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Evidence Guide: RIIGOV401B - Apply, monitor and report on compliance systems

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

 

RIIGOV401B - Apply, monitor and report on compliance systems

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

Identify, share and implement legislation, codes, standards and business requirements

  1. Access, interpret and apply compliance documentation relevant to the work activity including workplace legal compliance
  2. Provide information in a language, style and format which is understood by colleagues
  3. Clarify implications of non-compliance to all in the workplace
Access, interpret and apply compliance documentation relevant to the work activity including workplace legal compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information in a language, style and format which is understood by colleagues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify implications of non-compliance to all in the workplace

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and implement legislation, codes, standards and business requirements

  1. Plan systems of work with colleagues to ensure compliance with legislation, codes, standards and business requirements
  2. Implement systems of work with work colleagues to ensure compliance with legislation, codes, standards and business requirements
  3. Identify and support training needs of colleagues while managing the legal rights and responsibilities of the enterprise in which they work
Plan systems of work with colleagues to ensure compliance with legislation, codes, standards and business requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement systems of work with work colleagues to ensure compliance with legislation, codes, standards and business requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and support training needs of colleagues while managing the legal rights and responsibilities of the enterprise in which they work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor, revise and report performance to ensure legal and contractual compliance

  1. Identify, revise and report actual and potential problems promptly to ensure legal and contractual compliance within the workplace
  2. Manage activities to ensure maximum legal and contractual compliance resulting in the protection of business interests
  3. Submit recommendations on improvements to comply with legal and contractual requirements
  4. Secure contractual procurement rights for goods and services and support a business plan that is shared with all members of the workplace
  5. Maintain systems, records and reporting procedures
Identify, revise and report actual and potential problems promptly to ensure legal and contractual compliance within the workplace

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Manage activities to ensure maximum legal and contractual compliance resulting in the protection of business interests

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Submit recommendations on improvements to comply with legal and contractual requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Secure contractual procurement rights for goods and services and support a business plan that is shared with all members of the workplace

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain systems, records and reporting procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Investigate and report non-compliance

  1. Investigate and deal with non-compliance according to legislative requirements and enterprise policies and procedures
  2. Identify training needs and support the training of colleagues in the acquisition of competencies to meet legal requirements and the associated standards
  3. Implement training programs and workplace practices to ensure that non-compliance is not repeated
Investigate and deal with non-compliance according to legislative requirements and enterprise policies and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify training needs and support the training of colleagues in the acquisition of competencies to meet legal requirements and the associated standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement training programs and workplace practices to ensure that non-compliance is not repeated

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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 applying, monitoring and reporting on compliance systems

implementation of requirements, procedures and techniques for the safe, effective and efficient completion of compliance system requirements

working with others to plan, prepare and conduct compliance system requirements

evidence of the consistent successful application, monitoring and reporting on compliance systems

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 must 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

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

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

consistent achievement of required outcomes

first hand testimonial evidence of the candidate's:

working with others to undertake and complete the application, monitoring and reporting on compliance systems

provision of clear and timely instruction and supervision in the application, monitoring and reporting on compliance systems

Guidance information for assessment

Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.

Required Skills and Knowledge

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 apply, monitor and report on compliance systems:

apply legislative, organisation and site requirements to compliance systems

display effective communication skills to report, consult and negotiate processes that satisfy legal requirements

display time management skills to prioritise tasks and meet targets

provide coaching and mentoring support

identify and clearly communicate key compliance issues

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 as required to apply, monitor and report on compliance systems:

national, state/territory and local government legislative requirements affecting business operation, especially in regard to:

anti-discrimination

relevant OHS requirements

environmental issues

EEO

industrial relations

business registration and licensing requirements

legal rights and obligations of alternative ownership structures

relevant taxation and related legislative requirements and legal rights and responsibilities related to the business

bookkeeping and record keeping procedures to meet minimum financial and legal requirements

award and enterprise agreements, where required

industrial law relevant to recruitment and dismissal of employees

creation and termination of relevant legal contracts

duty of care imposed by the Law of Torts

work procedure/instruction writing in compliance with legal requirements and company policy

Range Statement

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:

legislative, organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

legislation, codes, standards and business requirements relevant to the creation and maintenance of workplace legal compliance

Employment and Workplace Relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Workplace legal compliance may include:

requirements for the maintenance and confidentiality of records of non-compliance

requirements for the maintenance of records of breaches

provision of information and training

regulations and code of practice relating to hazards present in work area

site/work/groups representatives and committees

issue resolution

Legislation, codes, standards and business requirements may include:

OHS

business registration

taxation

legal

insurance

environmental

business structure

Legal rights and responsibilities of the enterprise may include:

marketing the business in accordance with consumer legislation

operating the business with a duty of care (Law of Torts)

obligations imposed by choice of business structure