Assessor Resource

BSBCOM402
Implement processes for the management of a breach in compliance requirements

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to identify, classify, investigate, rectify and report breaches in compliance requirements within an organisation. The unit has been designed to be consistent with AS 3806: 2006 Compliance programs.

It applies to individuals who use the processes and procedures defined within an organisation’s compliance program/management system to manage compliance breaches according to specific legislative requirements, code/s of practice and internal standards.

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction – Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.

No licensing, legislative, regulatory 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.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Identify a breach in compliance requirements

1.1 Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system

1.2 Promptly identify, classify, and report any breaches of compliance requirements

2 Develop and implement an action plan for investigation and rectification of a breach

2.1 Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system

2.2 Develop an appropriate action plan for managing and rectifying an identified breach in accordance with the established breach management procedures and relevant Australian and international standards

2.3 Take prompt action to rectify a breach as per the plan

2.4 Document and report action taken as required

3 Liaise with relevant internal and external personnel

3.1 Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken

3.2 Inform internal and external personnel of progress in rectifying the breach

3.3 Take advice and direction from relevant internal and external personnel on the management and rectification of the breach in accordance with the organisation’s compliance program/management system

3.4 Apply effective interpersonal skills

4 Monitor the rectification of a breach

4.1 Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system

4.2 Identify problem/s which may arise in breach rectification and take appropriate action to deal with the problem/s and report to appropriate personnel on its management

4.3 Notify all relevant personnel when the identified breach has been successfully rectified

5 Document breach and subsequent rectification

5.1 Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel

5.2 Report systemic and recurring problems of noncompliance to those with sufficient authority to correct them

5.3 Complete records of breach, action taken and the outcomes of rectification processes and file in accordance with the organisation’s compliance program/management system

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.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Identify a breach in compliance requirements

1.1 Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system

1.2 Promptly identify, classify, and report any breaches of compliance requirements

2 Develop and implement an action plan for investigation and rectification of a breach

2.1 Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system

2.2 Develop an appropriate action plan for managing and rectifying an identified breach in accordance with the established breach management procedures and relevant Australian and international standards

2.3 Take prompt action to rectify a breach as per the plan

2.4 Document and report action taken as required

3 Liaise with relevant internal and external personnel

3.1 Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken

3.2 Inform internal and external personnel of progress in rectifying the breach

3.3 Take advice and direction from relevant internal and external personnel on the management and rectification of the breach in accordance with the organisation’s compliance program/management system

3.4 Apply effective interpersonal skills

4 Monitor the rectification of a breach

4.1 Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system

4.2 Identify problem/s which may arise in breach rectification and take appropriate action to deal with the problem/s and report to appropriate personnel on its management

4.3 Notify all relevant personnel when the identified breach has been successfully rectified

5 Document breach and subsequent rectification

5.1 Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel

5.2 Report systemic and recurring problems of noncompliance to those with sufficient authority to correct them

5.3 Complete records of breach, action taken and the outcomes of rectification processes and file in accordance with the organisation’s compliance program/management system

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
Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system 
Promptly identify, classify, and report any breaches of compliance requirements 
Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system 
Develop an appropriate action plan for managing and rectifying an identified breach in accordance with the established breach management procedures and relevant Australian and international standards 
Take prompt action to rectify a breach as per the plan 
Document and report action taken as required 
Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken 
Inform internal and external personnel of progress in rectifying the breach 
Take advice and direction from relevant internal and external personnel on the management and rectification of the breach in accordance with the organisation’s compliance program/management system 
Apply effective interpersonal skills 
Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system 
Identify problem/s which may arise in breach rectification and take appropriate action to deal with the problem/s and report to appropriate personnel on its management 
Notify all relevant personnel when the identified breach has been successfully rectified 
Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel 
Report systemic and recurring problems of noncompliance to those with sufficient authority to correct them 
Complete records of breach, action taken and the outcomes of rectification processes and file in accordance with the organisation’s compliance program/management system 

Forms

Assessment Cover Sheet

BSBCOM402 - Implement processes for the management of a breach in compliance requirements
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

BSBCOM402 - Implement processes for the management of a breach in compliance requirements

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: