Modification History
Not applicable.
Unit Descriptor
Unit descriptor |
This unit describes the performance outcomes, skills and knowledge required to evaluate and review an organisation's compliance program/management system and how it is fulfilling its obligations and responsibilities under applicable compliance requirements. This unit has been designed to be consistent with AS 3806:2006 Compliance programs. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement. |
Application of the Unit
Application of the unit |
This unit applies to managers with responsibility for evaluating and reporting on the operation and effectiveness of an organisation's planned compliance program/management system to ensure that compliance is an integral part of normal business operations. It also applies to individuals working as an owner-manager (where it would be part of their broad role), as a senior manager in a small organisation, as an external consultant or as a section or frontline manager in an operational unit within the organisation. In addition, it applies to members of a compliance management team or a frontline manager within a larger organisation. Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management. |
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Prerequisite units |
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Employability Skills Information
Employability skills |
This unit contains employability skills. |
Elements and Performance Criteria Pre-Content
Elements describe the essential outcomes of a unit of competency. |
Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide. |
Elements and Performance Criteria
ELEMENT |
PERFORMANCE CRITERIA |
1. Develop the evaluation plan |
1.1. Obtain details of the organisation's compliance policies, objectives and assessment criteria 1.2. Obtain and interpret information on current compliance requirements applicable to the organisation 1.3. Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes 1.4. Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected 1.5. Obtain approval of plan from relevant internal and/or external personnel |
2. Gather required evaluation data |
2.1. Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan 2.2. Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards 2.3. Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and /or external personnel 2.4. Organise interpreted evaluation data for later analysis |
3. Analyse the collected data |
3.1. Analyse evaluation data in accordance with planned methodology 3.2. Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel |
4. Determine evaluation findings and outcomes |
4.1. Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel 4.2. Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary 4.3. Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel |
5. Document and disseminate the outcomes and recommendations of the evaluation |
5.1. Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback 5.2. Edit the report based on the feedback obtained 5.3. Proofread the report in preparation for publishing 5.4. Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel 5.5. Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements |
Required Skills and Knowledge
REQUIRED SKILLS AND KNOWLEDGE |
This section describes the skills and knowledge required for this unit. |
Required skills |
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Required knowledge |
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Evidence Guide
EVIDENCE GUIDE |
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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. |
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Overview of assessment |
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Critical aspects for assessment and evidence required to demonstrate competency in this unit |
Evidence of the following is essential:
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Context of and specific resources for assessment |
Assessment must ensure:
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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:
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Guidance information for assessment |
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
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Range Statement
RANGE STATEMENT |
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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. |
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Compliance requirements may include: |
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Evaluation methodology may include: |
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Evaluation plan may include: |
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Evaluation data may include: |
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Relevant Australian and international standards may include: |
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Relevant internal personnel may include: |
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Relevant external personnel may include: |
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Authorised personnel may include: |
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Unit Sector(s)
Unit sector |
Competency field
Competency field |
Regulation, Licensing and Risk - Compliance |
Co-requisite units
Co-requisite units |
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