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Evidence Guide: BSBESB405 - Manage compliance for small businesses

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBESB405 - Manage compliance for small businesses

What evidence can you provide to prove your understanding of each of the following citeria?

Determine compliance obligations

  1. Research internal and external compliance requirements and relevant Australian and international standards
  2. Research codes of practice and material that interprets obligations and legislative requirements
  3. Apply research information to determine relevance to business operations, products and services
  4. Document compliance requirements, risks and consequences of possible breaches applicable to own business
Research internal and external compliance requirements and relevant Australian and international standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Research codes of practice and material that interprets obligations and legislative requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Apply research information to determine relevance to business operations, products and services

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document compliance requirements, risks and consequences of possible breaches applicable to own business

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop strategies to manage compliance requirements

  1. Draft compliance management framework, prioritising areas where breaches have critical implications for the business
  2. Validate draft compliance management framework using external expertise and/or sources of advice according to workplace procedures
  3. Allocate responsibilities for compliance functions according to compliance management framework and workplace procedures
Draft compliance management framework, prioritising areas where breaches have critical implications for the business

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Validate draft compliance management framework using external expertise and/or sources of advice according to workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Allocate responsibilities for compliance functions according to compliance management framework and workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement and monitor compliance management strategies

  1. Select interval between cyclical compliance checks according to compliance management framework
  2. Communicate compliance requirements to required people
  3. Record timing and outcomes of compliance checks according to business requirements and workplace procedures
  4. Take action to address non-compliances according to compliance management framework and confirm that non-compliances have been resolved
Select interval between cyclical compliance checks according to compliance management framework

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate compliance requirements to required people

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Record timing and outcomes of compliance checks according to business requirements and workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Take action to address non-compliances according to compliance management framework and confirm that non-compliances have been resolved

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct improvement in compliance management

  1. Review outcomes of compliance checks to identify operational problems
  2. Analyse non-compliances to determine modifications required
  3. Update compliance management strategies based on information analysed
  4. Communicate changes in compliance management strategies to relevant people
Review outcomes of compliance checks to identify operational problems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse non-compliances to determine modifications required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Update compliance management strategies based on information analysed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate changes in compliance management strategies to relevant people

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge

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.