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Evidence Guide: BSBCOM403 - Provide education and training on compliance requirements and systems

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

 

BSBCOM403 - Provide education and training on compliance requirements and systems

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

Identify the requirements for induction and ongoing training programs

  1. Establish compliance requirements relevant to the organisation and the associated compliance program/management system
  2. Confirm and document the organisation’s obligations and responsibilities in providing induction and training activities
  3. Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation’s compliance program/management system
  4. Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system
  5. Determine induction and training needs of personnel to achieve the required levels of competence
Establish compliance requirements relevant to the organisation and the associated compliance program/management system

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Plan internal and external compliance education and training systems

  1. Develop compliance training objectives based on assessed training needs of personnel
  2. Assess and compare quality and costs of external training options
  3. Assess ability of organisation to deliver required training internally
  4. Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs
  5. Negotiate training options if required
  6. Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel
  7. Identify training personnel requirements and recruit and prepare appropriate staff
Develop compliance training objectives based on assessed training needs of personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess and compare quality and costs of external training options

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess ability of organisation to deliver required training internally

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Negotiate training options if required

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify training personnel requirements and recruit and prepare appropriate staff

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Organise internal and external compliance education and training systems

  1. Organise appropriate training and assessment materials and facilities for development or acquisition (where required)
  2. Prepare and execute implementation plans for the internal and external compliance training as approved
  3. Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures
  4. Implement planned corporate induction and training programs
Organise appropriate training and assessment materials and facilities for development or acquisition (where required)

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement planned corporate induction and training programs

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Evaluate and monitor the compliance education and training systems

  1. Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel
  2. Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems
  3. Implement approved plans for the monitoring and evaluation of internal and external compliance training systems
Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Document the operation of the compliance education and training systems

  1. Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements
  2. Prepare, process and store operational reports, certification and training and assessment records
  3. Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required
Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

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 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

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 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