Required skills

contribute to a positive culture of compliance within an organisation

research skills to

conduct literature and internet searches

assist with various types of research surveys

assist with the analysis and organisation of research data including qualitative and quantitative data using appropriate techniques

research management skills to

develop research plans

manage other personnel involved in the research activity

manage time

manage finances

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

literacy skills to write reports containing complex concepts

Required knowledge

research methods and techniques suitable for conducting compliance related research projects

quantitative and qualitative data analysis techniques relevant to compliance related research

relevant Australian and international standards such as

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

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 a compliance program management 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

planning for and setting up a compliance programmanagement system for an actual workplace or a simulated workplace in collaboration with relevant personnel

knowledge of research methods and techniques suitable for conducting compliance related research projects

Context of and specific resources for assessment

Assessment must ensure

access to relevant information on compliance requirements

access to relevant information on options for compliance programmanagement systems

access to the relevant internal and external personnel

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

analysis of techniques and data collected to plan and establish compliance management systems

assessment of reports documenting the development and progress of compliance management systems

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 management systems

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

review of documented action schedule

periodic reviews of the compliance programmanagement system

assessment of reports on the operation and review of the compliance programmanagement system

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:

Compliance program/management system may include:

Relevant Australian and international standards may include:

Established criteria may include:

Personnel requirements may include:

Training requirements may include:

Action schedule may include: