Elements and Performance Criteria

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.
Authority for the compliance requirements may include:
internal authorities (to an organisation) such as:
chief executive officer or senior managers
compliance manager
internal audit manager
quality control manager
external authorities such as:
educational institutions and organisations
government departments
professional associations and institutes
state/territory or national licensing authorities
state/territory or national statutory standards authorities
state/territory, national or international regulatory authorities
Compliance requirements may include:
different types of external and internal compliance requirements including:
accreditation requirements of an institute, professional organisation or registration body
internal policies, procedures, standards or codes of practice of an organisation
regulations of a state/territory, national or international regulatory authority
requirements for certification under statutory licensing systems
statutory standards or codes of practice
cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):
anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation
bankruptcy
chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit
education, electricity, environmental protection, equal opportunity
financial services (including banking), fire, food hygiene, freedom of information, freight forwarding
gambling, gene technology
health, human rights
insurance, immigration, intellectual property
land management
maritime, mining
pharmaceuticals, patents, privacy
quarantine
racing, rail transport, road transport
safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation
taxation, telecommunications, tobacco, trade practices and consumer protection
water supply, workers compensation, workers rehabilitation
Authorised personnel may include:
chief executive officer or manager in an organisation
nominated representative of educational institution/s or organisation/s
nominated representative of professional association/s or institutes/s
nominated representative of a regulatory authority
nominated representative of a statutory standards authority
project manager
project steering committee
Relevant Australian and international standards may include:
AS 3806:2006 Compliance programs
AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations
AS ISO 15489:2004 Records management
AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation
Project methodology may include:
desk analysis
environmental scans
interviews, focus groups, questionnaires
literature searches including internet searches
validation interviews, workshops, surveys
Plan may include:
costs
details of the objectives and deliverables
methodology
personnel required including project manager, internal or external consultant or project team and those who may be consulted during the course of the project activities
time lines and milestones
Relevant internal and/or external stakeholders may include:
board of directors
chief executive officer
chief executives and managers in organisations with an interest in the compliance requirements being developed
compliance management team (where relevant)
compliance specialists at the management level
compliance specialists at the operational level
frontline managers
legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems
representatives of professional associations and institutes relevant to the compliance requirements being developed
representatives of relevant authorities with an interest in the compliance requirements
senior management team
Development team may include:
internal and external consultants and advisors
project manager
reference panel/s
steering or advisory committee
team members

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 following is essential:
completion of project activity in which compliance requirements are developed and validated
knowledge of compliance requirements relevant to the organisation.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant published material such as:
organisational policies, standard operating procedures, procedures and plans
relevant legislation, regulations, licensing requirements, codes of practice, standards
access to relevant internal and external data files
access to appropriate computer resources for online searching, data processing and analysis, and document preparation and editing.
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:
analysis of techniques and data collected to develop and create compliance requirements
assessment of reports documenting compliance requirements in the organisation
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of activities undertaken to develop and create compliance systems and processes
observations of interactions with internal and external stakeholders while developing and creating compliance requirements
oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes
review of development plan
evaluation of outcomes of consultations with stakeholders
assessment of findings, issues and recommendations on compliance requirements.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
other compliance units.