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

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

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

What evidence can you provide to prove your understanding of each of the following citeria?

Identify a breach in compliance requirements

  1. Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system
  2. Promptly identify, classify, and report any breaches of compliance requirements
Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

  1. Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system
  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
  3. Take prompt action to rectify a breach as per the plan
  4. Document and report action taken as required
Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Take prompt action to rectify a breach as per the plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and report action taken as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Liaise with relevant internal and external personnel

  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
  2. Inform internal and external personnel of progress in rectifying the breach
  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
  4. Apply effective interpersonal skills
Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform internal and external personnel of progress in rectifying the breach

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Apply effective interpersonal skills

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor the rectification of a breach

  1. Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system
  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
  3. Notify all relevant personnel when the identified breach has been successfully rectified
Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document breach and subsequent rectification

  1. Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel
  2. Report systemic and recurring problems of noncompliance to those with sufficient authority to correct them
  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
Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Required Skills and Knowledge

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