Required skills

interpersonal skills to relate to internal and external personnel with an interest in the compliance requirements being developed

project management skills to

develop project plans

manage other personnel involved in the project activity

manage time

manage finances

literacy skills to write reports containing complex concepts

research skills to

conduct literature and internet searches

assist with surveys to obtain input and feedback on compliance requirements

assist with the analysis and organisation of collected information and feedback on compliance requirements using appropriate data collection techniques

Required knowledge

compliance requirements relevant to the organisation

methods and techniques suitable for projects aimed at the development and creation of compliance requirements either as part of broader regulations license requirements etc or internal standards codes of practice procedures and policies

elements of compliance program/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

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 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

relevant organisational policies and procedures including

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

sources of data relevant to compliance requirements

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 activity in which compliance requirements are developed and validated

knowledge of compliance requirements relevant to the organisation

Context of and specific resources for assessment

Assessment must ensure

access to relevant published material such as

organisational policies standard operating procedures procedures and plans

relevant legislation regulations licensing requirements codes of practice standards

access to relevant internal and external data files

access to appropriate computer resources for online searching data processing and analysis and document 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

analysis of techniques and data collected to develop and create compliance requirements

assessment of reports documenting compliance requirements in the organisation

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

observations of activities undertaken to develop and create compliance systems and processes

observations of interactions with internal and external stakeholders while developing and creating compliance requirements

oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes

review of development plan

evaluation of outcomes of consultations with stakeholders

assessment of findings issues and recommendations on 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

Authority for the compliance requirements may include:

Compliance requirements may include:

Authorised personnel may include:

Relevant Australian and international standards may include:

Project methodology may include:

Plan may include:

Relevant internal and/or external stakeholders may include:

Development team may include: