Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

BSBCOM503 Mapping and Delivery Guide
Develop processes for the management of breaches in compliance requirements

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency BSBCOM503 - Develop processes for the management of breaches in compliance requirements
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to develop and monitor the processes for managing identified breaches in the fulfilment of compliance requirements within an organisation. This unit applies to individuals who are responsible for evaluating and reporting on the operation and effectiveness of an organisation’s planned compliance program/management system 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.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Develop procedures for responding to breaches
  • Obtain and interpret information on current compliance requirements applicable to the organisation
  • Review each area of compliance requirement to establish potential breaches
  • Develop and document appropriate procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements
       
Element: Monitor adherence to compliance requirements
  • Monitor and evaluate organisation operations to identify incidences of breaches in compliance requirements
  • Review and evaluate complaints and other sources of information on potential breaches in compliance requirements
  • Interrogate compliance management information system to identify any indication of breaches in compliance requirements
       
Element: Manage the identification and rectification of breaches in compliance
  • Assign appropriate staff to take the required action to identify, classify, investigate and rectify breaches in compliance requirements
  • Ensure senior management team within the organisation is informed of all breaches in compliance requirements
       
Element: Liaise with others during breach management
  • Maintain liaison with relevant regulatory authorities and other organisations with an interest in compliance in regard to breaches in requirements and related action being taken
  • Take advice from relevant internal and external personnel on the management of breaches in compliance requirements and act upon this advice appropriately
       
Element: Evaluate the response to and rectification of, breaches
  • Monitor action taken to manage and rectify an identified breach in compliance requirements in terms of the organisation’s compliance policy
  • Confirm success in rectification of compliance breaches and notify relevant internal and external personnel
  • Recognise problems in the rectification of compliance breaches and initiate appropriate action to ensure that management of the breach is maintained
  • Refer reports of systemic and recurring problems of non-compliance to those with sufficient authority to correct them
       
Element: Document and disseminate breach management activities and outcomes
  • Document and report identified breaches in compliance requirements in accordance with relevant internal and external requirements
  • Maintain and store records of breaches in compliance requirements
  • Report on the action taken to rectify identified breaches in compliance requirements and the outcomes of this action
  • Disseminate reports on breach management to relevant internal and external personnel
       


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. Develop procedures for responding to breaches

1.1 Obtain and interpret information on current compliance requirements applicable to the organisation

1.2 Review each area of compliance requirement to establish potential breaches

1.3 Develop and document appropriate procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements

2. Monitor adherence to compliance requirements

2.1 Monitor and evaluate organisation operations to identify incidences of breaches in compliance requirements

2.2 Review and evaluate complaints and other sources of information on potential breaches in compliance requirements

2.3 Interrogate compliance management information system to identify any indication of breaches in compliance requirements

3. Manage the identification and rectification of breaches in compliance

3.1 Assign appropriate staff to take the required action to identify, classify, investigate and rectify breaches in compliance requirements

3.2 Ensure senior management team within the organisation is informed of all breaches in compliance requirements

4. Liaise with others during breach management

4.1 Maintain liaison with relevant regulatory authorities and other organisations with an interest in compliance in regard to breaches in requirements and related action being taken

4.2 Take advice from relevant internal and external personnel on the management of breaches in compliance requirements and act upon this advice appropriately

5. Evaluate the response to and rectification of, breaches

5.1 Monitor action taken to manage and rectify an identified breach in compliance requirements in terms of the organisation’s compliance policy

5.2 Confirm success in rectification of compliance breaches and notify relevant internal and external personnel

5.3 Recognise problems in the rectification of compliance breaches and initiate appropriate action to ensure that management of the breach is maintained

5.4 Refer reports of systemic and recurring problems of non-compliance to those with sufficient authority to correct them

6. Document and disseminate breach management activities and outcomes

6.1 Document and report identified breaches in compliance requirements in accordance with relevant internal and external requirements

6.2 Maintain and store records of breaches in compliance requirements

6.3 Report on the action taken to rectify identified breaches in compliance requirements and the outcomes of this action

6.4 Disseminate reports on breach management to relevant internal and external personnel

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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. Develop procedures for responding to breaches

1.1 Obtain and interpret information on current compliance requirements applicable to the organisation

1.2 Review each area of compliance requirement to establish potential breaches

1.3 Develop and document appropriate procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements

2. Monitor adherence to compliance requirements

2.1 Monitor and evaluate organisation operations to identify incidences of breaches in compliance requirements

2.2 Review and evaluate complaints and other sources of information on potential breaches in compliance requirements

2.3 Interrogate compliance management information system to identify any indication of breaches in compliance requirements

3. Manage the identification and rectification of breaches in compliance

3.1 Assign appropriate staff to take the required action to identify, classify, investigate and rectify breaches in compliance requirements

3.2 Ensure senior management team within the organisation is informed of all breaches in compliance requirements

4. Liaise with others during breach management

4.1 Maintain liaison with relevant regulatory authorities and other organisations with an interest in compliance in regard to breaches in requirements and related action being taken

4.2 Take advice from relevant internal and external personnel on the management of breaches in compliance requirements and act upon this advice appropriately

5. Evaluate the response to and rectification of, breaches

5.1 Monitor action taken to manage and rectify an identified breach in compliance requirements in terms of the organisation’s compliance policy

5.2 Confirm success in rectification of compliance breaches and notify relevant internal and external personnel

5.3 Recognise problems in the rectification of compliance breaches and initiate appropriate action to ensure that management of the breach is maintained

5.4 Refer reports of systemic and recurring problems of non-compliance to those with sufficient authority to correct them

6. Document and disseminate breach management activities and outcomes

6.1 Document and report identified breaches in compliance requirements in accordance with relevant internal and external requirements

6.2 Maintain and store records of breaches in compliance requirements

6.3 Report on the action taken to rectify identified breaches in compliance requirements and the outcomes of this action

6.4 Disseminate reports on breach management to relevant internal and external personnel

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
Obtain and interpret information on current compliance requirements applicable to the organisation 
Review each area of compliance requirement to establish potential breaches 
Develop and document appropriate procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements 
Monitor and evaluate organisation operations to identify incidences of breaches in compliance requirements 
Review and evaluate complaints and other sources of information on potential breaches in compliance requirements 
Interrogate compliance management information system to identify any indication of breaches in compliance requirements 
Assign appropriate staff to take the required action to identify, classify, investigate and rectify breaches in compliance requirements 
Ensure senior management team within the organisation is informed of all breaches in compliance requirements 
Maintain liaison with relevant regulatory authorities and other organisations with an interest in compliance in regard to breaches in requirements and related action being taken 
Take advice from relevant internal and external personnel on the management of breaches in compliance requirements and act upon this advice appropriately 
Monitor action taken to manage and rectify an identified breach in compliance requirements in terms of the organisation’s compliance policy 
Confirm success in rectification of compliance breaches and notify relevant internal and external personnel 
Recognise problems in the rectification of compliance breaches and initiate appropriate action to ensure that management of the breach is maintained 
Refer reports of systemic and recurring problems of non-compliance to those with sufficient authority to correct them 
Document and report identified breaches in compliance requirements in accordance with relevant internal and external requirements 
Maintain and store records of breaches in compliance requirements 
Report on the action taken to rectify identified breaches in compliance requirements and the outcomes of this action 
Disseminate reports on breach management to relevant internal and external personnel 

Forms

Assessment Cover Sheet

BSBCOM503 - Develop processes for the management of breaches 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

BSBCOM503 - Develop processes for the management of breaches 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: