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 issues may include:
breach management strategies
changes in compliance requirements
costs of compliance
details of compliance requirements
interpretation of compliance requirements
personnel roles and responsibilities
possible exemptions in some areas of compliance requirements
risk management strategies
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
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 beaches and rectification action
specification of compliance management 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
Target groups may include:
clients of the organisation
consultants and advisors to the organisation
contractors and suppliers of services and resources to the organisation
internal management teams
internal operations teams and personnel
media and other organisations with a role in reporting on the organisation's compliance responsibilities and obligations, possible breaches in the requirements and the operation of the organisation's compliance program/management system
regulatory authorities and other organisations with an interest in applicable compliance requirements
staff
Search techniques may include:
contacting relevant professional associations and other organisations that may be able to recommend possible contacts
internet search of websites of pertinent regulatory authorities, licensing bodies, organisations, etc. to identify relevant contacts
review of published information on personnel within relevant organisations such as company reports, journals and other documentation from regulators and other organisations with responsibility for overseeing that organisations fulfil compliance requirements
scan of suitable published reference materials such as business directories, corporate listings, government services and agencies, information directories, etc. to identify relevant contacts
Compliance management promotional and liaison activities may include:
articles and papers in newsletters and journals
conferences, seminars and workshops
email communications
faxes
information promulgated via websites
interviews
letters, reports, completed forms and other types of written documentations
meetings
multimedia materials and resources
teleconferences and videoconferences
telephone discussions
Action plan may include:
budget
key performance criteria and indicators
methodology for evaluating the success of the planned compliance management promotional activities
objectives and planned outcomes
planned processes for reporting on the compliance management promotional activities
required human and physical resources
schedule of activities
time lines and key milestones
Internal and/or external contacts 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
Communication techniques may include:
electronic communications including telephone, fax, email, short message service (SMS), etc.
face-to-face oral communications
written communications
Requirements for seeking information may be communicated:
electronically
in writing
orally
Performance indicators may include:
assessed increase in awareness among target groups of the compliance requirements and related compliance program/management system of the organisation
assessed increase in confidence in the ability of the organisation to fulfil its obligations and responsibilities under applicable compliance requirements
confidence of representatives of relevant regulatory authorities, licensing bodies, etc. in the capacity of an organisation and its managers and staff to take appropriate action to fulfil pertinent compliance requirements, and to rectify and report on any breaches in those requirements
reduction in breaches of compliance requirements among internal and external personnel including those contracted to provide services or supplies to the organisation
Listing of contacts may include:
electronic database of contacts
hardcopy lists of contacts including address books and contact lists

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:
successful promotion and liaison of a compliance program/management system for an external organisation or internally within an organization
knowledge of compliance requirements applicable to the organisation.
Context of and specific resources for assessment
Assessment must ensure:
multiple examples of promotional activities and liaison activities are assessed
access to relevant information on the organisation's applicable compliance requirements and related management system such as:
organisational policies, plans, standard operating procedures, compliance breach management procedures, etc.
relevant legislation, regulations, licensing requirements, codes of practice, standards, etc.
access to the relevant internal and external data files
access to relevant internal and external personnel
access to appropriate computer resources for maintaining a contact database or maintaining records of promotional and liaison activities.
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 evaluation reports about promotional activities
assessment of promotional materials, content, publications
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observation of delivery of promotional activities relating to compliance requirements and systems
observations of interactions with internal and external stakeholders while conducting promotional activities and liaising about compliance management systems and processes,
oral or written questioning to assess knowledge of promotional or liaison activities and their implementation
review of authenticated compliance promotional documents or computer files from the workplace or training environment
review of action plan
assessment of records of communications about compliance related promotional and liaison activities.
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.