Application
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.
Elements and Performance Criteria
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 |
Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.
Skill | Performance Criteria | Description |
Reading | 1.2, 3.1, 3.2, 3.4, 3.5, 4.1, 5.2, 6.2, 6.3 | Comprehends and analyses texts to identify key requirements Identifies, analyses, reviews and extracts relevant information from complex texts Proofreads draft texts to identify changes required |
Writing | 1.2, 2.1-2.3, 3.2-3.4, 4.2, 5.2, 6.1-6.3 | Collates, summarises and compiles information from a range of sources Develops reports for a specific audience using clear and detailed language to convey findings and recommendations Edits and incorporates amendments to ensure compliance with regulatory or organisational requirements |
Oral Communication | 1.1, 2.3, 3.4, 4.2, 5.2 | Conveys information, in a format and style appropriate to a specific audience Elicits the views and opinions of others by listening and questioning |
Navigate the world of work | 3.2 | Identifies organisational implications of legislative requirements and considers these when planning and implementing work |
Interact with others | 1.1, 2.3, 3.4, 4.2, 5.2 | Collaborates with others using effective interpersonal skills to facilitate shared understanding Identifies and uses appropriate conventions and practices when communicating with internal and external personnel |
Get the work done | 1.2, 2.1, 2.2, 3.1-3.5, 4.1, 4,2, 5.1-5.3, 6.1-6.5 | Sequences and schedules complex activities, monitors implementation and manages required communication with others Gathers and analyses data and feedback to improve outcomes Utilises features and functions of digital tools to complete complex tasks |
Sectors
Regulation, Licensing and Risk – Compliance