Assessor Resource

BSBESB405
Manage compliance for small businesses

Assessment tool

Version 1.0
Issue Date: May 2024


This unit describes the skills and knowledge required to develop and implement strategies for managing compliance obligations for small businesses. The unit requires broad knowledge of regulatory and legislative requirements used when developing these strategies.

The unit applies to those establishing or operating a business providing self-employment, as well as those establishing a new venture as part of a larger organisation.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

develop, implement, and monitor the effectiveness of strategies for managing at least three different compliance requirements for a small business.

In the course of the above, the candidate must:

analyse small business operations to identify compliance requirements and their implications for the business

develop compliance strategies that address regulatory and legislative requirements.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

Australian and international standards, legislation, regulations, industry and organisational codes of practice specific to small business described in performance evidence

external professional, industry based and government sources of advice and expertise

key features of compliance management strategies relevant to small business

methods for carrying out compliance checks and developing compliance strategies

key components of compliance management frameworks

workplace procedures for

accessing external expertise and advice

validating compliance management framework

allocating responsibilities for compliance functions within business

recording timing and outcomes of compliance checks.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

Australian and international standards, laws, regulations, industry and organisational codes and standards relating to business described in performance evidence

business technology

workplace documentation and resources relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

develop, implement, and monitor the effectiveness of strategies for managing at least three different compliance requirements for a small business.

In the course of the above, the candidate must:

analyse small business operations to identify compliance requirements and their implications for the business

develop compliance strategies that address regulatory and legislative requirements.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

Australian and international standards, legislation, regulations, industry and organisational codes of practice specific to small business described in performance evidence

external professional, industry based and government sources of advice and expertise

key features of compliance management strategies relevant to small business

methods for carrying out compliance checks and developing compliance strategies

key components of compliance management frameworks

workplace procedures for

accessing external expertise and advice

validating compliance management framework

allocating responsibilities for compliance functions within business

recording timing and outcomes of compliance checks.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

Australian and international standards, laws, regulations, industry and organisational codes and standards relating to business described in performance evidence

business technology

workplace documentation and resources relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Research internal and external compliance requirements and relevant Australian and international standards 
Research codes of practice and material that interprets obligations and legislative requirements 
Apply research information to determine relevance to business operations, products and services 
Document compliance requirements, risks and consequences of possible breaches applicable to own business 
Draft compliance management framework, prioritising areas where breaches have critical implications for the business 
Validate draft compliance management framework using external expertise and/or sources of advice according to workplace procedures 
Allocate responsibilities for compliance functions according to compliance management framework and workplace procedures 
Select interval between cyclical compliance checks according to compliance management framework 
Communicate compliance requirements to required people 
Record timing and outcomes of compliance checks according to business requirements and workplace procedures 
Take action to address non-compliances according to compliance management framework and confirm that non-compliances have been resolved 
Review outcomes of compliance checks to identify operational problems 
Analyse non-compliances to determine modifications required 
Update compliance management strategies based on information analysed 
Communicate changes in compliance management strategies to relevant people 

Forms

Assessment Cover Sheet

BSBESB405 - Manage compliance for small businesses
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBESB405 - Manage compliance for small businesses

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: