This unit covers the identification and interpretation of the range of external and internal compliance requirements and obligations that must be fulfilled by an organisation It has been designed to be consistent with Australian Standard AS Compliance Programs

Business management services

Domain

Compliance management

Application of the Competency

This unit could be undertaken as part of a broader role of a chief executive or manager in a small organisation or as a member of a compliance management team within a larger organisation It also covers competencies required by an internal or external consultant as part of a broader advisory role to the chief executive or management team of a large or small organisation on compliance management policies and systems

While competence in this unit requires the demonstration of a core of knowledge associated with the general processes of identifying and interpreting compliance requirements there is also a variable knowledge set related to the specific legislative requirements codes of practice and internal standards and procedures relevant to the operations and sphere of business of the organisation andor industry sector concerned

This unit differs from BSBCOMA Research compliance requirements and issues as the identification and interpretation activities are focused primarily on identifying and interpreting the specific legislative requirements codes of practice and internal standards and procedures as they relate to a particular organisation Researching compliance issues is a higherorder competence aimed at carrying out research into a wider range of compliance related issues such as the costs of compliance the

This unit differs from BSBCOM601A Research compliance requirements and issues, as the identification and interpretation activities are focused primarily on identifying and interpreting the specific legislative requirements, code(s) of practice and internal standards and procedures as they relate to a particular organisation. Researching compliance issues is a higher-order competence aimed at carrying out research into a wider range of compliance related issues, such as the costs of compliance, the

potential impact of compliance on an organisation or industry and the risks and consequences of noncompliance etc

This unit is intended to ensure that compliance is an integral part of normal business operations

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including AS Compliance Programs AS Complaints Handling ANZS Risk Management and AS ISO Records Management

Element

Performance Criteria

Elements define the critical outcomes of a unit of competency.

The Performance Criteria specify the level of performance required to demonstrate achievement of the Element Italicised terms are elaborated in the Range Statement

Clarify the scope of operations

The relevant range of operations and the sphere of business arrangements of the organisation are identified and reviewed

An analysis of the operations and business arrangements of the organisation is conducted and the functions products and services that may be subject to compliance requirements are identified

Work activity plans for determining relevant compliance requirements are developed and documented

Approval of plans is obtained from relevant organisational personnel

Identify the compliance requirements

A search is carried out of sources of information on internal and external compliance requirements using appropriate search resources including relevant Australian and international standards dealing with compliance requirements and related compliance programmanagement systems

The search of compliance requirements scans across all relevant jurisdictions of laws regulations and industry and organisational codes and standards and identifies pertinent compliance requirements

Information collected is progressively reviewed in terms of its relevance to the organisations operations services and products

Gathered information on relevant compliance requirements is organised and stored in an appropriate format for further analysis

Interpret analyse and prioritise the identified compliance requirements

Collected information is reviewed and interpreted in terms of its relevance to the organisations functions services and products

Ambiguities uncertainties and problems experienced while interpreting identified compliance information are discussed and clarified with relevant internal or external personnel

Relevant compliance requirements are identified analysed and prioritised in terms of the critical implications for the organisation and the risks and consequence of possible breaches

Pertinent compliance requirements are grouped into those that are critical and central to the organisations operations those that are important in some circumstances but are not central to the organisations operations and those that are pertinent but are incidental to the organisations operations

Document the compliance requirements

Outcomes of the identification and interpretation activities are organised and documented

Reports of relevant compliance requirements and assessed implications are prepared and communicated to relevant personnel performing specific compliance management functions

Required knowledge and understanding include

elements of compliance programs and related management systems including

documentation of compliance requirements relevant to the organisation

specification of compliance management functions accountabilities and responsibilities within the organisation

compliance related management information systems

recordkeeping 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 programmanagement system

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 programmanagement system

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

relevant organisational policies and procedures including

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

relevant Australian and international standards including but not limited to

AS Compliance Programs

AS Complaints Handling

ANZS Risk Management

AS ISO Records Management

relevant organisation policies and procedures including

plans and policies in various compliance areas

organisational standards for operations and ethics

Required skills and attributes include

ability to relate to people from a range of social cultural and ethnic backgrounds and physical and mental abilities

ability to contribute to a positive culture of compliance within an organisation

ability to source information on compliance requirements

ability to analyse and organise information on compliance requirements

project management skills

managing other personnel involved in the activity

time management

financial management

communication and interpersonal skills

written and verbal communication skills

ability to relate to internal and external personnel and in particular those representing relevant regulatory authorities professional institutes and organisations standards organisations etc

Key competencies or generic skills relevant to this unit

The seven key competencies represent generic skills considered essential for effective work participation Innovation skills represent a further area of generic competence The bracketed numbering indicates the performance level required in this unit

Level represents the competence to undertake tasks effectively

Level represents the competence to manage tasks

Level represents the competence to use concepts for evaluating and reshaping tasks

The bulleted points provide examples of how the key competencies can be applied for this unit

Communicating ideas and information

consulting with others and sharing ideas

communicating with representatives of relevant regulatory authorities

Collecting analysing and organising information

gathering and analysing information on relevant compliance requirements

identifying and organising information on compliance requirements

Planning and organising activities

planning and organising processes for sourcing information on compliance requirements and identifying interpreting and analysing relevant requirements

Working in a team

managing the work of others performing specific functions as part of compliance management activities

Using mathematical ideas and techniques

determining and interpreting any quantitative aspects of compliance requirements

Solving problems

solving problems arising in the sourcing identifying and interpreting information on compliance requirements

Using technology

using computers and software packages for the sourcing and identification of information on compliance requirements

Innovation skills

recognising and creating opportunities for identifying and interpreting compliance requirements

Products that could be used as evidence include

work activity plans for sourcing identifying and interpreting compliance requirements

outcomes of the identification and analysis of compliance requirements

collected information on compliance requirements published information on relevant legislation regulations standards codes of practice and printouts of relevant information sourced on the Internet or on CDROM databases

implementation documentation records of searches conversations schedules summaries of regulatory requirements codes of practice programs correspondence etc

Processes that could be used as evidence include

how the organisations range of operations and sphere of business were identified and confirmed

how information on compliance requirements were sourced

how gathered information in various compliance areas was interpreted analysed and prioritised and its relevance to the organisations operations established

how gathered information on compliance requirements was organised stored and reported

how personnel performing relevant compliance management functions have been managed

how activity to identify and interpret compliance requirements was monitored and evaluated

Resource implications for assessment include

access to organisation policies standard operating procedures procedures and plans

access to relevant published material on relevant legislation regulations licensing requirements codes of practice standards etc

access to appropriate computer resources for online searching and review of relevant compliance requirements

Validity and sufficiency of evidence requires

that where assessment is part of a learning experience evidence will need to be collected over a period of time involving both formative and summative assessment

full documentation of at least three activities involving the identification and interpretation of specific compliance requirements either within simulated projects or actual activities developed and implemented

Integrated competency assessment means

that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant compliance management units or related records management units

Legislation, codes and national standards relevant to the workplace may include:

Compliance requirements may include but are not limited to:

Sources of information on internal and external compliance requirements may include:

Search resources may include:

Relevant Australian and international standards may include but are not limited to:

Jurisdiction of laws, regulations, industry and organisational codes and standards may include:

Information on relevant compliance requirements may include:

Relevant internal personnel may include:

Relevant external personnel may include: