Required skills

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

investigative skills to gather information on how breaches in compliance requirements occurred

organisational skills to develop and monitor processes to manage breaches in compliance requirements including

determining compliance requirements applicable to the organisation

sourcing information on breach management systems suitable for the organisation

developing a breach management system and related procedures

managing other personnel dealing with identified breaches in compliance requirements

documenting breach management procedures

applying investigative skills to the level required

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

technical skills to use communications technology effectively

Required knowledge

analysis techniques relevant to the review and interpretation of an identified breach in compliance requirements

compliance requirements applicable to the organisation

elements of compliance program/management system 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

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 complianceprogram management system

internal and external personnel with an interest in compliance

organisational responsibilities for compliance

planning processes of the organisation

potential breaches in compliance requirements

relevant organisational policies and procedures including

procedures for breaches in compliance requirements

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

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

sections of relevant Australian and international standards dealing with aspects of breach management processes and responsibilities 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

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

development of processes for managing organisational compliance breaches

knowledge of compliance requirements applicable to the organisation

Context of and specific resources for assessment

Assessment must ensure

access to relevant information on compliance requirements 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 relevant internal and external personnel

access to appropriate computer resources needed for managing the identification and rectification of breaches in 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

observations of activities undertaken to manage breaches in compliance requirements

assessment of reports identifying breaches in compliance

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 managing breaches in compliance requirements

oral or written questioning to assess knowledge of the effectiveness of actions taken to manage compliance breaches

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

assessment or written reports detailing action to be taken to overcome compliance breaches and to prevent their reoccurrence in the future

review and evaluation of complaints regarding potential breaches in compliance requirements

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:

Sources of information on potential breaches in compliance requirements may include:

Relevant regulatory authorities and other organisations with an interest in compliance may include:

Relevant internal and external personnel may include: