This unit applies to the higher level research activities needed to identify and investigate critical aspects of compliance requirements and related systems. It may be focused on researching aspects and issues to do with compliance requirements and systems for a specific organisation, or aspects and issues of compliance more generally, such as across a particular industry or the national economy.

The unit applies to officers in regulatory authorities or large organisations with roles and 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 (usually within a larger organisation).

ELEMENT

PERFORMANCE CRITERIA

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

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 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.

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

Unit sector

Regulation, Licensing and Risk - Compliance

This unit contains employability skills.