Assessor Resource

BSBCOM406A
Conduct work within a compliance framework

Assessment tool

Version 1.0
Issue Date: April 2024


This unit applies to individuals who identify statutory, legislative and regulatory requirements and relate them to individual work practices to ensure ongoing adherence to the compliance framework.

This unit describes the performance outcomes, skills and knowledge required to carry out work in accordance with the compliance framework applying to a particular job role, occupation or profession.

A range of legislation, rules, regulations and codes of practice may apply to this unit at the time of endorsement, depending on job roles and jurisdictions.

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 ability to:

apply knowledge of relevant statutory, legislative and regulatory requirements relating to work practices

map requirements to work practices to demonstrate an application of compliance requirements

apply work practices in accordance with a compliance framework

handle contingencies.

Context of and specific resources for assessment

Assessment must ensure access to:

legislation, regulations and codes of conduct relevant to job role, occupation or profession

information about relevant professional associations and codes of conduct

organisational policies and procedures relevant to job role, occupation or profession.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this units:

analysis of responses to case studies and scenarios

direct questioning combined with review of portfolios of evidence

oral or written questioning to assess knowledge of scope of own responsibilities and obligations to refer matters outside area of responsibility

evaluation of legal cases involving the application of the compliance framework relevant to the job role, occupation or profession.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

BSBCMM402A Implement effective communication strategies.

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

written and oral communication to apply the relevant compliance framework

research and documentation skills to research and summarise the compliance framework relevant to job role

self-management skills to:

monitor and adapt to changes in compliance issues

handle contingencies

Required knowledge

statutory, legislative and regulatory requirements relevant to job role, occupation or profession

codes of practice relevant to job role, occupation or profession

organisational policies and procedures relevant to workplace

comprehensive knowledge of individual work requirements and practices as contained in position description and occupational standards

interpretation of statutory requirements and codes of conduct in context of individual job role

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.

Statutory, legislative and regulatory requirements may include:

equal employment opportunity and anti-discrimination legislation

legislation specific to the industry or profession, e.g. Legal Professional Act 2007

occupational health and safety laws

privacy legislation

regulations and codes of conduct governing the occupation or profession.

Organisational and industry requirements may include:

conflict of interest guidelines

equity guidelines and workplace diversity guidelines

ethical or other standards

industry standards and codes of conduct

internal control standards

organisation's values statement and relevant policies and procedures.

Appropriate person may include:

human resource manager

person designated in organisational policy and procedure responsible for compliance

supervisor.

Documentation may include:

newsletters

organisational records

staff meeting agendas and minutes

updates from networks and professional associations.

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
Identify and document statutory, legislative and regulatory requirements relevant to job role, occupation or profession 
Identify and document relevant organisational and industry requirements 
Map compliance requirements against individual position description and work practices 
Discuss ethical considerations with relevant parties where appropriate 
Consult with appropriate persons to identify procedures to be applied, contingent on the situation 
Reflect on personal actions in the context of compliance requirements 
Record action taken if required 
Access and analyse documentation relating to changes in compliance issues 
Discuss documentation with appropriate persons to ensure ongoing compliance 

Forms

Assessment Cover Sheet

BSBCOM406A - Conduct work within a compliance framework
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

BSBCOM406A - Conduct work within a compliance framework

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: