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 occupational health and safety (OHS) and environmental issues, equal opportunity, industrial relations and anti-discrimination• relevant industry codes of practice |
Compliance issues may include but are not limited to: | • details of compliance requirements• risk management strategies• breach management strategies• personnel roles and responsibilities• changes in compliance requirements• interpretation of compliance requirements• costs of compliance• possible exemptions in some areas of compliance requirements |
Compliance requirements may include but are not limited to: | • cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples only 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 (includes 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• different types of external and internal compliance requirements including:- regulations of a state, 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 |
Compliance program/management system may include but is not limited to: | • documentation of compliance requirements relevant to the organisation• specification of compliance management 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 compliance program/management system• compliance complaints handling systems• continuous improvement processes for compliance including monitoring, evaluation and review• strategies for development of 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 beaches and rectification action |
Relevant Australian and international standards may include but are not limited to: | • AS 3806: Compliance Programs• AS 4269: Complaints Handling• A/NZS 4360: Risk Management• AS ISO 15489: Records Management |
Target groups (for compliance management promotional activities) may include but are not limited to: | • staff• internal management teams• internal operations teams and personnel• clients of the organisation• contractors and suppliers of services and resources to the organisation• consultants and advisors to the organisation• regulatory authorities and other organisations with an interest in applicable compliance requirements• media and other organisations with a role in reporting on the organisation's compliance responsibilities and obligations, possible breaches in the requirements and the operation of the organisation's compliance program/management system |
Search techniques may include but are not limited to: | • review of published information on personnel within relevant organisations such as company reports, journals and other documentation from regulators and other organisations with responsibility for overseeing that organisations fulfil compliance requirements• internet search of the websites of pertinent regulatory authorities, licensing bodies, organisations, etc. to identify relevant contacts• scan of suitable published reference materials such as business directories, corporate listings, government services and agencies, Yellow Pages, etc. to identify relevant contacts• contacting relevant professional associations and other organisations that may be able to recommend possible contacts |
Compliance management promotional and liaison activities may include but are not limited to: | • meetings• interviews• telephone discussions• email communications• faxes• teleconferences and videoconferences• articles and papers in newsletters and journals• letters, reports, completed forms and other types of written documentations• information promulgated via websites• conferences, seminars and workshops• multimedia materials and resources |
Action plan for the compliance management promotional and liaison activities may include but are not limited to: | • objectives and planned outcomes• key performance criteria and indicators• schedule of activities• required human and physical resources• budget• timelines and key milestones• methodology for evaluating the success of the planned compliance management promotional activities• planned processes for reporting on the compliance management promotional activities |
Internal and/or external contacts might include but are not limited to: | • chief executive officer• board of directors• senior management team• frontline managers• compliance management team (where relevant)• compliance specialists at the operational level• representatives of relevant authorities in pertinent compliance areas• chief executives and managers in organisations with an interest in the compliance issues being researched• representatives of professional associations and institutes relevant to the organisation's operations and sphere of business• legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems |
Communication techniques may include but are not limited to: | • electronic communications including telephone, fax, email, SMS, etc.• face-to-face oral communications• written communications |
Performance indicators (on the success or otherwise of compliance management promotional and liaison activities) may include but are not limited to: | • reduction in breaches of compliance requirements amongst internal and external personnel including those contracted to provide services or supplies to the organisation• assessed increase in confidence in the ability of the organisation to fulfil its obligations and responsibilities under applicable compliance requirements• assessed increase in awareness amongst target groups of the compliance requirements and related compliance program/management system of the organisation• confidence of representatives of relevant regulatory authorities, licensing bodies, etc. in the capacity of an organisation and its managers and staff to take appropriate action to fulfil pertinent compliance requirements and rectify and report on any breaches in those requirements |
Listing of contacts may include but is not limited to: | • hardcopy lists of contacts including address books and contact lists• electronic database of contacts |