This unit applies to individuals with a broad knowledge of compliance who are involved in organising and operating compliance managing systems and creating solutions to unpredictable problems. Well developed skills enable these individuals to provide leadership and guidance to others, although they have limited responsibility for the output of others. Analysis and evaluation of information will take place from a variety of sources.

This unit could be applied as part of a broader role of an owner-manager or senior manager in a small organisation. It may also be undertaken as a section or line manager in an operational unit or as a member of a compliance management team within a larger organisation.

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.

ELEMENT

PERFORMANCE CRITERIA

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

Required skills

financial skills to manage budgetary resources for compliance management systems

interpersonal skills to establish rapport and to build relationships with clients, team members and stakeholders who have an interest in the operation of an organisation's compliance program or management system

leadership skills to gain trust and confidence of colleagues and clients

literacy skills to prepare and edit reports containing complex concepts and ideas

organisational and time management skills to organise compliance management systems, and associated finances and human resources within an organisation

problem solving skills to create innovative solutions to problems arising from the organisation and monitoring of compliance management systems

research and data collection skills to investigate an organisation's compliance management system

research and data collection skills to monitor the operation of a management system.

Required knowledge

Australian and international standards including but not limited to:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management

compliance policies and requirements relevant to the organisation

elements of the 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 identifying, classifying, investigating, rectifying and reporting 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 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 program/management 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:

organising and monitoring compliance programs or management systems

knowledge of relevant Australian and international standards.

Context of and specific resources for assessment

Assessment must ensure:

access to a compliance program or management system

access to relevant documentation such as:

plans for the operation of the compliance program/management system

organisational policies, standard operating procedures, procedures and plans

relevant legislation, regulations, licensing requirements, codes of practice, standards, etc.

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 responses to case studies and scenarios

analysis of information gathered about the compliance management system

assessment of compliance plans, progress and monitoring reports

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

observations of application of compliance management techniques

observations of interactions with team members, colleagues, regulatory authorities and clients

oral or written questioning to assess knowledge of compliance management activities

review of implementation strategy and schedule for the establishment of the planned compliance program/management system

evaluation of briefings and training to ensure staff are aware of their roles and responsibilities.

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.

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Compliance requirements may include:

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit

education, electricity, environmental protection, equal opportunity

financial services (including banking), fire, food hygiene, freedom of information, freight forwarding

gambling, gene technology

health, human rights

insurance, immigration, intellectual property

land management

maritime, mining

pharmaceuticals, patents, privacy

quarantine

racing, rail transport, road transport

safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

different types of external and internal compliance requirements including:

regulations of a state/territory, national or international regulatory authority

accreditation requirements of an institute, professional organisation or registration body

requirements for certification under statutory licensing systems

statutory standards or codes of practice

internal policies, procedures, standards or codes of practice of an organisation

industrial relations agreements and policies

Components of the planned compliance program/management system may include:

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance complaints handling systems

compliance related management information systems

compliance reporting procedures

continuous improvement processes for compliance including monitoring, evaluation and review

corporate induction and training processes related to compliance management

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system

record keeping systems required for compliance management

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

specifications of compliance management functions, accountabilities and responsibilities within the organisation

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program/management system

Relevant Australian and international standards may include:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management

Resources for the planned compliance program/management system may include:

audiovisual resources where applicable

computer hardware, software and files

facilities and physical resources

hardcopy and electronic documentation

management and operations personnel

management information system

Appropriate sources may include:

information from advisors, consultants and others with expertise in the development, operation and maintenance of compliance program/management systems

internal personnel with expertise in the development, operation and maintenance of compliance program/management systems

publications (hardcopy and electronic) of authorities and organisations in relevant compliance areas

representatives of authorities and organisations in relevant compliance areas

Performance indicators may include:

content of reports of breaches of compliance requirements

number and details of alleged breaches of relevant laws, codes and organisational standards

number and details of complaints recorded that are related to compliance requirements and action taken

operational costs of the compliance program/management system

reported problems in the operation of the complaints management system

reports on action taken in the event of a breach in compliance requirements

results of assessments of skills and knowledge of managers and operations staff in terms of the organisation's compliance requirements, the compliance program/management system and their individual roles, accountabilities and responsibilities

Relevant internal personnel may include:

board of directors

chief executive officer

chief executives and managers in related organisations with an interest in the compliance requirements and the compliance program/management system

compliance management team (where relevant)

compliance specialists at the management level

compliance specialists at the operational level

frontline managers

legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

representatives of professional associations and institutes relevant to the compliance requirements and the compliance program/management system

representatives of relevant authorities with an interest in the compliance requirements and the compliance program/management system

senior management team

Relevant external personnel and organisations may include:

educational institutions and organisations

government departments

professional associations and institutes

state/territory or national licensing authorities

state/territory or national statutory standards authorities

state/territory, national or international regulatory authorities

Communication strategy may include:

attendance at relevant conferences, seminars, etc. dealing with relevant aspects of applicable compliance requirements and related compliance management

hardcopy and electronic newsletters either dedicated to compliance management issues or having a section dealing with compliance management issues

nominated internal contacts linked to an established network of external contacts in relevant regulatory authorities and other organisations with an interest in applicable compliance requirements

presentations and papers at conferences or in relevant journals covering relevant aspects of the organisation's compliance program/management system

production and distribution of external documentation requirements including press releases, published information on compliance policies and organisational initiatives for compliance management, submissions and reports to regulatory authorities and others with an interest in applicable compliance requirements

production and distribution of internal documentation requirements including overall specification of the compliance program/management system, procedures, standards, organisational structures, descriptions of staff roles and responsibilities, information on compliance program/management system components, breach management policies and procedures

subscription to and/or systematic access and review of, relevant publications and periodicals dealing with relevant aspects of applicable compliance requirements and related compliance management

website and email arrangements for communication with relevant internal and external personnel

Unit sector

Regulation, Licensing and Risk - Compliance

This unit contains employability skills.