Unit of competency Outline

Date retreived
22/07/2026 8:07 AM AWST

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Establish and manage compliance management systems

Establish and manage compliance management systems

Unit of competency
National Code
BSBAUD601
State Code
OCF49
TGA Status
Current
DTWD Status
Approved
Current Release Number
1.00
Current Release Date
19/10/2020
View on TGA
State Implementation and Classification
Approved Date
16/03/2021
Field of Education
091103 - Legal Studies
Original Release Date
16/03/2021
Nominal Hours
45
Description
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.
Notes
Elements and Performance Criteria
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
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