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:
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
different types of external and internal compliance requirements including:
regulations of a state/territory, national or international regulatory authority
accreditation requirements of an institute, professional organisation or registration body
requirements for certification under statutory licensing systems
statutory standards or codes of practice
internal policies, procedures, standards or codes of practice of an organisation
industrial relations agreements and policies
Components of the planned compliance program/management system may include:
breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
continuous improvement processes for compliance including monitoring, evaluation and review
corporate induction and training processes related to compliance management
documentation of compliance requirements relevant to the organisation
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on breaches and rectification action
specifications of compliance management functions, accountabilities and responsibilities within the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of a compliance program/management system
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
Resources for the planned compliance program/management system may include:
audiovisual resources where applicable
computer hardware, software and files
facilities and physical resources
hardcopy and electronic documentation
management and operations personnel
management information system
Appropriate sources may include:
information from advisors, consultants and others with expertise in the development, operation and maintenance of compliance program/management systems
internal personnel with expertise in the development, operation and maintenance of compliance program/management systems
publications (hardcopy and electronic) of authorities and organisations in relevant compliance areas
representatives of authorities and organisations in relevant compliance areas
Performance indicators may include:
content of reports of breaches of compliance requirements
number and details of alleged breaches of relevant laws, codes and organisational standards
number and details of complaints recorded that are related to compliance requirements and action taken
operational costs of the compliance program/management system
reported problems in the operation of the complaints management system
reports on action taken in the event of a breach in compliance requirements
results of assessments of skills and knowledge of managers and operations staff in terms of the organisation's compliance requirements, the compliance program/management system and their individual roles, accountabilities and responsibilities
Relevant internal personnel may include:
board of directors
chief executive officer
chief executives and managers in related organisations with an interest in the compliance requirements and the compliance program/management system
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 and the compliance program/management system
representatives of relevant authorities with an interest in the compliance requirements and the compliance program/management system
senior management team
Relevant external personnel and organisations may include:
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
Communication strategy may include:
attendance at relevant conferences, seminars, etc. dealing with relevant aspects of applicable compliance requirements and related compliance management
hardcopy and electronic newsletters either dedicated to compliance management issues or having a section dealing with compliance management issues
nominated internal contacts linked to an established network of external contacts in relevant regulatory authorities and other organisations with an interest in applicable compliance requirements
presentations and papers at conferences or in relevant journals covering relevant aspects of the organisation's compliance program/management system
production and distribution of external documentation requirements including press releases, published information on compliance policies and organisational initiatives for compliance management, submissions and reports to regulatory authorities and others with an interest in applicable compliance requirements
production and distribution of internal documentation requirements including overall specification of the compliance program/management system, procedures, standards, organisational structures, descriptions of staff roles and responsibilities, information on compliance program/management system components, breach management policies and procedures
subscription to and/or systematic access and review of, relevant publications and periodicals dealing with relevant aspects of applicable compliance requirements and related compliance management
website and email arrangements for communication with relevant internal and external personnel

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:
organising and monitoring compliance programs or management systems
knowledge of relevant Australian and international standards.
Context of and specific resources for assessment
Assessment must ensure:
access to a compliance program or management system
access to relevant documentation such as:
plans for the operation of the compliance program/management system
organisational policies, standard operating procedures, procedures and plans
relevant legislation, regulations, licensing requirements, codes of practice, standards, etc.
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:
analysis of responses to case studies and scenarios
analysis of information gathered about the compliance management system
assessment of compliance plans, progress and monitoring reports
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of application of compliance management techniques
observations of interactions with team members, colleagues, regulatory authorities and clients
oral or written questioning to assess knowledge of compliance management activities
review of implementation strategy and schedule for the establishment of the planned compliance program/management system
evaluation of briefings and training to ensure staff are aware of their roles and responsibilities.
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.