• BSBCOM402B - Implement processes for the management of a breach in compliance requirements

Assessor Resource

BSBCOM402B
Implement processes for the management of a breach in compliance requirements

Assessment tool

Version 1.0
Issue Date: September 2019


This work applies to an owner-manager required to undertake a broad role in the organisation, a senior manager in a small organisation, a section or line manager in an operational unit, or a member of a compliance management team within a larger organisation.

Competence in this unit requires the demonstration of core of knowledge associated with the general processes of identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements. There is also a variable knowledge set related to the specific legislative requirements, code/s of practice and internal standards, and associated breach management procedures relevant to the operations and sphere of business of the organisation and/or industry sector concerned.

This unit is intended to ensure that compliance is an integral part of normal business operations.

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.

This unit describes the performance outcomes, skills and knowledge required to identify, classify, investigate, rectify and report breaches in compliance requirements within an organisation. The processes will be as defined within the organisation's compliance program/management system. The unit has been designed to be consistent with AS 3806: 2006 Compliance programs.

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

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

Employability Skills

This unit contains employability skills.




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 Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

identification, investigation, rectification and reporting of compliance breaches within a workplace

knowledge of compliance policies and requirements applicable to the organisation.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant information on compliance requirements such as:

organisational policies, standard operating procedures, procedures and plans

relevant legislation, regulations, licensing requirements, codes of practice, standards

access to the relevant internal and external data files

access to appropriate computer resources.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

analysis of responses to case studies and scenarios

analysis of information gathered about breaches in the compliance management system

assessment of action plan developed to manage and rectify an identified breach

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

observations of application of compliance management techniques used in gathering information about compliance breaches

observations of interactions with team members, colleagues, regulatory authorities and clients

oral or written questioning to assess knowledge of compliance reporting procedures

review of reports submitted on identified breach and subsequent rectification action

assessment of records of breaches and action taken.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

other compliance units.


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.

Required skills

financial skills to manage budgetary resources for compliance management systems

interpersonal skills to establish rapport, and to build relationships with clients, team members and stakeholders who have an interest in the operation of an organisation's compliance program or management system

leadership skills to gain the trust and confidence of colleagues and clients

literacy skills to prepare and edit reports containing complex concepts and ideas

organisational and time management skills to organise compliance management systems, associated finances and human resources within an organisation

problem solving skills to create innovative solutions to problems arising from organising and monitoring compliance management systems

research and data collection skills to investigate an organisation's compliance management system.

Required knowledge

compliance policies and requirements applicable to the organisation

elements of the compliance program/management system including:

analysis techniques relevant to the review and interpretation of an identified breach in compliance requirements

breach management policies and processes including identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements

compliance related management information systems

compliance reporting procedures

compliance complaints handling systems

continuous improvement processes for compliance including monitoring, evaluation and review

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system

record keeping systems required for compliance management

reporting processes on compliance management including reports on breaches and rectification action

specification of compliance management functions, accountabilities and responsibilities within the organisation

strategies for developing a positive compliance culture within the organisation

relevant Australian and international standards such as:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management

internal and external personnel with an interest in compliance.

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Compliance requirements may include:

different types of external and internal compliance requirements including:

regulations of a state/territory, national or international regulatory authority

accreditation requirements of an institute, professional organisation or registration body

requirements for certification under statutory licensing systems

statutory standards or codes of practice

internal policies, procedures, standards or codes of practice of an organisation

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit

education, electricity, environmental protection, equal opportunity

financial services (including banking), fire, food hygiene, freedom of information, freight forwarding

gambling, gene technology

health, human rights

insurance, immigration, intellectual property

land management

maritime, mining

pharmaceuticals, patents, privacy

quarantine

racing, rail transport, road transport

safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

Compliance program/ management system may include:

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance complaints handling systems

compliance related management information systems

compliance reporting procedures

continuous improvement processes for compliance

corporate induction and training processes related to compliance management

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on requirements and the compliance program/management system

record keeping systems required for compliance management

reporting processes on compliance management including reports on breaches and rectification action

specification of compliance management functions, accountabilities and responsibilities within the organisation

strategies for developing a compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program/management system

Relevant Australian and international standards may include:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organisations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management

Internal personnel may include:

board of directors

chief executive officer

compliance management team (where relevant)

compliance specialists at the operational level

frontline managers

senior management team

External personnel and organisations may include:

chief executives and managers in organisations with an interest in the compliance issues being researched

educational institutions and organisations

government departments

legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

professional associations and institutes

representatives of relevant authorities in pertinent compliance areas

representatives of professional associations and institutes relevant to the organisation's operations and sphere of business

state/territory, national or international regulatory authorities

state/territory or national licensing authorities

state/territory or national statutory standards authorities

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 non-compliance 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

BSBCOM402B - Implement processes for the management of a breach in compliance requirements
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Assessment Record Sheet

BSBCOM402B - Implement processes for the management of a breach in compliance requirements

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