Depending on the size of the organisation, the unit could be applied to different groups of managers. In small businesses, the unit could be undertaken by owner-managers, chief executives and/or other managers. In larger organisations, the unit could be required by managers and compliance section managers, who may have specific responsibility for the planning, development and operation of induction and training components of their organisation's compliance program.

This unit is intended to ensure that compliance is an integral part of normal business operations.

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 the requirements for induction and ongoing training programs in compliance management

1.1. Establish compliance requirements relevant to the organisation and the associated compliance program/management system

1.2. Confirm and document the organisation's obligations and responsibilities in providing induction and training activities

1.3. Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system

1.4. Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system

1.5. Determine induction and training needs of personnel to achieve the required levels of competence

2. Plan internal and external compliance education and training systems

2.1. Develop compliance training objectives based on assessed training needs of personnel

2.2. Assess and compare quality and costs of external training options

2.3. Assess ability of organisation to deliver required training internally

2.4. Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs

2.5. Negotiate training options if required

2.6. Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel

2.7. Identify training personnel requirements and recruit and prepare appropriate staff

3. Organise internal and external compliance education and training systems

3.1. Organise appropriate training and assessment materials and facilities for development or acquisition (where required)

3.2. Prepare and execute implementation plans for the internal and external compliance training as approved

3.3. Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures

3.4. Implement planned corporate induction and training programs

4. Evaluate and monitor the compliance education and training systems

4.1. Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel

4.2. Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems

4.3. Implement approved plans for the monitoring and evaluation of internal and external compliance training systems

5. Document the operation of the compliance education and training systems

5.1. Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements

5.2. Prepare, process and store operational reports, certification and training and assessment records

5.3. Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required

Required skills

organisational skills to source, select and coordinate appropriate internal and external training options and activities within an organisation

interpersonal skills to contribute to a positive culture of compliance ability to coordinate training and assessment activities within an organisation

interpersonal skills to relate to internal and external personnel involved in compliance training

organisational and time management skills to plan and develop appropriate internal and external training in compliance related areas, including:

developing internal and external training schedules

managing other personnel involved in the education and training activities

coordinating availability and use of training facilities, equipment and materials

managerial skills to monitor and evaluate internal and external training programs in an organisation

literacy skills to read, interpret and write a range of reports with complex concepts and processes.

Required knowledge

internal and external training options available to match the needs of the organisation and its staff in compliance related areas

Australian and international standards relevant to training and development in compliance management systems including:

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

sources of information on training options relevant to the development, implementation and maintenance of compliance program/management systems

adult education and training principles

elements of compliance programs and related 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 compliance 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 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:

provision of education and training to relevant personnel within an organisation to enable it to fulfill its obligations and responsibilities under applicable compliance requirements

knowledge of adult education and training principles.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant information on internal and external training options in compliance related areas relevant to the organisation's needs

relevant training and assessment materials, facilities and resources

suitable internal training support staff and administrators

access to training records related to the compliance training scheme

access to appropriate computer resources for managing the organisation's compliance training scheme.

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 evaluation reports from participants in training programs provided

assessment of training program materials, content, facilitator and participant guides

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

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

oral or written questioning to assess knowledge of training program content or implementation

review of implementation plans for the internal and external compliance training, and the operational plan for the monitoring and evaluation of internal and external compliance training systems

assessment of operational reports, certification and training and assessment records.

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

alcohol licensing regulations

bankruptcy

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

education, electricity, environmental protection, equal opportunity

financial services, 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

security

sewage

superannuation

taxation

telecommunications

tobacco

trade practices

consumer protection

water supply

workers compensation

workers rehabilitation

different types of external and internal compliance requirements including:

regulations of 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

Compliance program/ management system may include:

documentation of compliance requirements relevant to the organisation

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

corporate induction and training processes related to compliance management

continuous improvement processes for compliance including monitoring, evaluation and review

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 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

Individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system may include:

advising and consulting on compliance requirements and management systems

applying basic skills and knowledge (achieved in induction or orientation program) to ensure that compliance is maintained with applicable regulations, rules, codes etc.

costing and budgeting for compliance

creating a culture of compliance within an organisation

developing and implementing systems for compliance, including record keeping, complaints and reporting systems

ensuring that the organisational infrastructure, policies and operating procedures for compliance are developed, implemented and maintained

educating others on compliance requirements and related management systems

ensuring compliance within others' work

ensuring compliance within own work

evaluating and reviewing compliance management system

identifying and interpreting compliance requirements implementing the compliance records system

implementing the compliance related complaints-handling system

managing rectification of breaches of compliance requirements

monitoring and reporting on the implementation of compliance systems and requirements

organising the implementation of compliance program/management system

planning and developing a compliance management system

promoting compliance within and outside of an organisation

rectifying identified breaches of compliance requirements

undertaking risk management on compliance

Internal compliance training programs may include:

induction and on-job coaching and mentoring on compliance responsibilities and roles within compliance programs and related management systems

internal off-job training on specific aspects of compliance management system such as MIS, complaints management, breach management, contributing to a compliance culture within the organisation, etc. (these may be substantial courses or short one-day workshops on specific issues)

internally developed and managed online training on specific aspects of the compliance management system including operational procedures and relevant roles and responsibilities

External compliance training options may include:

training programs conducted by regulatory authorities on requirements and obligations within a specific area of compliance e.g. OHS (Australian Safety and Compensation Council) or financial advisor regulations (Australian Securities & Investments Commission)

training programs on relevant aspects of compliance conducted by accredited training organisations

externally developed and managed online training on specific aspects of compliance and compliance programs and related management systems

Training personnel may include:

compliance education and training managers

training coordinators

trainers and assessors with expertise in relevant aspects of compliance requirements, compliance programs and related management systems

coaches and mentors in the workplace with expertise in relevant aspects of compliance requirements, compliance programs and related management systems

training support staff including administration staff, training resource managers and training material developers

Operational reports, certification and training and assessment records may include but are not limited to:

accreditation submissions and related documentation

assessment outcomes

educational awards and training certificates

reports on the evaluation of compliance training programs

planning and operational documentation for both internal and external compliance training

trainee and student records

Unit sector

Regulation, Licensing and Risk - Compliance

This unit contains employability skills.