This unit covers the evaluation and review of an organisations compliance programmanagement system and how it is fulfilling its obligations and responsibilities under applicable compliance requirements This unit has been designed to be consistent with Australian Standard AS Compliance Programs

Business management services

Domain

Compliance management

Application of the Competency

This unit applies to the review activities of managers with responsibility for evaluating and reporting on the operation and effectiveness of an organisations planned compliance programmanagement system

It could be undertaken as part of a broader role of an owner manager or senior manager in a small organisation as an external consultant or as a section or frontline manager in an operational unit within the organisation It may also be undertaken as a member of a compliance management team or a frontline manager within a larger organisation

While competence in this unit requires the demonstration of a core of knowledge associated with general evaluation and review techniques there is also a variable knowledge set related to the range of generic and specific compliance requirements codes of practice standards and procedures relevant to the persons roles and responsibilities

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

Develop the evaluation plan

Details of the organisations compliance policies objectives and assessment criteria are obtained

Information on current compliance requirements applicable to the organisation is obtained and interpreted

A suitable evaluation methodology is developed to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes

The evaluation plan for the proposed project is prepared including the detailing of established evaluation criteria and the data to be collected

Approval of plan is obtained from relevant internal andor external personnel

Gather required evaluation data

Relevant evaluation data on how the organisation is fulfilling its compliance requirements is collected using appropriate techniques and sources in accordance with the agreed evaluation plan

Collected data is organised interpreted and reviewed against established evaluation criteria including those specified in relevant Australian and international standards

Ambiguities uncertainties and problems experienced while interpreting collected data are discussed and addressed appropriately in conjunction with relevant internal andor external personnel

Interpreted evaluation data is organised for later analysis

Analyse the collected data

Evaluation data is analysed in accordance with planned methodology

Outcomes and findings of the analysis are reviewed and discussed with relevant internal andor external personnel

Determine evaluation findings and outcomes

Preliminary findings and any identified issues are developed and discussed with relevant internal andor external personnel

Any additional data collection and analysis required to clarify aspects of findings issues and related action options is undertaken if necessary

Recommendations for any action to improve identified deficiencies in compliance are prepared in conjunction with relevant internal or and personnel

Document and disseminate the outcomes and recommendations of the evaluation

A draft report of the outcomes findings and recommendations of the compliance evaluation is prepared in accordance with the agreed structure and format and distributed to relevant internal andor personnel for comment and feedback

The report is edited based on the feedback obtained

The report is proofread in preparation for publishing

The report of outcomes findings and recommendations of the evaluation is signed off by authorised personnel

The report is produced and disseminated to nominated internal and external personnel in accordance with agreed arrangements

Required knowledge and understanding include

evaluation methods and techniques suitable for compliance related evaluation and review projects and activities

sources of data relevant to compliance related evaluation and review

relevant Australian and international standards including but not limited to

AS Compliance Programs

AS Complaints Handling

ANZS Risk Management

AS ISO Records Management

quantitative and qualitative data analysis techniques relevant to compliance related evaluation

elements of compliance programmanagement systems including

documentation of compliance requirements relevant to the organisation

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

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 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

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

research and evaluation skills such as

conducting literature searches and web searches

analysing and organising evaluation data using appropriate techniques

conducting various types of evaluation surveys

conducting quantitative data analysis using appropriate techniques

using investigative skills to the level needed when evaluating and reviewing compliance

evaluation project management skills such as

developing project plans

managing other personnel involved in the evaluation 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 in the course of surveys and other evaluation activities

communicating with internal andor external clients for the evaluation project

Collecting analysing and organising information

gathering and analysing data as per evaluation plan

sorting and organising outcomes of data analysis

Planning and organising activities

preparing the project plan for the evaluation activities

Working in a team

managing the work of others performing specific functions as part of a compliance related evaluation project

Using mathematical ideas and techniques

conducting quantitative data analysis within a compliance related evaluation project

Solving problems

solving problems arising in the conduct of a compliance related evaluation project

Using technology

using computers and software packages for the collection processing and analysis of evaluation data

Innovation skills

recognising and creating opportunities for innovative data analysis activities that may improve the efficiency reliability and validity of the evaluation processes and outcomes

Products that could be used as evidence include

evaluation plan

outcomes of the data collection processes

summaries of the outcomes of data analysis

diaries and other records of evaluation processes used

draft and final evaluation reports

Processes that could be used as evidence include

how the literature and web searches were conducted

how data collection methods were implemented

how data analysis was conducted

how feedback on draft findings issues and recommendations was obtained and interpreted

how personnel performing relevant compliance evaluation activities have been managed

how evaluation report was drafted and edited

Resource implications for assessment include

access to relevant published material and 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 for online searching data processing and analysis and report preparation and editing

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 the successful conduct of at least one evaluation project This may be a suitably simulated evaluation project or an actual compliance evaluation project

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:

Evaluation methodology may include but is not limited to:

Evaluation plan may include but is not limited to:

Evaluation data may include but is not limited to:

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

Relevant internal personnel may include:

Relevant external personnel may include:

Authorised personnel may include: