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Evidence Guide: FNSPIM509 - Comply with regulatory frameworks

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

FNSPIM509 - Comply with regulatory frameworks

What evidence can you provide to prove your understanding of each of the following citeria?

Identify and apply organisational requirements of regulatory obligations

  1. Access and interpret relevant legislation and regulations relevant to services provided in the sector
  2. Identify policies and underpinning principles relating to the relevant legislation and regulations and their impact on organisational requirements and work practices
  3. Follow procedural requirements in line with organisational policies
  4. Identify and comply with organisational reporting structure and levels of authority and responsibility within own team
  5. Implement internal monitoring or audit requirements according to organisational and role requirements
Access and interpret relevant legislation and regulations relevant to services provided in the sector

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify policies and underpinning principles relating to the relevant legislation and regulations and their impact on organisational requirements and work practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Follow procedural requirements in line with organisational policies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and comply with organisational reporting structure and levels of authority and responsibility within own team

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement internal monitoring or audit requirements according to organisational and role requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify changes to regulations and procedural implications

  1. Establish system to ensure currency of regulatory information is maintained
  2. Identify, access and communicate changed regulations and policies in a timely manner in accordance with organisational policies
  3. Review operational procedures to accurately reflect changes to regulations
  4. Identify implications for services and implement changes in accordance with client, regulatory and organisational requirements
Establish system to ensure currency of regulatory information is maintained

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, access and communicate changed regulations and policies in a timely manner in accordance with organisational policies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review operational procedures to accurately reflect changes to regulations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify implications for services and implement changes in accordance with client, regulatory and organisational requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain organisational records

  1. Establish client records and/or relevant documentation according to organisational requirements
  2. Update and maintain records ensuring all relevant information is complete and on file
  3. Ensure regulatory and organisational requirements relating to consent, privacy and confidentiality of personal information are complied with
Establish client records and/or relevant documentation according to organisational requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Update and maintain records ensuring all relevant information is complete and on file

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure regulatory and organisational requirements relating to consent, privacy and confidentiality of personal information are complied with

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Identify and apply organisational requirements of regulatory obligations

1.1 Access and interpret relevant legislation and regulations relevant to services provided in the sector

1.2 Identify policies and underpinning principles relating to the relevant legislation and regulations and their impact on organisational requirements and work practices

1.3 Follow procedural requirements in line with organisational policies

1.4 Identify and comply with organisational reporting structure and levels of authority and responsibility within own team

1.5 Implement internal monitoring or audit requirements according to organisational and role requirements

2. Identify changes to regulations and procedural implications

2.1 Establish system to ensure currency of regulatory information is maintained

2.2 Identify, access and communicate changed regulations and policies in a timely manner in accordance with organisational policies

2.3 Review operational procedures to accurately reflect changes to regulations

2.4 Identify implications for services and implement changes in accordance with client, regulatory and organisational requirements

3. Maintain organisational records

3.1 Establish client records and/or relevant documentation according to organisational requirements

3.2 Update and maintain records ensuring all relevant information is complete and on file

3.3 Ensure regulatory and organisational requirements relating to consent, privacy and confidentiality of personal information are complied with

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Identify and apply organisational requirements of regulatory obligations

1.1 Access and interpret relevant legislation and regulations relevant to services provided in the sector

1.2 Identify policies and underpinning principles relating to the relevant legislation and regulations and their impact on organisational requirements and work practices

1.3 Follow procedural requirements in line with organisational policies

1.4 Identify and comply with organisational reporting structure and levels of authority and responsibility within own team

1.5 Implement internal monitoring or audit requirements according to organisational and role requirements

2. Identify changes to regulations and procedural implications

2.1 Establish system to ensure currency of regulatory information is maintained

2.2 Identify, access and communicate changed regulations and policies in a timely manner in accordance with organisational policies

2.3 Review operational procedures to accurately reflect changes to regulations

2.4 Identify implications for services and implement changes in accordance with client, regulatory and organisational requirements

3. Maintain organisational records

3.1 Establish client records and/or relevant documentation according to organisational requirements

3.2 Update and maintain records ensuring all relevant information is complete and on file

3.3 Ensure regulatory and organisational requirements relating to consent, privacy and confidentiality of personal information are complied with

Evidence of the ability to:

access, accurately interpret and comply with relevant legislation, regulatory requirements and organisational policies and procedures

explain changes and implications of regulatory requirements to participants or clients and colleagues

establish and maintain accurate and thorough records in a timely manner.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

To complete the unit requirements safely and effectively, the individual must:

outline key principles underpinning legislation or regulations for the sector

explain compliance requirements or obligations relating to:

privacy, confidentiality and participant or client consent

duty of care principles

general obligations of the work role

describe the key features of:

services provided by the organisation

relevant regulation pertaining to the sector

identify and categorise the records the organisation needs to maintain

explain the internal monitoring or audit program process.