Unit of competency Outline

Date retreived
22/07/2026 6:39 AM AWST

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Organise and monitor the operation of compliance management system

Organise and monitor the operation of compliance management system

Unit of competency
National Code
BSBCOM401
State Code
AUK64
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
25/03/2015
View on TGA
State Implementation and Classification
Approved Date
15/09/2015
Field of Education
091103 - Legal Studies
Original Release Date
15/09/2015
Nominal Hours
40
Description
This unit describes the performance outcomes, skills and knowledge required to organise and monitor the operation of a compliance program/management system established by an organisation. It has been designed to be consistent with AS 3806:2006 Compliance programs.It applies to individuals who create solutions to a range of unpredictable problems and provide leadership and guidance to others with some limited responsibility for the output of others. Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
1 Identify compliance roles and responsibilities
  • 1.1 Confirm and interpret the compliance requirements applicable to the organisation
  • 1.2 Examine the structure of the organisation to determine the roles, accountabilities and responsibilities of managers and operational staff in maintaining compliance within the organisation’s planned compliance program/management system
2 Organise the operation of the compliance program/management system
  • 2.1 Confirm the components of the planned compliance program/management system and clarify the proposed structures, procedures and budgetary arrangements for their implementation
  • 2.2 Develop an implementation strategy and schedule for the establishment of the planned compliance program/management system in accordance with relevant Australian and international standards
  • 2.3 Assign or acquire resources for the planned compliance program/management system in accordance with organisational procedures and policies
  • 2.4 Arrange appropriate briefings and training to ensure relevant managers and operations staff are aware of their roles and responsibilities
  • 2.5 Launch the compliance program/management system in accordance with organisation’s plan
3 Monitor the operation of the compliance program/management system
  • 3.1 Gather information on the operation of the compliance program/management system from appropriate sources
  • 3.2 Review feedback and performance indicators on the operation of the compliance program/management system in terms of agreed criteria
  • 3.3 Identify problems in the operation of the compliance program/management system and in particular any breach of compliance requirements and take appropriate action to address problems
  • 3.4 Provide detailed compliance requirements in the case of breaches, initiate specific timely action and inform all relevant internal and external personnel through the established reporting systems
4 Document the operation and monitoring of the compliance program/management system
  • 4.1 Prepare and disseminate information on the operation of the compliance program/management system to relevant internal and external personnel in accordance with the communication strategy for the compliance program/management system
  • 4.2 Prepare and disseminate periodic reports on the operation of the compliance program/management system, identify any operational problems and take any related action to relevant internal and external personnel
  • 4.3 Prepare and disseminate reports on any identified breaches of compliance requirements and take any related action to relevant internal and external personnel
No information
No information
Replaces
State Code National Code Title Type
D0633 BSBCOM401B Organise and monitor the operation of compliance management system Unit of competency
Replaced By
State Code National Code Title Type
OCF98 BSBAUD412 Work within compliance frameworks Unit of competency