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Evidence Guide: BSBCOM502B - Evaluate and review compliance

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!

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BSBCOM502B - Evaluate and review compliance

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

Develop the evaluation plan

  1. Obtain details of the organisation's compliance policies, objectives and assessment criteria
  2. Obtain and interpret information on current compliance requirements applicable to the organisation
  3. Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes
  4. Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected
  5. Obtain approval of plan from relevant internal and/or external personnel
Obtain details of the organisation's compliance policies, objectives and assessment criteria

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Obtain and interpret information on current compliance requirements applicable to the organisation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Obtain approval of plan from relevant internal and/or external personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Gather required evaluation data

  1. Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan
  2. Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards
  3. Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel
  4. Organise interpreted evaluation data for later analysis
Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Organise interpreted evaluation data for later analysis

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Analyse the collected data

  1. Analyse evaluation data in accordance with planned methodology
  2. Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel
Analyse evaluation data in accordance with planned methodology

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Determine evaluation findings and outcomes

  1. Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel
  2. Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary
  3. Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel
Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Document and disseminate the outcomes and recommendations of the evaluation

  1. Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback
  2. Edit the report based on the feedback obtained
  3. Proofread the report in preparation for publishing
  4. Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel
  5. Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements
Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Edit the report based on the feedback obtained

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Proofread the report in preparation for publishing

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements

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:

completion of project work which comprehensively evaluates how an organisation is fulfilling its compliance requirements

knowledge of evaluation methods and techniques suitable for compliance related evaluation and review.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant published material and such as:

organisational policies, standard operating procedures, procedures and plans

relevant legislation, regulations, licensing requirements, codes of practice, standards

compliance evaluation reports

access to the relevant internal and external data files

access to appropriate computer resources for online searching, data processing and analysis, and report preparation and editing.

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:

observations of activities undertaken to evaluate compliance requirements

assessment of reports evaluating the performance and effectiveness of existing compliance systems and processes

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

observations of interactions with internal and external stakeholders while evaluating compliance requirements

oral or written questioning to assess knowledge of the effectiveness of compliance systems and processes and their impact on organisational objectives, processes and systems

review of evaluation plan

assessment of dissemination of the report.

Guidance information for assessment

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

other compliance units.

Required Skills and Knowledge

Required skills

interpersonal skills to contribute to a positive culture of compliance within an organisation

investigative skills to evaluate and review compliance

project management skills to:

develop project plans

manage other personnel involved in the evaluation activity

meet project timelines

mange project finances

interpersonal skills to relate to internal and external personnel and in particular those representing relevant regulatory authorities, professional institutes and organisations, standards organisations

research and evaluation skills to:

conduct literature searches and internet searches

analyse and organise evaluation data using appropriate techniques

conduct various types of evaluation surveys

conduct quantitative data analysis using appropriate techniques

technical skills to use communications technology effectively.

Required knowledge

evaluation methods and techniques suitable for compliance related evaluation and review

sources of data relevant to compliance related evaluation and review

relevant Australian and international standards including but not limited to:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

elements of compliance program/management systems including:

documentation of compliance requirements relevant to the organisation

compliance management functions, accountabilities and responsibilities within the organisation

compliance related management information systems

record keeping systems required for compliance management

liaison procedures with relevant internal and external personnel on compliance related matters

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance reporting procedures

corporate induction and training processes related to compliance management

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system

compliance complaints handling systems

continuous improvement processes for compliance including monitoring, evaluation and review

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program/management system

reporting processes on compliance management including reports on breaches and rectification action

relevant organisational policies and procedures including:

compliance plans and policies in various compliance areas

organisational standards for operations and ethics.

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.

Compliance requirements may include:

different types of external and internal compliance requirements including:

accreditation requirements of an institute, professional organisation or registration body

internal policies, procedures, standards or codes of practice of an organisation

regulations of a state/territory, national or international regulatory authority

requirements for certification under statutory licensing systems

statutory standards or codes of practice

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit

education, electricity, environmental protection, equal opportunity

financial services (including banking), fire, food hygiene, freedom of information, freight forwarding

gambling, gene technology

health, human rights

insurance, immigration, intellectual property

land management

maritime, mining

pharmaceuticals, patents, privacy

quarantine

racing, rail transport, road transport

safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

Evaluation methodology may include:

analysis of complaints recorded involving compliance requirements

analysis of feedback from clients, suppliers, internal managers and personnel

assessment of information contained in the organisation's management information system

collection of operational data

desk analysis

drafting and editing of the evaluation report

literature searches including internet searches

review of reports from relevant compliance authorities and organisations

surveys of relevant internal and external personnel including interviews, focus groups, questionnaires

Evaluation plan may include:

details of the applicable compliance requirement and related evaluation criteria

evaluation methodology

milestones

personnel required including evaluation project manager, the evaluation team and those who may be consulted during the course of the evaluation activities

resource requirements and related costs

timelines

Evaluation data may include:

completed survey questionnaires

documentation on feedback and complaints involving compliance requirements

operational data pertinent to the fulfillment of compliance requirements

published documents including papers, standards, regulations

quantitative data collected from various sources

records of interviews, meetings or focus group workshop outcomes

records of telephone conversations

written correspondence including letters, faxes, emails

Relevant Australian and international standards may include:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management

Relevant internal personnel may include:

board of directors

chief executive officer

compliance management team (where relevant)

compliance specialists at the operational level

frontline managers

senior management team

Relevant external personnel may include:

chief executive officers and managers in organisations with an interest in the compliance issues being researched

legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

representatives of professional associations and institutes relevant to the organisation's operations and sphere of business

representatives of relevant authorities in pertinent compliance areas

Authorised personnel may include:

chief executive officer or manager in an organisation

evaluation project manager

evaluation steering committee (where applicable)

nominated representative of educational institution/s or organisation/s

nominated representative of professional association/s or institute/s

nominated representative of regulatory authority