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 program/management 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 on-the-job 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.

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 program/management 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 program/management 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 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 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 range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

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

costs of compliance at the organisation or wider levels

investigation of relevant jurisdictional aspects of compliance covering:

organisational issues

industry issues

local issues

state/territory issues

national issues

global issues

potential consequences of non-compliance at the organisation or wider levels

potential impacts of compliance requirements upon an organisation, an industry or an economy

program and system requirements for effective compliance management

skill requirements and organisational structures for effective compliance management

Client/s may include:

educational institutions and organisations

enterprises

government departments

professional associations and institutes

regulatory authorities

Relevant internal and/or external personnel may include:

board of directors

chief executive officer

chief executives and managers in organisations with an interest in the compliance issues being researched

compliance management team (where relevant)

compliance specialists at the operational level

frontline managers

legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

representatives of professional associations and institutes relevant to the organisation's operations and sphere of business

representatives of relevant authorities in pertinent compliance areas

senior management team

Research methodology may include:

desk analysis

environmental scans

literature searches including internet searches

qualitative data analysis

quantitative data analysis using manual and computerised techniques

surveys including interviews, focus groups, questionnaires

Research plan may include:

costs

details of the research objectives and deliverables

methodology

personnel required including project manager, researcher or research team and those who may be consulted during the course of the research activities

time lines and milestones

Research data may include:

completed survey questionnaires

document files downloaded from internet websites

published documents including papers, standards, regulations

quantitative data collected from various sources, such as ABS data, data provided by regulatory authorities, demographic data

records of interviews, meetings or focus group workshop outcomes

records of telephone conversations

written correspondence including letters, faxes, emails

Relevant Australian and international standards may include:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

Authorised personnel may include but are not limited to:

chief executive officer or manager in an organisation

nominated representative of educational institution/s or organisation/s

nominated representative of professional association/s or institute/s

nominated representative of a regulatory authority

project manager

project steering committee