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

RIIGOV501D Mapping and Delivery Guide
Identify, implement and maintain legal compliance requirements

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency RIIGOV501D - Identify, implement and maintain legal compliance requirements
Description
Employability Skills
Learning Outcomes and Application This unit describes a participant’s skills and knowledge required to identify, implement and maintain legal compliance in the Resources and Infrastructure Industries.This unit is appropriate for those working in a legal compliance management or supervisory roles.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: Provide information about the scope of compliance procedures
  • Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant
  • Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements
  • Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context
  • Evaluate work practices and amend to meet compliance requirements
  • Maintain the standards of compliance procedures
  • Clarify actions and the implication of noncompliance to others
       
Element: Implement and monitor management of 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
  • Periodically review resourcing of legal compliance and informing appropriate parties promptly
  • Ensure everyone has the opportunity to contribute to compliance issues
  • Ensure information is stored and reviewed appropriately
       
Element: Implement, monitor and prioritise compliance requirements
  • Collect and review information on legal compliance and report any existing or potential noncompliance issues
  • Evaluate and clarify compliance information to all relevant personnel
  • Identify implications of noncompliance
  • Group legal compliance requirements into critical, important and incidental classifications
  • Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance
       
Element: Implement, monitor and document procedures and training for compliance
  • Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance
  • Monitor and report compliance training measures to relevant personnel
  • Implement compliance training programs in consultation with relevant personnel
  • Identify and report in writing inadequacies in existing compliance measures and resource allocation to management
       


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. Provide information about the scope of compliance procedures

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

1.2 Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements

1.3 Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context

1.4 Evaluate work practices and amend to meet compliance requirements

1.5 Maintain the standards of compliance procedures

1.6 Clarify actions and the implication of noncompliance to others

2. Implement and monitor management of compliance

2.1 Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

2.2 Search for, identify, review and report on legal compliance requirements regularly

2.3 Periodically review resourcing of legal compliance and informing appropriate parties promptly

2.4 Ensure everyone has the opportunity to contribute to compliance issues

2.5 Ensure information is stored and reviewed appropriately

3. Implement, monitor and prioritise compliance requirements

3.1 Collect and review information on legal compliance and report any existing or potential noncompliance issues

3.2 Evaluate and clarify compliance information to all relevant personnel

3.3 Identify implications of noncompliance

3.4 Group legal compliance requirements into critical, important and incidental classifications

3.5 Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance

4. Implement, monitor and document procedures and training for compliance

4.1 Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance

4.2 Monitor and report compliance training measures to relevant personnel

4.3 Implement compliance training programs in consultation with relevant personnel

4.4 Identify and report in writing inadequacies in existing compliance measures and resource allocation to management

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

works collaboratively to undertake and complete the identification, implementation and maintenance of legal compliance requirements through:

explains complex compliance information to others

provides coaching and mentoring to others that encourage compliance

performance manages others when noncompliance is identified

demonstrates completion of identifying, implementing and maintaining legal compliance requirements that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

organising and review information on compliance requirements

applying legislative, business and site requirements and procedures for identification, implementation and maintenance of legal compliance requirements

maintaining legal and business compliance procedures and policies

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

The candidate must demonstrate knowledge of identify, implement and maintain legal compliance through:

rights and responsibilities of contracts, individuals business

environmental compliance

insurance requirements

contractual rights and responsibilities

record-keeping and reporting

grievances and complaints equitably and consistently

continuous improvement processes for compliance

relevant Australian and international standards

relevant organisation policies and procedures


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. Provide information about the scope of compliance procedures

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

1.2 Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements

1.3 Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context

1.4 Evaluate work practices and amend to meet compliance requirements

1.5 Maintain the standards of compliance procedures

1.6 Clarify actions and the implication of noncompliance to others

2. Implement and monitor management of compliance

2.1 Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

2.2 Search for, identify, review and report on legal compliance requirements regularly

2.3 Periodically review resourcing of legal compliance and informing appropriate parties promptly

2.4 Ensure everyone has the opportunity to contribute to compliance issues

2.5 Ensure information is stored and reviewed appropriately

3. Implement, monitor and prioritise compliance requirements

3.1 Collect and review information on legal compliance and report any existing or potential noncompliance issues

3.2 Evaluate and clarify compliance information to all relevant personnel

3.3 Identify implications of noncompliance

3.4 Group legal compliance requirements into critical, important and incidental classifications

3.5 Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance

4. Implement, monitor and document procedures and training for compliance

4.1 Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance

4.2 Monitor and report compliance training measures to relevant personnel

4.3 Implement compliance training programs in consultation with relevant personnel

4.4 Identify and report in writing inadequacies in existing compliance measures and resource allocation to management

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 
Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements 
Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context 
Evaluate work practices and amend to meet compliance requirements 
Maintain the standards of compliance procedures 
Clarify actions and the implication of noncompliance to others 
Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities 
Search for, identify, review and report on legal compliance requirements regularly 
Periodically review resourcing of legal compliance and informing appropriate parties promptly 
Ensure everyone has the opportunity to contribute to compliance issues 
Ensure information is stored and reviewed appropriately 
Collect and review information on legal compliance and report any existing or potential noncompliance issues 
Evaluate and clarify compliance information to all relevant personnel 
Identify implications of noncompliance 
Group legal compliance requirements into critical, important and incidental classifications 
Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance 
Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance 
Monitor and report compliance training measures to relevant personnel 
Implement compliance training programs in consultation with relevant personnel 
Identify and report in writing inadequacies in existing compliance measures and resource allocation to management 

Forms

Assessment Cover Sheet

RIIGOV501D - 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

RIIGOV501D - 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: