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Trainers Assessment Resource The Imperial College of Australia SITXGLC001 - Research and comply to regulatory requirements Knowledge Test Instructions · This is an open book assessment to be conducted in the classroom under Trainer’s supervision. · There are 15 knowledge test questions, each with four responses of which there is only one correct response. · You are to nominate the correct response to each question by circling the appropriate letter ( a, b, c, or d) on this document · You must answer all questions correctly to achieve competency for this assessment. · On completion, submit the knowledge test to your assessor. · Ask your assessor, if you do not understand a question. Your assessor cannot tell you the answer he/she may be able to re-word the question for you. · Re-assessment: If you do not achieve the required standard, you will be given the opportunity to be re-assessed by our Assessor. Arrangements will be made on an individual basis. If you are deemed to be NS (Not Satisfactory), your assessor will either ask specific questions orally or record them with you using the supplementary evidence sheet or you will be asked to resubmit your responses in full. · Feedback: Your assessor will provide feedback to students after the completion of the assessment. The assessor will explain the appeals process when required. 1. Which sources of information would you consult prior to refusing to pay a workers’ compensation claim you deem to be unfair? (a) Your insurer and a legal expert from the regulatory authority in your state or territory. (b) Safe Work Australia and your industry or employer association. (c) You wouldn’t need to consult any sources of information. Just refuse to pay if the claim is unfair. (d) These websites: www.business.gov.au or www.safeworkaustralia.gov.au. 2. Evaluate what’s happening in the bar. Which employee is operating within the scope of compliance requirements? (a) All of these employees are operating within the scope of compliance. (b) The bartender asked the customer for identification prior to serving her alcohol because she looked younger than 18. (c) The bartender refuses service to an 18-year-old who’s trying to buy light beers for his 16-year-old sister and her friends to have with dinner. (d) The bartender refused to serve the customer any more alcohol. It was clear she was already intoxicated. 3. Where would you go to access regulatory information relevant to a bar? (a) The Australian Responsible Service of Alcohol Commission (RSAC). (b) The Liquor Control Reform Act 2003. (c) The relevant liquor licensing authority, commission or board in your state or territory. (d) All of these are sources of regulatory information for a bar. 4. What are the consequences for non-compliance of Criminal Code Act 1995: child sex offences outside Australia? (a) Compensation payments to the victim of up to $500,000 and imprisonment of five years. (b) Fines of up to $825,000 for a corporate body and imprisonment ranging from ten to 25 years. (c) Rescission, payment of damages, specific performances, mandatory injunction, prohibitory injunction. (d) Fines of up to $3,300 for an individual and $16,500 for a corporation. 5. You’ve just received a contract from your linen supplier, but you’re not sure it’s legally binding. What would you do? (a) Consult a lawyer to get their specialist advice before signing the contract. (b) Sign it in front of two witnesses. (c) Don’t sign the contract. Change to a linen supplier who can provide a more comprehensible legal document. (d) Take the time necessary to research contract law before signing the contract. 6. What kind of format should you use when developing policies and procedures? (a) A format that’s downloaded from the internet and includes professional, legal language. (b) A format that’s clear and readily accessible to managers. (c) A format that includes professional, legal language and is inaccessible to lower-level staff members. (d) A format that’s clear, approved by your organisation and readily accessible to all workers. 7. In what documents should you nominate roles and responsibilities of personnel for regulatory compliance? (a) In accident reports, risk assessments and WHS agendas. (b) In policies, procedures and job descriptions. (c) In RSA training records, BAS statements and year-end reports for the ATO. (d) In contracts with KPIs and any records of non-compliance lodged with the EPA. 8. Who should you distribute policies, procedures and legal information to? (a) All relevant personnel. (b) Senior managers. (c) Team leaders. (d) There’s no need to distribute these documents as they’re usually kept where staff can readily access them. 9. Which of the following hypothetical situations would result in an immediate need for information updates and training for staff? (a) The federal government announces a review of superannuation entitlements for retirees. (b) The state/territory government announces that the legal drinking age will increase to 21 years. (c) All of these situations require staff to be updated immediately. (d) The establishment’s HSC holds a meeting to discuss existing practices and injury statistics. 10. When planning business operations, what two actions should you take to ensure compliance with legal requirements? (a) Communicate with professionals in any industry associations you belong to and check if you can become accredited under a couple of industry schemes. (b) You don’t need to take any compliance actions at the planning stage. Wait until your business is up and running before handling any compliance issues. (c) Communicate with regulatory authorities and submit any required documentation. (d) Communicate with your accountant to ensure financial resources are available for compliance. 11. What are the three components of compliance risk management? (a) Risk identification, risk delay, risk control. (b) Compliance research, risk determination, procedure implementation. (c) Risk identification, risk assessment, risk control. (d) Strategic planning, risk management, compliance control. 12. During a routine evaluation of business operations, you identify a compliance breach. What should you do? (a) Immediately implement modifications and communicate them to staff. (b) Immediately place the non-compliance issue as an item on the agenda for next month’s staff meeting. (c) Immediately inform the relevant regulatory authority in your state or territory. (d) Immediately confront the staff member you saw breach compliance and put them on report. 13. Which of the following is an example of an opportunity to develop and maintain knowledge of current regulatory requirements? (a) Attending an industry seminar or conference. (b) Subscribing to regulatory newsletters. (c) Joining an industry association or participating in an industry accreditation scheme. (d) All of these are good opportunities to develop and maintain knowledge of current regulatory requirements. 14. What methods should you use to share updated regulatory knowledge? (a) You should send an email to all staff and hold a meeting. (b) You should put an advisory notice in everyone’s pigeon hole and attach another one to their payslips. (c) You should use any organisational communication methods available which are suited to the particular situation. (d) You don’t need to share the information as such. You just need to ensure all your policies and procedures are updated and readily accessible to all staff members. 15. Why should you continuously review and distribute plans, policies and procedures? (a) To maintain personal knowledge of regulatory requirements. (b) To ensure compliance with current laws and licensing requirements. (c) To maintain organisational knowledge of regulatory requirements. (d) All of these are good reasons to review and distribute these documents. BJSB Pty Ltd. trading as The Imperial College of Australia CRICOS ID: 02858M, RTO ID: 121966 Knowledge Test SITXGLC001 Version: October 2019 Page 3 of 3 SITXGLC001 Research and comply with regulatory requirements Learner guide Research and comply with regulatory requirements SITXGLC001 Disclaimer While every effort has been made to ensure that the information contained in this product is free from errors and omissions and is not misleading in any way, Didasko Digital makes no representations or warranties and is not liable for any loss or damage or injury of any kind (however caused) under any theory of law including negligence resulting from or in any way connected with the use of its products. 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Contents Overview ................................................................................................................. 3 Section 1: Research information required for legal compliance ................................ 3 Section 2: Develop and communicate policies and procedures for legal compliance .............................................................................................................79 Section 3: Ensure compliance with legal requirements ...........................................87 Section 4: Maintain personal and organisational knowledge of regulatory requirements ....................................................................