Unit of competency Outline

Date retreived
21/07/2026 11:40 PM AWST

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Apply, monitor and report on compliance systems

Apply, monitor and report on compliance systems

Unit of competency
National Code
RIIGOV401B
State Code
D9323
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
22/06/2011
State Implementation and Classification
Approved Date
28/11/2011
Field of Education
090901 - Business And Commercial Law
Original Release Date
28/11/2011
Nominal Hours
80
Description
This unit covers applying, monitoring and reporting on compliance systems in the resources and infrastructure industries. It includes identifying, sharing, planning and implementing legislation, codes, standards and business requirements; and monitoring, revising and reporting performance to ensure legal and contractual compliance. Licensing, legislative, regulatory and certification requirements that apply to this unit can vary between states, territories, and industry sectors. Relevant information must be sourced prior to application of the unit.
Notes
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
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.
Compliance documentation may include:
legislative, organisation and site requirements and procedures
manufacturer's guidelines and specifications
Australian standards
legislation, codes, standards and business requirements relevant to the creation and maintenance of workplace legal compliance
Employment and Workplace Relations legislation
Equal Employment Opportunity and Disability Discrimination legislation
Workplace legal compliance may include:
requirements for the maintenance and confidentiality of records of non-compliance
requirements for the maintenance of records of breaches
provision of information and training
regulations and code of practice relating to hazards present in work area
site/work/groups representatives and committees
issue resolution
Legislation, codes, standards and business requirements may include:
OHS
business registration
taxation
legal
insurance
environmental
business structure
Legal rights and responsibilities of the enterprise may include:
marketing the business in accordance with consumer legislation
operating the business with a duty of care (Law of Torts)
obligations imposed by choice of business structure

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
The evidence required to demonstrate competency in this unit must be relevant to worksite operations and satisfy all of the requirements of the performance criteria, required skills and knowledge and the range statement of this unit and include evidence of the following:
knowledge of the requirements, procedures and instructions for applying, monitoring and reporting on compliance systems
implementation of requirements, procedures and techniques for the safe, effective and efficient completion of compliance system requirements
working with others to plan, prepare and conduct compliance system requirements
evidence of the consistent successful application, monitoring and reporting on compliance systems
Context of and specific resources for assessment
This unit must be assessed in the context of the 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 workplace performance, including task skills, task management skills, contingency management skills and job role environment skills.
Assessment of this competency requires typical resources normally used in a resources and infrastructure sector environment. Selection and use of resources for particular worksites may differ due to the site circumstances.
The assessment environment should not disadvantage the participant. For example, language, literacy and numeracy demands of assessment should not be greater than those required on the job.
Customisation of assessment and delivery environment must sensitively accommodate cultural diversity.
Aboriginal people and other people from a non English speaking background may have second language issues.
Where applicable, physical resources should include equipment modified for people with disabilities. Access must be provided to appropriate learning and/or assessment support when required.
Method of assessment
This unit may be assessed in a holistic way with other units of competency. The assessment strategy for this unit must verify required knowledge and skill and practical application using more than one of the following assessment methods:
written and/or oral assessment of the candidate's required knowledge
observed, documented and/or first hand testimonial evidence of the candidate's:
implementation of appropriate requirement, procedures and techniques for the safe, effective and efficient achievement of required outcomes
consistent achievement of required outcomes
first hand testimonial evidence of the candidate's:
working with others to undertake and complete the application, monitoring and reporting on compliance systems
provision of clear and timely instruction and supervision in the application, monitoring and reporting on compliance systems
Guidance information for assessment
Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.

Replaces
State Code National Code Title Type
WB265 RIIGOV401A Apply, monitor and report on compliance systems Unit of competency
C3749 BSBSBM401A Establish business and legal requirements Unit of competency
Replaced By
State Code National Code Title Type
WH292 RIIGOV401D Apply, monitor and report on compliance systems Unit of competency