This unit applies to individuals who identify statutory, legislative and regulatory requirements and relate them to individual work practices to ensure ongoing adherence to the compliance framework.

ELEMENT

PERFORMANCE CRITERIA

1. Identify individual compliance requirements

1.1. Identify and document statutory, legislative and regulatory requirements relevant to job role, occupation or profession

1.2. Identify and document relevant organisational and industry requirements

2. Interpret individual compliance requirements

2.1. Map compliance requirements against individual position description and work practices

2.2. Discuss ethical considerations with relevant parties where appropriate

3. Ensure individual compliance

3.1. Consult with appropriate persons to identify procedures to be applied, contingent on the situation

3.2. Reflect on personal actions in the context of compliance requirements

3.3. Record action taken if required

4. Identify and adapt to changes in compliance requirements

4.1. Access and analyse documentation relating to changes in compliance issues

4.2. Discuss documentation with appropriate persons to ensure ongoing compliance

Required skills

written and oral communication to apply the relevant compliance framework

research and documentation skills to research and summarise the compliance framework relevant to job role

self-management skills to:

monitor and adapt to changes in compliance issues

handle contingencies

Required knowledge

statutory, legislative and regulatory requirements relevant to job role, occupation or profession

codes of practice relevant to job role, occupation or profession

organisational policies and procedures relevant to workplace

comprehensive knowledge of individual work requirements and practices as contained in position description and occupational standards

interpretation of statutory requirements and codes of conduct in context of individual job role

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 ability to:

apply knowledge of relevant statutory, legislative and regulatory requirements relating to work practices

map requirements to work practices to demonstrate an application of compliance requirements

apply work practices in accordance with a compliance framework

handle contingencies.

Context of and specific resources for assessment

Assessment must ensure access to:

legislation, regulations and codes of conduct relevant to job role, occupation or profession

information about relevant professional associations and codes of conduct

organisational policies and procedures relevant to job role, occupation or profession.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this units:

analysis of responses to case studies and scenarios

direct questioning combined with review of portfolios of evidence

oral or written questioning to assess knowledge of scope of own responsibilities and obligations to refer matters outside area of responsibility

evaluation of legal cases involving the application of the compliance framework relevant to the job role, occupation or profession.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

BSBCMM402A Implement effective communication strategies.

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.

Statutory, legislative and regulatory requirements may include:

equal employment opportunity and anti-discrimination legislation

legislation specific to the industry or profession, e.g. Legal Professional Act 2007

occupational health and safety laws

privacy legislation

regulations and codes of conduct governing the occupation or profession.

Organisational and industry requirements may include:

conflict of interest guidelines

equity guidelines and workplace diversity guidelines

ethical or other standards

industry standards and codes of conduct

internal control standards

organisation's values statement and relevant policies and procedures.

Appropriate person may include:

human resource manager

person designated in organisational policy and procedure responsible for compliance

supervisor.

Documentation may include:

newsletters

organisational records

staff meeting agendas and minutes

updates from networks and professional associations.

Unit sector

Regulation, licensing and risk - compliance

This unit contains employability skills.