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Evidence Guide: RIIGOV401D - 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

 

RIIGOV401D - 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 regulation and business requirements

  1. Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant
  2. Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others
  3. Clarify implications of noncompliance to the business and regulation requirements to others
Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify implications of noncompliance to the business and regulation requirements to others

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and implement systems to meet regulation and business requirements

  1. Work with others to plan systems of work that ensures compliance
  2. Implement planned systems of work and ensure compliance
  3. Maintain and promote the standards of systems of work and adjust performance to comply
  4. Identify and support training needs of others in carrying out systems of work
  5. Maintain the legal obligations of the business when carrying out systems of work
Work with others to plan systems of work that ensures compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement planned systems of work and ensure compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain and promote the standards of systems of work and adjust performance to comply

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and support training needs of others in carrying out systems of work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain the legal obligations of the business when carrying out systems of 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 to supervisors
  2. Manage work activities and ensure legal and contractual compliance
  3. Submit written 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
  5. Maintain systems, written and verbal records and reporting procedures
Identify, revise and report actual and potential problems to supervisors

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Manage work activities and ensure legal and contractual compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Submit written 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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain systems, written and verbal records and reporting procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Investigate, report and action non-compliance

  1. Investigate noncompliance to regulation and business requirements
  2. Collaborate with others to identify options and solve problems that remedy noncompliance
  3. Select and implement options that resolve noncompliance
  4. Implement training and adjust work practice to support others to effectively carry out systems of work
  5. Review and monitor behaviour and work practice once training has concluded
  6. Maintain individual written records where noncompliance has been substantiated
Investigate noncompliance to regulation and business requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collaborate with others to identify options and solve problems that remedy noncompliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select and implement options that resolve noncompliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement training and adjust work practice to support others to effectively carry out systems of work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and monitor behaviour and work practice once training has concluded

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain individual written records where noncompliance has been substantiated

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

1 Identify, share and implement regulation and business requirements

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

1.2 Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others

1.3 Clarify implications of noncompliance to the business and regulation requirements to others

2 Plan and implement systems to meet regulation and business requirements

2.1 Work with others to plan systems of work that ensures compliance

2.2 Implement planned systems of work and ensure compliance

2.3 Maintain and promote the standards of systems of work and adjust performance to comply

2.4 Identify and support training needs of others in carrying out systems of work

2.5 Maintain the legal obligations of the business when carrying out systems of work

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

3.1 Identify, revise and report actual and potential problems to supervisors

3.2 Manage work activities and ensure legal and contractual compliance

3.3 Submit written recommendations on improvements to comply with legal and contractual requirements

3.4 Secure contractual procurement rights for goods and services and support a business plan that is shared with all

3.5 Maintain systems, written and verbal records and reporting procedures

4 Investigate, report and action non-compliance

4.1 Investigate noncompliance to regulation and business requirements

4.2 Collaborate with others to identify options and solve problems that remedy noncompliance

4.3 Select and implement options that resolve noncompliance

4.4 Implement training and adjust work practice to support others to effectively carry out systems of work

4.5 Review and monitor behaviour and work practice once training has concluded

4.6 Maintain individual written records where noncompliance has been substantiated

Required Skills and Knowledge

1 Identify, share and implement regulation and business requirements

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

1.2 Provide verbal and written regulatory and business requirement information using language, style and format which is easily understood by others

1.3 Clarify implications of noncompliance to the business and regulation requirements to others

2 Plan and implement systems to meet regulation and business requirements

2.1 Work with others to plan systems of work that ensures compliance

2.2 Implement planned systems of work and ensure compliance

2.3 Maintain and promote the standards of systems of work and adjust performance to comply

2.4 Identify and support training needs of others in carrying out systems of work

2.5 Maintain the legal obligations of the business when carrying out systems of work

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

3.1 Identify, revise and report actual and potential problems to supervisors

3.2 Manage work activities and ensure legal and contractual compliance

3.3 Submit written recommendations on improvements to comply with legal and contractual requirements

3.4 Secure contractual procurement rights for goods and services and support a business plan that is shared with all

3.5 Maintain systems, written and verbal records and reporting procedures

4 Investigate, report and action non-compliance

4.1 Investigate noncompliance to regulation and business requirements

4.2 Collaborate with others to identify options and solve problems that remedy noncompliance

4.3 Select and implement options that resolve noncompliance

4.4 Implement training and adjust work practice to support others to effectively carry out systems of work

4.5 Review and monitor behaviour and work practice once training has concluded

4.6 Maintain individual written records where noncompliance has been substantiated

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

demonstrates completion of applying, monitoring and reporting on compliance systems that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

routinely reviewing work practice to identify and define problems to systems of work

adjusting systems of work to minimise risk, increase productivity and meets contractual obligations

prioritising others and work practice to meet contractual and compliance obligations

providing coaching, information and support to others to maintain the standards compliance

establishing training programs for others to improve or develop practice for systems of work

providing verbal feedback to others in carrying out their work practice

establishing performance management programs for others who are struggling to meet compliance

maintaining written records and reports for system of work activity, contract obligations, personnel and noncompliance

The candidate must demonstrate knowledge of apply, monitor and report on compliance systems through:

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

industrial law relevant to performance management, 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