Unit of competency Outline
Date retreived
24/07/2026 12:47 AM AWST
24/07/2026 12:47 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Plan and establish compliance management systems
Plan and establish compliance management systems
Unit of competency
National Code
BSBCOM603B
BSBCOM603B
State Code
D0643
D0643
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
05/11/2009
Field of Education
091103 - Legal Studies
Original Release Date
05/11/2009
Nominal Hours
50
Description
This unit describes the performance outcomes, skills and knowledge required to plan and establish appropriate compliance program/management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements.The unit has been designed to be consistent with AS 3806:2006 Compliance programs.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Determine applicable compliance requirements
- 1.1. Obtain and interpret information on current compliance requirements applicable to the organisation
- 1.2. Review each compliance requirement in terms of the relevant internal and external authorities, the risks involved, ways of ensuring compliance, the penalties for a breach of compliance, and the areas and operations of the organisation most affected
2. Identify and select an appropriate compliance program/management system
- 2.1. Investigate each area of applicable compliance to determine available options for a compliance program/management system that would be consistent with relevant Australian and International standards
- 2.2. Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria
- 2.3. Select an appropriate compliance program/management system for implementation
3. Plan required compliance program/management system
- 3.1. Determine and document components for the proposed compliance program/management system
- 3.2. Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff
- 3.3. Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options
- 3.4. Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system
- 3.5. Select a complaints management system suitable for the organisation and its compliance responsibilities
- 3.6. Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel
- 3.7. Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements
- 3.8. Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements
- 3.9. Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned
4. Document required compliance program/management system
- 4.1. Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements
- 4.2. Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel
- 4.3. Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system
5. Establish the planned compliance program/management system
- 5.1. Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities
- 5.2. Establish the components of the compliance program/management system in collaboration with assigned staff
- 5.3. Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan
- 5.4. Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan
- 5.5. Prepare reports on the operation and review of the compliance program/management system in accordance with established procedures and any statutory or other compliance obligations
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
breach management processes
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
continuous improvement processes for compliance including monitoring, evaluation and review
corporate induction and training processes related to compliance management
documentation of compliance requirements relevant to the organisation
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on compliance requirements and the compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on beaches and rectification action
specification of compliance management accountabilities/responsibilities in the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of the compliance program/management system
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
cost
effectiveness
efficiency
feasibility
match to organisational culture
compliance management team (where relevant)
compliance manager
compliance officer
compliance specialists at the operational level
frontline managers and team leaders with compliance management responsibilities
internal or external consultants and advisors with expertise in compliance requirements and management systems
MIS specialists and managers with expertise in compliance requirements and management systems
senior managers with compliance management responsibilities
trainers with expertise in compliance requirements and management systems
customised in-house off-the-job training and assessment programs for both operational and management staff
customised training programs delivered by external training organisations for both operational and management staff
external training programs in skill/knowledge areas relevant to the operation of compliance program/management systems
internal and external training programs aimed at strengthening the compliance management culture of the organisation
online training and assessment for both operation and management staff
on-the-job coaching and mentoring
budgets for implementation, review and maintenance
internal and external reporting requirements and dates for implementation, review and maintenance
key responsibilities and activities for implementation, review and maintenance
resource acquisition and maintenance schedules
staff assignments including recruitment and training schedules
target outcomes, time lines and milestones
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
breach management processes
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
continuous improvement processes for compliance including monitoring, evaluation and review
corporate induction and training processes related to compliance management
documentation of compliance requirements relevant to the organisation
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on compliance requirements and the compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on beaches and rectification action
specification of compliance management accountabilities/responsibilities in the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of the compliance program/management system
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
cost
effectiveness
efficiency
feasibility
match to organisational culture
compliance management team (where relevant)
compliance manager
compliance officer
compliance specialists at the operational level
frontline managers and team leaders with compliance management responsibilities
internal or external consultants and advisors with expertise in compliance requirements and management systems
MIS specialists and managers with expertise in compliance requirements and management systems
senior managers with compliance management responsibilities
trainers with expertise in compliance requirements and management systems
customised in-house off-the-job training and assessment programs for both operational and management staff
customised training programs delivered by external training organisations for both operational and management staff
external training programs in skill/knowledge areas relevant to the operation of compliance program/management systems
internal and external training programs aimed at strengthening the compliance management culture of the organisation
online training and assessment for both operation and management staff
on-the-job coaching and mentoring
budgets for implementation, review and maintenance
internal and external reporting requirements and dates for implementation, review and maintenance
key responsibilities and activities for implementation, review and maintenance
resource acquisition and maintenance schedules
staff assignments including recruitment and training schedules
target outcomes, time lines and milestones
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
planning for and setting up a compliance program/management system for an actual workplace or a simulated workplace in collaboration with relevant personnel
knowledge of research methods and techniques suitable for conducting compliance related research projects.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on compliance requirements
access to relevant information on options for compliance program/management systems
access to the relevant internal and external personnel
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:
analysis of techniques and data collected to plan and establish compliance management systems
assessment of reports documenting the development and progress of compliance management systems
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of activities undertaken to develop and create compliance systems and processes
observations of interactions with internal and external stakeholders while developing and creating compliance management systems
oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes
review of documented action schedule
periodic reviews of the compliance program/management system
assessment of reports on the operation and review of the compliance program/management system.
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.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
planning for and setting up a compliance program/management system for an actual workplace or a simulated workplace in collaboration with relevant personnel
knowledge of research methods and techniques suitable for conducting compliance related research projects.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on compliance requirements
access to relevant information on options for compliance program/management systems
access to the relevant internal and external personnel
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:
analysis of techniques and data collected to plan and establish compliance management systems
assessment of reports documenting the development and progress of compliance management systems
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of activities undertaken to develop and create compliance systems and processes
observations of interactions with internal and external stakeholders while developing and creating compliance management systems
oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes
review of documented action schedule
periodic reviews of the compliance program/management system
assessment of reports on the operation and review of the compliance program/management system.
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.
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| S8069 | BSBCOM603C | Plan and establish compliance management systems | Unit of competency |
