Elements and Performance Criteria

RANGE STATEMENT
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

EVIDENCE GUIDE
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.