Required skills

financial skills to manage budgetary resources for compliance management systems

interpersonal skills to establish rapport and to build relationships with clients team members and stakeholders who have an interest in the operation of an organisations compliance program or management system

leadership skills to gain the trust and confidence of colleagues and clients

literacy skills to prepare and edit reports containing complex concepts and ideas

organisational and time management skills to organise compliance management systems associated finances and human resources within an organisation

problem solving skills to create innovative solutions to problems arising from organising and monitoring compliance management systems

research and data collection skills to investigate an organisations compliance management system

Required knowledge

compliance policies and requirements applicable to the organisation

elements of the compliance program/management system including:

analysis techniques relevant to the review and interpretation of an identified breach in compliance requirements

breach management policies and processes including identifying classifying investigating rectifying and reporting breaches in compliance requirements

compliance related management information systems

compliance reporting procedures

compliance complaints handling systems

continuous improvement processes for compliance including monitoring evaluation and review

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 programmanagement system

record keeping systems required for compliance management

reporting processes on compliance management including reports on breaches and rectification action

specification of compliance management functions accountabilities and responsibilities within the organisation

strategies for developing a positive compliance culture within the organisation

relevant Australian and international standards such as

AS Compliance programs

AS ISO Customer satisfaction Guidelines for complaints handling in organizations

AS ISO Records management

ASNZS Risk management

internal and external personnel with an interest in compliance

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

identification investigation rectification and reporting of compliance breaches within a workplace

knowledge of compliance policies and 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 appropriate computer resources

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 breaches in the compliance management system

assessment of action plan developed to manage and rectify an identified breach

direct questioning combined with review of portfolios of evidence and third party workplace reports of onthejob performance by the candidate

observations of application of compliance management techniques used in gathering information about compliance breaches

observations of interactions with team members colleagues regulatory authorities and clients

oral or written questioning to assess knowledge of compliance reporting procedures

review of reports submitted on identified breach and subsequent rectification action

assessment of records of breaches and action taken

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

Compliance requirements may include:

Compliance program/ management system may include:

Relevant Australian and international standards may include:

Internal personnel may include:

External personnel and organisations may include: