Application
This unit describes the skills and knowledge required to identify and interpret the range of internal and external compliance requirements and obligations that must be fulfilled by an organisation.
It applies to individuals who use their sound theoretical knowledge of compliance and skills in identifying compliance requirements to plan, carry out and evaluate their own work and/or the work of a team.
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 the scope of operations | 1.1 Identify and review the relevant range of operations and the sphere of business arrangements of the organisation 1.2 Conduct an analysis of the operations and business arrangements of the organisation and identify the functions, products and services that may be subject to compliance requirements 1.3 Develop and document work activity plans for determining relevant compliance requirements 1.4 Obtain approval of plans from relevant organisational personnel |
2 Identify compliance requirements | 2.1 Conduct a search of information on internal and external compliance requirements using appropriate search resources, including relevant Australian and international standards 2.2 Ensure the search of compliance requirements scans across all relevant jurisdictions of laws, regulations, and industry and organisational codes and standards and identify pertinent compliance requirements 2.3 Progressively review information collected in terms of its relevance to the organisation’s operations, services and products 2.4 Organise and store gathered information on relevant compliance requirements in an appropriate format for further analysis |
3 Interpret, analyse and prioritise identified compliance requirements | 3.1 Review and interpret collected information in terms of its relevance to the organisation’s functions, services and products 3.2 Discuss and clarify with relevant internal or external personnel ambiguities, uncertainties and problems experienced in interpreting identified compliance information 3.3 Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation and risks and consequence of possible breaches 3.4 Group pertinent compliance requirements into those that are critical and central to the organisation’s operations, those that are important in some circumstances but are not central to the organisation’s operations, and those that are pertinent but are incidental to the organisation’s operations |
4 Document compliance requirements | 4.1 Organise and document outcomes of the identification and interpretation activities 4.2 Prepare and communicate reports of relevant compliance requirements and assessment of implications to relevant personnel performing specific compliance management functions |
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, 2.1, 2.2, 2.3, 3.1, 3.3, 3.4 | Identifies, interprets, analyses or reviews complex texts from various sources to determine legal requirements, organisational operations, specific requirements and responsibilities |
Writing | 1.2, 1.3, 1.4, 2.4, 3.2, 3.3, 3.4, 4.1, 4.2 | Collates and compiles results of research and analysis using appropriate technical language and organisational formats Develops materials to convey information, requirements or recommendations using language and structure appropriate to the audience |
Oral Communication | 1.4, 3.2, 4.2 | Presents specialised information using structure and language to suit the audience Uses appropriate techniques, including active listening and questioning, to seek approvals and to confirm understanding |
Navigate the world of work | 1.2, 2.2, 3.1, 3.3 | Takes full responsibility for following policies, procedures and legislative requirements and identifies organisational implications of new legislation or regulations |
Interact with others | 1.4, 3.2, 4.2 | Identifies and uses appropriate conventions and practices when communicating with internal and external personnel |
Get the work done | 1.1, 1.3, 2.1-2.4, 3.1, 3.3, 3.4, 4.1, 4.2 | Plans, organises and implements activities required to identify, prioritise and document compliance requirements Systematically gathers, analyses and evaluates all relevant information in order to make informed decisions about management of compliance breaches Uses digital tools and systems to locate, organise and share information in effective ways |
Sectors
Regulation, licensing and risk – compliance