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

RIIGOV501A Mapping and Delivery Guide
Identify, implement and maintain legal compliance requirements

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency RIIGOV501A - Identify, implement and maintain legal compliance requirements
Description This unit covers the identification, implementation and maintenance of legal compliance requirements in the resources and infrastructure industries. It includes providing information about the scope, implementation, management, prioritisation and training for legal compliance requirements. It also provides information about implementing and monitoring procedures for maintaining legal records and for dealing with non-compliance events. 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.
Employability Skills This unit contains employability skills.
Learning Outcomes and Application This unit is appropriate for those working in a management or supervisory role at worksites within:Civil constructionCoal miningDrillingExtractive industries Metalliferous mining
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Not applicable. Not applicable.
Competency Field Refer to Unit Sector(s).
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: Provide information about the scope of legal and organisational compliance procedures
  • Access, interpret and apply compliance documentation relevant to the work activity
  • Explain relevant provisions of legislation and code of practice relevant to the workplace and how they impact on business arrangements
  • Provide information on the organisation's policies, procedures, programs and business arrangements within the legal compliance context
  • Evaluate, provide information and documentation to the work group regarding legal compliance
  • Obtain approval of plans from relevant personnel
       
Element: Implement and monitor organisation's procedures for the management of legal compliance
  • Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities
  • Search for, identify, review and report on legal compliance requirements regularly so issues may be raised and dealt with in a prompt and appropriate manner
  • Identify and periodically review if adequate resources have been allocated to implement legal compliance and inform appropriate parties promptly
  • Ensure all members of the workgroup have the opportunity to contribute to issues on legal compliance and ensure information is stored and reviewed within the organisation
       
Element: Implement, monitor and prioritise compliance requirements within organisational procedures
  • Collect and review information on legal compliance and report any existing or potential non-compliance issues so they can be addressed appropriately
  • Evaluate and clarify compliance information to all relevant personnel
  • Identify implications of non-compliance
  • Group legal compliance requirements into critical, important and incidental classifications so that non-compliance issues can be prioritised and appropriate measures implemented to prevent or minimise reoccurrence of non-compliance
       
Element: Implement, monitor and document procedures and training for compliance requirements
  • Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance
  • Monitor and report to relevant personnel legal compliance measures to ensure legal compliance is part of the organisation's general training program
  • Implement appropriate legal compliance training programs in consultation with relevant personnel
  • Identify and report inadequacies in existing legal compliance measures and resource allocation to management
       
Element: Implement and monitor procedures for maintaining legal records and for dealing with non-compliance events
  • Implement workplace procedures to deal with non-compliance events in a timely manner while keeping accurate legal records
  • Identify and investigate the cause of non-compliance events using the work areas records in accordance with investigation procedures
  • Minimise recurrence of non-compliance by using systems for reporting maintenance of legal compliance
       


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 identifying, implementing and maintaining legal compliance requirements

implementation of procedures and techniques for the safe, effective and efficient identification, implementation and maintenance of legal compliance requirements

the identification of the relevant information and scope of the work required to meet the required outcomes

the identification of viable options and the selection of legal compliance requirements that best meet the required outcomes

working with other to undertake and complete the identification, implementation and maintenance of legal compliance requirements

consistent successful identification, implementation and maintenance of legal compliance requirements

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 to 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 in undertaking the identification, implementation and maintenance of legal compliance requirements

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

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

identification of the relevant information and scope of the work required to meet the required outcomes

identification of viable options and the selection of legal compliance requirements that best meet the required outcomes

consistent achievement of required outcomes

first hand testimonial evidence of the candidate's:

working with others to undertake and complete the identification, implementation and maintenance of legal compliance requirements

provision of clear and timely required support and advice on the legal compliance requirements

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, 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.

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 identify, implement and maintain legal compliance including:

apply legislative, organisation and site requirements and procedures for identification, implementation and maintenance of legal compliance requirements

maintain legal and organisational compliance procedures and policies

use effective consultative mechanisms to negotiate compliance processes and procedures appropriate to statutory/legal requirements

explain complex compliance information to relevant personnel

provide coaching and mentoring support to encourage compliance

read, interpret and apply compliance legislation

relate to people from a range of social, cultural and ethnic backgrounds

source information on compliance requirements

organise and review information on compliance requirements

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, implementation and maintenance legal compliance requirements including:

legal compliance rights

environmental compliance requirements

compliance insurance requirements

contractual rights and responsibilities

record-keeping systems required for compliance management

complaints handling systems

continuous improvement processes for compliance including:

monitoring

reporting

evaluation

review

relevant Australian and international standards including but not limited to:

AS 3806: Compliance Programs

AS 4269: Complaints Handling

A/NZS 4360: Risk Management

AS ISO 15489: Records Management

relevant organisation policies and procedures including:

policies in various compliance areas

organisational standards for operations and ethics

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:

organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to:

OHS

environmental issues

equal opportunity

industrial relations

anti-discrimination

relevant industry code of practice

Employment and workplace relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Legal compliance may include:

waterways

workers compensation/work cover

planning and assessment

local government

licensing requirements

duty of care

environmental

industrial relations

navigation

EHS Management System

policy

standards

procedures

databases

decision making

reviews

conventions

making permanent changes

maintenance of records of legal breaches

provision of information and training

regulations and code of practice relating to legal compliance

site representatives and committees

issue resolution

business registration

license to practice

industrial

fire

superannuation

partnership agreement

insurance

constitution documents

Acts

tender documents

financial documentation

development and implementation of compliance training measures

Documentation may include:

legislation

code of practice

organisation's policies/procedures

statutory and regulatory requirements

legal compliance

Legal compliance management systems may include:

work schedules - shift work and varying hours of duty

environments from simple to complex and diverse

appropriate policies, guidelines and processes

autonomy, from limited to substantial

quality and continuous improvement processes and standards

business plans

performance plans

ethical standards established by the organisation

productivity and profitability objectives and targets

best practice and benchmarking principles

legislation, codes and practices

resource parameters which may be defined or negotiated

training and development principles and practices

human resource policies and practices including:

interviewing

counselling

dispute resolution

discipline

financial accountability including:

profit and loss statements

enterprise/industrial agreements/awards

operations of a particular section or organisational unit

full range of operations of an organisation at a particular site

full range of operations of an organisation distributed across multiple sites

full range of operations of an organisation including mobile units such as the following:

vehicles

railway trains

maritime vessels

aircraft

Resources may include:

Acts

legislation/regulations

information

Common Law

the community

Legal compliance measures may include:

development of training programs

implementation of training programs

Consultation may include with:

regulatory authorities

tenderers

project managers

contractors

employees

community

customers

suppliers

Management may include:

leader/coach

facilitator

mentor

participant

director

trainer

assessor

Accurate legal records may include:

statutory/legal records

training needs

resource allocation

OHS

financial

personnel

taxation

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 
Explain relevant provisions of legislation and code of practice relevant to the workplace and how they impact on business arrangements 
Provide information on the organisation's policies, procedures, programs and business arrangements within the legal compliance context 
Evaluate, provide information and documentation to the work group regarding legal compliance 
Obtain approval of plans from relevant personnel 
Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities 
Search for, identify, review and report on legal compliance requirements regularly so issues may be raised and dealt with in a prompt and appropriate manner 
Identify and periodically review if adequate resources have been allocated to implement legal compliance and inform appropriate parties promptly 
Ensure all members of the workgroup have the opportunity to contribute to issues on legal compliance and ensure information is stored and reviewed within the organisation 
Collect and review information on legal compliance and report any existing or potential non-compliance issues so they can be addressed appropriately 
Evaluate and clarify compliance information to all relevant personnel 
Identify implications of non-compliance 
Group legal compliance requirements into critical, important and incidental classifications so that non-compliance issues can be prioritised and appropriate measures implemented to prevent or minimise reoccurrence of non-compliance 
Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance 
Monitor and report to relevant personnel legal compliance measures to ensure legal compliance is part of the organisation's general training program 
Implement appropriate legal compliance training programs in consultation with relevant personnel 
Identify and report inadequacies in existing legal compliance measures and resource allocation to management 
Implement workplace procedures to deal with non-compliance events in a timely manner while keeping accurate legal records 
Identify and investigate the cause of non-compliance events using the work areas records in accordance with investigation procedures 
Minimise recurrence of non-compliance by using systems for reporting maintenance of legal compliance 

Forms

Assessment Cover Sheet

RIIGOV501A - Identify, implement and maintain legal compliance requirements
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

RIIGOV501A - Identify, implement and maintain legal compliance requirements

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: