Required skills

interpersonal skills to contribute to a positive culture of compliance within an organisation

interpersonal skills to relate to internal and external personnel and in particular those representing relevant regulatory authorities professional institutes and organisations standards organisations

project management skills to

manage other personnel involved in the research activity

manage time

manage finances

research skills to

conduct literature and internet searches

assist with various types of research surveys

assist with the analysis and organisation of research data including qualitative and quantitative data using appropriate techniques

develop research plans

Required knowledge

compliance requirements relevant to the organisation research methods and techniques suitable for compliance related research projects

elements of compliance program/management systems including:

specification of compliance management functions 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 programmanagement system

compliance complaints handling systems

continuous improvement processes for compliance including monitoring evaluation and review

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance programmanagement system

reporting processes on compliance management including reports on breaches and rectification action

quantitative and qualitative data analysis techniques relevant to compliance related research

relevant Australian and international standards including but not limited to

AS Compliance programs

AS ISO Customer satisfaction Guidelines for complaints handling in organizations

AS ISO Records management

ASNZS Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

relevant organisational policies and procedures including

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

sources of data relevant to compliance related research

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria required skills and knowledge range statement and the Assessment Guidelines for the Training Package

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential

completion of projects in which key aspects or issues associated with compliance requirements or a compliance programmanagement system have been researched

knowledge of compliance requirements relevant to the organisation research methods and techniques suitable for compliance related research projects

Context of and specific resources for assessment

Assessment must ensure

access to relevant published material such as

organisational policies standard operating procedures procedures and plans

relevant legislation regulations licensing requirements codes of practice standards

access to relevant internal and external data files

access to appropriate computer resources for online searching data processing and analysis and report preparation and editing

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge The following examples are appropriate for this unit

analysis of techniques and data collected to identify compliance requirements

assessment of reports documenting compliance research and issue findings

direct questioning combined with review of portfolios of evidence and third party workplace reports of onthejob performance by the candidate

observations of activities undertaken to research compliance requirements and issues

observations of interactions with internal and external stakeholders while researching compliance requirements

oral or written questioning to assess knowledge of compliance processes used to identify compliance requirements and issues

review research plan

evaluation of process used to distribute draft report of the research outcomes findings and recommendations for comment and feedback and outcomes of this process

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector workplace and job role is recommended for example

other compliance units

Purpose and scope of the required compliance related research may include:

Client/s may include:

Relevant internal and/or external personnel may include:

Research methodology may include:

Research plan may include:

Research data may include:

Relevant Australian and international standards may include:

Authorised personnel may include but are not limited to: