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Evidence Guide: RIIGOV501E - 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

 

RIIGOV501E - 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. Obtain, interpret and confirm work requirements
  2. Access, interpret and apply documentation required to identify, implement and maintain legal compliance requirements
  3. Communicate provisions of legislation and code of practice as required according to workplace procedures
  4. Communicate written compliance information on the policies, procedures, programs and business arrangements for the organisation within the legal compliance context to relevant personnel
  5. Evaluate work practices and amend to meet compliance requirements according to workplace procedures
  6. Maintain the standards of compliance procedures according to workplace procedures
  7. Confirm actions and the implications of non-compliance to others according to workplace procedures
Obtain, interpret and confirm work requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access, interpret and apply documentation required to identify, implement and maintain legal compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate provisions of legislation and code of practice as required according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate written compliance information on the policies, procedures, programs and business arrangements for the organisation within the legal compliance context to relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate work practices and amend to meet compliance requirements according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain the standards of compliance procedures according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm actions and the implications of non-compliance to others according to workplace procedures

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. Identify, review and report on legal compliance requirements
  3. Periodically review resourcing of legal compliance and communicate to relevant personnel as required
  4. Confirm information is stored and reviewed appropriately according to workplace procedures
Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, review and report on legal compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Periodically review resourcing of legal compliance and communicate to relevant personnel as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm information is stored and reviewed appropriately according to workplace procedures

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 to relevant personnel according to workplace procedures
  2. Evaluate and confirm compliance information to all relevant personnel
  3. Identify implications of non-compliance according to workplace procedures
  4. Determine and implement appropriate measures to prevent or minimise reoccurrence of non-compliance
Collect and review information on legal compliance and report any existing or potential noncompliance issues to relevant personnel according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate and confirm compliance information to all relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify implications of non-compliance according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine and implement appropriate measures to prevent or minimise reoccurrence of non-compliance

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 confirm compliance according to workplace procedures
  2. Monitor and report compliance training measures to relevant personnel
  3. Implement compliance training programs in consultation with relevant personnel according to workplace procedures
  4. Identify and report in writing inadequacies as required in existing compliance measures and resource allocation to relevant personnel
Identify, implement, monitor and provide documentation on training needs and workplace procedures to confirm compliance according to workplace procedures

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 according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report in writing inadequacies as required in existing compliance measures and resource allocation to relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

identify, implement and maintain legal compliance requirements on at least two occasions, including:

organising and reviewing 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 and legal requirements.

During the above, the candidate must:

locate and apply relevant legislation, documentation, policies and procedures and confirm that the work activity is compliant

implement the requirements, procedures and techniques for identifying, implementing and maintaining legal compliance

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

communicate clearly and concisely with others to receive and clarify work instructions.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

key legislation required to identify, implement and maintain legal compliance requirements

key policies, procedures and documentation required to identify, implement and maintain legal compliance requirements, including:

environmental compliance

insurance requirements

contractual rights and responsibilities

record-keeping and reporting

improvement processes for compliance

relevant Australian and international standards

relevant organisation policies and procedures

rights and responsibilities of contracts, individuals and business

principles and techniques for grievances and complaints

principles and techniques for identifying relevant hazards and emergencies

techniques for coordinating and communicating job activities with others

design and management of training.