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Evidence Guide: RIIGOV501A - Identify, implement and maintain legal compliance requirements

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

 

RIIGOV501A - Identify, implement and maintain legal compliance requirements

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

Provide information about the scope of legal and organisational compliance procedures

  1. Access, interpret and apply compliance documentation relevant to the work activity
  2. Explain relevant provisions of legislation and code of practice relevant to the workplace and how they impact on business arrangements
  3. Provide information on the organisation's policies, procedures, programs and business arrangements within the legal compliance context
  4. Evaluate, provide information and documentation to the work group regarding legal compliance
  5. Obtain approval of plans from relevant personnel
Access, interpret and apply compliance documentation relevant to the work activity

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Explain relevant provisions of legislation and code of practice relevant to the workplace and how they impact on business arrangements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information on the organisation's policies, procedures, programs and business arrangements within the legal compliance context

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate, provide information and documentation to the work group regarding legal compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain approval of plans from relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement and monitor organisation's procedures for the management of legal compliance

  1. Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities
  2. Search for, identify, review and report on legal compliance requirements regularly so issues may be raised and dealt with in a prompt and appropriate manner
  3. Identify and periodically review if adequate resources have been allocated to implement legal compliance and inform appropriate parties promptly
  4. Ensure all members of the workgroup have the opportunity to contribute to issues on legal compliance and ensure information is stored and reviewed within the organisation
Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Search for, identify, review and report on legal compliance requirements regularly so issues may be raised and dealt with in a prompt and appropriate manner

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and periodically review if adequate resources have been allocated to implement legal compliance and inform appropriate parties promptly

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure all members of the workgroup have the opportunity to contribute to issues on legal compliance and ensure information is stored and reviewed within the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement, monitor and prioritise compliance requirements within organisational procedures

  1. Collect and review information on legal compliance and report any existing or potential non-compliance issues so they can be addressed appropriately
  2. Evaluate and clarify compliance information to all relevant personnel
  3. Identify implications of non-compliance
  4. Group legal compliance requirements into critical, important and incidental classifications so that non-compliance issues can be prioritised and appropriate measures implemented to prevent or minimise reoccurrence of non-compliance
Collect and review information on legal compliance and report any existing or potential non-compliance issues so they can be addressed appropriately

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate and clarify compliance information to all relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify implications of non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Group legal compliance requirements into critical, important and incidental classifications so that non-compliance issues can be prioritised and appropriate measures implemented to prevent or minimise reoccurrence of non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement, monitor and document procedures and training for compliance requirements

  1. Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance
  2. Monitor and report to relevant personnel legal compliance measures to ensure legal compliance is part of the organisation's general training program
  3. Implement appropriate legal compliance training programs in consultation with relevant personnel
  4. Identify and report inadequacies in existing legal compliance measures and resource allocation to management
Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor and report to relevant personnel legal compliance measures to ensure legal compliance is part of the organisation's general training program

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement appropriate legal compliance training programs in consultation with relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report inadequacies in existing legal compliance measures and resource allocation to management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement and monitor procedures for maintaining legal records and for dealing with non-compliance events

  1. Implement workplace procedures to deal with non-compliance events in a timely manner while keeping accurate legal records
  2. Identify and investigate the cause of non-compliance events using the work areas records in accordance with investigation procedures
  3. Minimise recurrence of non-compliance by using systems for reporting maintenance of legal compliance
Implement workplace procedures to deal with non-compliance events in a timely manner while keeping accurate legal records

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and investigate the cause of non-compliance events using the work areas records in accordance with investigation procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Minimise recurrence of non-compliance by using systems for reporting maintenance of legal compliance

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 identifying, implementing and maintaining legal compliance requirements

implementation of procedures and techniques for the safe, effective and efficient identification, implementation and maintenance of legal compliance requirements

the identification of the relevant information and scope of the work required to meet the required outcomes

the identification of viable options and the selection of legal compliance requirements that best meet the required outcomes

working with other to undertake and complete the identification, implementation and maintenance of legal compliance requirements

consistent successful identification, implementation and maintenance of legal compliance requirements

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 to 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 in undertaking the identification, implementation and maintenance of legal compliance requirements

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

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

identification of the relevant information and scope of the work required to meet the required outcomes

identification of viable options and the selection of legal compliance requirements that best meet the required outcomes

consistent achievement of required outcomes

first hand testimonial evidence of the candidate's:

working with others to undertake and complete the identification, implementation and maintenance of legal compliance requirements

provision of clear and timely required support and advice on the legal compliance requirements

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 identify, implement and maintain legal compliance including:

apply legislative, organisation and site requirements and procedures for identification, implementation and maintenance of legal compliance requirements

maintain legal and organisational compliance procedures and policies

use effective consultative mechanisms to negotiate compliance processes and procedures appropriate to statutory/legal requirements

explain complex compliance information to relevant personnel

provide coaching and mentoring support to encourage compliance

read, interpret and apply compliance legislation

relate to people from a range of social, cultural and ethnic backgrounds

source information on compliance requirements

organise and review information on compliance requirements

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, implementation and maintenance legal compliance requirements including:

legal compliance rights

environmental compliance requirements

compliance insurance requirements

contractual rights and responsibilities

record-keeping systems required for compliance management

complaints handling systems

continuous improvement processes for compliance including:

monitoring

reporting

evaluation

review

relevant Australian and international standards including but not limited to:

AS 3806: Compliance Programs

AS 4269: Complaints Handling

A/NZS 4360: Risk Management

AS ISO 15489: Records Management

relevant organisation policies and procedures including:

policies in various compliance areas

organisational standards for operations and ethics

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:

organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to:

OHS

environmental issues

equal opportunity

industrial relations

anti-discrimination

relevant industry code of practice

Employment and workplace relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Legal compliance may include:

waterways

workers compensation/work cover

planning and assessment

local government

licensing requirements

duty of care

environmental

industrial relations

navigation

EHS Management System

policy

standards

procedures

databases

decision making

reviews

conventions

making permanent changes

maintenance of records of legal breaches

provision of information and training

regulations and code of practice relating to legal compliance

site representatives and committees

issue resolution

business registration

license to practice

industrial

fire

superannuation

partnership agreement

insurance

constitution documents

Acts

tender documents

financial documentation

development and implementation of compliance training measures

Documentation may include:

legislation

code of practice

organisation's policies/procedures

statutory and regulatory requirements

legal compliance

Legal compliance management systems may include:

work schedules - shift work and varying hours of duty

environments from simple to complex and diverse

appropriate policies, guidelines and processes

autonomy, from limited to substantial

quality and continuous improvement processes and standards

business plans

performance plans

ethical standards established by the organisation

productivity and profitability objectives and targets

best practice and benchmarking principles

legislation, codes and practices

resource parameters which may be defined or negotiated

training and development principles and practices

human resource policies and practices including:

interviewing

counselling

dispute resolution

discipline

financial accountability including:

profit and loss statements

enterprise/industrial agreements/awards

operations of a particular section or organisational unit

full range of operations of an organisation at a particular site

full range of operations of an organisation distributed across multiple sites

full range of operations of an organisation including mobile units such as the following:

vehicles

railway trains

maritime vessels

aircraft

Resources may include:

Acts

legislation/regulations

information

Common Law

the community

Legal compliance measures may include:

development of training programs

implementation of training programs

Consultation may include with:

regulatory authorities

tenderers

project managers

contractors

employees

community

customers

suppliers

Management may include:

leader/coach

facilitator

mentor

participant

director

trainer

assessor

Accurate legal records may include:

statutory/legal records

training needs

resource allocation

OHS

financial

personnel

taxation