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Evidence Guide: FNSPRM601 - Establish, supervise and monitor practice systems to conform with legislation and regulations

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

 

FNSPRM601 - Establish, supervise and monitor practice systems to conform with legislation and regulations

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

Identify legislation, regulations and codes of practice relevant to the practice

  1. Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business
  2. Identify relevant compliance procedures to be established
Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify relevant compliance procedures to be established

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice

  1. Identify key stakeholders and consult regarding issues and proposed procedures and guidelines
  2. Incorporate compliance issues and procedures into practice guidelines and document appropriately
  3. Identify and document sources of information and advice on legislative and regulatory requirements
  4. Establish and document procedures for ensuring currency of information within practice
  5. Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice
  6. Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers
Identify key stakeholders and consult regarding issues and proposed procedures and guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Incorporate compliance issues and procedures into practice guidelines and document appropriately

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document sources of information and advice on legislative and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and document procedures for ensuring currency of information within practice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish risk management procedures for compliance with legislation and regulations

  1. Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations
  2. Identify and document risks of non-compliance
  3. Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations
  4. Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives
Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document risks of non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements

  1. Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements
  2. Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements
  3. Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities
  4. Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements
  5. Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions
Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions

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 legislation, regulations and codes of practice relevant to the practice

1.1 Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business

1.2 Identify relevant compliance procedures to be established

2. Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice

2.1 Identify key stakeholders and consult regarding issues and proposed procedures and guidelines

2.2 Incorporate compliance issues and procedures into practice guidelines and document appropriately

2.3 Identify and document sources of information and advice on legislative and regulatory requirements

2.4 Establish and document procedures for ensuring currency of information within practice

2.5 Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice

2.6 Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers

3. Establish risk management procedures for compliance with legislation and regulations

3.1 Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations

3.2 Identify and document risks of non-compliance

3.3 Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations

3.4 Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives

4. Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements

4.1 Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements

4.2 Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements

4.3 Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities

4.4 Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements

4.5 Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions

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 legislation, regulations and codes of practice relevant to the practice

1.1 Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business

1.2 Identify relevant compliance procedures to be established

2. Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice

2.1 Identify key stakeholders and consult regarding issues and proposed procedures and guidelines

2.2 Incorporate compliance issues and procedures into practice guidelines and document appropriately

2.3 Identify and document sources of information and advice on legislative and regulatory requirements

2.4 Establish and document procedures for ensuring currency of information within practice

2.5 Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice

2.6 Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers

3. Establish risk management procedures for compliance with legislation and regulations

3.1 Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations

3.2 Identify and document risks of non-compliance

3.3 Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations

3.4 Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives

4. Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements

4.1 Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements

4.2 Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements

4.3 Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities

4.4 Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements

4.5 Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions