Required skills

interpersonal skills to

contribute to the development of a positive culture of compliance within an organisation

work with internal and external personnel with an interest in an organisations compliance program and management system

interpersonal and communication skills to relate to internal and external personnel including those representing relevant regulatory authorities professional institutes and organisations including standards organisations

literacy skills to read and interpret various types of documents and to write reports containing complex concepts

organisational and timemanagement skills to conduct compliance management activities

project management skills to

scope and plan the conduct of compliance requirement identification activities

manage other personnel involved in the identification and interpretation of compliance management activities

research and analytical skills to identify and interpret compliance requirements

technical skills to use communications technology effectively

Required knowledge

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

compliancerelated management information systems

recordkeeping systems required for compliance management

liaison procedures with relevant internal and external personnel on compliancerelated 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 distribution and promotion of information on compliance requirements and compliance programs and management systems

complaints handling systems

continuous improvement processes for compliance including monitoring evaluation and review

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program or management 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

AS Compliance programs

AS ISO Customer satisfaction Guidelines for complaints handling in organizations

AS ISO Records management

ASNZS Risk management

relevant organisational policies and procedures including

plans and policies in various compliance areas

organisational standards for operations and ethics

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 ability to

document processes used to identify analyse and interpret organisational compliance requirements

apply knowledge of elements of compliance programs and related management systems

Context of and specific resources for assessment

Assessment must ensure access to

organisational policies and procedures standard operating procedures and plans

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

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

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

observation of activities undertaken to identify compliance requirements

assessment of reports identifying compliance requirements and containing analysis of the implications of those requirements on organisational objectives processes and systems

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

observation of interactions with internal and external stakeholders while identifying compliance requirements

oral or written questioning to assess knowledge of compliance requirements and their impact on organisational objectives processes and systems

review of authenticated compliance promotional documents or computer files from the workplace or training environment

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector workplace and job role is recommended

Range of operations may include:

Compliance requirements may include:

Information on internal and external compliance requirements may include:

Search resources may include:

Relevant Australian and international standards may include:

Jurisdictions 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:

Relevant personnel performing specific compliance management functions may include: