Course Content
Develop evaluation data
Obtain and interpret information on organisation’s policies, procedures and compliance requirements. Develop evaluation methodology. Prepare evaluation plan, detailing established evaluation criteria and data to be collected. Confirm approval of plan from relevant stakeholders
Prepare and analyse evaluation data
Source required evaluation data according to evaluation plan. Organise, interpret and review collected data against established evaluation criteria. Discuss issues interpreting data and address in consultation with relevant stakeholders. Arrange evaluation data for analysis
Determine findings and reports on outcomes
Develop and discuss preliminary findings and any identified issues with relevant stakeholders. Source additional data required to clarify aspects of findings, and issues, where required. Prepare recommendations for actions to improve identified issues
BSBAUD515 Evaluate and review compliance
About Lesson

Compliance management systems in training organisations are designed to ensure that the institution adheres to relevant laws, regulations, educational standards, and best practices. These systems are critical for maintaining accreditation, improving quality, and meeting the expectations of students, employers, and regulatory bodies. Common features of compliance management systems relevant to a training organisation include:

  1. Document Control and Management:
    • Training organisations must maintain a vast array of documents, including policies, procedures, course materials, and records of student progress and achievements. A compliance management system typically includes robust document control features to ensure that all documents are current, properly authorised, and reviewed regularly. This includes version control, access controls, and audit trails for document changes, ensuring that only the most current and approved documents are in use.
  2. Regulatory and Standards Compliance:
    • Compliance with educational standards, industry-specific regulations, and laws is a cornerstone of a training organisation’s operations. Compliance management systems often have features that map these requirements to the organisation’s policies and processes, ensuring that every aspect of the operation meets these standards. This can include compliance with national and international standards like ISO 9001 for quality management or ISO 14001 for environmental management, as well as specific educational accreditation standards.
  3. Risk Management:
    • Identifying, assessing, and managing risks related to non-compliance is an essential feature of compliance management systems. This includes tools for risk assessment, such as frameworks for evaluating the likelihood and impact of potential non-compliance issues, and mechanisms for prioritising and mitigating these risks. Effective risk management helps a training organisation anticipate and address compliance issues before they become problematic.
  4. Training and Competency Management:
    • Ensuring that staff are trained and competent in compliance-related areas is crucial. Compliance management systems often include features for tracking staff qualifications, professional development activities, and specific compliance training. This ensures that all personnel are aware of compliance requirements and how they apply to their roles, contributing to a culture of compliance throughout the organisation.
  5. Audit and Inspection Management:
    • Regular audits and inspections, both internal and external, are key to verifying compliance and identifying areas for improvement. Compliance management systems usually feature tools for planning, conducting, recording, and following up on audits and inspections. These tools help ensure that audits are thorough, consistently conducted, and lead to actionable insights.
  6. Incident and Non-Compliance Management:
    • When non-compliance issues or incidents do occur, it’s crucial to manage them effectively. Compliance management systems typically provide mechanisms for reporting incidents, investigating them, and implementing corrective actions. This not only addresses the immediate issue but also contributes to continuous improvement by preventing future occurrences.
  7. Continuous Improvement:
    • Compliance is not a one-time achievement but a continuous process. Features supporting continuous improvement include performance metrics, feedback mechanisms, and management review processes. These elements help a training organisation to not only maintain compliance but also to continually enhance the quality and effectiveness of its training programmes.


In summary, compliance management systems in training organisations are multifaceted, focusing on maintaining adherence to various regulations and standards, managing documents and records, identifying and mitigating risks, ensuring staff competency in compliance matters, and fostering a culture of continuous improvement. These systems are integral to the organisation’s ability to deliver high-quality education and training in a compliant and efficient manner.