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Elements and Performance Criteria

1. Determine compliance management requirements.
   • Identify all jurisdictional legislation, regulations, codes of conduct and ethics to which the agency must comply.
   • Analyse and document the requirements for the agency to meet compliance needs.
   • Conduct risk analysis for compliance and best practice to determine risk ratings and risk mitigation.
   • Determine and plan risk mitigation strategies through development of policies, procedures, work instructions, management and supervisory structures.
2. Develop and risk control strategies that manage compliance.
   • Develop strategies and associated policies, procedures and structures to support agency compliance.
   • Develop processes and controls to maintain records that demonstrate compliance and best practice.
   • Develop management structure and risk control strategies for monitoring and reviewing all compliance and best practice activities.
3. Manage compliance systems.
   • Clearly communicate to staff the best practice requirements for the agency.
   • Facilitate continuous monitoring, reviewing and adjustment of agency compliance practices.
   • Prepare periodic compliance reports to present a clear overview of compliance and agency best practice.
4. Evaluate compliance systems.
   • Analyse and review periodic compliance reports to evaluate agency overall compliance and best practice.
   • Use evaluation data to determine, document and implement improvements to improve compliance systems.