Assessor Resource

BSBCOM601
Research compliance requirements and issues

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to explore and investigate various aspects and issues associated with compliance requirements and a related compliance program/management system.

It applies to individuals in regulatory authorities or large organisations with responsibilities related to identifying and investigating impacts, issues and policy implications of various aspects of compliance. It also applies to internal or external consultants who carry out research activities for clients on various aspects of compliance as a compliance researcher or member of a compliance management team.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Clarify the purpose and scope of the research

1.1 Confirm and clarify the purpose and scope of the required compliance related research in collaboration with the client/s and relevant internal and/or external personnel

1.2 Document the purpose and scope of the required research in accordance with organisational and/or client requirements

2 Develop the research plan

2.1 Develop a suitable research methodology to enable sufficiently valid and reliable outcomes for the required research

2.2 Prepare the research plan for the proposed project

2.3 Obtain approval of plan from relevant internal and/or external personnel

3 Gather required research data

3.1 Collect relevant research data using appropriate research techniques and sources in accordance with the agreed research plan

3.2 Gather and interpret from appropriate sources, information on relevant Australian and international standards pertaining to compliance requirements and related systems

3.3 Organise, interpret and review collected data in terms of its relevance to the project's purpose and objectives

3.4 Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal or external personnel

3.5 Organise interpreted research data for later analysis

4 Analyse collected data

4.1 Analyse data in accordance with planned methodology

4.2 Review and discuss outcomes of the analysis with relevant internal or external personnel

5 Determine research findings and outcomes

5.1 Interpret the outcomes of the data analysis in accordance with the project objectives

5.2 Develop and discuss preliminary findings, identified issues and related recommendations with relevant internal and/or external personnel

5.3 Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options

6 Document and disseminate research outcomes

6.1 Prepare a draft report of the research outcomes, findings and recommendations in accordance with the agreed structure and format, and distribute to relevant internal and/or external personnel for comment and feedback

6.2 Edit the report based on the feedback obtained

6.3 Proofread the report prior to publication

6.4 Ensure the outcomes, findings and recommendations in the report are signed off by authorised personnel

6.5 Produce and disseminate the report to nominated internal and/or external personnel in accordance with agreed arrangements

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Clarify the purpose and scope of the research

1.1 Confirm and clarify the purpose and scope of the required compliance related research in collaboration with the client/s and relevant internal and/or external personnel

1.2 Document the purpose and scope of the required research in accordance with organisational and/or client requirements

2 Develop the research plan

2.1 Develop a suitable research methodology to enable sufficiently valid and reliable outcomes for the required research

2.2 Prepare the research plan for the proposed project

2.3 Obtain approval of plan from relevant internal and/or external personnel

3 Gather required research data

3.1 Collect relevant research data using appropriate research techniques and sources in accordance with the agreed research plan

3.2 Gather and interpret from appropriate sources, information on relevant Australian and international standards pertaining to compliance requirements and related systems

3.3 Organise, interpret and review collected data in terms of its relevance to the project's purpose and objectives

3.4 Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal or external personnel

3.5 Organise interpreted research data for later analysis

4 Analyse collected data

4.1 Analyse data in accordance with planned methodology

4.2 Review and discuss outcomes of the analysis with relevant internal or external personnel

5 Determine research findings and outcomes

5.1 Interpret the outcomes of the data analysis in accordance with the project objectives

5.2 Develop and discuss preliminary findings, identified issues and related recommendations with relevant internal and/or external personnel

5.3 Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options

6 Document and disseminate research outcomes

6.1 Prepare a draft report of the research outcomes, findings and recommendations in accordance with the agreed structure and format, and distribute to relevant internal and/or external personnel for comment and feedback

6.2 Edit the report based on the feedback obtained

6.3 Proofread the report prior to publication

6.4 Ensure the outcomes, findings and recommendations in the report are signed off by authorised personnel

6.5 Produce and disseminate the report to nominated internal and/or external personnel in accordance with agreed arrangements

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Confirm and clarify the purpose and scope of the required compliance related research in collaboration with the client/s and relevant internal and/or external personnel 
Document the purpose and scope of the required research in accordance with organisational and/or client requirements 
Develop a suitable research methodology to enable sufficiently valid and reliable outcomes for the required research 
Prepare the research plan for the proposed project 
Obtain approval of plan from relevant internal and/or external personnel 
Collect relevant research data using appropriate research techniques and sources in accordance with the agreed research plan 
Gather and interpret from appropriate sources, information on relevant Australian and international standards pertaining to compliance requirements and related systems 
3.3 Organise, interpret and review collected data in terms of its relevance to the project's purpose and objectives 
Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal or external personnel 
Organise interpreted research data for later analysis 
Analyse data in accordance with planned methodology 
Review and discuss outcomes of the analysis with relevant internal or external personnel 
Interpret the outcomes of the data analysis in accordance with the project objectives 
Develop and discuss preliminary findings, identified issues and related recommendations with relevant internal and/or external personnel 
Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options 
Prepare a draft report of the research outcomes, findings and recommendations in accordance with the agreed structure and format, and distribute to relevant internal and/or external personnel for comment and feedback 
Edit the report based on the feedback obtained 
Proofread the report prior to publication 
Ensure the outcomes, findings and recommendations in the report are signed off by authorised personnel 
Produce and disseminate the report to nominated internal and/or external personnel in accordance with agreed arrangements 

Forms

Assessment Cover Sheet

BSBCOM601 - Research compliance requirements and issues
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBCOM601 - Research compliance requirements and issues

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: