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| 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 strategieschanges in compliance requirementscosts of compliancedetails of compliance requirementsinterpretation of compliance requirementspersonnel roles and responsibilitiespossible exemptions in some areas of compliance requirementsrisk management strategies |
Compliance requirements may include: | different types of external and internal compliance requirements including:accreditation requirements of an institute, professional organisation or registration bodyinternal policies, procedures, standards or codes of practice of an organisationregulations of a state/territory, national or international regulatory authorityrequirements for certification under statutory licensing systemsstatutory 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.), aviationbankruptcychemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, crediteducation, electricity, environmental protection, equal opportunityfinancial services (including banking), fire, food hygiene, freedom of information, freight forwardinggambling, gene technologyhealth, human rightsinsurance, immigration, intellectual propertyland managementmaritime, miningpharmaceuticals, patents, privacyquarantineracing, rail transport, road transportsafety (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, superannuationtaxation, telecommunications, tobacco, trade practices and consumer protectionwater 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 requirementscompliance complaints handling systemscompliance related management information systemscompliance reporting procedurescontinuous improvement processes for compliance including monitoring, evaluation and reviewcorporate induction and training processes related to compliance managementdocumentation of compliance requirements relevant to the organisationliaison procedures with relevant internal and external personnel on compliance related mattersprocesses for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management systemrecord keeping systems required for compliance managementreporting processes on compliance management including reports on beaches and rectification actionspecification of compliance management accountabilities and responsibilities within the organisationstrategies for developing a positive compliance culture within the organisationtechniques and performance indicators for monitoring the operation of a compliance program/management system |
Relevant Australian and international standards may include: | AS 3806:2006 Compliance programsAS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizationsAS ISO 15489:2004 Records managementAS/NZS 4360:2004 Risk management |
Target groups may include: | clients of the organisationconsultants and advisors to the organisationcontractors and suppliers of services and resources to the organisationinternal management teamsinternal operations teams and personnelmedia 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 systemregulatory authorities and other organisations with an interest in applicable compliance requirementsstaff |
Search techniques may include: | contacting relevant professional associations and other organisations that may be able to recommend possible contactsinternet search of websites of pertinent regulatory authorities, licensing bodies, organisations, etc. to identify relevant contactsreview 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 requirementsscan 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 journalsconferences, seminars and workshopsemail communicationsfaxesinformation promulgated via websitesinterviewsletters, reports, completed forms and other types of written documentations meetingsmultimedia materials and resourcesteleconferences and videoconferencestelephone discussions |
Action plan may include: | budgetkey performance criteria and indicatorsmethodology for evaluating the success of the planned compliance management promotional activitiesobjectives and planned outcomesplanned processes for reporting on the compliance management promotional activitiesrequired human and physical resourcesschedule of activitiestime lines and key milestones |
Internal and/or external contacts may include: | board of directorschief executive officerchief executives and managers in organisations with an interest in the compliance issues being researchedcompliance management team (where relevant)compliance specialists at the operational levelfrontline managerslegal and business advisors and consultants with expertise and interest in compliance requirements and related management systemsrepresentatives of professional associations and institutes relevant to the organisation's operations and sphere of businessrepresentatives of relevant authorities in pertinent compliance areassenior management team |
Communication techniques may include: | electronic communications including telephone, fax, email, short message service (SMS), etc.face-to-face oral communicationswritten communications |
Requirements for seeking information may be communicated: | electronicallyin 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 organisationassessed increase in confidence in the ability of the organisation to fulfil its obligations and responsibilities under applicable compliance requirementsconfidence 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 requirementsreduction 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 contactshardcopy lists of contacts including address books and contact lists |