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Unit of competency details

BSBAUD412 - Work within compliance frameworks (Release 1)

Summary

Usage recommendation:
Current
Mapping:
MappingNotesDate
Supersedes BSBCOM401 - Organise and monitor the operation of compliance management system 18/Oct/2020
Supersedes BSBCOM402 - Implement processes for the management of a breach in compliance requirements 18/Oct/2020
Supersedes BSBCOM403 - Provide education and training on compliance requirements and systems 18/Oct/2020
Supersedes BSBCOM404 - Promote and liaise on compliance requirements, systems and related issues 18/Oct/2020
Supersedes BSBCOM405 - Promote compliance with legislation 18/Oct/2020
Supersedes and is equivalent to BSBCOM406 - Conduct work within a compliance framework 18/Oct/2020
Supersedes BSBEDU301 - Assist with monitoring compliance in international education services 18/Oct/2020

Release Status:
Current
Releases:
ReleaseRelease date
1 1 (this release) 19/Oct/2020


Training packages that include this unit

Qualifications that include this unit

CodeSort Table listing Qualifications that include this unit by the Code columnTitleSort Table listing Qualifications that include this unit by the Title columnUsage RecommendationRelease
FNS60822 - Advanced Diploma of Integrated Risk ManagementAdvanced Diploma of Integrated Risk ManagementCurrent
CPP41519 - Certificate IV in Security Risk AnalysisCertificate IV in Security Risk AnalysisCurrent
BSB40120 - Certificate IV in BusinessCertificate IV in BusinessCurrent
DEF50722 - Diploma of Range Control and ManagementDiploma of Range Control and ManagementCurrent
FNS42222 - Certificate IV in Personal Trust AdministrationCertificate IV in Personal Trust AdministrationCurrent
DEF50717 - Diploma of Range Control and ManagementDiploma of Range Control and ManagementSuperseded
FNS30420 - Certificate III in Mercantile AgentsCertificate III in Mercantile AgentsCurrent1-2 
BSB50920 - Diploma of Quality AuditingDiploma of Quality AuditingCurrent1-2 
FNS41820 - Certificate IV in Financial ServicesCertificate IV in Financial ServicesCurrent
FNS51522 - Diploma of Credit ManagementDiploma of Credit ManagementCurrent
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Accredited courses that have this unit in the completion mapping

CodeSort Table listing Accredited courses that have this unit in the completion mapping by the Code columnTitleSort Table listing Accredited courses that have this unit in the completion mapping by the Title columnStatus
10964NAT - Certificate IV in Compliance and Risk ManagementCertificate IV in Compliance and Risk Management Current
10285NAT - Course in VET Quality and ComplianceCourse in VET Quality and Compliance Non-Current
10816NAT - Certificate III in Work Skills for Career Enhancement and ManagementCertificate III in Work Skills for Career Enhancement and Management Non-Current
11059NAT - Diploma of Vocational Education and Training Compliance Management Diploma of Vocational Education and Training Compliance Management  Current
11148NAT - Certificate IV in Lifting Equipment Testing and Inspection Certificate IV in Lifting Equipment Testing and Inspection  Current
11263NAT - Certificate III in Work Skills for Career Enhancement and ManagementCertificate III in Work Skills for Career Enhancement and Management Current
11075NAT - Certificate IV in Vocational Education and Training ComplianceCertificate IV in Vocational Education and Training Compliance Current

Classifications

SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 091103 Legal Studies  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 091103 Legal Studies  17/Dec/2020 
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Unit of competency

Modification History

Release  

Comments  

Release 1

This version first released with BSB Business Services Training Package Version 7.0.

Application

This unit describes the skills and knowledge required to identify statutory, legislative and regulatory requirements and relate them to individual work practices to ensure ongoing adherence to the compliance framework.

The unit applies to individuals who carry out work in accordance with the compliance framework applying to a particular job role, occupation or profession.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

Unit Sector

Technical Skills – Audit and Compliance

Elements and Performance Criteria

ELEMENT 

PERFORMANCE CRITERIA 

Elements describe the essential outcomes.

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

1. Identify compliance requirements

1.1 Identify and document statutory, legislative and regulatory requirements relevant to job role and industry

1.2 Identify and document organisational and industry requirements

2. Interpret compliance requirements

2.1 Map compliance requirements against position description and work practices

2.2 Discuss ethical considerations with relevant stakeholders

3. Manage personal compliance

3.1 Consult with relevant stakeholders and identify procedures to be applied, applicable to work environment and own job role

3.2 Evaluate own actions in the context of compliance requirements

3.3 Record own compliance action according to organisational policies and procedures

4. Review own compliance

4.1 Seek feedback on personal compliance from relevant personnel

4.2 Access and analyse documentation relating to changes in compliance requirements

4.3 Discuss feedback and documentation with relevant personnel and check own ongoing compliance

4.4 Identify required changes to own compliance practice

Foundation Skills

This section describes those language, literacy, numeracy and employment skills that are essential to performance but not explicit in the performance criteria.

Skill 

Description 

Reading

  • Identifies and analyses statutory, legislative and regulatory requirements to determine key information, specific requirements and responsibilities

Writing

  • Collates and compiles information gathered from multiple sources in required format for using technical and enterprise specific language

Oral Communication

  • Discusses compliance using structure and language to suit the audience
  • Uses listening and questioning techniques to confirm understanding of compliance requirements

Self-management

  • Takes personal responsibility for following explicit and implicit policies, procedures and legislative requirements

Unit Mapping Information

Supersedes and is equivalent to BSBCOM406 Conduct work within a compliance framework.

Supersedes but is not equivalent to:

  • BSBCOM401 Organise and monitor the operation of compliance management system
  • BSBCOM402 Implement processes for the management of a breach in compliance requirements
  • BSBCOM403 Provide education and training on compliance requirements and systems
  • BSBCOM404 Promote and liaise on compliance requirements, systems and related issues
  • BSBCOM405 Promote compliance with legislation
  • BSBEDU301 Assist with monitoring compliance in international education services.

Links

Companion Volume Implementation Guide is found on VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10

 

Assessment requirements

Modification History

Release  

Comments  

Release 1

This version first released with BSB Business Services Training Package Version 7.0.

Performance Evidence

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

  • on at least two occasions, interpret and apply personal compliance requirements for job role and industry.

Knowledge Evidence

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

  • legislation, regulations and codes of conduct relevant to job role, occupation and profession
  • sources of information to ensure currency with changes in compliance requirements
  • organisational policies and procedures relevant to compliance framework in relevant industry
  • individual work requirements and practices
  • methods to map compliance requirements.

Assessment Conditions

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

  • legislation, regulations and codes of conduct relevant to job role, occupation and profession
  • position descriptions
  • organisation policies and procedures relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Links

Companion Volume Implementation Guide is found on VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10