Elements and Performance Criteria

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

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.