Application
This unit describes the performance outcomes, skills and knowledge required to organise and monitor the operation of a compliance program/management system established by an organisation. It has been designed to be consistent with AS 3806:2006 Compliance programs.
It applies to individuals who create solutions to a range of unpredictable problems and provide leadership and guidance to others with some limited responsibility for the output of others. Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements.
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.
Elements and Performance Criteria
ELEMENT | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1 Identify compliance roles and responsibilities | 1.1 Confirm and interpret the compliance requirements applicable to the organisation 1.2 Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system |
2 Organise the operation of the compliance program/management system | 2.1 Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation 2.2 Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards 2.3 Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies 2.4 Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities 2.5 Launch the compliance program/management system in accordance with organisation’s plan |
3 Monitor the operation of the compliance program/management system | 3.1 Gather information on the operation of the compliance program/management system from appropriate sources 3.2 Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria 3.3 Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems 3.4 Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems |
4 Document the operation and monitoring of the compliance program/management system | 4.1 Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system 4.2 Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel 4.3 Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel |
Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.
Skill | Performance Criteria | Description |
Reading | 1.1, 1.2, 2.1-2.3, 3.1, 3.2 | Identifies and evaluates complex texts in a variety of forms to determine key information, specific requirements and responsibilities |
Writing | 2.2, 2.4, 2.5, 3.4, 4.1-4.3 | Develops materials for specific audiences using correct and enterprise specific language Prepares information in a designated format and style to convey information, requirements and recommendations |
Oral Communication | 1.1, 2.1, 2.4, 3.1 | Discusses or explains compliance requirements using structure and language to suit the audience Uses listening and questioning techniques to confirm understanding of compliance requirements |
Numeracy | 2.1, 2.3 | Interprets numerical information and applies mathematical calculations relating to budgetary information, evaluating different scenarios |
Navigate the world of work | 1.1, 1.2, 2.2-2.4, 3.2, 3.3, 4.1-4.3 | Takes responsibility for developing, implementing and reviewing strategies to achieve compliance goals in accordance with legislative requirements |
Interact with others | 3.1, 3.4, 4.1 | Identifies and uses appropriate conventions and practices when communicating with internal and external personnel Actively identifies the requirements of important communication exchanges, selecting appropriate channels, format, tone and content to suit purpose and audience |
Getting the work done | 2.1-2.5, 3.1, 3.2, 3.3, 3.4, 4.2, 4.3 | Takes responsibility for planning, implementing and reviewing tasks required to achieve efficient and effective outcomes Uses formal analytical thinking techniques to clearly identify problems and generate timely solutions |
Sectors
Regulation, Licensing and Risk – Compliance