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Evidence Guide: RIIGOV501D - 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

 

RIIGOV501D - 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 compliance procedures

  1. Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant
  2. Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements
  3. Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context
  4. Evaluate work practices and amend to meet compliance requirements
  5. Maintain the standards of compliance procedures
  6. Clarify actions and the implication of noncompliance to others
Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Evaluate work practices and amend to meet compliance requirements

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Maintain the standards of compliance procedures

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Clarify actions and the implication of noncompliance to others

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement and monitor management of 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
  3. Periodically review resourcing of legal compliance and informing appropriate parties promptly
  4. Ensure everyone has the opportunity to contribute to compliance issues
  5. Ensure information is stored and reviewed appropriately
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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Periodically review resourcing of legal compliance and informing appropriate parties promptly

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure everyone has the opportunity to contribute to compliance issues

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure information is stored and reviewed appropriately

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement, monitor and prioritise compliance requirements

  1. Collect and review information on legal compliance and report any existing or potential noncompliance issues
  2. Evaluate and clarify compliance information to all relevant personnel
  3. Identify implications of noncompliance
  4. Group legal compliance requirements into critical, important and incidental classifications
  5. Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance
Collect and review information on legal compliance and report any existing or potential noncompliance issues

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Evaluate and clarify compliance information to all relevant personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify implications of noncompliance

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Group legal compliance requirements into critical, important and incidental classifications

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement, monitor and document procedures and training for compliance

  1. Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance
  2. Monitor and report compliance training measures to relevant personnel
  3. Implement compliance training programs in consultation with relevant personnel
  4. Identify and report in writing inadequacies in existing 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 compliance training measures to relevant personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement compliance training programs in consultation with relevant personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

1. Provide information about the scope of compliance procedures

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

1.2 Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements

1.3 Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context

1.4 Evaluate work practices and amend to meet compliance requirements

1.5 Maintain the standards of compliance procedures

1.6 Clarify actions and the implication of noncompliance to others

2. Implement and monitor management of compliance

2.1 Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

2.2 Search for, identify, review and report on legal compliance requirements regularly

2.3 Periodically review resourcing of legal compliance and informing appropriate parties promptly

2.4 Ensure everyone has the opportunity to contribute to compliance issues

2.5 Ensure information is stored and reviewed appropriately

3. Implement, monitor and prioritise compliance requirements

3.1 Collect and review information on legal compliance and report any existing or potential noncompliance issues

3.2 Evaluate and clarify compliance information to all relevant personnel

3.3 Identify implications of noncompliance

3.4 Group legal compliance requirements into critical, important and incidental classifications

3.5 Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance

4. Implement, monitor and document procedures and training for compliance

4.1 Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance

4.2 Monitor and report compliance training measures to relevant personnel

4.3 Implement compliance training programs in consultation with relevant personnel

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

Required Skills and Knowledge

1. Provide information about the scope of compliance procedures

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

1.2 Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements

1.3 Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context

1.4 Evaluate work practices and amend to meet compliance requirements

1.5 Maintain the standards of compliance procedures

1.6 Clarify actions and the implication of noncompliance to others

2. Implement and monitor management of compliance

2.1 Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

2.2 Search for, identify, review and report on legal compliance requirements regularly

2.3 Periodically review resourcing of legal compliance and informing appropriate parties promptly

2.4 Ensure everyone has the opportunity to contribute to compliance issues

2.5 Ensure information is stored and reviewed appropriately

3. Implement, monitor and prioritise compliance requirements

3.1 Collect and review information on legal compliance and report any existing or potential noncompliance issues

3.2 Evaluate and clarify compliance information to all relevant personnel

3.3 Identify implications of noncompliance

3.4 Group legal compliance requirements into critical, important and incidental classifications

3.5 Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance

4. Implement, monitor and document procedures and training for compliance

4.1 Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance

4.2 Monitor and report compliance training measures to relevant personnel

4.3 Implement compliance training programs in consultation with relevant personnel

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

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

works collaboratively to undertake and complete the identification, implementation and maintenance of legal compliance requirements through:

explains complex compliance information to others

provides coaching and mentoring to others that encourage compliance

performance manages others when noncompliance is identified

demonstrates completion of identifying, implementing and maintaining legal compliance requirements that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

organising and review information on compliance requirements

applying legislative, business and site requirements and procedures for identification, implementation and maintenance of legal compliance requirements

maintaining legal and business compliance procedures and policies

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

The candidate must demonstrate knowledge of identify, implement and maintain legal compliance through:

rights and responsibilities of contracts, individuals business

environmental compliance

insurance requirements

contractual rights and responsibilities

record-keeping and reporting

grievances and complaints equitably and consistently

continuous improvement processes for compliance

relevant Australian and international standards

relevant organisation policies and procedures