Assessor Resource

RIIGOV401B
Apply, monitor and report on compliance systems

Assessment tool

Version 1.0
Issue Date: April 2024


This unit is appropriate for those working in a supervisory role or as a technical specialist, at worksites within:

Civil construction

Coal mining

Drilling

Extractive industries

Metalliferous mining

This unit covers applying, monitoring and reporting on compliance systems in the resources and infrastructure industries. It includes identifying, sharing, planning and implementing legislation, codes, standards and business requirements; and monitoring, revising and reporting performance to ensure legal and contractual compliance. Licensing, legislative, regulatory and certification requirements that apply to this unit can vary between states, territories, and industry sectors. Relevant information must be sourced prior to application of the unit.

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

Prerequisites

Not applicable.

Co-Requisites

Not applicable.

Employability Skills

This unit contains employability skills.



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.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

The evidence required to demonstrate competency in this unit must be relevant to worksite operations and satisfy all of the requirements of the performance criteria, required skills and knowledge and the range statement of this unit and include evidence of the following:

knowledge of the requirements, procedures and instructions for applying, monitoring and reporting on compliance systems

implementation of requirements, procedures and techniques for the safe, effective and efficient completion of compliance system requirements

working with others to plan, prepare and conduct compliance system requirements

evidence of the consistent successful application, monitoring and reporting on compliance systems

Context of and specific resources for assessment

This unit must be assessed in the context of the work environment. Where personal safety or environmental damage are limiting factors, assessment may occur in a simulated environment provided it is realistic and sufficiently rigorous to cover all aspects of workplace performance, including task skills, task management skills, contingency management skills and job role environment skills.

Assessment of this competency requires typical resources normally used in a resources and infrastructure sector environment. Selection and use of resources for particular worksites may differ due to the site circumstances.

The assessment environment should not disadvantage the participant. For example, language, literacy and numeracy demands of assessment should not be greater than those required on the job.

Customisation of assessment and delivery environment must sensitively accommodate cultural diversity.

Aboriginal people and other people from a non English speaking background may have second language issues.

Where applicable, physical resources should include equipment modified for people with disabilities. Access must be provided to appropriate learning and/or assessment support when required.

Method of assessment

This unit may be assessed in a holistic way with other units of competency. The assessment strategy for this unit must verify required knowledge and skill and practical application using more than one of the following assessment methods:

written and/or oral assessment of the candidate's required knowledge

observed, documented and/or first hand testimonial evidence of the candidate's:

implementation of appropriate requirement, procedures and techniques for the safe, effective and efficient achievement of required outcomes

consistent achievement of required outcomes

first hand testimonial evidence of the candidate's:

working with others to undertake and complete the application, monitoring and reporting on compliance systems

provision of clear and timely instruction and supervision in the application, monitoring and reporting on compliance systems

Guidance information for assessment

Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.

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.

Required skills

Specific skills are required to achieve the performance criteria of this unit, particularly for its application in the various circumstances in which this unit may be used. This includes the ability to carry out the following as required to apply, monitor and report on compliance systems:

apply legislative, organisation and site requirements to compliance systems

display effective communication skills to report, consult and negotiate processes that satisfy legal requirements

display time management skills to prioritise tasks and meet targets

provide coaching and mentoring support

identify and clearly communicate key compliance issues

Required knowledge

Specific knowledge is required to achieve the performance criteria of this unit, particularly for its application in the various circumstances in which this unit may be used. This includes knowledge of the following as required to apply, monitor and report on compliance systems:

national, state/territory and local government legislative requirements affecting business operation, especially in regard to:

anti-discrimination

relevant OHS requirements

environmental issues

EEO

industrial relations

business registration and licensing requirements

legal rights and obligations of alternative ownership structures

relevant taxation and related legislative requirements and legal rights and responsibilities related to the business

bookkeeping and record keeping procedures to meet minimum financial and legal requirements

award and enterprise agreements, where required

industrial law relevant to recruitment and dismissal of employees

creation and termination of relevant legal contracts

duty of care imposed by the Law of Torts

work procedure/instruction writing in compliance with legal requirements and company policy

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Compliance documentation may include:

legislative, organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

legislation, codes, standards and business requirements relevant to the creation and maintenance of workplace legal compliance

Employment and Workplace Relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Workplace legal compliance may include:

requirements for the maintenance and confidentiality of records of non-compliance

requirements for the maintenance of records of breaches

provision of information and training

regulations and code of practice relating to hazards present in work area

site/work/groups representatives and committees

issue resolution

Legislation, codes, standards and business requirements may include:

OHS

business registration

taxation

legal

insurance

environmental

business structure

Legal rights and responsibilities of the enterprise may include:

marketing the business in accordance with consumer legislation

operating the business with a duty of care (Law of Torts)

obligations imposed by choice of business structure

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
Access, interpret and apply compliance documentation relevant to the work activity including workplace legal compliance 
Provide information in a language, style and format which is understood by colleagues 
Clarify implications of non-compliance to all in the workplace 
Plan systems of work with colleagues to ensure compliance with legislation, codes, standards and business requirements 
Implement systems of work with work colleagues to ensure compliance with legislation, codes, standards and business requirements 
Identify and support training needs of colleagues while managing the legal rights and responsibilities of the enterprise in which they work 
Identify, revise and report actual and potential problems promptly to ensure legal and contractual compliance within the workplace 
Manage activities to ensure maximum legal and contractual compliance resulting in the protection of business interests 
Submit recommendations on improvements to comply with legal and contractual requirements 
Secure contractual procurement rights for goods and services and support a business plan that is shared with all members of the workplace 
Maintain systems, records and reporting procedures 
Investigate and deal with non-compliance according to legislative requirements and enterprise policies and procedures 
Identify training needs and support the training of colleagues in the acquisition of competencies to meet legal requirements and the associated standards 
Implement training programs and workplace practices to ensure that non-compliance is not repeated 

Forms

Assessment Cover Sheet

RIIGOV401B - Apply, monitor and report on compliance systems
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

RIIGOV401B - Apply, monitor and report on compliance systems

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: