Assessor Resource

BSBCOM404B
Promote and liaise on compliance requirements, systems and related issues

Assessment tool

Version 1.0
Issue Date: May 2024


This unit applies to owner-managers, chief executives or senior managers in a small business, and managers or members of a compliance management team within a larger organisation. This unit requires 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.

This unit also applies to promotional and/or liaison activities undertaken by an internal consultant responsible for advising the chief executive and/or management team on compliance management policies and systems, and related matters.

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.

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

This unit has been designed to be consistent with Australian Standard AS 3806: 2006 Compliance programs.

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

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

Employability Skills

This unit contains employability skills.



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.

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:

successful promotion and liaison of a compliance program/management system for an external organisation or internally within an organization

knowledge of compliance requirements applicable to the organisation.

Context of and specific resources for assessment

Assessment must ensure:

multiple examples of promotional activities and liaison activities are assessed

access to relevant information on the organisation's applicable compliance requirements and related management system such as:

organisational policies, plans, standard operating procedures, compliance breach management procedures, etc.

relevant legislation, regulations, licensing requirements, codes of practice, standards, etc.

access to the relevant internal and external data files

access to relevant internal and external personnel

access to appropriate computer resources for maintaining a contact database or maintaining records of promotional and liaison activities.

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 evaluation reports about promotional activities

assessment of promotional materials, content, publications

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

observation of delivery of promotional activities relating to compliance requirements and systems

observations of interactions with internal and external stakeholders while conducting promotional activities and liaising about compliance management systems and processes,

oral or written questioning to assess knowledge of promotional or liaison activities and their implementation

review of authenticated compliance promotional documents or computer files from the workplace or training environment

review of action plan

assessment of records of communications about compliance related promotional and liaison activities.

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.

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.

Required skills

communication skills to use media in the course of promotional and liaison activities

interpersonal skills to contribute to the development of a positive culture of compliance within an organisation

interpersonal skills to establish rapport and to relate to internal and external compliance stakeholders

literacy skills to read and interpret various types of documents and to write reports containing complex concepts

organisational and time management skills to implement promotional compliance and liaison activities

project management skills to:

scope and plan promotional and liaison activities

manage other personnel involved in the promotional and liaison activities

manage a budget for promotional and liaison activities

research and analytical skills to identify target groups for promotional and liaison activities

technical skills to use communications technology effectively.

Required knowledge

Australian and international standards including:

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

compliance requirements applicable to the organisation

elements of compliance program and related management systems including:

documentation of compliance requirements relevant to the organisation

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

internal and external personnel with an interest in an organisation's compliance program/management system

techniques suitable for liaising with others on an organisation's compliance program/management system and related issues

reporting processes on compliance program/management including reports on breaches and rectification action

relevant organisational policies and procedures including:

compliance plans and policies in various compliance areas

organisational standards for operations and ethics.

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.

Compliance issues may include:

breach management strategies

changes in compliance requirements

costs of compliance

details of compliance requirements

interpretation of compliance requirements

personnel roles and responsibilities

possible exemptions in some areas of compliance requirements

risk management strategies

Compliance requirements may include:

different types of external and internal compliance requirements including:

accreditation requirements of an institute, professional organisation or registration body

internal policies, procedures, standards or codes of practice of an organisation

regulations of a state/territory, national or international regulatory authority

requirements for certification under statutory licensing systems

statutory standards or codes of practice

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit

education, electricity, environmental protection, equal opportunity

financial services (including banking), fire, food hygiene, freedom of information, freight forwarding

gambling, gene technology

health, human rights

insurance, immigration, intellectual property

land management

maritime, mining

pharmaceuticals, patents, privacy

quarantine

racing, rail transport, road transport

safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

Compliance program/management system may include:

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance complaints handling systems

compliance related management information systems

compliance reporting procedures

continuous improvement processes for compliance including monitoring, evaluation and review

corporate induction and training processes related to compliance management

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system

record keeping systems required for compliance management

reporting processes on compliance management including reports on beaches and rectification action

specification of compliance management accountabilities and responsibilities within the organisation

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program/management system

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

Target groups may include:

clients of the organisation

consultants and advisors to the organisation

contractors and suppliers of services and resources to the organisation

internal management teams

internal operations teams and personnel

media and other organisations with a role in reporting on the organisation's compliance responsibilities and obligations, possible breaches in the requirements and the operation of the organisation's compliance program/management system

regulatory authorities and other organisations with an interest in applicable compliance requirements

staff

Search techniques may include:

contacting relevant professional associations and other organisations that may be able to recommend possible contacts

internet search of websites of pertinent regulatory authorities, licensing bodies, organisations, etc. to identify relevant contacts

review of published information on personnel within relevant organisations such as company reports, journals and other documentation from regulators and other organisations with responsibility for overseeing that organisations fulfil compliance requirements

scan of suitable published reference materials such as business directories, corporate listings, government services and agencies, information directories, etc. to identify relevant contacts

Compliance management promotional and liaison activities may include:

articles and papers in newsletters and journals

conferences, seminars and workshops

email communications

faxes

information promulgated via websites

interviews

letters, reports, completed forms and other types of written documentations

meetings

multimedia materials and resources

teleconferences and videoconferences

telephone discussions

Action plan may include:

budget

key performance criteria and indicators

methodology for evaluating the success of the planned compliance management promotional activities

objectives and planned outcomes

planned processes for reporting on the compliance management promotional activities

required human and physical resources

schedule of activities

time lines and key milestones

Internal and/or external contacts 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

Communication techniques may include:

electronic communications including telephone, fax, email, short message service (SMS), etc.

face-to-face oral communications

written communications

Requirements for seeking information may be communicated:

electronically

in writing

orally

Performance indicators may include:

assessed increase in awareness among target groups of the compliance requirements and related compliance program/management system of the organisation

assessed increase in confidence in the ability of the organisation to fulfil its obligations and responsibilities under applicable compliance requirements

confidence of representatives of relevant regulatory authorities, licensing bodies, etc. in the capacity of an organisation and its managers and staff to take appropriate action to fulfil pertinent compliance requirements, and to rectify and report on any breaches in those requirements

reduction in breaches of compliance requirements among internal and external personnel including those contracted to provide services or supplies to the organisation

Listing of contacts may include:

electronic database of contacts

hardcopy lists of contacts including address books and contact lists

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

BSBCOM404B - Promote and liaise on compliance requirements, systems and related issues
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Assessment Record Sheet

BSBCOM404B - Promote and liaise on compliance requirements, systems and related issues

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