Apply, monitor and report on compliance systems

Formats and tools

Unit Description
Reconstruct the unit from the xml and display it as an HTML page.
Assessment Tool
an assessor resource that builds a framework for writing an assessment tool
Assessment Template
generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
Assessment Matrix
a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
Wiki Markup
mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
Evidence Guide
create an evidence guide for workplace assessment and RPL applicants
Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
Observation Checklist
create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)

Self Assessment Survey
A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
Moodle Outcomes
Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
Registered Training Organisations
Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver RIIGOV401B, 'Apply, monitor and report on compliance systems'.
Google Links
links to google searches, with filtering in place to maximise the usefulness of the returned results
Reference books for 'Apply, monitor and report on compliance systems' on This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to for every purchase, so go nuts :)

Elements and Performance Criteria



1. Identify, share and implement legislation, codes, standards and business requirements

1.1. Access, interpret and apply compliance documentation relevant to the work activity including workplace legal compliance

1.2. Provide information in a language, style and format which is understood by colleagues

1.3. Clarify implications of non-compliance to all in the workplace

2. Plan and implement legislation, codes, standards and business requirements

2.1. Plan systems of work with colleagues to ensure compliance with legislation, codes, standards and business requirements

2.2. Implement systems of work with work colleagues to ensure compliance with legislation, codes, standards and business requirements

2.3. Identify and support training needs of colleagues while managing the legal rights and responsibilities of the enterprise in which they work

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

3.1. Identify, revise and report actual and potential problems promptly to ensure legal and contractual compliance within the workplace

3.2. Manage activities to ensure maximum legal and contractual compliance resulting in the protection of business interests

3.3. Submit 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 members of the workplace

3.5. Maintain systems, records and reporting procedures

4. Investigate and report non-compliance

4.1. Investigate and deal with non-compliance according to legislative requirements and enterprise policies and procedures

4.2. Identify training needs and support the training of colleagues in the acquisition of competencies to meet legal requirements and the associated standards

4.3. Implement training programs and workplace practices to ensure that non-compliance is not repeated