Mapping	Notes	Date
Supersedes and is equivalent to BSBCOM603 - Plan and establish compliance management systems		18/Oct/2020
Supersedes BSBMGT521 - Plan, implement and review a quality assurance program		18/Oct/2020
Supersedes BSBMGT621 - Design and manage the enterprise quality management system		18/Oct/2020

Release	Release date
1 1 (this release)	19/Oct/2020

CodeSort Table listing Training packages that include this unit by the Code column	TitleSort Table listing Training packages that include this unit by the Title column	Release
FNS - Financial Services Training Package	Financial Services Training Package	5.0-8.2
BSB - Business Services Training Package	Business Services Training Package	7.0-8.0

CodeSort Table listing Qualifications that include this unit by the Code column	TitleSort Table listing Qualifications that include this unit by the Title column	Usage Recommendation	Release
BSB60720 - Advanced Diploma of Program Management	Advanced Diploma of Program Management	Current	1
FNS60920 - Advanced Diploma of Paraplanning	Advanced Diploma of Paraplanning	Current	1-2
FNS60822 - Advanced Diploma of Integrated Risk Management	Advanced Diploma of Integrated Risk Management	Current	1-2
FNS60622 - Advanced Diploma of Banking Services Management	Advanced Diploma of Banking Services Management	Current	1
BSB50920 - Diploma of Quality Auditing	Diploma of Quality Auditing	Current	1-2
BSB60220 - Advanced Diploma of Conveyancing	Advanced Diploma of Conveyancing	Current	1
BSB60120 - Advanced Diploma of Business	Advanced Diploma of Business	Current	1
BSB60619 - Advanced Diploma of Work Health and Safety	Advanced Diploma of Work Health and Safety	Current	2
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CodeSort Table listing Skill sets that include this unit by the Code column	TitleSort Table listing Skill sets that include this unit by the Title column	Usage Recommendation	Release
BSBSS00115 - Copyright Management Skill Set	Copyright Management Skill Set	Current	1
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CodeSort Table listing Accredited courses that have this unit in the completion mapping by the Code column	TitleSort Table listing Accredited courses that have this unit in the completion mapping by the Title column	Status
10711NAT - Advanced Diploma of Governance, Risk and Compliance	Advanced Diploma of Governance, Risk and Compliance	Non-Current
10844NAT - Diploma of Agritourism Operations	Diploma of Agritourism Operations	Current
10615NAT - Graduate Diploma of VET Quality and Compliance Management	Graduate Diploma of VET Quality and Compliance Management	Non-Current
10980NAT - Graduate Certificate in Compliance and Risk Management	Graduate Certificate in Compliance and Risk Management	Current
11143NAT - Advanced Diploma of Governance, Risk and Compliance	Advanced Diploma of Governance, Risk and Compliance	Current

Scheme	Code	Classification value
ASCED Module/Unit of Competency Field of Education Identifier	091103	Legal Studies

Scheme	Code	Classification value	Start date	End date
ASCED Module/Unit of Competency Field of Education Identifier	091103	Legal Studies	17/Dec/2020

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 establish and manage compliance management systems to enable organisations to fulfil their obligations and responsibilities under compliance requirements.

It applies to individuals who have specific responsibility for the planning, development and operation of a compliance management system.

Application of this unit must be consistent with the relevant sections of standards and legislative requirements.

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. Determine compliance requirements	1.1 Collect and interpret information on current compliance requirements applicable to the organisation 1.2 Review compliance requirements according to organisational policies and procedures
2. Identify and select relevant compliance management system	2.1 Investigate required compliance areas and identify options for compliance management systems 2.2 Compare and select options for compliance management system according to identified organisational compliance requirements
3. Plan and document required compliance management system	3.1 Determine and assign resources for the operation of the compliance management system 3.2 Identify and document management information systems requirements 3.3 Determine and plan strategy for developing compliance management culture, in consultation with relevant stakeholders 3.4 Identify and document processes and procedures for identifying, managing and reporting breaches in compliance requirements 3.5 Document schedule for implementing, reviewing and maintaining the planned compliance management system, and distribute to relevant stakeholders 3.6 Collate documents in compliance management system plan and seek approval from relevant stakeholders 3.7 Establish mechanisms for collecting feedback information on compliance management system
4. Establish compliance management system	4.1 Appoint and distribute information to relevant stakeholders on their compliance management responsibilities 4.2 Establish the components of compliance management system in collaboration with relevant stakeholders 4.3 Monitor operation of compliance management system in collaboration with relevant stakeholders according to plan
5. Facilitate continuous improvement of compliance management system	5.1 Monitor and review performance against targets and performance indicators 5.2 Analyse feedback and evaluation data and implement improvements 5.3 Document and report continuous improvement of compliance management system

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	Investigates and evaluates complex texts to determine key information and specific requirements and responsibilities
Writing	Develops documentation for a specific audience using detailed language to convey information, requirements and recommendations Collates and compiles data to convey specific information, requirements and recommendations
Oral Communication	Conveys information, which incorporates evaluation of information and specialised and cohesive language, in a format and style appropriate to a specific audience Elicits the views of others by listening and questioning
Initiative and enterprise	Explores and incubates new and innovative ideas through unconstrained analysis and critical thinking to establish and monitor compliance management systems
Teamwork	Collaborates with others to achieve joint outcomes, playing an active role in facilitating understanding
Technology	Uses a range of digitally based technology and applications to access, organise, integrate and share information

Unit Mapping Information

Supersedes and is equivalent to BSBCOM603 Plan and establish compliance management systems.

Supersedes but is not equivalent to:

BSBMGT521 Plan, implement and review a quality assurance program
BSBMGT621 Design and manage the enterprise quality management system.

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:

plan, establish and monitor one compliance management system in collaboration with relevant stakeholders, including:

reviewing organisational compliance requirements
documenting an action schedule for implementing, maintaining and reviewing the compliance system
appointing and informing staff on compliance management system.

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:

research methods and techniques
standards and legislation relevant to organisational compliance requirements
key elements of compliance management systems, including:

documentation of compliance requirements relevant to the organisation
functions, accountabilities and responsibilities within the organisation
compliance related management information systems
record keeping systems required for compliance management
continuous improvement processes for compliance, including monitoring, evaluation and review
strategies for developing a positive compliance culture within the organisation
reporting processes on compliance management, including reports on breaches and rectification action

organisational policies and procedures, including compliance plans in various compliance areas and organisational standards for operations.

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:

organisational policies and procedures and documentation relevant to compliance requirements
interaction with others
legislation, regulations and standards for compliance.

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

Unit of competency details

BSBAUD601 - Establish and manage compliance management systems (Release 1)

Summary

Training packages that include this unit

Qualifications that include this unit

Skill sets that include this unit

Accredited courses that have this unit in the completion mapping

Classifications

Classification history

Content

Unit of competency

Modification History

Application

Unit Sector

Elements and Performance Criteria

Foundation Skills

Unit Mapping Information

Links

Assessment requirements

Modification History

Performance Evidence

Knowledge Evidence

Assessment Conditions

Links

Reports

Resources

More

Using training.gov.au

Acknowledgement of Country