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
What evidence can you provide to prove your understanding of each of the following citeria?
Identify legislation, regulations and codes of practice relevant to the practice
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The scope and services of the practice are matched to legislation, regulations and codes of practice, and compliance issues and procedures are identified Completed |
Evidence:
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The scope of the practice is matched to compliance issues and relevant compliance procedures are identified Completed |
Evidence:
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Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice
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Key stakeholders are identified and consulted with regard to issues and proposed procedures and guidelines Completed |
Evidence:
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Compliance issues and procedures are incorporated into the practice guidelines and appropriately documented Completed |
Evidence:
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Sources of information and advice on legislative and regulatory requirements are identified and documented Completed |
Evidence:
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Procedures for ensuring currency of information within the practice on its legislative and regulatory requirements and codes of practice are established and documented Completed |
Evidence:
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Ethical procedures and standards for the interpretation of legislation, regulations and codes of practice are established and incorporated into the practice guidelines Completed |
Evidence:
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Procedures for monitoring compliance with legislation, regulations and codes of practice within the practice and for outsourced third party providers are established Completed |
Evidence:
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Establish risk management procedures for compliance with legislation and regulations
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A structured and systematic risk management process, which takes into account the practice obligations under the Corporations Act, is established and documented Completed |
Evidence:
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Risks of non-compliance are identified and documented Completed |
Evidence:
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Measures to avoid non-compliance and steps to be taken in the event of breaches of obligations are established, documented and communicated to staff Completed |
Evidence:
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Measures are consistent with ASIC regulations for licensees and authorised representatives Completed |
Evidence:
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Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements
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Appropriate levels of financial, technological and human resources are identified to meet the practice's legislative and regulatory requirements Completed |
Evidence:
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Training and assessment procedures are implemented to ensure employees have the skills needed to comply with legislative and regulatory requirements Completed |
Evidence:
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Clear decision making procedures on legislative and regulatory issues are established including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities Completed |
Evidence:
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Information technology systems and other technological resources are established and maintained to the level necessary to enable compliance with legislative and regulatory requirements Completed |
Evidence:
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Budgets, requisition procedures, and other internal financial systems clearly identify support for legislative and regulatory functions Completed |
Evidence:
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