Elements and Performance Criteria

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 requirementsmay 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
crossindustry, industryspecific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):
antidiscrimination (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 crossindustry generic regulations as well as industry, equipment or productspecific subcategories 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.
Compliance program/management systemmay include:
breach management processes
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 the compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on beaches and rectification action
specification of compliance management accountabilities/responsibilities in the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of the compliance program/management system.
Relevant Australian and international standardsmay 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 ISO 31000:2009 Risk Management - Principles and Guidelines.
Established criteriamay include:
cost
effectiveness
efficiency
feasibility
match to organisational culture.
Personnel requirementsmay include:
compliance management team (where relevant)
compliance manager
compliance officer
compliance specialists at the operational level
frontline managers and team leaders with compliance management responsibilities
internal or external consultants and advisors with expertise in compliance requirements and management systems
MIS specialists and managers with expertise in compliance requirements and management systems
senior managers with compliance management responsibilities
trainers with expertise in compliance requirements and management systems.
Training requirementsmay include:
customised inhouse offthejob training and assessment programs for both operational and management staff
customised training programs delivered by external training organisations for both operational and management staff
external training programs in skill/knowledge areas relevant to the operation of compliance program/management systems
internal and external training programs aimed at strengthening the compliance management culture of the organisation
online training and assessment for both operation and management staff
onthejob coaching and mentoring.
Action schedulemay include:
budgets for implementation, review and maintenance
internal and external reporting requirements and dates for implementation, review and maintenance
key responsibilities and activities for implementation, review and maintenance
resource acquisition and maintenance schedules
staff assignments including recruitment and training schedules
target outcomes, time lines and milestones.

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:
planning for and setting up a compliance program/management system for an actual workplace or a simulated workplace in collaboration with relevant personnel
knowledge of research methods and techniques suitable for conducting compliance related research projects.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on compliance requirements
access to relevant information on options for compliance program/management systems
access to the relevant internal and external personnel
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 techniques and data collected to plan and establish compliance management systems
assessment of reports documenting the development and progress of compliance management systems
direct questioning combined with review of portfolios of evidence and third party workplace reports of onthejob 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 management systems
oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes
review of documented action schedule
periodic reviews of the compliance program/management system
assessment of reports on the operation and review of the compliance program/management system.
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.