Application
This unit describes the skills required to manage regulatory compliance, a management role with responsibility for regulatory officers who enforce and promote compliance with legislation. It includes interpreting and advising on enabling and related legislation; developing and implementing strategies to promote long term voluntary compliance and develop a culture of compliance in the community; and providing strategic advice on compliance matters.
This unit applies to those working in management roles within the public sector involved in regulatory compliance.
The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.
Those undertaking this unit would work autonomously, performing complex tasks in a range of familiar contexts.
No licensing, legislative or certification requirements apply to unit at the time of publication.
Elements and Performance Criteria
ELEMENTS | PERFORMANCE CRITERIA |
Elements describe the essential outcomes | Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section. |
1. Interpret and advise on enabling and related legislation | 1.1 Resolve or refer non routine or complex matters related to enabling and related legislation. 1.2 Provide advice to clients and staff that is prompt, consistent and constructive, and within level of authority. 1.3 Seek feedback on client level of understanding, and provide additional information or explanation to clarify issues. 1.4 Monitor staff understanding of legislation and procedures is and address professional development needs. |
2. Develop and implement compliance strategies | 2.1 Identify and implement strategies and measures to influence long term voluntary compliance to suit the audience and the context. 2.2 Provide information that is current and promotes the benefits of compliance to clients. 2.3 Adjust information and strategies in response to feedback gathered from a range of stakeholders. |
3. Provide strategic advice on compliance matters | 3.1 Confirm client or government information requirements. 3.2 Provide advice based on current information and meets the specific needs of clients in its range, depth and form of presentation. 3.3 Maintain presentation standards. 3.4 Seek feedback on how well the advice and/or information suits its purpose and audience, and use to recommend further action. |
Evidence of Performance
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.
undertaking planning and information analysis
engaging in mentoring and coaching
interpreting complex written materials
preparing written reports requiring formal structure and language
providing oral advice to diverse audiences requiring adaptation of style and language
using active listening and questioning to confirm understanding
Evidence of Knowledge
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.
enabling legislation
aspects of common law
strategic management of regulatory compliance
organisational reporting procedures
public sector policy and legislation, including WHS and environment relating to the management of regulatory compliance
Assessment Conditions
This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.
Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.
Foundation Skills
Foundation skills are embedded within the elements and performance criteria of this unit.
Competency Field
Regulatory