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Evidence Guide: RIIGOV401E - Apply, monitor and report on compliance systems

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

 

RIIGOV401E - Apply, monitor and report on compliance systems

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

Identify, communicate and implement regulation and workplace requirements

  1. Obtain, interpret and confirm work requirements
  2. Access, interpret and apply documentation required to monitor and report on compliance systems
  3. Communicate verbal and written regulatory and workplace requirements according to workplace procedures
Obtain, interpret and confirm work requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access, interpret and apply documentation required to monitor and report on compliance systems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate verbal and written regulatory and workplace requirements according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and implement systems to meet regulation and workplace requirements

  1. Plan systems of work with others and confirm compliance according to workplace procedures
  2. Confirm compliance during the implementation of planned systems of work
  3. Maintain and promote the standards of systems of work and adjust performance to comply
  4. Identify and support training needs of others in carrying out systems of work
  5. Maintain the legal obligations of the business when carrying out systems of work
Plan systems of work with others and confirm compliance according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm compliance during the implementation of planned systems of work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain and promote the standards of systems of work and adjust performance to comply

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and support training needs of others in carrying out systems of work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain the legal obligations of the business when carrying out systems of work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor, revise and report performance to confirm legal and contractual compliance

  1. Identify and report performance problems to relevant personnel
  2. Confirm the work activities meet legal and contractual compliance requirements
  3. Submit written recommendations on potential improvements according to job requirements
  4. Secure contractual procurement rights for goods and services and support a business plan that is shared with all
  5. Maintain systems, written and verbal records and reporting procedures according to job requirements
Identify and report performance problems to relevant personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm the work activities meet legal and contractual compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Submit written recommendations on potential improvements according to job requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Secure contractual procurement rights for goods and services and support a business plan that is shared with all

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain systems, written and verbal records and reporting procedures according to job requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Investigate, report and action non-compliance

  1. Investigate non-compliance to regulation and workplace procedures
  2. Communicate with others to identify and solve instances of non-compliance
  3. Implement training to relevant personnel and adjust work practices as required
  4. Maintain individual written records when non-compliance has occurred
Investigate non-compliance to regulation and workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with others to identify and solve instances of non-compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement training to relevant personnel and adjust work practices as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain individual written records when non-compliance has occurred

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:

apply, monitor and report on compliance systems on at least two occasions, including:

identifying monitoring and reporting requirements of relevant compliance system

routinely reviewing work practices to identify and define problems related to systems of work

adjusting systems of work to minimise risk, increase productivity and meets contractual obligations

prioritising work practices to meet contractual and compliance obligations

providing coaching, information and support to others to maintain the compliance obligations

identifying training programs for others to improve or develop practice for systems of work

providing verbal feedback to others in carrying out their work practice

establishing performance management programs for others who are struggling to meet compliance

maintaining written records and reports for system of work activity, contract obligations, personnel and non-compliance

During the above, the candidate must:

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

implement the requirements, procedures and techniques for applying, monitoring and reporting on compliance systems

organise work tasks and apply diagnostic, problem solving and decision making techniques

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 policies, procedures and documentation required to apply, monitor and report on compliance systems, including:

relevant taxation and related legislative requirements and legal rights and responsibilities related to the business

bookkeeping and record keeping procedures to meet minimum financial and legal requirements

industrial law relevant to performance management, recruitment and dismissal of employees

creation and termination of relevant legal contracts

duty of care imposed by the Law of Torts

work procedure and instruction writing in compliance with legal requirements and company policy

training needs and coaching practices to support staff adherence to compliance systems

principles and techniques for identifying relevant hazards and emergencies

techniques for coordinating and communicating job activities with others.