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

RIIGOV601D Mapping and Delivery Guide
Establish, maintain and develop a statutory compliance management system

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency RIIGOV601D - Establish, maintain and develop a statutory compliance management system
Description
Employability Skills
Learning Outcomes and Application This unit describes a participant’s skills and knowledge required to Establish, maintain and develop a statutory compliance management systems in the Resources and Infrastructure Industries.This unit is appropriate for those working in a management or supervisory statutory compliance management 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: Plan, establish and maintain compliance management framework
  • Access, interpret and apply documentation and ensure the work activity is compliant
  • Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management
  • Establish and implement the framework for the statutory compliance management system
  • Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures
  • Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders
  • Prepare plan for the development of compliance requirements
  • Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel
       
Element: Establish and monitor consultation and audit procedures with relevant stakeholders
  • Identify relevant stakeholders and develop and document system procedures for implementation of compliance
  • Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance
  • Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment
  • Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting
  • Complete and retain statutory compliance documentation for review and any necessary relevant action
  • Identify and report inadequacies in resource allocation for the implementation of compliance requirements
       
Element: Establish and monitor procedures for obtaining feedback on statutory compliance procedures
  • Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology
  • Disseminate to a sample of relevant stakeholders the draft compliance requirements
  • Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures
  • Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility
  • Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements
       
Element: Establish, maintain and review a statutory compliance auditing system
  • Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns
  • Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards
  • Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards
       
Element: Plan, establish and maintain compliance management framework
  • Access, interpret and apply documentation and ensure the work activity is compliant
  • Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management
  • Establish and implement the framework for the statutory compliance management system
  • Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures
  • Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders
  • Prepare plan for the development of compliance requirements
  • Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel
       
Element: Establish and monitor consultation and audit procedures with relevant stakeholders
  • Identify relevant stakeholders and develop and document system procedures for implementation of compliance
  • Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance
  • Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment
  • Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting
  • Complete and retain statutory compliance documentation for review and any necessary relevant action
  • Identify and report inadequacies in resource allocation for the implementation of compliance requirements
       
Element: Establish and monitor procedures for obtaining feedback on statutory compliance procedures
  • Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology
  • Disseminate to a sample of relevant stakeholders the draft compliance requirements
  • Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures
  • Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility
  • Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements
       
Element: Establish, maintain and review a statutory compliance auditing system
  • Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns
  • Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards
  • Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards
       


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. Plan, establish and maintain compliance management framework

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

1.2 Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

1.3 Establish and implement the framework for the statutory compliance management system

1.4 Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

1.5 Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

1.6 Prepare plan for the development of compliance requirements

1.7 Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

2. Establish and monitor consultation and audit procedures with relevant stakeholders

2.1 Identify relevant stakeholders and develop and document system procedures for implementation of compliance

2.2 Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

2.3 Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

2.4 Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

2.5 Complete and retain statutory compliance documentation for review and any necessary relevant action

2.6 Identify and report inadequacies in resource allocation for the implementation of compliance requirements

3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures

3.1 Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

3.2 Disseminate to a sample of relevant stakeholders the draft compliance requirements

3.3 Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

3.4 Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

3.5 Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

4. Establish, maintain and review a statutory compliance auditing system

4.1 Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

4.2 Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

4.3 Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

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

implements of procedures and techniques for the safe, effective and efficient development of a statutory compliance management system including:

develop and maintain compliance procedures and policies

managing project finances

conducting research to:

conduct compliance literature and web searches

conduct surveys to obtain input and feedback on compliance requirements

analyse and organise collected information

works effectively with other to undertake and complete the establishment, maintenance and development of a statutory compliance management system including:

providing leadership and guidance for compliance group activities

providing coaching and mentoring support

providing feedback on compliance requirements using appropriate techniques

demonstrates completion of establishing, maintaining and developing a statutory compliance management system that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

identifying viable options and the selection of a statutory compliance management system that best meet the required outcomes

establishing and monitoring consultation and audit procedures

reading, interpreting and applying:

relevant compliance legislation

relevant technical compliance related information

relevant compliance records and reporting procedures

establishing, monitoring and maintaining procedures for obtaining feedback on statutory compliance procedures

auditing the compliance management system

reporting on audit and review outcomes compliance management system and providing recommendations for improvement

The candidate must demonstrate knowledge of establish, maintain and develop a statutory compliance management system through:

ensuring the rights and responsibilities of contracts, individuals business

environmental compliance

insurance requirements

identifying contractual rights and responsibilities

record-keeping and reporting

handling grievances and complaints equitably and consistently

maintaining continuous improvement processes for compliance

knowledge of 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. Plan, establish and maintain compliance management framework

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

1.2 Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

1.3 Establish and implement the framework for the statutory compliance management system

1.4 Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

1.5 Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

1.6 Prepare plan for the development of compliance requirements

1.7 Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

2. Establish and monitor consultation and audit procedures with relevant stakeholders

2.1 Identify relevant stakeholders and develop and document system procedures for implementation of compliance

2.2 Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

2.3 Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

2.4 Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

2.5 Complete and retain statutory compliance documentation for review and any necessary relevant action

2.6 Identify and report inadequacies in resource allocation for the implementation of compliance requirements

3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures

3.1 Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

3.2 Disseminate to a sample of relevant stakeholders the draft compliance requirements

3.3 Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

3.4 Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

3.5 Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

4. Establish, maintain and review a statutory compliance auditing system

4.1 Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

4.2 Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

4.3 Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

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 documentation and ensure the work activity is compliant 
Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management 
Establish and implement the framework for the statutory compliance management system 
Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures 
Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders 
Prepare plan for the development of compliance requirements 
Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel 
Identify relevant stakeholders and develop and document system procedures for implementation of compliance 
Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance 
Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment 
Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting 
Complete and retain statutory compliance documentation for review and any necessary relevant action 
Identify and report inadequacies in resource allocation for the implementation of compliance requirements 
Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology 
Disseminate to a sample of relevant stakeholders the draft compliance requirements 
Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures 
Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility 
Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements 
Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns 
Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards 
Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards 
Access, interpret and apply documentation and ensure the work activity is compliant 
Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management 
Establish and implement the framework for the statutory compliance management system 
Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures 
Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders 
Prepare plan for the development of compliance requirements 
Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel 
Identify relevant stakeholders and develop and document system procedures for implementation of compliance 
Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance 
Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment 
Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting 
Complete and retain statutory compliance documentation for review and any necessary relevant action 
Identify and report inadequacies in resource allocation for the implementation of compliance requirements 
Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology 
Disseminate to a sample of relevant stakeholders the draft compliance requirements 
Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures 
Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility 
Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements 
Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns 
Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards 
Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards 

Forms

Assessment Cover Sheet

RIIGOV601D - Establish, maintain and develop a statutory compliance management system
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Assessment Record Sheet

RIIGOV601D - Establish, maintain and develop a statutory compliance management system

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

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

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