Unit of competency details
RIIGOV501D - Identify, implement and maintain legal compliance requirements (Release 1)
Summary
Companion volumes:
Unit of competency
Assessment requirements
Replaced release
You are currently viewing the components related to release 1.
The current release is release 3.
View release 3 details.
Training packages that include this unit
Qualifications that include this unit
Classifications
Classification history
| ASCED Module/Unit of Competency Field of Education Identifier | 091103 | Legal Studies | 02/May/2014 | |
The content being displayed has been produced by a third party, while all attempts have been made to make this content as accessible as possible it cannot be guaranteed. If you are encountering issues following the content on this page please consider downloading the content in its original form
Unit of competency
Modification History
Not applicable.
Application
This unit describes a participant’s skills and knowledge required to identify, implement and maintain legal compliance in the Resources and Infrastructure Industries.
This unit is appropriate for those working in a legal compliance management or supervisory roles.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Elements and Performance Criteria
|
1. Provide information about the scope of compliance procedures
|
1.1 Access, interpret and apply regulatory and business documentation, and ensure the work activity is compliant
1.2 Verbally explain relevant provisions of legislation and code of practice and how they impact on business arrangements
1.3 Provide written compliance information to others on the organisation’s policies, procedures, programs and business arrangements within the legal compliance context
1.4 Evaluate work practices and amend to meet compliance requirements
1.5 Maintain the standards of compliance procedures
1.6 Clarify actions and the implication of noncompliance to others
|
|
2. Implement and monitor management of compliance
|
2.1 Implement and monitor legal compliance management systems and procedures to maximise compliance opportunities
2.2 Search for, identify, review and report on legal compliance requirements regularly
2.3 Periodically review resourcing of legal compliance and informing appropriate parties promptly
2.4 Ensure everyone has the opportunity to contribute to compliance issues
2.5 Ensure information is stored and reviewed appropriately
|
|
3. Implement, monitor and prioritise compliance requirements
|
3.1 Collect and review information on legal compliance and report any existing or potential noncompliance issues
3.2 Evaluate and clarify compliance information to all relevant personnel
3.3 Identify implications of noncompliance
3.4 Group legal compliance requirements into critical, important and incidental classifications
3.5 Prioritise appropriate measures and implement to prevent or minimise reoccurrence of noncompliance
|
|
4. Implement, monitor and document procedures and training for compliance
|
4.1 Identify, implement, monitor and provide documentation on training needs and workplace procedures to ensure compliance
4.2 Monitor and report compliance training measures to relevant personnel
4.3 Implement compliance training programs in consultation with relevant personnel
4.4 Identify and report in writing inadequacies in existing compliance measures and resource allocation to management
|
Foundation Skills
Foundation skills essential to performance are explicit in the performance criteria of this unit. Further information is available in the Resources and Infrastructure Industry Training Package Companion Volume.
Unit Mapping Information
No equivalent unit
Links
Companion Volume implementation guides are found in VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=88a61002-9a21-4386-aaf8-69c76e675272
Assessment requirements
Modification History
Not applicable.
Performance Evidence
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
- works collaboratively to undertake and complete the identification, implementation and maintenance of legal compliance requirements through:
- explains complex compliance information to others
- provides coaching and mentoring to others that encourage compliance
- performance manages others when noncompliance is identified
- demonstrates consistent and timely completion of identify, implement and maintain legal compliance requirements on a minimum of one (1) occasion including:
- organising and review information on compliance requirements
- applying legislative, business and site requirements and procedures for identification, implementation and maintenance of legal compliance requirements
- maintaining legal and business compliance procedures and policies
- using effective consultative mechanisms to negotiate compliance processes and procedures appropriate to statutory/legal requirements
Knowledge Evidence
The candidate must demonstrate knowledge of identify, implement and maintain legal compliance through:
- rights and responsibilities of contracts, individuals business
- environmental compliance
- insurance requirements
- contractual rights and responsibilities
- record-keeping and reporting
- grievances and complaints equitably and consistently
- continuous improvement processes for compliance
- relevant Australian and international standards
- relevant organisation policies and procedures
Assessment Conditions
- An assessor of this unit must satisfy the requirements of the NVR/AQTF or their successors; and Industry regulations for certification and licensing; and,
- this unit is best assessed in the context of this sector’s work environment;
- where personal safety or environmental damage are limiting factors, assessment may occur in a simulated environment provided it is realistic and sufficiently rigorous to cover all aspects of this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills; and,
- this unit must be assessed using Resources and Infrastructure Industry sector specific policies, procedures, processes and operational manuals; and,
- assessor requirements differ between sectors as follows:
- when assessing this unit in the context of the Drilling sector:
- an assessor must demonstrate the performance evidence, and knowledge evidence as outlined in this Unit of Competency, and through five (5) years of work in the Industry sector; or,
- where a co-assessment or partnership arrangement exists between a qualified assessor and an Industry technical expert, the Industry technical expert can hold the unit being assessed, and/or demonstrate equivalency of skills and knowledge at the unit level. An Industry technical expert must also demonstrate a minimum of three (3) years of continuous work in the Industry sector, with the preceding one (1) year in the unit they are co-assessing; or,
- when assessing this unit in the context of the Metalliferous Mining sector:
- an assessor must demonstrate the skills and knowledge of this unit through five (5) years of current and continuous work with the Industry sector and must hold the TAE Assessor Skill Set or equivalent; or,
- when assessing this unit in the context of the Coal Mining sector:
- an assessor must demonstrate the skills and knowledge of this unit through twelve (12) month work experience in an Industry relevant to the skills being assessed within the last three (3) years; and,
- where the assessor does not have current experience a co-assessment or partnership arrangement needs to exist between the qualified assessor and an Industry technical expert/ subject matter expert. The Industry technical expert/subject matter expert must demonstrate competency in the unit being assessed, and be currently working in the sector with a minimum of twelve (12) months’ work experience within the last three (3) years; or,
- when assessing this unit in the context of the Extractive sector
- an assessor must demonstrate the skills and knowledge of this unit through five (5) years’ work experience in the Industry sector; and,
- where the assessor does not have current experience a co-assessment or partnership arrangement needs to exist between the qualified assessor and an Industry technical expert/ subject matter expert. The Industry technical expert/subject matter expert must hold the unit being assessed and be currently working in the sector with a minimum of two (2) years’ of current work experience; or,
- when assessing this unit in the context of the Civil Construction sector
- an assessor must demonstrate the skills and knowledge of this unit through five (5) years’ work experience in the Industry sector; and,
- where the assessor does not have current experience a co-assessment or partnership arrangement needs to exist between the qualified assessor and an Industry technical expert/ subject matter expert. The Industry technical expert/subject matter expert must hold the unit being assessed and be currently working in the sector with a minimum of two (2) years’ of current work experience.
Links
Companion Volume implementation guides are found in VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=88a61002-9a21-4386-aaf8-69c76e675272
