Elements and Performance Criteria

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 requirements may include:
different types of external and internal compliance requirements including:
regulations of a state/territory, national or international regulatory authority
accreditation requirements of an institute, professional organisation or registration body
requirements for certification under statutory licensing systems
statutory standards or codes of practice
internal policies, procedures, standards or codes of practice of an organisation
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
Compliance program/ management system may include:
breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
continuous improvement processes for compliance
corporate induction and training processes related to compliance management
documentation of compliance requirements relevant to the organisation
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on requirements and the compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on breaches and rectification action
specification of compliance management functions, accountabilities and responsibilities within the organisation
strategies for developing a compliance culture within the organisation
techniques and performance indicators for monitoring the operation of a compliance program/management system
Relevant Australian and international standards may include:
AS 3806:2006 Compliance programs
AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organisations
AS ISO 15489:2004 Records management
AS/NZS 4360:2004 Risk management
Internal personnel may include:
board of directors
chief executive officer
compliance management team (where relevant)
compliance specialists at the operational level
frontline managers
senior management team
External personnel and organisations may include:
chief executives and managers in organisations with an interest in the compliance issues being researched
educational institutions and organisations
government departments
legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems
professional associations and institutes
representatives of relevant authorities in pertinent compliance areas
representatives of professional associations and institutes relevant to the organisation's operations and sphere of business
state/territory, national or international regulatory authorities
state/territory or national licensing authorities
state/territory or national statutory standards authorities

EVIDENCE GUIDE
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:
identification, investigation, rectification and reporting of compliance breaches within a workplace
knowledge of compliance policies and requirements applicable to the organisation.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on compliance requirements such as:
organisational policies, standard operating procedures, procedures and plans
relevant legislation, regulations, licensing requirements, codes of practice, standards
access to the relevant internal and external data files
access to appropriate computer resources.
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 responses to case studies and scenarios
analysis of information gathered about breaches in the compliance management system
assessment of action plan developed to manage and rectify an identified breach
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of application of compliance management techniques used in gathering information about compliance breaches
observations of interactions with team members, colleagues, regulatory authorities and clients
oral or written questioning to assess knowledge of compliance reporting procedures
review of reports submitted on identified breach and subsequent rectification action
assessment of records of breaches and action taken.
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.