Required skills

interpersonal skills to contribute to a positive culture of compliance within an organisation

investigative skills to evaluate and review compliance

project management skills to

develop project plans

manage other personnel involved in the evaluation activity

meet project timelines

mange project finances

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

research and evaluation skills to

conduct literature searches and internet searches

analyse and organise evaluation data using appropriate techniques

conduct various types of evaluation surveys

conduct quantitative data analysis using appropriate techniques

technical skills to use communications technology effectively

Required knowledge

evaluation methods and techniques suitable for compliance related evaluation and review

sources of data relevant to compliance related evaluation and review

relevant Australian and international standards including but not limited to

AS Compliance programs

AS ISO Customer satisfaction Guidelines for complaints handling in organizations

AS ISO Records management

ASNZS Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

elements of compliance program/management systems including:

documentation of compliance requirements relevant to the organisation

compliance management functions accountabilities and responsibilities within the organisation

compliance related management information systems

record keeping 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 developing 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

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

completion of project work which comprehensively evaluates how an organisation is fulfilling its compliance requirements

knowledge of evaluation methods and techniques suitable for compliance related evaluation and review

Context of and specific resources for assessment

Assessment must ensure

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

compliance evaluation reports

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

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

observations of activities undertaken to evaluate compliance requirements

assessment of reports evaluating the performance and effectiveness of existing compliance systems and processes

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

observations of interactions with internal and external stakeholders while evaluating compliance requirements

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

review of evaluation plan

assessment of dissemination of the report

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:

Evaluation methodology may include:

Evaluation plan may include:

Evaluation data may include:

Relevant Australian and international standards may include:

Relevant internal personnel may include:

Relevant external personnel may include:

Authorised personnel may include: