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Evidence Guide: RIIGOV601D - Establish, maintain and develop a statutory compliance management system

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

 

RIIGOV601D - Establish, maintain and develop a statutory compliance management system

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

Plan, establish and maintain compliance management framework

  1. Access, interpret and apply documentation and ensure the work activity is compliant
  2. Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management
  3. Establish and implement the framework for the statutory compliance management system
  4. Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures
  5. Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders
  6. Prepare plan for the development of compliance requirements
  7. Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel
Access, interpret and apply documentation and ensure the work activity is compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and implement the framework for the statutory compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare plan for the development of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and monitor consultation and audit procedures with relevant stakeholders

  1. Identify relevant stakeholders and develop and document system procedures for implementation of compliance
  2. Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance
  3. Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment
  4. Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting
  5. Complete and retain statutory compliance documentation for review and any necessary relevant action
  6. Identify and report inadequacies in resource allocation for the implementation of compliance requirements
Identify relevant stakeholders and develop and document system procedures for implementation of compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete and retain statutory compliance documentation for review and any necessary relevant action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report inadequacies in resource allocation for the implementation of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and monitor procedures for obtaining feedback on statutory compliance procedures

  1. Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology
  2. Disseminate to a sample of relevant stakeholders the draft compliance requirements
  3. Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures
  4. Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility
  5. Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements
Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate to a sample of relevant stakeholders the draft compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish, maintain and review a statutory compliance auditing system

  1. Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns
  2. Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards
  3. Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards
Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan, establish and maintain compliance management framework

  1. Access, interpret and apply documentation and ensure the work activity is compliant
  2. Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management
  3. Establish and implement the framework for the statutory compliance management system
  4. Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures
  5. Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders
  6. Prepare plan for the development of compliance requirements
  7. Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel
Access, interpret and apply documentation and ensure the work activity is compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and implement the framework for the statutory compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare plan for the development of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and monitor consultation and audit procedures with relevant stakeholders

  1. Identify relevant stakeholders and develop and document system procedures for implementation of compliance
  2. Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance
  3. Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment
  4. Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting
  5. Complete and retain statutory compliance documentation for review and any necessary relevant action
  6. Identify and report inadequacies in resource allocation for the implementation of compliance requirements
Identify relevant stakeholders and develop and document system procedures for implementation of compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete and retain statutory compliance documentation for review and any necessary relevant action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report inadequacies in resource allocation for the implementation of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and monitor procedures for obtaining feedback on statutory compliance procedures

  1. Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology
  2. Disseminate to a sample of relevant stakeholders the draft compliance requirements
  3. Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures
  4. Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility
  5. Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements
Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate to a sample of relevant stakeholders the draft compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish, maintain and review a statutory compliance auditing system

  1. Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns
  2. Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards
  3. Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards
Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

1. Plan, establish and maintain compliance management framework

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

1.2 Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

1.3 Establish and implement the framework for the statutory compliance management system

1.4 Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

1.5 Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

1.6 Prepare plan for the development of compliance requirements

1.7 Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

2. Establish and monitor consultation and audit procedures with relevant stakeholders

2.1 Identify relevant stakeholders and develop and document system procedures for implementation of compliance

2.2 Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

2.3 Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

2.4 Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

2.5 Complete and retain statutory compliance documentation for review and any necessary relevant action

2.6 Identify and report inadequacies in resource allocation for the implementation of compliance requirements

3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures

3.1 Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

3.2 Disseminate to a sample of relevant stakeholders the draft compliance requirements

3.3 Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

3.4 Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

3.5 Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

4. Establish, maintain and review a statutory compliance auditing system

4.1 Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

4.2 Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

4.3 Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

Required Skills and Knowledge

1. Plan, establish and maintain compliance management framework

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

1.2 Document in writing the collaborative development of policies and objectives with relevant personnel that express the organisation’s commitment to statutory compliance management

1.3 Establish and implement the framework for the statutory compliance management system

1.4 Determine the scope of proposed compliance requirements, in consultation with relevant personnel and resources, and integrate into all relevant job descriptions and procedures

1.5 Document the consultation process and explain information on the statutory compliance system and procedures, ensuring this information is readily accessible, to all relevant stakeholders

1.6 Prepare plan for the development of compliance requirements

1.7 Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

2. Establish and monitor consultation and audit procedures with relevant stakeholders

2.1 Identify relevant stakeholders and develop and document system procedures for implementation of compliance

2.2 Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance

2.3 Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

2.4 Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting

2.5 Complete and retain statutory compliance documentation for review and any necessary relevant action

2.6 Identify and report inadequacies in resource allocation for the implementation of compliance requirements

3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures

3.1 Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

3.2 Disseminate to a sample of relevant stakeholders the draft compliance requirements

3.3 Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

3.4 Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

3.5 Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements

4. Establish, maintain and review a statutory compliance auditing system

4.1 Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns

4.2 Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards

4.3 Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

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

implements of procedures and techniques for the safe, effective and efficient development of a statutory compliance management system including:

develop and maintain compliance procedures and policies

managing project finances

conducting research to:

conduct compliance literature and web searches

conduct surveys to obtain input and feedback on compliance requirements

analyse and organise collected information

works effectively with other to undertake and complete the establishment, maintenance and development of a statutory compliance management system including:

providing leadership and guidance for compliance group activities

providing coaching and mentoring support

providing feedback on compliance requirements using appropriate techniques

demonstrates completion of establishing, maintaining and developing a statutory compliance management system that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

identifying viable options and the selection of a statutory compliance management system that best meet the required outcomes

establishing and monitoring consultation and audit procedures

reading, interpreting and applying:

relevant compliance legislation

relevant technical compliance related information

relevant compliance records and reporting procedures

establishing, monitoring and maintaining procedures for obtaining feedback on statutory compliance procedures

auditing the compliance management system

reporting on audit and review outcomes compliance management system and providing recommendations for improvement

The candidate must demonstrate knowledge of establish, maintain and develop a statutory compliance management system through:

ensuring the rights and responsibilities of contracts, individuals business

environmental compliance

insurance requirements

identifying contractual rights and responsibilities

record-keeping and reporting

handling grievances and complaints equitably and consistently

maintaining continuous improvement processes for compliance

knowledge of relevant Australian and international standards

relevant organisation policies and procedures