Assessor Resource

BSBCOM404
Promote and liaise on compliance requirements, systems and related issues

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to communicate about an organisation’s compliance requirements and commitments to staff, agents, contractors and other relevant third parties.

It applies to individuals who use well developed promotional and liaison skills, combined with knowledge of relevant legislative requirements, code/s of practice and internal standards and procedures, to ensure that compliance is an integral part of normal business operations.

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 Clarify compliance issues on which liaison is required

1.1 Confirm and clarify with relevant internal and external personnel, compliance issues requiring communication

1.2 Seek and/or obtain information during the liaison activity on applicable compliance requirements and related compliance program/management system and summarise in an appropriate format

1.3 Identify, source and interpret sections of relevant Australian and international standards in terms of processes to be followed for promotional and liaison activities

2 Identify the target groups for promotional or liaison activities

2.1 Using appropriate means, identify groups that need to be aware of the organisation’s compliance program/management system or that may need to be contacted about compliance issues

2.2 Record information on identified target groups and store in an appropriate format for use in activities to promote the compliance program/management system

3 Identify contacts for liaison

3.1 Identify suitable contacts from own network or with the assistance of relevant internal and external personnel

3.2 Apply search techniques to establish the most suitable contacts for the liaison activities, where appropriate

4 Develop an action plan for the promotional and liaison activities

4.1 Access and review details of the organisation’s compliance program/management system

4.2 List internal and external persons and organisations that need to be aware of specific aspects of the compliance program/management system in compliance management promotional and liaison activities

4.3 Prepare an action plan for the compliance management promotional and liaison activities in collaboration with relevant internal and external personnel

5 Assign resources for promotional and liaison activities

5.1 Prepare to implement the planned compliance management promotional and liaison activities and negotiate a suitable budget with authorised personnel for approval

5.2 Assign or acquire physical and human resources for the execution of the planned promotional and liaison activities, in accordance with the approved action plan

6 Communicate with identified contacts

6.1 Make initial contact with identified internal and/or external contacts using appropriate communication techniques

6.2 Ensure the requirements for seeking information are clearly explained and communicated

6.3 Apply effective interpersonal skills during all communication activities

6.4 Provide accurate and clear details in written, electronic or oral form using appropriate techniques in accordance with relevant internal and external requirements

6.5 Record details of communications conducted as part of compliance related promotional and liaison activities in an appropriate format

7 Manage promotional and liaison activities

7.1 Brief managers and personnel on their roles and responsibilities in the compliance management promotional and liaison activities

7.2 Monitor compliance management promotional and liaison activities against objectives, established performance criteria, milestones and budget targets

7.3 Take appropriate action to ensure promotional activities achieve the planned outcomes within project limits

8 Evaluate promotional and liaison activities

8.1 Collect data and performance indicators from appropriate sources, on the outcomes of compliance management promotional and liaison activities

8.2 Analyse collected evaluation data in terms of planned outcomes and performance criteria

8.3 Summarise the results of the promotional and liaison activities and document identified issues and related recommendations

9 Document promotional activities

9.1 Record, store and disseminate details of the execution of planned compliance management promotional and liaison activities in accordance with the organisation’s policies and procedures

9.2 Prepare and submit reports on the compliance management promotional and liaison activities and ensure the outcomes are relevant to internal and external personnel

9.3 Refer recommendations on improvements to compliance management promotional and liaison activities to relevant managers for appropriate action

9.4 Organise and incorporate information on contacts established during compliance management liaison activities in an appropriate listing of contacts for future liaison activities

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 Clarify compliance issues on which liaison is required

1.1 Confirm and clarify with relevant internal and external personnel, compliance issues requiring communication

1.2 Seek and/or obtain information during the liaison activity on applicable compliance requirements and related compliance program/management system and summarise in an appropriate format

1.3 Identify, source and interpret sections of relevant Australian and international standards in terms of processes to be followed for promotional and liaison activities

2 Identify the target groups for promotional or liaison activities

2.1 Using appropriate means, identify groups that need to be aware of the organisation’s compliance program/management system or that may need to be contacted about compliance issues

2.2 Record information on identified target groups and store in an appropriate format for use in activities to promote the compliance program/management system

3 Identify contacts for liaison

3.1 Identify suitable contacts from own network or with the assistance of relevant internal and external personnel

3.2 Apply search techniques to establish the most suitable contacts for the liaison activities, where appropriate

4 Develop an action plan for the promotional and liaison activities

4.1 Access and review details of the organisation’s compliance program/management system

4.2 List internal and external persons and organisations that need to be aware of specific aspects of the compliance program/management system in compliance management promotional and liaison activities

4.3 Prepare an action plan for the compliance management promotional and liaison activities in collaboration with relevant internal and external personnel

5 Assign resources for promotional and liaison activities

5.1 Prepare to implement the planned compliance management promotional and liaison activities and negotiate a suitable budget with authorised personnel for approval

5.2 Assign or acquire physical and human resources for the execution of the planned promotional and liaison activities, in accordance with the approved action plan

6 Communicate with identified contacts

6.1 Make initial contact with identified internal and/or external contacts using appropriate communication techniques

6.2 Ensure the requirements for seeking information are clearly explained and communicated

6.3 Apply effective interpersonal skills during all communication activities

6.4 Provide accurate and clear details in written, electronic or oral form using appropriate techniques in accordance with relevant internal and external requirements

6.5 Record details of communications conducted as part of compliance related promotional and liaison activities in an appropriate format

7 Manage promotional and liaison activities

7.1 Brief managers and personnel on their roles and responsibilities in the compliance management promotional and liaison activities

7.2 Monitor compliance management promotional and liaison activities against objectives, established performance criteria, milestones and budget targets

7.3 Take appropriate action to ensure promotional activities achieve the planned outcomes within project limits

8 Evaluate promotional and liaison activities

8.1 Collect data and performance indicators from appropriate sources, on the outcomes of compliance management promotional and liaison activities

8.2 Analyse collected evaluation data in terms of planned outcomes and performance criteria

8.3 Summarise the results of the promotional and liaison activities and document identified issues and related recommendations

9 Document promotional activities

9.1 Record, store and disseminate details of the execution of planned compliance management promotional and liaison activities in accordance with the organisation’s policies and procedures

9.2 Prepare and submit reports on the compliance management promotional and liaison activities and ensure the outcomes are relevant to internal and external personnel

9.3 Refer recommendations on improvements to compliance management promotional and liaison activities to relevant managers for appropriate action

9.4 Organise and incorporate information on contacts established during compliance management liaison activities in an appropriate listing of contacts for future liaison activities

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
Confirm and clarify with relevant internal and external personnel, compliance issues requiring communication 
Seek and/or obtain information during the liaison activity on applicable compliance requirements and related compliance program/management system and summarise in an appropriate format 
Identify, source and interpret sections of relevant Australian and international standards in terms of processes to be followed for promotional and liaison activities 
Using appropriate means, identify groups that need to be aware of the organisation’s compliance program/management system or that may need to be contacted about compliance issues 
Record information on identified target groups and store in an appropriate format for use in activities to promote the compliance program/management system 
Identify suitable contacts from own network or with the assistance of relevant internal and external personnel 
Apply search techniques to establish the most suitable contacts for the liaison activities, where appropriate 
Access and review details of the organisation’s compliance program/management system 
List internal and external persons and organisations that need to be aware of specific aspects of the compliance program/management system in compliance management promotional and liaison activities 
Prepare an action plan for the compliance management promotional and liaison activities in collaboration with relevant internal and external personnel 
Prepare to implement the planned compliance management promotional and liaison activities and negotiate a suitable budget with authorised personnel for approval 
Assign or acquire physical and human resources for the execution of the planned promotional and liaison activities, in accordance with the approved action plan 
Make initial contact with identified internal and/or external contacts using appropriate communication techniques 
Ensure the requirements for seeking information are clearly explained and communicated 
Apply effective interpersonal skills during all communication activities 
Provide accurate and clear details in written, electronic or oral form using appropriate techniques in accordance with relevant internal and external requirements 
Record details of communications conducted as part of compliance related promotional and liaison activities in an appropriate format 
Brief managers and personnel on their roles and responsibilities in the compliance management promotional and liaison activities 
Monitor compliance management promotional and liaison activities against objectives, established performance criteria, milestones and budget targets 
Take appropriate action to ensure promotional activities achieve the planned outcomes within project limits 
Collect data and performance indicators from appropriate sources, on the outcomes of compliance management promotional and liaison activities 
Analyse collected evaluation data in terms of planned outcomes and performance criteria 
Summarise the results of the promotional and liaison activities and document identified issues and related recommendations 
Record, store and disseminate details of the execution of planned compliance management promotional and liaison activities in accordance with the organisation’s policies and procedures 
Prepare and submit reports on the compliance management promotional and liaison activities and ensure the outcomes are relevant to internal and external personnel 
Refer recommendations on improvements to compliance management promotional and liaison activities to relevant managers for appropriate action 
Organise and incorporate information on contacts established during compliance management liaison activities in an appropriate listing of contacts for future liaison activities 

Forms

Assessment Cover Sheet

BSBCOM404 - Promote and liaise on compliance requirements, systems and related issues
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Assessment Record Sheet

BSBCOM404 - Promote and liaise on compliance requirements, systems and related issues

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