Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

RIIGOV401D Mapping and Delivery Guide
Apply, monitor and report on compliance systems

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency RIIGOV401D - Apply, monitor and report on compliance systems
Description
Employability Skills
Learning Outcomes and Application This unit describes a participant’s skills and knowledge required to apply, monitor and report on compliance systems in the Resources and Infrastructure Industries.This unit is appropriate for those working in a supervisory role where compliance needs to be managed. No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

An assessor of this unit must satisfy the requirements of the NVR/AQTF or their successors; and Industry regulations for certification and licensing; and,

this unit is best assessed in the context of this sector’s 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 this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills; and,

this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed; and,

assessment may be conducted in conjunction with the assessment of other Units of Competency; and,

assessment must confirm consistent performance can be applied in a range of relevant workplace circumstances; and,

assessors must demonstrate the performance evidence, and knowledge evidence as outlined in this Unit of Competency, and through the minimum years of current* work experience specified below in an Industry sector relevant to the outcomes of the unit; or,

where the assessor does not meet experience requirements a co-assessment or partnership arrangement must exist between the qualified assessor and an Industry subject matter expert. The Industry subject matter expert should hold the unit being assessed (or an equivalent unit) and/or demonstrate equivalence of skills and knowledge at the unit level. An Industry technical expert must also demonstrate skills and knowledge from the minimum years of current work experience specified below in the Industry sector, including time spent in roles related to the unit being assessed; and,

assessor and Industry subject matter expert requirements differ depending on the Australian Qualifications Framework Level (AQF) of the qualification being assessed and/or Industry Sector as follows:

Industry sector

AQF** Level

Required assessor or Industry subject matter expert experience

Drilling, Metalliferous Mining, Coal Mining, Extractive (Quarrying) and Civil Construction

1

1 Year

2

2 Years

Drilling, Coal Mining and Extractive (Quarrying)

3-6

3 Years

Metalliferous Mining and Civil Construction

3-6

5 Years

Other sectors

Where this Unit is being assessed outside of the Resources and Infrastructure Sectors assessor and/or Industry subject matter expert experience should be in-line with industry standards for the sector in which it is being assessed and where no Industry standard is specified should comply with any relevant regulation.

*Assessors can demonstrate current work experience through employment within Industry in a role relevant to the outcomes of the Unit; or, for external assessors this can be demonstrated through exposure to Industry by conducting frequent site assessments across various locations.

**Where a unit is being delivered outside of a Qualification the first numeric character in the Unit code should be considered to indicate the AQF level

Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities
Slides
PPT
Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Identify, share and implement regulation and business requirements
  • Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant
  • Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others
  • Clarify implications of noncompliance to the business and regulation requirements to others
       
Element: Plan and implement systems to meet regulation and business requirements
  • Work with others to plan systems of work that ensures compliance
  • Implement planned systems of work and ensure compliance
  • Maintain and promote the standards of systems of work and adjust performance to comply
  • Identify and support training needs of others in carrying out systems of work
  • Maintain the legal obligations of the business when carrying out systems of work
       
Element: Monitor, revise and report performance to ensure legal and contractual compliance
  • Identify, revise and report actual and potential problems to supervisors
  • Manage work activities and ensure legal and contractual compliance
  • Submit written 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
  • Maintain systems, written and verbal records and reporting procedures
       
Element: Investigate, report and action non-compliance
  • Investigate noncompliance to regulation and business requirements
  • Collaborate with others to identify options and solve problems that remedy noncompliance
  • Select and implement options that resolve noncompliance
  • Implement training and adjust work practice to support others to effectively carry out systems of work
  • Review and monitor behaviour and work practice once training has concluded
  • Maintain individual written records where noncompliance has been substantiated
       


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.

1 Identify, share and implement regulation and business requirements

1.1 Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant

1.2 Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others

1.3 Clarify implications of noncompliance to the business and regulation requirements to others

2 Plan and implement systems to meet regulation and business requirements

2.1 Work with others to plan systems of work that ensures compliance

2.2 Implement planned systems of work and ensure compliance

2.3 Maintain and promote the standards of systems of work and adjust performance to comply

2.4 Identify and support training needs of others in carrying out systems of work

2.5 Maintain the legal obligations of the business when carrying out systems of work

3 Monitor, revise and report performance to ensure legal and contractual compliance

3.1 Identify, revise and report actual and potential problems to supervisors

3.2 Manage work activities and ensure legal and contractual compliance

3.3 Submit written recommendations on improvements to comply with legal and contractual requirements

3.4 Secure contractual procurement rights for goods and services and support a business plan that is shared with all

3.5 Maintain systems, written and verbal records and reporting procedures

4 Investigate, report and action non-compliance

4.1 Investigate noncompliance to regulation and business requirements

4.2 Collaborate with others to identify options and solve problems that remedy noncompliance

4.3 Select and implement options that resolve noncompliance

4.4 Implement training and adjust work practice to support others to effectively carry out systems of work

4.5 Review and monitor behaviour and work practice once training has concluded

4.6 Maintain individual written records where noncompliance has been substantiated

Evidence is required to be collected that demonstrates a candidate’s competency in this unit. Evidence must be relevant to the roles within this sector’s work operations and satisfy all of the requirements of the performance criteria of this unit and include evidence that the candidate:

locates and applies relevant legislation, documentation, policies and procedures

demonstrates completion of applying, monitoring and reporting on compliance systems that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

routinely reviewing work practice to identify and define problems to systems of work

adjusting systems of work to minimise risk, increase productivity and meets contractual obligations

prioritising others and work practice to meet contractual and compliance obligations

providing coaching, information and support to others to maintain the standards compliance

establishing training programs for others to improve or develop practice for systems of work

providing verbal feedback to others in carrying out their work practice

establishing performance management programs for others who are struggling to meet compliance

maintaining written records and reports for system of work activity, contract obligations, personnel and noncompliance

The candidate must demonstrate knowledge of apply, monitor and report on compliance systems through:

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

industrial law relevant to performance management, 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


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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.

1 Identify, share and implement regulation and business requirements

1.1 Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant

1.2 Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others

1.3 Clarify implications of noncompliance to the business and regulation requirements to others

2 Plan and implement systems to meet regulation and business requirements

2.1 Work with others to plan systems of work that ensures compliance

2.2 Implement planned systems of work and ensure compliance

2.3 Maintain and promote the standards of systems of work and adjust performance to comply

2.4 Identify and support training needs of others in carrying out systems of work

2.5 Maintain the legal obligations of the business when carrying out systems of work

3 Monitor, revise and report performance to ensure legal and contractual compliance

3.1 Identify, revise and report actual and potential problems to supervisors

3.2 Manage work activities and ensure legal and contractual compliance

3.3 Submit written recommendations on improvements to comply with legal and contractual requirements

3.4 Secure contractual procurement rights for goods and services and support a business plan that is shared with all

3.5 Maintain systems, written and verbal records and reporting procedures

4 Investigate, report and action non-compliance

4.1 Investigate noncompliance to regulation and business requirements

4.2 Collaborate with others to identify options and solve problems that remedy noncompliance

4.3 Select and implement options that resolve noncompliance

4.4 Implement training and adjust work practice to support others to effectively carry out systems of work

4.5 Review and monitor behaviour and work practice once training has concluded

4.6 Maintain individual written records where noncompliance has been substantiated

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 regulatory and business documentation, and ensure the work activity is compliant 
Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others 
Clarify implications of noncompliance to the business and regulation requirements to others 
Work with others to plan systems of work that ensures compliance 
Implement planned systems of work and ensure compliance 
Maintain and promote the standards of systems of work and adjust performance to comply 
Identify and support training needs of others in carrying out systems of work 
Maintain the legal obligations of the business when carrying out systems of work 
Identify, revise and report actual and potential problems to supervisors 
Manage work activities and ensure legal and contractual compliance 
Submit written 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 
Maintain systems, written and verbal records and reporting procedures 
Investigate noncompliance to regulation and business requirements 
Collaborate with others to identify options and solve problems that remedy noncompliance 
Select and implement options that resolve noncompliance 
Implement training and adjust work practice to support others to effectively carry out systems of work 
Review and monitor behaviour and work practice once training has concluded 
Maintain individual written records where noncompliance has been substantiated 

Forms

Assessment Cover Sheet

RIIGOV401D - 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

RIIGOV401D - 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: