This unit applies to managers and internal or external consultants of an organisation responsible for the development and creation of internal compliance requirements for the organisation, including standards, codes of practice, procedures and policies.

It also applies to managers and officers in regulatory authorities, licensing authorities, statutory standards authorities, professional associations and institutes, government departments or other organisations with responsibility 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.

ELEMENT

PERFORMANCE CRITERIA

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-compliance with the proposed compliance requirements and evaluate in consultation with relevant internal and/or external personnel

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

Required skills

interpersonal skills to relate to internal and external personnel with an interest in the compliance requirements being developed

project management skills to:

develop project plans

manage other personnel involved in the project activity

manage time

manage finances

literacy skills to write reports containing complex concepts

research skills to:

conduct literature and internet searches

assist with surveys to obtain input and feedback on compliance requirements

assist with the analysis and organisation of collected information and feedback on compliance requirements, using appropriate data collection techniques.

Required knowledge

compliance requirements relevant to the organisation

methods and techniques suitable for projects aimed at the development and creation of compliance requirements either as part of broader regulations, license requirements, etc. or internal standards, codes of practice, procedures and policies

elements of compliance program/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 program/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 program/management system

reporting processes on compliance management including reports on breaches and rectification action

relevant Australian and international standards including but not limited to:

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 quantitative and qualitative data analysis techniques relevant to compliance related evaluation

relevant organisational policies and procedures including:

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

sources of data relevant to compliance requirements.

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:

completion of project activity in which compliance requirements are developed and validated

knowledge of compliance requirements relevant to the organisation.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant published material such as:

organisational policies, standard operating procedures, procedures and plans

relevant legislation, regulations, licensing requirements, codes of practice, standards

access to relevant internal and external data files

access to appropriate computer resources for online searching, data processing and analysis, and document preparation and editing.

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 techniques and data collected to develop and create compliance requirements

assessment of reports documenting compliance requirements in the organisation

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

observations of activities undertaken to develop and create compliance systems and processes

observations of interactions with internal and external stakeholders while developing and creating compliance requirements

oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes

review of development plan

evaluation of outcomes of consultations with stakeholders

assessment of findings, issues and recommendations on compliance requirements.

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.

Authority for the compliance requirements may include:

internal authorities (to an organisation) such as:

chief executive officer or senior managers

compliance manager

internal audit manager

quality control manager

external authorities such as:

educational institutions and organisations

government departments

professional associations and institutes

state/territory or national licensing authorities

state/territory or national statutory standards authorities

state/territory, national or international regulatory authorities

Compliance requirements may include:

different types of external and internal compliance requirements including:

accreditation requirements of an institute, professional organisation or registration body

internal policies, procedures, standards or codes of practice of an organisation

regulations of a state/territory, national or international regulatory authority

requirements for certification under statutory licensing systems

statutory standards or codes of practice

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

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

education, electricity, environmental protection, equal opportunity

financial services (including banking), 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 (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

Authorised personnel may include:

chief executive officer or manager in an organisation

nominated representative of educational institution/s or organisation/s

nominated representative of professional association/s or institutes/s

nominated representative of a regulatory authority

nominated representative of a statutory standards authority

project manager

project steering committee

Relevant Australian and international standards may include:

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 quantitative and qualitative data analysis techniques relevant to compliance related evaluation

Project methodology may include:

desk analysis

environmental scans

interviews, focus groups, questionnaires

literature searches including internet searches

validation interviews, workshops, surveys

Plan may include:

costs

details of the objectives and deliverables

methodology

personnel required including project manager, internal or external consultant or project team and those who may be consulted during the course of the project activities

time lines and milestones

Relevant internal and/or external stakeholders may include:

board of directors

chief executive officer

chief executives and managers in organisations with an interest in the compliance requirements being developed

compliance management team (where relevant)

compliance specialists at the management level

compliance specialists at the operational level

frontline managers

legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

representatives of professional associations and institutes relevant to the compliance requirements being developed

representatives of relevant authorities with an interest in the compliance requirements

senior management team

Development team may include:

internal and external consultants and advisors

project manager

reference panel/s

steering or advisory committee

team members

Unit sector

Regulation, Licensing and Risk - Compliance

This unit contains employability skills.