RIIGOV401E - Apply, monitor and report on compliance systems

thoughtful young businessman look at laptop monito 2022 03 07 05 18 12 utc

We will get in touch with you shortly


This unit describes the skills and knowledge required to apply, monitor and report on compliance systems in the resources and infrastructure industries.

It applies to individuals who work in supervisory roles. They generally contribute to compliance processes by undertaking a varied range of activities as defined in written procedures. They typically work in a structured and familiar work environment.

Licensing, legislative and certification requirements may apply to this unit and can vary between states, territories and industry sectors. Users must check requirements with relevant body before applying the unit.

Elements and Performance Criteria



Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Identify, communicate and implement regulation and workplace requirements

1.1 Obtain, interpret and confirm work requirements

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

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

2. Plan and implement systems to meet regulation and workplace requirements

2.1 Plan systems of work with others and confirm compliance according to workplace procedures

2.2 Confirm compliance during the implementation of planned systems of work

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

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

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

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

3.1 Identify and report performance problems to relevant personnel

3.2 Confirm the work activities meet legal and contractual compliance requirements

3.3 Submit written recommendations on potential improvements according to job requirements

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

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

4. Investigate, report and action non-compliance

4.1 Investigate non-compliance to regulation and workplace procedures

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

4.3 Implement training to relevant personnel and adjust work practices as required

4.4 Maintain individual written records when non-compliance has occurred


Foundation Skills

This section describes those language, literacy, numeracy and employment skills that are essential to performance but not explicit in the performance criteria.




  • Identifies and interprets information from workplace procedures, policies, documentation and systems


  • Produces workplace reports, including workplace resourcing and work health and safety records, using appropriate vocabulary, grammatical structures and conventions

Oral communication

  • Presents information or assistance using industry specific vocabulary
  • Uses listening and questioning to confirm understanding


  • Monitors and minimises own exposure to worksite risks and hazards during activities

Problem solving

  • Identifies a range of factors that impact on a decision, including own values and principles, the needs, power, values, beliefs and assumptions of stakeholders