Application
This unit describes the skills and knowledge required to identify, classify, investigate, rectify and report breaches in compliance requirements within an organisation. The unit has been designed to be consistent with AS 3806: 2006 Compliance programs.
It applies to individuals who use the processes and procedures defined within an organisation’s compliance program/management system to manage compliance breaches according to specific legislative requirements, code/s of practice and internal standards.
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.
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 a breach in compliance requirements | 1.1 Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system 1.2 Promptly identify, classify, and report any breaches of compliance requirements |
2 Develop and implement an action plan for investigation and rectification of a breach | 2.1 Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system 2.2 Develop an appropriate action plan for managing and rectifying an identified breach in accordance with the established breach management procedures and relevant Australian and international standards 2.3 Take prompt action to rectify a breach as per the plan 2.4 Document and report action taken as required |
3 Liaise with relevant internal and external personnel | 3.1 Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken 3.2 Inform internal and external personnel of progress in rectifying the breach 3.3 Take advice and direction from relevant internal and external personnel on the management and rectification of the breach in accordance with the organisation’s compliance program/management system 3.4 Apply effective interpersonal skills |
4 Monitor the rectification of a breach | 4.1 Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system 4.2 Identify problem/s which may arise in breach rectification and take appropriate action to deal with the problem/s and report to appropriate personnel on its management 4.3 Notify all relevant personnel when the identified breach has been successfully rectified |
5 Document breach and subsequent rectification | 5.1 Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel 5.2 Report systemic and recurring problems of non 5.3 Complete records of breach, action taken and the outcomes of rectification processes and file in accordance with the organisation’s compliance program/management system |
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, 2.2, 2.3, 3.3, 4.1, 5.3 | Analyses, evaluates and compares industry specific and complex texts to determine and distinguish compliance requirements |
Writing | 1.2, 2.2, 2.4, 3.1, 3.2, 4.2, 4.3, 4.3, 5.1, 5.2, 5.3 | Produces a range of text types matching style of writing to purpose and audience Documents and records findings using required organisational formats |
Oral Communication | 3.1, 3.2, 3.3, 3.4, 4.2, 4.3, 5.2 | Presents specialised information to a range of audiences using structure and language to suit the audience Uses active listening and questioning to elicit the views and opinions of others and to confirm understanding |
Navigate the world of work | 1.1, 2.1, 2.2, 3.3, 4.1, 5.3 | Takes personal responsibility for following explicit and implicit policies, procedures and legislative requirements |
Interact with others | 1.2, 2.4, 3.1, 3.2, 3.3, 3.4, 4.2, 4.3, 5.1, 5.2 | Identifies and uses appropriate conventions and practices when seeking or sharing information with internal and external personnel Identifies relevant information and ideas from a range of oral and written exchanges |
Get the work done | 1.1, 1.2, 2.2-2.3, 4.1-4.3, 5.1-5.3 | Takes responsibility for developing, implementing and monitoring processes to manage breaches in compliance requirements Organises, plans and sequences own workload and schedules work activities to achieve required outcomes Systematically gathers, analyses and evaluates all relevant information in order to make informed decisions about management of compliance breaches |
Sectors
Regulation, Licensing and Risk – Compliance