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
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
Sources of information on potential breaches in compliance requirements may include:
external reviews of organisation operations
feedback from clients, suppliers
feedback from organisation managers and operations personnel
internal audit reports
reports from regulatory authorities and other organisations with an interest in compliance
Relevant regulatory authorities and other organisations with an interest in compliance may include:
educational institutions and organisations
government departments
internal audit managers within the organisation
professional associations and institutes
regulatory authorities
Relevant internal and external personnel may include:
board of directors
chief executive officer
chief executives and managers in organisations with an interest in the compliance issues being researched
compliance management team (where relevant)
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 organisation's operations and sphere of business
representatives of relevant authorities in pertinent compliance areas
senior management team

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:
development of processes for managing organisational compliance breaches
knowledge of compliance requirements applicable to the organisation.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on compliance requirements such as:
organisational policies, standard operating procedures, procedures and plans
relevant legislation, regulations, licensing requirements, codes of practice, standards
access to the relevant internal and external data files
access to relevant internal and external personnel
access to appropriate computer resources needed for managing the identification and rectification of breaches in compliance requirements.
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 manage breaches in compliance requirements
assessment of reports identifying breaches in compliance
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 managing breaches in compliance requirements
oral or written questioning to assess knowledge of the effectiveness of actions taken to manage compliance breaches
review of authenticated compliance breach documents or computer files from the workplace or training environment
assessment or written reports detailing action to be taken to overcome compliance breaches and to prevent their reoccurrence in the future
review and evaluation of complaints regarding potential breaches in 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.