Application
This unit describes the skills and knowledge required to plan, develop and validate compliance requirements.
It applies to individuals who are responsible for the compliance requirements of an organisation. It also applies to individuals in regulatory authorities, licensing authorities, statutory standards authorities, professional associations and institutes, government departments or other organisations who are responsible for establishing compliance requirements to be fulfilled by other organisations and personnel.
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 the purpose and scope of the proposed compliance requirements | 1.1 Determine the authority for the compliance requirements in conjunction with relevant personnel 1.2 Clarify the purpose of the compliance requirements with relevant authorised personnel 1.3 Determine the scope of the proposed compliance requirements in consultation with relevant internal and/or external personnel 1.4 Clarify the implications of non 1.5 Identify and interpret relevant Australian and international standards pertaining to the proposed compliance requirements and related compliance program/management system |
2 Prepare the development plan | 2.1 Establish a suitable project methodology to identify and consult with relevant stakeholders who have an interest in the proposed compliance requirements 2.2 Prepare the plan for the proposed project to develop compliance requirements 2.3 Obtain approval of plan from relevant internal and/or external personnel |
3 Consult with relevant stakeholders | 3.1 Identify relevant internal and/or external stakeholders in the compliance requirements 3.2 Consult stakeholders on compliance requirements in accordance with the established methodology 3.3 Interpret, analyse and organise outcomes of consultations with stakeholders 3.4 Summarise findings and issues determined through the consultation process and draft appropriate recommendations on compliance requirements |
4 Prepare the initial draft report on the proposed compliance requirements | 4.1 Prepare the initial draft report on the proposed compliance requirements including information on the findings, issues and recommended requirements identified through the consultation processes 4.2 Submit draft report to the development team for consideration and make any changes required in preparation for validation consultations |
5 Obtain feedback on draft compliance requirements | 5.1 Determine an appropriate sample of stakeholders for the validation process in collaboration with the other members of the development team in accordance with the established methodology 5.2 Disseminate the draft compliance requirements to the identified sample of stakeholders using appropriate techniques and technology 5.3 Collate, interpret and analyse feedback received on the draft compliance requirements 5.4 Summarise and organise outcomes of the feedback process in preparation for editing of the draft compliance requirements |
6 Edit and document recommended compliance requirements | 6.1 Edit the draft compliance requirements appropriately based on the feedback obtained from stakeholders 6.2 Format and proofread the edited compliance requirements in accordance with the agreed methodology 6.3 Submit the recommended compliance requirements in the required format to authorised personnel for consideration and due process for approval and implementation |
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 | 1.5, 3.3, 3.4, 4.1, 5.3, 5.4, 6.1, 6.2 | Comprehends and analyses texts to identify key requirements Identifies, analyses, reviews and extracts relevant information from complex texts Proofreads draft texts to identify changes required |
Writing | 2.1-2.3, 3.3. 3.4, 4.1, 4.2, 5.3, 5.4, 6.1, 6.2 | Collates, summarises and compiles information from a range of sources Develops materials for a specific audience using clear and detailed language to convey findings and recommendations Edits and incorporates amendments to ensure compliance with regulatory or organisational requirements |
Oral Communication | 1.1-1.4, 2.3, 3.2, 5.1 | Conveys or seeks information, in a format and style appropriate to a specific audience Elicits the views and opinions of others by listening and questioning |
Navigate the world of work | 1.5 | Identifies organisational implications of legislative requirements and considers these when planning and implementing work |
Interact with others | 1.1-1.4, 2.3, 3.2, 5.1 | Collaborates with others using effective interpersonal skills to facilitate shared understanding Identifies and uses appropriate conventions and practices when communicating with internal and external personnel |
Get the work done | 1.4, 1.5, 2.1, 2.2, 2.3, 3.1-3.3, 4.1, 4.2, 5.1-5.4, 6.1-6.3 | Sequences and schedules complex activities, monitors implementation and manages required communication with others Gathers and analyses data and feedback to improve outcomes Utilises features and functions of digital tools to complete complex tasks |
Sectors
Regulation, Licensing and Risk – Compliance