Application
This unit describes the skills required to evaluate compliance outcomes, and review regulatory policies, procedures and legislation to improve compliance outcomes. It includes developing compliance measures and/or targets, evaluating the extent of compliance, reviewing procedures and guidelines to improve compliance, and contributing to new legislation or the review of existing legislation.
This unit applies to those working as a manager with responsibility for regulatory officers who enforce and promote compliance with the organisation’s enabling legislation.
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 and unfamiliar 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. Develop compliance measures/targets | 1.1 Develop compliance measures that are valid, reliable, sufficient and both time and cost effective. 1.2 Develop realistic measures and/or targets underpinned by current information. |
2. Evaluate extent of compliance | 2.1 Ensure analysis of compliance data is valid and conclusions are unbiased and supported by evidence. 2.2 Ensure interpretation of comparative data over time is valid and reliable and record outcomes. 2.3 Report compliance outcomes. |
3. Review procedures and guidelines to improve compliance | 3.1 Draw upon a variety of sources of information representing the breadth of possible stakeholders to ensure review is comprehensive. 3.2 Identify possible reasons for not meeting targets and/or performance indicators and make recommendations to improve long term voluntary compliance. 3.3 Make adjustments of strategies and plans to address review recommendations in accordance with resource constraints. |
4. Contribute to new legislation or review of existing legislation | 4.1 Provide input that supports government policy directions and relies on current information with supporting reasons and data analysis. 4.2 Make resource implications of legislative recommendations within government policy requirements. |
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 information analysis
interpreting complex written and numerical materials
preparing written reporting requiring formal structure and language
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
government policies
principles of evaluation
public sector policy and legislation
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