Course Title: Plan and establish compliance management systems

Part A: Course Overview

Program: C6164 Advanced Diploma of Conveyancing

Course Title: Plan and establish compliance management systems

Portfolio: Vocational Education

Nominal Hours: 50

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.


Course Code




Learning Mode

Teaching Period(s)


City Campus


650T Vocational Business Education

Face-to-Face or Internet

Term2 2019,
Term1 2020,
Term2 2020,
Term1 2021,
Term2 2021

Course Contact: Theresa Lyford

Course Contact Phone: +61 3 99255444

Course Contact Email:

Course 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.

Pre-requisite Courses and Assumed Knowledge and Capabilities


National Competency Codes and Titles

National Element Code & Title:

BSBCOM603 Plan and establish compliance management systems


1. Determine applicable compliance requirements

2 Identify and select an appropriate compliance program/management system

3 Plan required compliance program/management system

4 Document required compliance program/management system

5 Establish the planned compliance program/management system

Learning Outcomes

Overview of Assessment

In order to achieve competency in this unit, you must provide:

Performance Evidence

Evidence of the ability to:

  • plan for and set up a compliance program/management system, in collaboration with relevant personnel, using research methods and techniques suitable for conducting compliance related research projects
  • review the organisational compliance requirements against legislation, regulations and standards
  • plan for, identify and select a suitable compliance system
  • prepare specifications
  • document an action schedule for implementing, maintaining and reviewing the compliance system
  • appoint and train staff on using the compliance system
  • monitor and review the compliance system.

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

  • explain research methods and techniques suitable for conducting compliance related research projects
  • describe the application of quantitative and qualitative data analysis techniques to compliance related research
  • summarise relevant aspects of Australian and international standards
  • outline elements of compliance program/management systems including:
  • documentation of compliance requirements relevant to the organisation
  • specification of compliance management functions, account-abilities and responsibilities within the organisation
  • compliance related management information systems
  • record keeping systems required for compliance management
  • liaison procedures with relevant internal and external personnel on compliance related matters
  • breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
  • compliance reporting procedures
  • corporate induction and training processes related to compliance management
  • processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system
  • compliance complaints handling systems
  • continuous improvement processes for compliance including monitoring, evaluation and review
  • strategies for developing a positive compliance culture within the organisation
  • techniques and performance indicators for monitoring the operation of a compliance program/management system
  • reporting processes on compliance management including reports on breaches and rectification action
  • explain relevant organisational policies and procedures including compliance plans in various compliance areas and organisational standards for operations and ethics.

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk compliance field of work and include access to:

  • organisational policies and procedures and documentation relevant to compliance requirements
  • interaction with others
  • legislation, regulations and standards for compliance
  • computer resources and business technology
  • case studies and, where possible, real situations

You are advised that you are likely to be asked to personally demonstrate your assessment work to your teacher to ensure that the relevant competency standards are being met


Feedback will be provided throughout the semester in class and/or online discussions. You are encouraged to ask and answer questions during class time and online sessions so that you can obtain feedback on your understanding of the concepts and issues being discussed 

You should take note of all the feedback received and use this information to improve your learning outcomes and final performance in the course. Finally you can email or arrange an appointment with your teacher to gain more feedback on your progress.