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Elements and Performance Criteria

1. Plan, establish and maintain compliance management framework
   • Obtain, interpret and confirm work requirements
   • Access, interpret and apply documentation required to establish, maintain and develop a statutory compliance management system
   • Communicate the development of policies and objectives with relevant personnel according to workplace procedures
   • Establish and implement the framework for the statutory compliance management system according to workplace procedures
   • Determine the scope of proposed compliance requirements and integrate into all relevant job descriptions and procedures according to workplace procedures
   • Communicate the consultation process and information on the statutory compliance system and procedures to relevant personnel
   • Prepare the plan for the development of compliance requirements according to workplace procedures
   • Identify and maintain resources required to support the plan and gain approval for the statutory compliance management system
2. Establish and monitor consultation and audit procedures with relevant stakeholders
   • Identify relevant stakeholders and develop and document system procedures for implementation of compliance according to workplace procedures
   • Consult with relevant stakeholders and monitor reports on compliance requirements and audit procedures for identifying existing and potential non-compliance
   • Summarise the findings in writing from consultation with relevant stakeholders and develop procedures for monitoring, reviewing and auditing in a supportive environment according to workplace procedures
   • Monitor existing compliance measures in the initial draft report and submit to the development team for consideration, ensuring amendments maintain opportunities for regular audits and reporting
   • Complete and retain statutory compliance documentation for review action according to workplace procedures
   • Identify and report inadequacies in resource allocation for the implementation of compliance requirements to relevant personnel
3. Establish and monitor procedures for obtaining feedback on statutory compliance procedures
   • Establish measures to maximise compliance by validating processes in collaboration with a sample of relevant stakeholders in accordance with established project methodology
   • Disseminate the draft compliance requirements to a sample of relevant stakeholders according to workplace procedures
   • Collate, interpret and analyse feedback received on the draft compliance requirements and use it to develop a system of procedures for ongoing treatment of compliance by integrating compliance requirements within general systems of work and procedures
   • Summarise, organise and monitor outcomes of the feedback process in preparation for the editing of the draft compliance requirements to be adopted throughout the area of managerial responsibility
   • Incorporate system procedures in consultation with authorised personnel and statutory bodies when reviewing the documentation and presentation of compliance requirements
4. Establish, maintain and review a statutory compliance auditing system
   • Establish and monitor the system for keeping statutory compliance written records that allow identification of compliance patterns according to workplace procedures
   • Assess the effectiveness of the statutory compliance system according to organisational aims, legislation, codes and national standards
   • Apply auditing procedures in a supportive environment to maximise compliance with legislation, codes and national standards

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:

establish, maintain and develop a statutory compliance management system on at least two occasions, including:

identifying viable options and the selection of a statutory compliance management system that best meet the required outcomes

establishing and monitoring consultation and audit procedures

establishing, monitoring and maintaining procedures for obtaining feedback on statutory compliance procedures

auditing the compliance management system

reporting on audit and review outcomes compliance management system and providing recommendations for improvement.

During the above, the candidate must:

locate and apply relevant legislation, documentation, policies and procedures and confirm that the work activity is compliant

implement procedures and techniques for the safe, effective and efficient development of a statutory compliance management system including:

develop and maintain compliance procedures and policies

managing project finances

conducting research to:

conduct compliance literature and web searches

conduct surveys to obtain input and feedback on compliance requirements

analyse and organise collected information

work effectively with other to undertake and complete the establishment, maintenance and development of a statutory compliance management system including:

providing leadership and guidance for compliance group activities

providing coaching and mentoring support

providing feedback on compliance requirements using appropriate techniques

communicate clearly and concisely with others to receive and clarify work instructions.

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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:

key legislation required to establish, maintain and develop a statutory compliance management system

key policies, procedures and documentation required to establish, maintain and develop a statutory compliance management, including:

environmental compliance

insurance requirements

contractual rights and responsibilities

record-keeping and reporting

improvement processes for compliance

relevant Australian and international standards

relevant organisation policies and procedures

rights and responsibilities of contracts, individuals and business

records and reports

principles and techniques for audit and rectification

principles and techniques for grievances and complaints

principles and techniques for identifying relevant hazards and emergencies

techniques for coordinating and communicating job activities with others.

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