Unit of competency Outline
Date retreived
22/07/2026 9:57 AM AWST
22/07/2026 9:57 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.
Provide education and training on compliance requirements and systems
Provide education and training on compliance requirements and systems
Unit of competency
National Code
BSBCOM403B
BSBCOM403B
State Code
D0635
D0635
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
26/02/2013
Field of Education
091103 - Legal Studies
Original Release Date
26/02/2013
Nominal Hours
40
Description
This unit describes the performance outcomes, skills and knowledge required to effectively implement and maintain an organisation's established compliance program/management system. This may include the organisation of the development and provision of appropriate internal and external learning opportunities and resources. This unit has been designed to be consistent with AS 3806: 2006 Compliance programs.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Identify the requirements for induction and ongoing training programs in compliance management
- 1.1. Establish compliance requirements relevant to the organisation and the associated compliance program/management system
- 1.2. Confirm and document the organisation's obligations and responsibilities in providing induction and training activities
- 1.3. Identify and confirm individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system
- 1.4. Assess and document current competence and capacity of personnel to implement and maintain a compliance program/management system
- 1.5. Determine induction and training needs of personnel to achieve the required levels of competence
2. Plan internal and external compliance education and training systems
- 2.1. Develop compliance training objectives based on assessed training needs of personnel
- 2.2. Assess and compare quality and costs of external training options
- 2.3. Assess ability of organisation to deliver required training internally
- 2.4. Select and organise appropriate internal compliance training programs and/or external compliance training options to meet assessed compliance management training needs
- 2.5. Negotiate training options if required
- 2.6. Prepare and negotiate budget for internal and external compliance training with appropriate organisational personnel
- 2.7. Identify training personnel requirements and recruit and prepare appropriate staff
3. Organise internal and external compliance education and training systems
- 3.1. Organise appropriate training and assessment materials and facilities for development or acquisition (where required)
- 3.2. Prepare and execute implementation plans for the internal and external compliance training as approved
- 3.3. Negotiate and sign contract/s for required external compliance training as per organisational policies and procedures
- 3.4. Implement planned corporate induction and training programs
4. Evaluate and monitor the compliance education and training systems
- 4.1. Prepare operational plan for the monitoring and evaluation of internal and external compliance training systems and seek approval from appropriate personnel
- 4.2. Identify and organise staff and resources required for the monitoring and evaluation of internal and external compliance training systems
- 4.3. Implement approved plans for the monitoring and evaluation of internal and external compliance training systems
5. Document the operation of the compliance education and training systems
- 5.1. Document plans for the development and operation of both internal and external compliance induction and training systems in accordance with organisational requirements
- 5.2. Prepare, process and store operational reports, certification and training and assessment records
- 5.3. Prepare and process reports on the outcomes of monitoring and evaluation of compliance induction training systems as required
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.
Compliance requirements may include:
cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):
anti-discrimination
alcohol licensing regulations
bankruptcy
chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit
education, electricity, environmental protection, equal opportunity
financial services, fire, food hygiene, freedom of information, freight forwarding
gambling, gene technology
health, human rights
insurance, immigration, intellectual property
land management
maritime, mining
pharmaceuticals, patents, privacy
quarantine
racing
rail transport
road transport
safety
security
sewage
superannuation
taxation
telecommunications
tobacco
trade practices
consumer protection
water supply
workers compensation
workers rehabilitation
different types of external and internal compliance requirements including:
regulations of state/territory, national or international regulatory authority
accreditation requirements of an institute, professional organisation or registration body
requirements for certification under statutory licensing systems
statutory standards or codes of practice
internal policies, procedures, standards or codes of practice of an organisation
Compliance program/ management system may include:
documentation of compliance requirements relevant to the organisation
breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
corporate induction and training processes related to compliance management
continuous improvement processes for compliance including monitoring, evaluation and review
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on breaches and rectification action
specifications of compliance management responsibilities within the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of a compliance program/management system
Individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system may include:
advising and consulting on compliance requirements and management systems
applying basic skills and knowledge (achieved in induction or orientation program) to ensure that compliance is maintained with applicable regulations, rules, codes etc.
costing and budgeting for compliance
creating a culture of compliance within an organisation
developing and implementing systems for compliance, including record keeping, complaints and reporting systems
ensuring that the organisational infrastructure, policies and operating procedures for compliance are developed, implemented and maintained
educating others on compliance requirements and related management systems
ensuring compliance within others' work
ensuring compliance within own work
evaluating and reviewing compliance management system
identifying and interpreting compliance requirements implementing the compliance records system
implementing the compliance related complaints-handling system
managing rectification of breaches of compliance requirements
monitoring and reporting on the implementation of compliance systems and requirements
organising the implementation of compliance program/management system
planning and developing a compliance management system
promoting compliance within and outside of an organisation
rectifying identified breaches of compliance requirements
undertaking risk management on compliance
Internal compliance training programs may include:
induction and on-job coaching and mentoring on compliance responsibilities and roles within compliance programs and related management systems
internal off-job training on specific aspects of compliance management system such as MIS, complaints management, breach management, contributing to a compliance culture within the organisation, etc. (these may be substantial courses or short one-day workshops on specific issues)
internally developed and managed online training on specific aspects of the compliance management system including operational procedures and relevant roles and responsibilities
External compliance training options may include:
training programs conducted by regulatory authorities on requirements and obligations within a specific area of compliance e.g. OHS (Australian Safety and Compensation Council) or financial advisor regulations (Australian Securities & Investments Commission)
training programs on relevant aspects of compliance conducted by accredited training organisations
externally developed and managed online training on specific aspects of compliance and compliance programs and related management systems
Training personnel may include:
compliance education and training managers
training coordinators
trainers and assessors with expertise in relevant aspects of compliance requirements, compliance programs and related management systems
coaches and mentors in the workplace with expertise in relevant aspects of compliance requirements, compliance programs and related management systems
training support staff including administration staff, training resource managers and training material developers
Operational reports, certification and training and assessment records may include but are not limited to:
accreditation submissions and related documentation
assessment outcomes
educational awards and training certificates
reports on the evaluation of compliance training programs
planning and operational documentation for both internal and external compliance training
trainee and student records
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.
Compliance requirements may include:
cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):
anti-discrimination
alcohol licensing regulations
bankruptcy
chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit
education, electricity, environmental protection, equal opportunity
financial services, fire, food hygiene, freedom of information, freight forwarding
gambling, gene technology
health, human rights
insurance, immigration, intellectual property
land management
maritime, mining
pharmaceuticals, patents, privacy
quarantine
racing
rail transport
road transport
safety
security
sewage
superannuation
taxation
telecommunications
tobacco
trade practices
consumer protection
water supply
workers compensation
workers rehabilitation
different types of external and internal compliance requirements including:
regulations of state/territory, national or international regulatory authority
accreditation requirements of an institute, professional organisation or registration body
requirements for certification under statutory licensing systems
statutory standards or codes of practice
internal policies, procedures, standards or codes of practice of an organisation
Compliance program/ management system may include:
documentation of compliance requirements relevant to the organisation
breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
compliance complaints handling systems
compliance related management information systems
compliance reporting procedures
corporate induction and training processes related to compliance management
continuous improvement processes for compliance including monitoring, evaluation and review
liaison procedures with relevant internal and external personnel on compliance related matters
processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system
record keeping systems required for compliance management
reporting processes on compliance management including reports on breaches and rectification action
specifications of compliance management responsibilities within the organisation
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of a compliance program/management system
Individual responsibilities of personnel within the organisation to implement the organisation's compliance program/management system may include:
advising and consulting on compliance requirements and management systems
applying basic skills and knowledge (achieved in induction or orientation program) to ensure that compliance is maintained with applicable regulations, rules, codes etc.
costing and budgeting for compliance
creating a culture of compliance within an organisation
developing and implementing systems for compliance, including record keeping, complaints and reporting systems
ensuring that the organisational infrastructure, policies and operating procedures for compliance are developed, implemented and maintained
educating others on compliance requirements and related management systems
ensuring compliance within others' work
ensuring compliance within own work
evaluating and reviewing compliance management system
identifying and interpreting compliance requirements implementing the compliance records system
implementing the compliance related complaints-handling system
managing rectification of breaches of compliance requirements
monitoring and reporting on the implementation of compliance systems and requirements
organising the implementation of compliance program/management system
planning and developing a compliance management system
promoting compliance within and outside of an organisation
rectifying identified breaches of compliance requirements
undertaking risk management on compliance
Internal compliance training programs may include:
induction and on-job coaching and mentoring on compliance responsibilities and roles within compliance programs and related management systems
internal off-job training on specific aspects of compliance management system such as MIS, complaints management, breach management, contributing to a compliance culture within the organisation, etc. (these may be substantial courses or short one-day workshops on specific issues)
internally developed and managed online training on specific aspects of the compliance management system including operational procedures and relevant roles and responsibilities
External compliance training options may include:
training programs conducted by regulatory authorities on requirements and obligations within a specific area of compliance e.g. OHS (Australian Safety and Compensation Council) or financial advisor regulations (Australian Securities & Investments Commission)
training programs on relevant aspects of compliance conducted by accredited training organisations
externally developed and managed online training on specific aspects of compliance and compliance programs and related management systems
Training personnel may include:
compliance education and training managers
training coordinators
trainers and assessors with expertise in relevant aspects of compliance requirements, compliance programs and related management systems
coaches and mentors in the workplace with expertise in relevant aspects of compliance requirements, compliance programs and related management systems
training support staff including administration staff, training resource managers and training material developers
Operational reports, certification and training and assessment records may include but are not limited to:
accreditation submissions and related documentation
assessment outcomes
educational awards and training certificates
reports on the evaluation of compliance training programs
planning and operational documentation for both internal and external compliance training
trainee and student records
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:
provision of education and training to relevant personnel within an organisation to enable it to fulfill its obligations and responsibilities under applicable compliance requirements
knowledge of adult education and training principles.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on internal and external training options in compliance related areas relevant to the organisation's needs
relevant training and assessment materials, facilities and resources
suitable internal training support staff and administrators
access to training records related to the compliance training scheme
access to appropriate computer resources for managing the organisation's compliance training scheme.
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:
analysis of evaluation reports from participants in training programs provided
assessment of training program materials, content, facilitator and participant guides
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of interactions with trainees, team members, colleagues, regulatory authorities and clients
oral or written questioning to assess knowledge of training program content or implementation
review of implementation plans for the internal and external compliance training, and the operational plan for the monitoring and evaluation of internal and external compliance training systems
assessment of operational reports, certification and training and assessment records.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
other compliance units.
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:
provision of education and training to relevant personnel within an organisation to enable it to fulfill its obligations and responsibilities under applicable compliance requirements
knowledge of adult education and training principles.
Context of and specific resources for assessment
Assessment must ensure:
access to relevant information on internal and external training options in compliance related areas relevant to the organisation's needs
relevant training and assessment materials, facilities and resources
suitable internal training support staff and administrators
access to training records related to the compliance training scheme
access to appropriate computer resources for managing the organisation's compliance training scheme.
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:
analysis of evaluation reports from participants in training programs provided
assessment of training program materials, content, facilitator and participant guides
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observations of interactions with trainees, team members, colleagues, regulatory authorities and clients
oral or written questioning to assess knowledge of training program content or implementation
review of implementation plans for the internal and external compliance training, and the operational plan for the monitoring and evaluation of internal and external compliance training systems
assessment of operational reports, certification and training and assessment records.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
other compliance units.
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AUL67 | BSBCOM403 | Provide education and training on compliance requirements and systems | Unit of competency |
| State Code | National Code | Title | Type |
|---|---|---|---|
| J349 | BSB40312 | Certificate IV in Customer Contact | Qualification |