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Evidence Guide: BSBCOM401 - Organise and monitor the operation of compliance management system

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBCOM401 - Organise and monitor the operation of compliance management system

What evidence can you provide to prove your understanding of each of the following citeria?

Identify compliance roles and responsibilities

  1. Confirm and interpret the compliance requirements applicable to the organisation
  2. Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system
Confirm and interpret the compliance requirements applicable to the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organise the operation of the compliance program/management system

  1. Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation
  2. Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards
  3. Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies
  4. Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities
  5. Launch the compliance program/management system in accordance with organisation’s plan
Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Launch the compliance program/management system in accordance with organisation’s plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor the operation of the compliance program/management system

  1. Gather information on the operation of the compliance program/management system from appropriate sources
  2. Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria
  3. Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems
  4. Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems
Gather information on the operation of the compliance program/management system from appropriate sources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document the operation and monitoring of the compliance program/management system

  1. Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system
  2. Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel
  3. Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel
Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1 Identify compliance roles and responsibilities

1.1 Confirm and interpret the compliance requirements applicable to the organisation

1.2 Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system

2 Organise the operation of the compliance program/management system

2.1 Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation

2.2 Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards

2.3 Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies

2.4 Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities

2.5 Launch the compliance program/management system in accordance with organisation’s plan

3 Monitor the operation of the compliance program/management system

3.1 Gather information on the operation of the compliance program/management system from appropriate sources

3.2 Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria

3.3 Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems

3.4 Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems

4 Document the operation and monitoring of the compliance program/management system

4.1 Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system

4.2 Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel

4.3 Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1 Identify compliance roles and responsibilities

1.1 Confirm and interpret the compliance requirements applicable to the organisation

1.2 Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system

2 Organise the operation of the compliance program/management system

2.1 Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation

2.2 Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards

2.3 Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies

2.4 Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities

2.5 Launch the compliance program/management system in accordance with organisation’s plan

3 Monitor the operation of the compliance program/management system

3.1 Gather information on the operation of the compliance program/management system from appropriate sources

3.2 Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria

3.3 Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems

3.4 Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems

4 Document the operation and monitoring of the compliance program/management system

4.1 Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system

4.2 Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel

4.3 Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel