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Evidence Guide: BSBCOM405A - Promote compliance with legislation

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

 

BSBCOM405A - Promote compliance with legislation

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

Determine compliance strategies

  1. Access current information about the range of domestic and international legislation relating to own work
  2. Clarify compliance requirements to confirm understanding and ensure consistency of interpretation and application
  3. Obtain advice to assist in applying relevant legislation to own work and identifying compliance requirements
  4. Access organisation's procedures and practices to facilitate compliance with relevant legislation
  5. Assess interface with other organisations
Access current information about the range of domestic and international legislation relating to own work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify compliance requirements to confirm understanding and ensure consistency of interpretation and application

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain advice to assist in applying relevant legislation to own work and identifying compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access organisation's procedures and practices to facilitate compliance with relevant legislation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess interface with other organisations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Model and encourage compliance with legislative requirements

  1. Apply organisation's procedures and practices to own work practices to meet compliance requirements
  2. Identify areas of uncertainty in own work related to compliance requirements and take action to clarify issues
  3. Review own work and seek feedback from others to confirm continuing compliance with legislative requirements
  4. Evaluate own competence and address any identified gaps
  5. Identify possible implications of non-compliance and use these to guide own work practices
  6. Raise inadequacies in organisation's procedures and practices which may contribute to non-compliance in accordance with organisational procedures
  7. Raise inadequacies with outside organisations' procedures and practices which may contribute to non-compliance in accordance with organisational procedures
Apply organisation's procedures and practices to own work practices to meet compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas of uncertainty in own work related to compliance requirements and take action to clarify issues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review own work and seek feedback from others to confirm continuing compliance with legislative requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate own competence and address any identified gaps

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify possible implications of non-compliance and use these to guide own work practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Raise inadequacies in organisation's procedures and practices which may contribute to non-compliance in accordance with organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Raise inadequacies with outside organisations' procedures and practices which may contribute to non-compliance in accordance with organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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:

identifying compliance requirements

developing and implementing strategies to manage compliance with appropriate legislation

documenting policies, procedures and practices developed to address compliance issues

encouraging and supporting own compliance and that of others in the workplace

knowledge of relevant conventions, treaties, agreements, guidelines, declarations, recommendations, laws and rules.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant workplace documentation and compliance measures

access to libraries or other resource collections

access to an actual workplace or simulated environment

access to office equipment and resources.

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:

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

review of own work and feedback sought from others to confirm continuing compliance with legislative requirements

analysis of responses to case studies and scenarios

oral or written questioning to assess knowledge of penalties for non-compliance with legislative requirements

evaluation of inadequacies raised about the organisation's procedures and practices in relation to compliance with legislative requirements.

Guidance information for assessment

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

BSBINT405B Apply knowledge of import and export international conventions, laws and finance.

Required Skills and Knowledge

Required skills

communication skills to provide advice and to document policies and procedures

leadership skills to gain trust and confidence of colleagues and clients

learning skills to maintain knowledge of changes to compliance legislation and requirements

problem-solving skills to address compliance issues.

Required knowledge

identification and overview knowledge of key provisions of relevant legislation from all levels of government that affects business operations, codes of practice and national standards, such as:

Australian Harmonized Export Commodity Codes conditions

Carriage of Goods by Sea Act

Customs Act

INCOTERMS

trade modernisation legislation: Customs Legislation Amendment and Repeal Act, Import Processing Charges Act, Customs Depot Licensing Charges Amendment Act

Trade Practices Act

transport of dangerous goods

contract law

sales of goods legislation

Warsaw Convention

World Trade Organisation determinations

organisational policies and procedures relating to legislation in organisation's functional area

penalties for non-compliance with legislative requirements

auditing requirements

Occupational Health and Safety (OHS) requirements applicable to own work and functional area.

Range Statement

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.

Legislation may include:

legislation applicable across all organisations such as OHS, equal opportunity, anti-discrimination, company law, contract law, consumer law

legislation specific to the operations of the organisation

Compliance requirements may include:

audit schedules and cycles

Australian Customs Service Accredited Client Program for qualifying clients

checks and balances

crosschecking

policies and procedures detailing compliance requirements and processes to ensure compliance

sign offs by individual/s responsible for ensuring compliance

Other organisations may include:

agents

clients

customers

partners

suppliers

Implications of non-compliance may include:

fines or penalties

loss of Accredited Client Program status for client

warnings

withdrawal of licences, approvals