Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to plan and establish appropriate compliance program/management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements.

The 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 

This unit applies to a chief executive officer or senior manager in a small business, and to a senior manager and compliance section manager in larger organisations, who have specific responsibility for the planning, development and operation of a compliance program/management system.

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.

Prerequisite units 

Employability skills 

This unit contains employability skills.

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.

ELEMENT 

PERFORMANCE CRITERIA 

1. Determine applicable compliance requirements

1.1. Obtain and interpret information on current compliance requirements  applicable to the organisation

1.2. Review each compliance requirement in terms of the relevant internal and external authorities, the risks involved, ways of ensuring compliance, the penalties for a breach of compliance, and the areas and operations of the organisation most affected

2. Identify and select an appropriate compliance program/management system

2.1. Investigate each area of applicable compliance to determine available options for a compliance program /management system  that would be consistent with relevant Australian and International standards 

2.2. Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria 

2.3. Select an appropriate compliance program/management system for implementation

3. Plan required compliance program/management system

3.1. Determine and document components for the proposed compliance program/management system

3.2. Determine personnel requirements  for the operation of the compliance program/management system and assign or recruit appropriate staff

3.3. Identify training requirements  for the implementation of the proposed compliance program/management system and select suitable training options

3.4. Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system

3.5. Select a complaints management system suitable for the organisation and its compliance responsibilities

3.6. Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel

3.7. Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements

3.8. Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements

3.9. Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned

4. Document required compliance program/management system

4.1. Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements

4.2. Document an action schedule  for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel

4.3. Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system

5. Establish the planned compliance program/management system

5.1. Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities

5.2. Establish the components of the compliance program/management system in collaboration with assigned staff

5.3. Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan

5.4. Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan

5.5. Prepare reports on the operation and review of the compliance program/management system in accordance with established procedures and any statutory or other compliance obligations

REQUIRED SKILLS AND KNOWLEDGE 

This section describes the skills and knowledge required for this unit.

Required skills 

• contribute to a positive culture of compliance within an organisation
• research skills to:

• conduct literature and internet searches
• assist with various types of research surveys
• assist with the analysis and organisation of research data, including qualitative and quantitative data, using appropriate techniques

• research management skills to:

• develop research plans
• manage other personnel involved in the research activity
• manage time
• manage finances

• interpersonal skills to relate to internal and external personnel and in particular those representing relevant regulatory authorities, professional institutes and organisations, standards organisations, etc.
• literacy skills to write reports containing complex concepts.

Required knowledge 

• research methods and techniques suitable for conducting compliance related research projects
• quantitative and qualitative data analysis techniques relevant to compliance related research
• relevant Australian and international standards such as:

• AS 3806:2006 Compliance programs
• AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations
• AS ISO 15489:2004 Records management
• AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

• elements of compliance program/management systems including:

• documentation of compliance requirements relevant to the organisation
• specification of compliance management functions, accountabilities and responsibilities within the organisation
• compliance related management information systems
• record keeping systems required for compliance management
• liaison procedures with relevant internal and external personnel on compliance related matters
• breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
• compliance reporting procedures
• corporate induction and training processes related to compliance management
• processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system
• compliance complaints handling systems
• continuous improvement processes for compliance including monitoring, evaluation and review
• strategies for developing a positive compliance culture within the organisation
• techniques and performance indicators for monitoring the operation of a compliance program/management system
• reporting processes on compliance management including reports on breaches and rectification action

• relevant organisational policies and procedures including:

• compliance plans and policies in various compliance areas
• organisational standards for operations and ethics.

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:

• planning for and setting up a compliance program/management system for an actual workplace or a simulated workplace in collaboration with relevant personnel
• knowledge of research methods and techniques suitable for conducting compliance related research projects.

Context of and specific resources for assessment 

Assessment must ensure:

• access to relevant information on compliance requirements
• access to relevant information on options for compliance program/management systems
• access to the relevant internal and external personnel
• access to appropriate computer resources for online searching, data processing and analysis, and report preparation and editing.

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 techniques and data collected to plan and establish compliance management systems
• assessment of reports documenting the development and progress of compliance management systems
• direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
• observations of activities undertaken to develop and create compliance systems and processes
• observations of interactions with internal and external stakeholders while developing and creating compliance management systems
• oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes
• review of documented action schedule
• periodic reviews of the compliance program/management system
• assessment of reports on the operation and review of the compliance program/management system.

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.

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:

• accreditation requirements of an institute, professional organisation or registration body
• internal policies, procedures, standards or codes of practice of an organisation
• regulations of a state/territory, national or international regulatory authority
• requirements for certification under statutory licensing systems
• statutory standards or codes of practice

• 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 processes
• compliance complaints handling systems
• compliance related management information systems
• compliance reporting procedures
• continuous improvement processes for compliance including monitoring, evaluation and review
• 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 compliance requirements and the compliance program/management system
• record keeping systems required for compliance management
• reporting processes on compliance management including reports on beaches and rectification action
• specification of compliance management accountabilities/responsibilities in the organisation
• strategies for developing a positive compliance culture within the organisation
• techniques and performance indicators for monitoring the operation of the 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 organizations
• AS ISO 15489:2004 Records management
• AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

Established criteria  may include:

• cost
• effectiveness
• efficiency
• feasibility
• match to organisational culture

Personnel requirements  may include:

• compliance management team (where relevant)
• compliance manager
• compliance officer
• compliance specialists at the operational level
• frontline managers and team leaders with compliance management responsibilities
• internal or external consultants and advisors with expertise in compliance requirements and management systems
• MIS specialists and managers with expertise in compliance requirements and management systems
• senior managers with compliance management responsibilities
• trainers with expertise in compliance requirements and management systems

Training requirements  may include:

• customised in-house off-the-job training and assessment programs for both operational and management staff
• customised training programs delivered by external training organisations for both operational and management staff
• external training programs in skill/knowledge areas relevant to the operation of compliance program/management systems
• internal and external training programs aimed at strengthening the compliance management culture of the organisation
• online training and assessment for both operation and management staff
• on-the-job coaching and mentoring

Action schedule  may include:

• budgets for implementation, review and maintenance
• internal and external reporting requirements and dates for implementation, review and maintenance
• key responsibilities and activities for implementation, review and maintenance
• resource acquisition and maintenance schedules
• staff assignments including recruitment and training schedules
• target outcomes, time lines and milestones

Unit sector 

Competency field 

Regulation, Licensing and Risk - Compliance

Co-requisite units