Unit of competency Outline

Date retreived
22/07/2026 2:35 PM AWST

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Evaluate and review compliance

Evaluate and review compliance

Unit of competency
National Code
BSBCOM502
State Code
AUM09
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
25
Description
This unit describes the skills and knowledge required to evaluate and review an organisation’s compliance program/management system and how it is fulfilling its obligations and responsibilities under applicable compliance requirements.It applies to individuals who are responsible for evaluating and reporting on the operation and effectiveness of an organisation’s planned compliance program/management system to ensure that compliance is an integral part of normal business operations.Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
1 Develop the evaluation plan
  • 1.1 Obtain details of the organisation’s compliance policies, objectives and assessment criteria
  • 1.2 Obtain and interpret information on current compliance requirements applicable to the organisation
  • 1.3 Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes
  • 1.4 Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected
  • 1.5 Obtain approval of plan from relevant internal and/or external personnel
2 Gather required evaluation data
  • 2.1 Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan
  • 2.2 Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards
  • 2.3 Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel
  • 2.4 Organise interpreted evaluation data for later analysis
3 Analyse the collected data
  • 3.1 Analyse evaluation data in accordance with planned methodology
  • 3.2 Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel
4 Determine evaluation findings and outcomes
  • 4.1 Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel
  • 4.2 Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary
  • 4.3 Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel
5 Document and disseminate the outcomes and recommendations of the evaluation
  • 5.1 Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback
  • 5.2 Edit the report based on the feedback obtained
  • 5.3 Proofread the report in preparation for publishing
  • 5.4 Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel
  • 5.5 Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements
No information
No information
Replaces
State Code National Code Title Type
D0639 BSBCOM502B Evaluate and review compliance Unit of competency
Replaced By
State Code National Code Title Type
OCG36 BSBAUD515 Evaluate and review compliance Unit of competency