Unit of competency Outline

Date retreived
22/07/2026 11:06 PM AWST

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Plan and establish compliance management systems

Plan and establish compliance management systems

Unit of competency
National Code
BSBCOM603
State Code
AUJ27
TGA Status
Replaced
DTWD Status
Transition (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
50
Description
This unit describes the skills and knowledge required to plan and establish appropriate compliance program/management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements. It applies to individuals who have specific responsibility for the planning, development and operation of a compliance program/management system.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 or certification requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
1 Determine applicable compliance requirements
  • 1.1 Obtain and interpret information on current compliance requirements applicable to the organisation
  • 1.2 Review each compliance requirement in terms of the relevant internal and external authorities, the risks involved, ways of ensuring compliance, the penalties for a breach of compliance, and the areas and operations of the organisation most affected
2 Identify and select an appropriate compliance program/management system
  • 2.1 Investigate each area of applicable compliance to determine available options for a compliance program/management system that would be consistent with relevant Australian and International standards
  • 2.2 Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria
  • 2.3 Select an appropriate compliance program/management system for implementation
3 Plan required compliance program/management system
  • 3.1 Determine and document components for the proposed compliance program/management system
  • 3.2 Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff
  • 3.3 Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options
  • 3.4 Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system
  • 3.5 Select a complaints management system suitable for the organisation and its compliance responsibilities
  • 3.6 Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel
  • 3.7 Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements
  • 3.8 Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements
  • 3.9 Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned
4 Document required compliance program/management system
  • 4.1 Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements
  • 4.2 Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel
  • 4.3 Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system
5 Establish the planned compliance program/management system
  • 5.1 Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities
  • 5.2 Establish the components of the compliance program/management system in collaboration with assigned staff
  • 5.3 Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan
  • 5.4 Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan
  • 5.5 Prepare reports on the operation and review of the compliance program/management system in accordance with established procedures and any statutory or other compliance obligations
No information
No information
Replaces
State Code National Code Title Type
S8069 BSBCOM603C Plan and establish compliance management systems Unit of competency
Replaced By
State Code National Code Title Type
OCF49 BSBAUD601 Establish and manage compliance management systems Unit of competency