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Evidence Guide: BSBCOM406A - Conduct work within a compliance framework

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

 

BSBCOM406A - Conduct work within a compliance framework

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

Identify individual compliance requirements

  1. Identify and document statutory, legislative and regulatory requirements relevant to job role, occupation or profession
  2. Identify and document relevant organisational and industry requirements
Identify and document statutory, legislative and regulatory requirements relevant to job role, occupation or profession

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document relevant organisational and industry requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Interpret individual compliance requirements

  1. Map compliance requirements against individual position description and work practices
  2. Discuss ethical considerations with relevant parties where appropriate
Map compliance requirements against individual position description and work practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Discuss ethical considerations with relevant parties where appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure individual compliance

  1. Consult with appropriate persons to identify procedures to be applied, contingent on the situation
  2. Reflect on personal actions in the context of compliance requirements
  3. Record action taken if required
Consult with appropriate persons to identify procedures to be applied, contingent on the situation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reflect on personal actions in the context of compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Record action taken if required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and adapt to changes in compliance requirements

  1. Access and analyse documentation relating to changes in compliance issues
  2. Discuss documentation with appropriate persons to ensure ongoing compliance
Access and analyse documentation relating to changes in compliance issues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Discuss documentation with appropriate persons to ensure ongoing compliance

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 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.

Required Skills and Knowledge

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

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.

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.