Application
This unit describes the skills and knowledge required to communicate about an organisation’s compliance requirements and commitments to staff, agents, contractors and other relevant third parties.
It applies to individuals who use well developed promotional and liaison skills, combined with knowledge of relevant legislative requirements, code/s of practice and internal standards and procedures, 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.
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 Clarify compliance issues on which liaison is required | 1.1 Confirm and clarify with relevant internal and external personnel, compliance issues requiring communication 1.2 Seek and/or obtain information during the liaison activity on applicable compliance requirements and related compliance program/management system and summarise in an appropriate format 1.3 Identify, source and interpret sections of relevant Australian and international standards in terms of processes to be followed for promotional and liaison activities |
2 Identify the target groups for promotional or liaison activities | 2.1 Using appropriate means, identify groups that need to be aware of the organisation’s compliance program/management system or that may need to be contacted about compliance issues 2.2 Record information on identified target groups and store in an appropriate format for use in activities to promote the compliance program/management system |
3 Identify contacts for liaison | 3.1 Identify suitable contacts from own network or with the assistance of relevant internal and external personnel 3.2 Apply search techniques to establish the most suitable contacts for the liaison activities, where appropriate |
4 Develop an action plan for the promotional and liaison activities | 4.1 Access and review details of the organisation’s compliance program/management system 4.2 List internal and external persons and organisations that need to be aware of specific aspects of the compliance program/management system in compliance management promotional and liaison activities 4.3 Prepare an action plan for the compliance management promotional and liaison activities in collaboration with relevant internal and external personnel |
5 Assign resources for promotional and liaison activities | 5.1 Prepare to implement the planned compliance management promotional and liaison activities and negotiate a suitable budget with authorised personnel for approval 5.2 Assign or acquire physical and human resources for the execution of the planned promotional and liaison activities, in accordance with the approved action plan |
6 Communicate with identified contacts | 6.1 Make initial contact with identified internal and/or external contacts using appropriate communication techniques 6.2 Ensure the requirements for seeking information are clearly explained and communicated 6.3 Apply effective interpersonal skills during all communication activities 6.4 Provide accurate and clear details in written, electronic or oral form using appropriate techniques in accordance with relevant internal and external requirements 6.5 Record details of communications conducted as part of compliance related promotional and liaison activities in an appropriate format |
7 Manage promotional and liaison activities | 7.1 Brief managers and personnel on their roles and responsibilities in the compliance management promotional and liaison activities 7.2 Monitor compliance management promotional and liaison activities against objectives, established performance criteria, milestones and budget targets 7.3 Take appropriate action to ensure promotional activities achieve the planned outcomes within project limits |
8 Evaluate promotional and liaison activities | 8.1 Collect data and performance indicators from appropriate sources, on the outcomes of compliance management promotional and liaison activities 8.2 Analyse collected evaluation data in terms of planned outcomes and performance criteria 8.3 Summarise the results of the promotional and liaison activities and document identified issues and related recommendations |
9 Document promotional activities | 9.1 Record, store and disseminate details of the execution of planned compliance management promotional and liaison activities in accordance with the organisation’s policies and procedures 9.2 Prepare and submit reports on the compliance management promotional and liaison activities and ensure the outcomes are relevant to internal and external personnel 9.3 Refer recommendations on improvements to compliance management promotional and liaison activities to relevant managers for appropriate action 9.4 Organise and incorporate information on contacts established during compliance management liaison activities in an appropriate listing of contacts for future liaison activities |
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 | 1.2, 1.3, 2.1, 3.2, 4.1, 5.2, 8.2, 9.4 | Locates and analyses complex texts to determine key information, specific requirements and responsibilities |
Writing | 1.1, 1.2, 2.2, 4.2, 4.3, 6.1-6.5, 7.1, 8.2, 8.3, 9.1-9.4 | Records, collates and compiles information gathered from multiple sources using correct technical and enterprise specific language 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, 1.2, 3.1, 4.3, 5.1, 6.1-6.4, 7.1 | Discusses compliance issues using structure and language to suit the audience Uses listening and questioning techniques to confirm understanding of compliance requirements |
Numeracy | 5.1, 7.2, 8.1-8.3 | Interprets numerical information and applies mathematical calculations relating to budgetary information |
Navigate the world of work | 1.2, 1.3, 2.1, 3.1, 6.1, 6.4, 9.1 | Takes personal responsibility for following organisational policies, procedures and legislative requirements |
Interact with others | 1.1, 1.2, 2.1, 3.1, 4.3, 5.1, 6.1-6.4, 7.1, 9.1, 9.3 | Identifies and uses appropriate conventions and practices when communicating with internal and external personnel Identifies relevant information and ideas from a range of messages and oral exchanges |
Get the work done | 2.1, 2.2, 3.2, 4.1, 4.2, 5.1, 5.2, 6.5, 7.2, 7.3, 8.2, 8.3, 9.2, 9.3, 9.4 | Takes responsibility for planning and implementing tasks required to achieve promotional objectives in a timely manner Contributes to continuous improvement of current work practices through consultation and development of appropriate systems Uses the main features and functions of digital tools to complete work tasks |
Sectors
Regulation, Licensing and Risk – Compliance