Assessor Resource

BSBCOM403
Provide education and training on compliance requirements and systems

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to provide the training required to effectively implement and maintain an organisation’s established compliance program/management system.

It applies to individuals who are responsible for the planning, development and operation of the induction and training components of an organisation’s compliance program. Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction – Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Identify the requirements for induction and ongoing training programs

1.1 Establish compliance requirements relevant to the organisation and the associated compliance program/management system

1.2 Confirm and document the organisation’s obligations and responsibilities in providing induction and training activities

1.3 Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation’s compliance program/management system

1.4 Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system

1.5 Determine induction and training needs of personnel to achieve the required levels of competence

2 Plan internal and external compliance education and training systems

2.1 Develop compliance training objectives based on assessed training needs of personnel

2.2 Assess and compare quality and costs of external training options

2.3 Assess ability of organisation to deliver required training internally

2.4 Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs

2.5 Negotiate training options if required

2.6 Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel

2.7 Identify training personnel requirements and recruit and prepare appropriate staff

3 Organise internal and external compliance education and training systems

3.1 Organise appropriate training and assessment materials and facilities for development or acquisition (where required)

3.2 Prepare and execute implementation plans for the internal and external compliance training as approved

3.3 Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures

3.4 Implement planned corporate induction and training programs

4 Evaluate and monitor the compliance education and training systems

4.1 Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel

4.2 Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems

4.3 Implement approved plans for the monitoring and evaluation of internal and external compliance training systems

5 Document the operation of the compliance education and training systems

5.1 Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements

5.2 Prepare, process and store operational reports, certification and training and assessment records

5.3 Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Identify the requirements for induction and ongoing training programs

1.1 Establish compliance requirements relevant to the organisation and the associated compliance program/management system

1.2 Confirm and document the organisation’s obligations and responsibilities in providing induction and training activities

1.3 Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation’s compliance program/management system

1.4 Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system

1.5 Determine induction and training needs of personnel to achieve the required levels of competence

2 Plan internal and external compliance education and training systems

2.1 Develop compliance training objectives based on assessed training needs of personnel

2.2 Assess and compare quality and costs of external training options

2.3 Assess ability of organisation to deliver required training internally

2.4 Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs

2.5 Negotiate training options if required

2.6 Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel

2.7 Identify training personnel requirements and recruit and prepare appropriate staff

3 Organise internal and external compliance education and training systems

3.1 Organise appropriate training and assessment materials and facilities for development or acquisition (where required)

3.2 Prepare and execute implementation plans for the internal and external compliance training as approved

3.3 Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures

3.4 Implement planned corporate induction and training programs

4 Evaluate and monitor the compliance education and training systems

4.1 Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel

4.2 Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems

4.3 Implement approved plans for the monitoring and evaluation of internal and external compliance training systems

5 Document the operation of the compliance education and training systems

5.1 Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements

5.2 Prepare, process and store operational reports, certification and training and assessment records

5.3 Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Establish compliance requirements relevant to the organisation and the associated compliance program/management system 
Confirm and document the organisation’s obligations and responsibilities in providing induction and training activities 
Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation’s compliance program/management system 
Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system 
Determine induction and training needs of personnel to achieve the required levels of competence 
Develop compliance training objectives based on assessed training needs of personnel 
Assess and compare quality and costs of external training options 
Assess ability of organisation to deliver required training internally 
Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs 
Negotiate training options if required 
Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel 
Identify training personnel requirements and recruit and prepare appropriate staff 
Organise appropriate training and assessment materials and facilities for development or acquisition (where required) 
Prepare and execute implementation plans for the internal and external compliance training as approved 
Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures 
Implement planned corporate induction and training programs 
Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel 
Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems 
Implement approved plans for the monitoring and evaluation of internal and external compliance training systems 
Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements 
Prepare, process and store operational reports, certification and training and assessment records 
Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required 

Forms

Assessment Cover Sheet

BSBCOM403 - Provide education and training on compliance requirements and systems
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBCOM403 - Provide education and training on compliance requirements and systems

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: