RCO 1.0 7 ST0430 / AP02

Highfield Level 4 End-point Assessment for

Regulatory Compliance Officer

Portfolio of Evidence Matrix Sheet This document should be used to map the apprentice’s portfolio of evidence to the Regulatory Compliance Officer standards and should accompany the portfolio when submitted to Highfield Assessment.

Apprentice name:

Employer:

Training provider:

Evidence Index

Evidence name Evidence

ref. Evidence type

RCO 1.0 7 ST0430 / AP02

Regulatory Compliance Officer Criteria

The tables below contain the pass criteria for each of the Regulatory Compliance Officer standards. In addition, consider how you could achieve the merit criteria by providing relevant examples, and consider how you could achieve the distinction criteria by applying concepts to the broader, or other, regulatory environments. A full list of pass, merit and distinction criteria are available within the Highfield EPA kit.

Ref. Pass criteria Evidence ref. Location/page in evidence

Regulation

R1 Explain the role of regulation as a tool of Government

R2 Describe the legal frameworks and powers relevant to their role

R3 Explain the law and where it applies to businesses’ customers

R4 Describe the legislation relevant to their regulatory function(s)

R5 Explain the role and responsibilities of partner organisations and their interrelationships

R6 Explain the architecture of regulatory frameworks and their role within it

Risk assessment

RA1 Explain how to use risk assessment to support compliance

Business stakeholders and their compliance needs

BS1 Describe the business environment they interact with

BS2 Describe how regulation and the way it is enforced can impact on the businesses regulated

BS3 Describe the factors that affect business approaches to compliance

RCO 1.0 8 ST0430 / AP02

Ref. Pass criteria Evidence ref. Location/page in evidence

BS4 Understand the need to provide compliance support to businesses they work with

Understand businesses they work with

UB1 Can demonstrate how they would engage constructively with business and tailor their approach to businesses that they interact with

UB2 Can demonstrate how they would take account of the provisions of statutory codes in order to engage effectively with businesses

Plan their activities

PA4 Can demonstrate how they would work as part of a team building and maintaining good working relationships with both business and regulator stakeholders

Choose appropriate interventions

AI1 Can demonstrate how they would make appropriate intervention choices to have the greatest impact on supporting compliance

AI2 Can demonstrate how they would take a proportionate approach to intervention choice

AI3 Can demonstrate how they would work effectively with other organisations

Respond to non-compliance

NC6 Can demonstrate how they work with partner organisations to support proportionate, risk based responses to non-compliance

NC7 Can demonstrate how they would conduct thorough investigations of non-compliance and allegations of non-compliance

NC8 Can demonstrate how they would provide appropriate support for those adversely affected by non-compliance

RCO 1.0 9 ST0430 / AP02

Ref. Pass criteria Evidence ref. Location/page in evidence

Check compliance

CC13 Can demonstrate how they would prepare appropriately for checks on compliance

CC14 Can demonstrate how they would conduct interventions in a proportionate manner

CC15 Can demonstrate how they would be responsive to the circumstances encountered

CC16 Can demonstrate how they would make informed assessments of compliance and risk

CC17 Can demonstrate how they would follow-up on checks on compliance in an appropriate manner

Evaluate

EV1 Can demonstrate how they would monitor and report on their activities and performance

EV2 Can demonstrate how they would evaluate their activities in relation to their regulatory objectives and their organisation’s strategic priorities

Collaboration

C1 Can demonstrate how they have worked collaboratively and built professional relationships with colleagues and partner organisations

Quality service delivery

QS1 Can demonstrate how they have delivered a quality service by having a customer focussed mind set

Leadership and communication

LC1 Can demonstrate how they have led by example

RCO 1.0 10 ST0430 / AP02

Ref. Pass criteria Evidence ref. Location/page in evidence

Change and improvement

CI1 Can demonstrate how they have been creative and open to change

Apprentice Declaration

I confirm that the evidence contained within this portfolio is all my own work and any assistance given and/or sources used have been acknowledged.

Apprentice’s signature: Date:

Please ensure this Portfolio Matrix Sheet is submitted with your portfolio and that all evidence submitted is saved in one of the following file formats:

.docx .xlsx .pptx

.pdf .jpg .png

.mp3 .mp4 .m4a