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Elements and Performance Criteria

1. Identify legislation, regulations and codes of practice relevant to the practice
   • Identify relevant legislation, regulations and codes of practice to be complied with in provision of services by the practice or business
   • Identify relevant compliance procedures to be established
2. Establish and document procedures for compliance of the practice with relevant legislation, regulations and codes of practice
   • Identify key stakeholders and consult regarding issues and proposed procedures and guidelines
   • Incorporate compliance issues and procedures into practice guidelines and document appropriately
   • Identify and document sources of information and advice on legislative and regulatory requirements
   • Establish and document procedures for ensuring currency of information within practice
   • Establish and incorporate into practice guidelines, ethical procedures and standards for interpretation of legislation, regulations and codes of practice
   • Establish procedures for monitoring compliance with legislation, regulations and codes of practice within practice and for outsourced third party providers
3. Establish risk management procedures for compliance with legislation and regulations
   • Establish and document structured and systematic risk management process, which takes into account practice obligations under relevant legislation and regulations
   • Identify and document risks of non-compliance
   • Establish, document and communicate to staff measures to avoid non-compliance and steps to be taken in event of breaches of obligations
   • Ensure measures are consistent with Australian state and federal regulations for licensees and authorised representatives
4. Identify and establish appropriate resources for ensuring the practice can meet its legislative and regulatory requirements
   • Identify appropriate levels of financial, technological and human resources to meet practice’s legislative and regulatory requirements
   • Implement training and assessment procedures to ensure employees have skills needed to comply with legislative and regulatory requirements
   • Establish clear decision-making procedures on legislative and regulatory issues, including identification to employees of licensees, authorised representatives, directors and other staff carrying legislative and regulatory responsibilities
   • Establish and maintain information technology systems and other technological resources to level necessary to enable compliance with legislative and regulatory requirements
   • Ensure budgets, requisition procedures and other internal financial systems clearly identify support for legislative and regulatory functions