Unit of competency Outline
Date retreived
22/07/2026 8:17 AM AWST
22/07/2026 8:17 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.
Promote compliance with legislation
Promote compliance with legislation
Unit of competency
National Code
BSBCOM405A
BSBCOM405A
State Code
D0637
D0637
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
29/07/2014
Field of Education
090999 - Law, N.e.c.
Original Release Date
29/07/2014
Nominal Hours
30
Description
This unit describes the performance outcomes, skills and knowledge required to promote compliance with domestic and international legislation, both by self and others in the workplace.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Determine compliance strategies
- 1.1. Access current information about the range of domestic and international legislation relating to own work
- 1.2. Clarify compliance requirements to confirm understanding and ensure consistency of interpretation and application
- 1.3. Obtain advice to assist in applying relevant legislation to own work and identifying compliance requirements
- 1.4. Access organisation's procedures and practices to facilitate compliance with relevant legislation
- 1.5. Assess interface with other organisations
2. Model and encourage compliance with legislative requirements
- 2.1. Apply organisation's procedures and practices to own work practices to meet compliance requirements
- 2.2. Identify areas of uncertainty in own work related to compliance requirements and take action to clarify issues
- 2.3. Review own work and seek feedback from others to confirm continuing compliance with legislative requirements
- 2.4. Evaluate own competence and address any identified gaps
- 2.5. Identify possible implications of non-compliance and use these to guide own work practices
- 2.6. Raise inadequacies in organisation's procedures and practices which may contribute to non-compliance in accordance with organisational procedures
- 2.7. Raise inadequacies with outside organisations' procedures and practices which may contribute to non-compliance in accordance with organisational procedures
RANGE STATEMENT
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Legislation may include:
legislation applicable across all organisations such as OHS, equal opportunity, anti-discrimination, company law, contract law, consumer law
legislation specific to the operations of the organisation
Compliance requirements may include:
audit schedules and cycles
Australian Customs Service Accredited Client Program for qualifying clients
checks and balances
crosschecking
policies and procedures detailing compliance requirements and processes to ensure compliance
sign offs by individual/s responsible for ensuring compliance
Other organisations may include:
agents
clients
customers
partners
suppliers
Implications of non-compliance may include:
fines or penalties
loss of Accredited Client Program status for client
warnings
withdrawal of licences, approvals
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Legislation may include:
legislation applicable across all organisations such as OHS, equal opportunity, anti-discrimination, company law, contract law, consumer law
legislation specific to the operations of the organisation
Compliance requirements may include:
audit schedules and cycles
Australian Customs Service Accredited Client Program for qualifying clients
checks and balances
crosschecking
policies and procedures detailing compliance requirements and processes to ensure compliance
sign offs by individual/s responsible for ensuring compliance
Other organisations may include:
agents
clients
customers
partners
suppliers
Implications of non-compliance may include:
fines or penalties
loss of Accredited Client Program status for client
warnings
withdrawal of licences, approvals
EVIDENCE GUIDE
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
identifying compliance requirements
developing and implementing strategies to manage compliance with appropriate legislation
documenting policies, procedures and practices developed to address compliance issues
encouraging and supporting own compliance and that of others in the workplace
knowledge of relevant conventions, treaties, agreements, guidelines, declarations, recommendations, laws and rules.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant workplace documentation and compliance measures
access to libraries or other resource collections
access to an actual workplace or simulated environment
access to office equipment and resources.
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:
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
review of own work and feedback sought from others to confirm continuing compliance with legislative requirements
analysis of responses to case studies and scenarios
oral or written questioning to assess knowledge of penalties for non-compliance with legislative requirements
evaluation of inadequacies raised about the organisation's procedures and practices in relation to compliance with legislative requirements.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
BSBINT405B Apply knowledge of import and export international conventions, laws and finance.
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
identifying compliance requirements
developing and implementing strategies to manage compliance with appropriate legislation
documenting policies, procedures and practices developed to address compliance issues
encouraging and supporting own compliance and that of others in the workplace
knowledge of relevant conventions, treaties, agreements, guidelines, declarations, recommendations, laws and rules.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant workplace documentation and compliance measures
access to libraries or other resource collections
access to an actual workplace or simulated environment
access to office equipment and resources.
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:
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
review of own work and feedback sought from others to confirm continuing compliance with legislative requirements
analysis of responses to case studies and scenarios
oral or written questioning to assess knowledge of penalties for non-compliance with legislative requirements
evaluation of inadequacies raised about the organisation's procedures and practices in relation to compliance with legislative requirements.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
BSBINT405B Apply knowledge of import and export international conventions, laws and finance.
Replaces
| State Code | National Code | Title | Type |
|---|---|---|---|
| C7777 | BSBINT406A | Promote compliance with legislation | Unit of competency |
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AUL55 | BSBCOM405 | Promote compliance with legislation | Unit of competency |
| State Code | National Code | Title | Type |
|---|---|---|---|
| D715 | FNS41811 | Certificate IV in Financial Services | Qualification |
| D154 | BSB41107 | Certificate IV in International Trade | Qualification |
| D712 | FNS41311 | Certificate IV in Personal Trust Administration | Qualification |