Unit of competency Outline

Date retreived
22/07/2026 12:42 PM AWST

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Conduct work within a compliance framework

Conduct work within a compliance framework

Unit of competency
National Code
BSBCOM406A
State Code
WB895
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
10/03/2009
View on TGA
State Implementation and Classification
Approved Date
29/07/2014
Field of Education
120505 - Work Practices Programmes
Original Release Date
29/07/2014
Nominal Hours
30
Description
This unit describes the performance outcomes, skills and knowledge required to carry out work in accordance with the compliance framework applying to a particular job role, occupation or profession.A range of legislation, rules, regulations and codes of practice may apply to this unit at the time of endorsement, depending on job roles and jurisdictions.
Notes
Elements and Performance Criteria
1. Identify individual compliance requirements
  • 1.1. Identify and document statutory, legislative and regulatory requirements relevant to job role, occupation or profession
  • 1.2. Identify and document relevant organisational and industry requirements
2. Interpret individual compliance requirements
  • 2.1. Map compliance requirements against individual position description and work practices
  • 2.2. Discuss ethical considerations with relevant parties where appropriate
3. Ensure individual compliance
  • 3.1. Consult with appropriate persons to identify procedures to be applied, contingent on the situation
  • 3.2. Reflect on personal actions in the context of compliance requirements
  • 3.3. Record action taken if required
4. Identify and adapt to changes in compliance requirements
  • 4.1. Access and analyse documentation relating to changes in compliance issues
  • 4.2. Discuss documentation with appropriate persons to ensure ongoing compliance
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.
Statutory, legislative and regulatory requirements may include:
equal employment opportunity and anti-discrimination legislation
legislation specific to the industry or profession, e.g. Legal Professional Act 2007
occupational health and safety laws
privacy legislation
regulations and codes of conduct governing the occupation or profession.
Organisational and industry requirements may include:
conflict of interest guidelines
equity guidelines and workplace diversity guidelines
ethical or other standards
industry standards and codes of conduct
internal control standards
organisation's values statement and relevant policies and procedures.
Appropriate person may include:
human resource manager
person designated in organisational policy and procedure responsible for compliance
supervisor.
Documentation may include:
newsletters
organisational records
staff meeting agendas and minutes
updates from networks and professional associations.
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 ability to:
apply knowledge of relevant statutory, legislative and regulatory requirements relating to work practices
map requirements to work practices to demonstrate an application of compliance requirements
apply work practices in accordance with a compliance framework
handle contingencies.

Context of and specific resources for assessment
Assessment must ensure access to:
legislation, regulations and codes of conduct relevant to job role, occupation or profession
information about relevant professional associations and codes of conduct
organisational policies and procedures relevant to job role, occupation or profession.

Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this units:
analysis of responses to case studies and scenarios
direct questioning combined with review of portfolios of evidence
oral or written questioning to assess knowledge of scope of own responsibilities and obligations to refer matters outside area of responsibility
evaluation of legal cases involving the application of the compliance framework relevant to the job role, occupation or profession.

Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
BSBCMM402A Implement effective communication strategies.
Replaced By
State Code National Code Title Type
AUL98 BSBCOM406 Conduct work within a compliance framework Unit of competency