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Evidence Guide: SISXIND404A - Promote compliance with laws and legal principles

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

 

SISXIND404A - Promote compliance with laws and legal principles

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

Analyse laws and legal principles.

  1. Identify and access sources of laws and legal information that relate to the organisation.
  2. Analyse laws and legal information and identify implications for the organisation.
  3. Record information and communicate to appropriate personnel.
Identify and access sources of laws and legal information that relate to the organisation.

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Analyse laws and legal information and identify implications for the organisation.

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Record information and communicate to appropriate personnel.

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Analyse the implications of contracts.

  1. Identify the types of contracts used by the organisation and the rationale for their use.
  2. Identify and analyse contractual obligations and their implications for individuals and the organisation.
Identify the types of contracts used by the organisation and the rationale for their use.

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Identify and analyse contractual obligations and their implications for individuals and the organisation.

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Review current organisational systems to determine legal compliance.

  1. Identify and assess current organisation policies and procedures and implementation strategies to determine compliance with legal requirements.
  2. Identify aspects of organisation operations that may infringe or not meet legal obligations.
  3. Assess the need for and access legal advice on infringements and gaps where appropriate.
  4. Report and document outcomes of assessment and make recommendations for required actions to address infringements and gaps to relevant personnel.
  5. Circulate recommendations to affected staff for feedback and discussion.
Identify and assess current organisation policies and procedures and implementation strategies to determine compliance with legal requirements.

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Identify aspects of organisation operations that may infringe or not meet legal obligations.

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Assess the need for and access legal advice on infringements and gaps where appropriate.

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Report and document outcomes of assessment and make recommendations for required actions to address infringements and gaps to relevant personnel.

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Circulate recommendations to affected staff for feedback and discussion.

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Modify organisational systems to promote compliance.

  1. Develop or modify policies, procedures and implementation strategies as appropriate based on recommendations and feedback to promote compliance with legal obligations.
  2. Document new or modified policies, procedures and implementation strategies.
  3. Communicate new or modified policies, procedures and implementation strategies within organisation.
  4. Implement new or modified policies, procedures and implementation strategies and monitor their effectiveness in complying with legal requirements.
Develop or modify policies, procedures and implementation strategies as appropriate based on recommendations and feedback to promote compliance with legal obligations.

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Document new or modified policies, procedures and implementation strategies.

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Communicate new or modified policies, procedures and implementation strategies within organisation.

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Implement new or modified policies, procedures and implementation strategies and monitor their effectiveness in complying with legal requirements.

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Update legal knowledge.

  1. Update legal knowledge and share with colleagues.
  2. Use updated knowledge in planning for workplace systems and operational processes.
Update legal knowledge and share with colleagues.

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Use updated knowledge in planning for workplace systems and operational processes.

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Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the ability to:

identify and clarify the implications of laws, legal requirements and organisation contracts on operating systems and services and seeks legal advice where appropriate

review current organisation systems to determine areas of operation that do not comply with laws and legal requirements, and document and report findings to appropriate personnel in a timely manner

make recommendations to better promote compliance and support staff in implementing policies and procedures that promote compliance with laws and legal requirements

anticipate problems or constraints that may affect the organisation’s ability to comply with legal and contractual obligations and incorporate them into a contingency plan.

Context of and specific resources for assessment

Assessment must ensure:

implementation and monitoring of recommendations in consultation with staff, and participation in organisation compliance reviews that are of sufficient breadth to demonstrate competency and consistency of performance.

Assessment must also ensure access to:

sources of information about legal and contractual obligations

current organisational policies, procedures and operational work systems

sources of legal advice and associated documentation

resources, staff and documentation required for the review of organisational systems.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

observation of interacting with staff as part of the review process

oral and or written questioning to assess knowledge of relevant legislation and its impact on the specific sport, fitness and recreation organisation

portfolio showing evidence of review outcomes and actions

third-party reports from a supervisor detailing work performance.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended for example:

SISXIND211 Develop and update sport, fitness and recreation industry knowledge.

SISXRSK502 Manage organisational risks.

Required Skills and Knowledge

Required skills

communication skills to:

liaise with colleagues

convey information about legal obligations

seek feedback on organisation policies, procedures and implementation strategies to support organisation compliance and undertake a review of these systems

language and literacy skills to:

undertake research of relevant legislation and legal information

interpret and update information to promote compliance

document information to support compliance

problem-solving skills to:

review compliance of current organisation policies and procedures

identify problems and gaps

modify or develop initiatives to promote compliance with legal obligations

technology skills to access relevant legal information from electronic sources.

Required knowledge

organisation systems and their relationship to legislative obligations to enable understanding of the purpose and aims of these systems and their effective functioning

organisation policies and procedures related to legislative requirements and compliance to enable an assessment of gaps and potential modifications to be identified

legislation and industry codes of practice which govern operations to enable organisation compliance

evaluation techniques to enable the effective review of organisation policies and procedures

appropriate implementation strategies for organisation policies and procedures that meet compliance requirements.

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Sources may include:

reference books

media

industry and or employer associations

industry journals

internet

clients and suppliers

legal experts.

Laws and legal information may include:

company

taxation

contract

insurance and superannuation

environment

child protection

consumer protection and trade practices

licensing

industrial relations

equal employment opportunity

anti-discrimination

Work Health and Safety

privacy.

Implications may include:

delivery of services

safety

employment

privacy

constitutional structure

contracts

funding accountability.

Appropriate personnel may include:

managers

supervisors

board members

colleagues

local government.

Types of contracts may include:

funding

sponsorships

employment

service and or supply of goods and services

preferred providers

licences

trademarks

transfers

franchises.

Organisational policies and procedures may include:

legislative requirements

contract establishment and management

business compliance and management reporting

monitoring and reviewing procedures.

Implementation strategies may include:

staff training

organisation communication strategies

information sessions and updates.

Required actions may include:

modifying current policies and procedures

developing new policies and procedures

modifying current implementation strategies

developing new implementation strategies.