Compliance requirements may include but are not limited to: | • cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples only 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 (includes 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, 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 |
Compliance program/management system may include but is not limited to: | • documentation of compliance requirements relevant to the organisation • specifications of compliance management responsibilities within the organisation • compliance related management information systems • record-keeping systems required for compliance management • liaison procedures with relevant internal and external personnel on compliance related matters • breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements • compliance reporting procedures • corporate induction and training processes related to compliance management • processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system • compliance complaints handling systems • continuous improvement processes for compliance including monitoring, evaluation and review • strategies for development of a positive compliance culture within the organisation • techniques and performance indicators for monitoring the operation of a compliance program/management system • reporting processes on compliance management including reports on breaches and rectification action |
Individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system may include but is not limited to: | • advising and consulting on compliance requirements and management systems • applying basic skills and knowledge (achieved in induction or orientation program) to ensure that compliance is maintained with applicable regulations, rules, codes etc. • costing and budgeting for compliance • creating a culture of compliance within an organisation • developing and implementing systems for compliance, including record keeping, complaints and reporting systems • ensuring that the organisational infrastructure, policies and operating procedures for compliance are developed, implemented and maintained • educating others on compliance requirements and related management systems • ensuring compliance within others' work • ensuring compliance within own work • evaluating and reviewing compliance management system • identifying and interpreting compliance requirements implementing the compliance records system • implementing the compliance related complaints- handling system • managing rectification of breaches of compliance requirements • monitoring and reporting on the implementation of compliance systems and requirements • organising the implementation of compliance program/management system • planning and developing a compliance management system • promoting compliance within and outside of an organisation • rectifying identified breaches of compliance requirements • undertaking risk management on compliance |