Application
This unit describes the skills required to assess risk, monitor situations, environments and behaviours, and analyse information to assess compliance with legislation and/or standards. It includes monitoring areas under own jurisdiction, receiving or identifying allegations of non-compliance, and conducting research to determine levels of compliance.
This unit applies to those working in regulatory roles involving compliance assessment.
The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.
Those undertaking this unit would work independently, performing routine tasks in a range of familiar and unfamiliar contexts.
No licensing, legislative or certification requirements apply to unit at the time of publication.
Elements and Performance Criteria
ELEMENTS | PERFORMANCE CRITERIA |
Elements describe the essential outcomes | Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section. |
1. Monitor areas under jurisdiction | 1.1 Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology 1.2 Conduct inspections and/or compliance audits. 1.3 Utilise specialist equipment when required. 1.4 Protect the safety of self and others. 1.5 Facilitate cooperation with other organisations and jurisdictions. |
2. Receive or identify allegation of non-compliance | 2.1 Record referrals relating to non-compliance. 2.2 Respond to possible and potential breaches promptly. 2.3 Assess preliminary information to establish the offence and validate to confirm the need for action. 2.4 Handle complainants including referral to more senior personnel as required. |
3. Determine levels of compliance | 3.1 Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection. 3.2 Select evidence collection methodology according to the purpose, situation and operational guidelines. 3.3 Collect, analyse and secure information and/or samples. 3.4 Ensure information and/or samples are relevant and sufficient for the purpose identified. 3.5 Assess against the requirements of the legislation and identify and document the level of compliance. 3.6 Determine further action consistent with the level of compliance and is record or report. |
Evidence of Performance
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.
undertaking research, analysis and problem solving in the context of assessing compliance
applying regulations and codes of practice
using information technology for data analysis, recording and reporting
communicating including questioning and negotiating of meaning in sometimes difficult situations
reading and applying complex information from legislation
Evidence of Knowledge
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.
public sector legislation
organisational procedures, guidelines and protocols
knowledge of own and others’ jurisdictions
risk management in the context of compliance assessment
application of audit tools
research and sampling methodologies
security storage of evidence and/or information
procedures for recording allegations and/or complaints
specialist equipment
Assessment Conditions
This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.
Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.
Foundation Skills
Foundation skills are embedded within the elements and performance criteria of this unit.
Competency Field
Regulatory