Application

This unit describes the skills and knowledge required to develop and monitor the processes for managing identified breaches in the fulfilment of compliance requirements within an organisation.
This unit applies to individuals who are responsible for evaluating and reporting on the operation and effectiveness of an organisation’s compliance management system.
Application of this unit must be consistent with the relevant sections of standards and legislative requirements.

What You'll Learn

Assessment Requirements

Performance Evidence

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:
• manage at least two different breaches of compliance requirements.
In the course of the above, the candidate must:
• develop, monitor, and communicate processes for the management of breaches
• obtain and keep up to date with organisational compliance requirements
• identify and assign staff to manage breaches
• identify and inform senior management and regulatory authorities of breaches
• report corrective action activities and outcomes.

Knowledge Evidence

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:
• compliance requirements applicable to organisation
• key elements of compliance management systems, including:
• documentation of compliance requirements relevant to the organisation
• functions, accountabilities and responsibilities within the organisation
• compliance related management information systems
• breach management policies and procedures
• compliance reporting procedures
• process for communication of information on compliance requirements to relevant stakeholders
• techniques and performance indicators for monitoring the operation of a compliance management system
• potential breaches in compliance requirements
• reporting processes on compliance management.

Assessment Conditions

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.
This includes access to:
• legislation, regulations, standards and organisational policies and procedures relevant to compliance requirements
• data files relevant to performance evidence.
Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Foundation Skills

• {'skill': 'Reading', 'description': 'Recognises and evaluates complex texts in various forms to determine key information and specific requirements and responsibilities; Analyses industry specific complex texts to determine and distinguish compliance requirements'}
• {'skill': 'Writing', 'description': 'Produces reports matching style of writing to purpose and audience; Documents and records findings using required organisational formats'}
• {'skill': 'Oral Communication', 'description': 'Presents specialised information to a range of audiences using structure and language to suit the audience; Uses active listening and questioning to elicit the views and opinions of others'}
• {'skill': 'Self-management', 'description': 'Organises, plans and sequences own workload and schedules work activities of others'}
• {'skill': 'Problem solving', 'description': 'Systematically gathers, analyses and evaluates all information in order to make informed decisions about management of compliance breaches'}
• {'skill': 'Technology', 'description': 'Uses a range of digitally based technology and applications to access, organise, integrate and share information'}

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