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.
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
Evaluation methodology may include:
analysis of complaints recorded involving compliance requirements
analysis of feedback from clients, suppliers, internal managers and personnel
assessment of information contained in the organisation's management information system
collection of operational data
desk analysis
drafting and editing of the evaluation report
literature searches including internet searches
review of reports from relevant compliance authorities and organisations
surveys of relevant internal and external personnel including interviews, focus groups, questionnaires
Evaluation plan may include:
details of the applicable compliance requirement and related evaluation criteria
evaluation methodology
milestones
personnel required including evaluation project manager, the evaluation team and those who may be consulted during the course of the evaluation activities
resource requirements and related costs
timelines
Evaluation data may include:
completed survey questionnaires
documentation on feedback and complaints involving compliance requirements
operational data pertinent to the fulfillment of compliance requirements
published documents including papers, standards, regulations
quantitative data collected from various sources
records of interviews, meetings or focus group workshop outcomes
records of telephone conversations
written correspondence including letters, faxes, emails
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
Relevant internal personnel may include:
board of directors
chief executive officer
compliance management team (where relevant)
compliance specialists at the operational level
frontline managers
senior management team
Relevant external personnel may include:
chief executive officers and managers in organisations with an interest in the compliance issues being researched
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 organisation's operations and sphere of business
representatives of relevant authorities in pertinent compliance areas
Authorised personnel may include:
chief executive officer or manager in an organisation
evaluation project manager
evaluation steering committee (where applicable)
nominated representative of educational institution/s or organisation/s
nominated representative of professional association/s or institute/s
nominated representative of regulatory authority

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 work which comprehensively evaluates how an organisation is fulfilling its compliance requirements
knowledge of evaluation methods and techniques suitable for compliance related evaluation and review.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant published material and such as:
organisational policies, standard operating procedures, procedures and plans
relevant legislation, regulations, licensing requirements, codes of practice, standards
compliance evaluation reports
access to the relevant internal and external data files
access to appropriate computer resources for online searching, data processing and analysis, and report 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:
observations of activities undertaken to evaluate compliance requirements
assessment of reports evaluating the performance and effectiveness of existing compliance systems and processes
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of interactions with internal and external stakeholders while evaluating compliance requirements
oral or written questioning to assess knowledge of the effectiveness of compliance systems and processes and their impact on organisational objectives, processes and systems
review of evaluation plan
assessment of dissemination of the report.
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.