List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
ELEMENT | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Develop organisational strategy for building effective relationships with regulatory and industry bodies | 1.1 Analyse legislative requirements and compliance and reporting obligations for all regulatory bodies relating to organisational activities 1.2 Identify and determine strategic benefits for the organisation in fostering relationships with relevant industry bodies 1.3 Evaluate organisational protocols, policies and procedures for interacting with regulatory and industry bodies 1.4 Monitor and assess the effectiveness of interactions and relationships with regulatory and industry bodies |
2. Implement effective reporting systems | 2.1 Establish reporting systems that deliver information and data that meets regulatory body requirements 2.2 Establish access controls, including delegated authorities, for reporting information and data to regulatory bodies 2.3 Manage and implement organisational policies and procedures for reporting information and responding to feedback on organisational performance and enforcement action, where relevant 2.4 Ensure regulator is advised promptly of any difficulties in fulfilling reporting or compliance requirements 2.5 Implement procedures to review vulnerabilities within reports and data quality to ensure accuracy of information and compliance with requirements 2.6 Review regulatory and industry body benchmark data and take action to address issues relevant to the organisation |
3. Manage relationships and communications with regulators and industry bodies | 3.1 Oversee processes for managing communications with regulatory and industry bodies ensuring procedures for checking correct authority and controls are implemented 3.2 Foster relationships and participate in collaborative communities and partnerships 3.3 Contribute to the development of industry codes of conduct and guidelines and to industry body responses to regulatory consultations 3.4 Demonstrate a high standard of personal performance and conduct in professional activities and project a positive image of the organisation 3.5 Manage reporting to senior management and/or Board about regulatory or industry activity |
Evidence of the ability to:
develop an organisational strategy to build effective reporting and communication relationships with relevant regulatory and industry bodies
implement organisational processes, policies and procedures to affect the strategy
manage ongoing reporting and communication activities with regulatory and industry bodies.
Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.
To complete the unit requirements safely and effectively, the individual must:
outline the legislative requirements and regulatory bodies relevant to the organisation's activities
explain the external context relevant to the regulatory requirements and regulator including social, political, economic and technological developments
describe various industry bodies relevant to the organisation including their role within the industry and the benefits they offer the organisation
outline the organisation's strategy and objectives in developing relationships with regulatory and industry bodies and explain how organisational policies and procedures support these
explain techniques that foster collaborative relationships and partnerships
explain processes and procedures for responding to regulatory and industry bodies about organisational performance in managing regulatory risk and addressing recommendations in relation to enforcement action or periodic industry specific feedback and guidance
outline reporting requirements for relevant regulatory and industry bodies, methods for collating information and associated security and access controls required
outline organisational and industry consequences for poor performance or non-compliance and breaches in reporting and communication requirements
explain techniques and stages in managing and implementing continuous improvement in an organisation.
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the industry capability field of work and include access to:
relevant legislation, regulations, standards and codes
workplace documents including organisational business and strategic plans, policies and procedures
case studies and, where possible, real situations
interaction with others.
Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.