RIIGOV601A
Establish, maintain and develop a statutory compliance management system

This unit covers the establishment, maintenance and development of a statutory compliance management system in the resources and infrastructure industries. It includes planning, establishing, maintaining, monitoring and reviewing a compliance management system, consultation and audit procedures, feedback procedures and auditing systems. Licensing, legislative, regulatory and certification requirements that apply to this unit can vary between states, territories, and industry sectors. Relevant information must be sourced prior to application of the unit.

Application

This unit is appropriate for those working in a management or supervisory role at worksites within:

Civil construction

Coal mining

Drilling

Extractive industries

Metalliferous mining


Prerequisites

Not applicable.


Elements and Performance Criteria

ELEMENT

PERFORMANCE CRITERIA

1. Plan, establish and maintain compliance management framework

1.1. Access, interpret and apply compliance documentation relevant to the work activity

1.2. Document the collaborative development of policies and objectives with relevant personnel that express the organisation's commitment to statutory compliance management

1.3. Establish and implement the framework for the statutory compliance management system

1.4. Determine the scope of proposed compliance requirements in consultation with relevant personnel and resources and integrate statutory compliance to all relevant job descriptions and procedures

1.5. Document the consultation process and explain information on the statutory compliance system and procedures ensuring this information is readily accessible to all relevant stakeholders

1.6. Prepare plan for the development of compliance requirements

1.7. Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system plan from relevant personnel

2. Establish and monitor consultation and audit procedures with relevant stakeholders

2.1. Identify relevant stakeholders and develop and document system procedures to maximise opportunities for implementation of compliance

2.2. Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures to maximise opportunities for identifying existing and potential non-compliance

2.3. Summarise the findings from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment

2.4. Monitor existing compliance measures in the initial draft report and submit to the development team for consideration ensuring amendments maintain opportunities for regular audits and reporting

2.5. Complete and retain statutory compliance documentation for review and any necessary relevant action

2.6. Identify and report inadequacies in resource allocation for the implementation of compliance requirements in accordance with the organisation and relevant legislative requirements

3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures

3.1. Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology

3.2. Disseminate to a sample of relevant stakeholders the draft compliance requirements

3.3. Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures

3.4. Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility

3.5. Incorporate system procedures in consultation with authorised personnel from within the organisation and from appropriate statutory bodies when reviewing the documentation and presentation of compliance requirements

4. Establish, maintain and review a statutory compliance auditing system

4.1. Establish and monitor the system for keeping statutory compliance records that allow identification of compliance patterns

4.2. Assess the effectiveness of the statutory compliance system according to organisational aims and legislation, codes and national standards relevant to the workplace

4.3. Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards relevant to the workplace

Required Skills

Required skills

Specific skills are required to achieve the Performance Criteria of this unit, particularly for its application in the various circumstances in which this unit may be used. This includes the ability to carry out the following as required to establish, maintain and develop a statutory compliance management system:

apply legislative, organisation and site requirements and procedures for a statutory compliance management system

research to:

conduct compliance literature and web searches

conduct surveys to obtain input and feedback on compliance requirements

analyse and organise collected information

provide feedback on compliance requirements using appropriate techniques

apply project management skills to:

develop project plans

manage other personnel involved in the project

manage time

manage finances

read, interpret and apply:

compliance legislation

technical compliance related information

compliance rules

compliance procedures

compliance regulations

develop and maintain compliance procedures and policies

facilitate and document compliance management planning

maintain compliance records and documents

monitor and decide on changes to compliance processes

provide leadership and guidance for compliance group activities

provide coaching and mentoring support

actively encourage the free exchange of compliance information

display advanced negotiation skills

Required knowledge

Specific knowledge is required to achieve the Performance Criteria of this unit, particularly for its application in the various circumstances in which this unit may be used. This includes knowledge of the following as required to establish, maintain and develop a statutory compliance management system:

organisation's compliance policies, goals and objectives

legislative compliance requirements

action planning methods

human resource management processes

method of identifying appropriate compliance action based on cost, safety, and welfare issues

compliance work procedure/instruction writing

reporting and recording compliance procedures

worksite compliance operating procedures

hazard identification processes

risk assessment processes

risk treatment processes

compliance documentation methods

project methodology aimed at the development and creation of compliance requirements either as part of broader regulations, license requirements, or internal standards, code of practice, procedures and policies

sources of data relevant to compliance requirements

relevant Australian and international standards including:

AS 3806: Compliance Programs

AS 4269: Complaints Handling

A/NZS 4360: Risk Management

AS ISO 15489: Records Management

specification of compliance management function

compliance accountabilities and responsibilities within the organisation

compliance related management information systems

breach compliance management policies and processes

compliance reporting procedures

corporate induction and training processes related to compliance management

continuous improvement processes for compliance including strategies for development of a positive compliance culture within the organisation

relevant organisational policies and procedures such as compliance plans and policies in various areas and organisational standards for operations and ethics

Evidence Required

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

The evidence required to demonstrate competency in this unit must be relevant to worksite operations and satisfy all of the requirements of the performance criteria, required skills and knowledge and the range statement of this unit and include evidence of the following:

knowledge of the requirements, procedures and instructions for establishing, maintaining and developing a statutory compliance management system

implementation of procedures and techniques for the safe, effective and efficient development of a statutory compliance management system

the identification of the relevant information and scope of the work required to meet the required outcomes

the identification of viable options and the selection of a statutory compliance management system that best meet the required outcomes

working with other to undertake and complete the establishment, maintenance and development of a statutory compliance management system

consistent successful establishment, maintenance and development of a statutory compliance management system

Context of and specific resources for assessment

This unit must be assessed in the context of the work environment. Where personal safety or environmental damage are limiting factors, assessment may occur in a simulated environment provided it is realistic and sufficiently rigorous to cover all aspects of workplace performance, including task skills, task management skills, contingency management skills and job role environment skills.

Assessment of this competency requires typical resources normally used in a resources and infrastructure sector environment. Selection and use of resources for particular worksites may differ due to the site circumstances.

The assessment environment should not disadvantage the participant. For example, language, literacy and numeracy demands of assessment should not be greater than those required on the job.

Customisation of assessment and delivery environment should sensitively accommodate cultural diversity.

Aboriginal people and other people from a non English speaking background may have second language issues.

Where applicable, physical resources should include equipment modified for people with disabilities. Access must be provided to appropriate learning and/or assessment support when required.

Method of assessment

This unit may be assessed in a holistic way with other units of competency. The assessment strategy for this unit must verify required knowledge and skill and practical application using more than one of the following assessment methods:

written and/or oral assessment of the candidate's required knowledge to apply in undertaking of the establishment, maintenance and development of a statutory compliance management system

observed, documented and/or first hand testimonial evidence of the candidate's:

implementation of appropriate requirement, procedures and techniques for the safe, effective and efficient achievement of required outcomes

identification of the relevant information and scope of the work required to meet the required outcomes

identification of viable options and the selection of a statutory compliance management system that best meet the required outcomes

consistent achievement of required outcomes

first hand testimonial evidence of the candidate's:

working with others to undertake and complete the establishment, maintenance and development of a statutory compliance management system

provision of clear and timely required support and advice on the statutory compliance management system

Guidance information for assessment

Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.


Range Statement

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.

Compliance documentation may include:

legislative, organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

Employment and workplace relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Statutory compliance may include:

trade practices

weights and measures

waterways

workers compensation

work cover

planning

assessment

local government

dangerous goods

minerals and extractive industry licensing

navigation

Mines Act

Common Law

development of training policies/programs to aid compliance

maintenance of all records regarding compliance incidents

information sharing

regulations and code of practice relating to compliance

site representatives and committees

issue resolution

Compliance requirements may include:

cross-industry, industry-specific and internal organisational compliance requirements

appropriate training for those who have responsibilities within the statutory compliance management system

interim solutions when a permanent measure is not immediately practical when treating a non-compliance

procedures for issue resolution

external authorities such as state, national and/or international:

regulatory authorities

licensing authorities

professional associations and institutes

government departments

standards authorities

educational institutions and organisations

internal authorities of an organisation such as:

chief executive officer

senior managers

compliance manager

internal audit manager

quality control manager

Consultation may include:

regulatory authorities

project managers

employees

community

customers

tenderers

suppliers

contractors

Resources may include:

people

finance

buildings

facilities

technology

information

Statutory compliance system may include:

establishing, maintaining and developing the management system's framework and participative arrangements

procedures for identifying non-compliance, treating compliance and controlling statutory compliance

organisational procedures for statutory compliance

statutory compliance records system

evaluation of the system and related policies

procedures, standards or code of practice and programs

policies, programs and records

Relevant stakeholders may include:

chief executive officer

board of directors

senior management team

frontline managers

compliance management team

compliance specialists at the management level

compliance specialists at the operational level

representatives of relevant authorities with an interest in the compliance requirements

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

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

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

Plan may include:

details of the objectives and deliverables

methodology

timelines and milestones

costs

personnel required who may be consulted during the course of the project activities

Project methodology may include:

literature searches including web searches

environmental scans

interviews, focus groups, questionnaires

desk analysis

validation interviews

workshops

surveys

System procedures may include:

identification of hazards

risk identification

risk assessment

risk treatment

interim solutions

dealing with unplanned incidents and events

consultation

communication

monitoring

review

record keeping

reporting

training

Development team may include:

project manager

team members

steering or advisory committee

reference panels

internal and external consultants and advisors

Authorised personnel may include:

project manager

project steering committee

chief executive officer

manager

nominated representative of a regulatory authority

nominated representative of a statutory standards authority

nominated representative of a professional association or institutes

nominated representative of an educational institution or organisation

Legislation, codes and national standards relevant to the workplace may include:

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to:

OHS

environmental issues

equal opportunity

industrial relations

anti-discrimination

relevant industry code of practice

AS 3806: Compliance Programs

AS 4269: Complaints Handling

A/NZS 4360: Risk Management

AS ISO 15489: Records Management


Sectors

Governance and Compliance


Competency Field

Refer to Unit Sector(s).


Co-Requisites

Not applicable.


Employability Skills

This unit contains employability skills.


Licensing Information

Refer to Unit Descriptor.