Assessor Resource

FNSPRM601
Establish, supervise and monitor practice systems to conform with legislation and regulations

Assessment tool

Version 1.0
Issue Date: May 2024


This unit describes the skills and knowledge required to establish, supervise and monitor systems to ensure that a practice or unit of business conforms to legislative and regulatory requirements, and meets standards defined in professional codes of practice.

It applies to individuals who use specialised knowledge, systematic approaches and analytical skills to provide leadership in ensuring compliance and quality standards are met.

Work functions in the occupational areas where this unit may be used are subject to regulatory requirements. Refer to the FNS Implementation Guide Companion Volume or the relevant regulator for specific guidance on requirements.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Evidence Required

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. Identify legislation, regulations and codes of practice relevant to the practice

1.1 Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business

1.2 Identify relevant compliance procedures to be established

2. Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice

2.1 Identify key stakeholders and consult regarding issues and proposed procedures and guidelines

2.2 Incorporate compliance issues and procedures into practice guidelines and document appropriately

2.3 Identify and document sources of information and advice on legislative and regulatory requirements

2.4 Establish and document procedures for ensuring currency of information within practice

2.5 Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice

2.6 Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers

3. Establish risk management procedures for compliance with legislation and regulations

3.1 Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations

3.2 Identify and document risks of non-compliance

3.3 Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations

3.4 Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives

4. Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements

4.1 Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements

4.2 Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements

4.3 Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities

4.4 Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements

4.5 Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)


Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Identify legislation, regulations and codes of practice relevant to the practice

1.1 Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business

1.2 Identify relevant compliance procedures to be established

2. Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice

2.1 Identify key stakeholders and consult regarding issues and proposed procedures and guidelines

2.2 Incorporate compliance issues and procedures into practice guidelines and document appropriately

2.3 Identify and document sources of information and advice on legislative and regulatory requirements

2.4 Establish and document procedures for ensuring currency of information within practice

2.5 Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice

2.6 Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers

3. Establish risk management procedures for compliance with legislation and regulations

3.1 Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations

3.2 Identify and document risks of non-compliance

3.3 Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations

3.4 Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives

4. Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements

4.1 Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements

4.2 Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements

4.3 Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities

4.4 Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements

4.5 Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business 
Identify relevant compliance procedures to be established 
Identify key stakeholders and consult regarding issues and proposed procedures and guidelines 
Incorporate compliance issues and procedures into practice guidelines and document appropriately 
Identify and document sources of information and advice on legislative and regulatory requirements 
Establish and document procedures for ensuring currency of information within practice 
Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice 
Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers 
Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations 
Identify and document risks of non-compliance 
Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations 
Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives 
Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements 
Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements 
Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities 
Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements 
Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions 

Forms

Assessment Cover Sheet

FNSPRM601 - Establish, supervise and monitor practice systems to conform with legislation and regulations
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:


Assessment Record Sheet

FNSPRM601 - Establish, supervise and monitor practice systems to conform with legislation and regulations

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: