks and compliance requirements can change over time,
soit's important to regularly monitor and review the risk management and complianceprocess
es. This helps ensure that they remain effective and up-to-date.
•
Reporting: Finally, it's important to report on legal risks and compliance to stakeholders,
including management, the board of directors, and regulators. This helps ensure transparency
and accountability. In conclusion, legal risk management and compliance are vital in the
financial sector (and indeed in all business sectors)

Highlight relevant legislation, standards, codes of practice and regulatory authorities that the
business is required to follow for this area.
Relevant Legislation: In Victoria, New South Wales, Blue Healer Restaurant is required
to comply with the Food Act 2003.
- Relevant Standards: Adherence to relevant food safety standards.
- Codes of Practice: Following applicable food service codes of practice
. - Regulatory Authority: Local health departments.

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Describe the risks and consequences of not complying with compliance obligations in this area.

Compliance risk is an organization's potential exposure to legal penalties, financial forfeiture

and material loss, resulting from its failure to act in accordance with industry laws and
regulations, internal policies or prescribed best practices. Compliance risk is also known as
integrity risk.

Describe where you can receive specialist legal advice required to ensure compliance in this area and
when you might need to call on this person / body.
- Keep on track with the laws and regulations that are changing.- Make sure that the staffs follow the
policies and procedures.- Schedule internal audits.

Administration
Evaluate this area of the business and why legal risk management and compliance is vital in this area.
 Current legislation

 Criminal Procedure Act 1986

 NSW Legislation

 - Government regulatory documents

 Hotel Association of New Zealand Act 1969

Sale and Supply of Alcohol Act 2012Legal risk management and compliance are vital in this area
because they ensure adherenceto laws and regulations, mitigating the potential for legal issues,
penalties, and reputationaldamage. By proactively identifying, assessing, and addressing legal risks,
organizations canprotect themselves from costly litigation, regulatory fines, and loss of trust.
Compliance
alsofosters a culture of integrity and accountability, enhancing business sustainability andstakeholder
confidence

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Highlight relevant legislation, standards, codes of practice and regulatory authorities that the business
is required to follow for this area.

- Professional Standards Employees must respect the organization as well as have a high level
of respect for the customers. Also, the employees must respect the established methods and
procedures of the company, space, and equipment of the company and must carry out all their
administrative tasks.
 Codes of practice
• Honesty
• Integrity
 Fair play- Standards issued by regulatory authorities All employees of our
Organisation must ensure that the Organization’s reputation is elevated by our
complete honesty, loyalty, and ethical action. This sets out the standards of behavior
expected from the employees, and guidelines to handle different situations.
 Regulatory information and business management manuals issued by industry
associations
• Accident and incident reporting
• Counselling and discipline
• Customer service
• Cancellations, refunds, and exchanges

Describe the risks and consequences of not complying with compliance obligations in this area.

 Risks: Legal action, financial penalties, employee disputes, data breaches, privacy
violations.
 Consequences: Legal penalties, financial loss, damage to reputation, loss of employee
trust.
Such as: Fines can be issued for offences, employee relations issues, legal action bycu
stomers or employees and loss of reputation.

Describe where you can receive specialist legal advice required to ensure compliance in this area and
when you might need to call on this person / body.

In situations involving intricate employment or privacy concerns, specialized legal advice

maybe necessary to guarantee compliance in this area. Legal counsel on complex HR,
financial compliance, or data privacy matters should be obtained from [Insert name of legal
firm or expert]. When faced with legal uncertainties in the administration functions, it is
imperative to act quickly.

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Requirements
Complete the following table for two laws you have identified for each area above.

Catering

Name of law or Act:

Practices that are prohibited by the law Fair Work Act 2009

Auditing and inspection regimes needed Hotel Association of New Zealand Act 1969
to ensure compliance

The main consequences of non- Mandatory codes of conduct, enshrined inlegislation

compliance

Business or occupational licensing and License and certification for:

associated compulsory training and
- Food handlers and food safety supervisors.
certification
- Operators of table games within casinos.
- Tour guides operating in certain areas

Required record keeping and acceptable Financial operations and taxation

record keeping mechanisms

Statutory reporting requirements -Work health and safety

- Workers' compensation

Any business insurance(s) required Insurance licensing

Mandatory codes of conduct enshrined in Hotel Association of New Zealand Act 1969
legislation

Required plans, policies, codes of conduct -Food safety

or business practices
- Local community protection
- Land management
- Financial Operations

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

The rights and responsibilities of -Consumer protection

employees and employers
- Contracts and unions

Any other actions that must be taken for -Public liability and duty of care
legal compliance
- Tourism Australia Act 2004

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Name of law or Act:

Practices that are prohibited by the law -You Cannot put anyone danger.
- Do not work without proper training.
- You can't neglect reports.
- Can't work without PPE

Auditing and inspection regimes needed -WHS training

to ensure compliance
- Regularly conduct hazard and risk assignment
- Regularly check incident report

The main consequences of non- Loss of business and injuries

compliance

Business or occupational licensing and -First aid training

associated compulsory training and
- Manual handling
certification
- Food handling training
- Fire warden

Required record keeping and acceptable -Accidents and incidents report

record keeping mechanisms
- Risk assessments record

Statutory reporting requirements Incidents and accidents to WHS officers

Any business insurance(s) required Work cover insurance

Mandatory codes of conduct enshrined in WHS trainings for employees and employer
legislation

Required plans, policies, codes of conduct Regular WHS, emergency evacuation plan, firstaid
or business practices policy, manual handling policy and accidentpolicy

The rights and responsibilities of -Follow WHS policy

employees and employers
- Provide WHS Training

Any other actions that must be taken for

legal compliance

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Administration

Name of law or Act:

Practices that are prohibited by the law You can't sale minors and underage

Auditing and inspection regimes needed -Every staff should have qualification certificate RSA
to ensure compliance
- Checks id
- Should have proper licences

The main consequences of non- Loss of licences, bad reputation

compliance

Business or occupational licensing and -Should have trained certificate

associated compulsory training and
- Renew the liquor licence annually
certification

Required record keeping and acceptable -Incident report- Keep a copy of liquor licence
record keeping mechanisms
- Keep a copy of employee licence

Statutory reporting requirements -Inform to police about gangsters.

- Report intoxicated people.

Any business insurance(s) required Public liability insurance, work compliances insurance

Mandatory codes of conduct enshrined in -Display RSA signage

legislation
- Proper disposal waste

Required plans, policies, codes of Manual handling, standard drink policy

conduct or business practices

The rights and responsibilities of -Staff should have RSA

employees and employers
- Renew licence.
- Display signage

Any other actions that must be taken for Train and retrain staff regularly
legal compliance

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

Name of law or Act:

Practices that are prohibited by the law

Auditing and inspection regimes needed to

ensure compliance

The main consequences of non-

compliance

Business or occupational licensing and

associated compulsory training and
certification

Required record keeping and acceptable

record keeping mechanisms

Statutory reporting requirements

Any business insurance(s) required

Mandatory codes of conduct enshrined in

legislation

Required plans, policies, codes of conduct

or business practices

The rights and responsibilities of

employees and employers

Any other actions that must be taken for

legal compliance

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 ABN: 57 169 281 501
E: admissions@sydneymetrocollege.edu.au
W: www.sydneymetrocollege.edu.au
Sydney (Head Office): Level 2, 16-22 Wentworth Avenue, Surry Hills NSW 2010
Melbourne: Level 5, 440 Elizabeth Street, Melbourne VIC 3000
T: 02 8937 0991 / 03 9077 0758

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