Implement processes for the management of a breach in compliance requirements

Formats and tools

Unit Description
Reconstruct the unit from the xml and display it as an HTML page.
Assessment Tool
an assessor resource that builds a framework for writing an assessment tool
Assessment Template
generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
Assessment Matrix
a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
Wiki Markup
mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
Evidence Guide
create an evidence guide for workplace assessment and RPL applicants
Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
Observation Checklist
create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)

Self Assessment Survey
A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
Moodle Outcomes
Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
Registered Training Organisations
Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver BSBCOM402, 'Implement processes for the management of a breach in compliance requirements'.
Google Links
links to google searches, with filtering in place to maximise the usefulness of the returned results
Books
Reference books for 'Implement processes for the management of a breach in compliance requirements' on fishpond.com.au. This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to ntisthis.com for every purchase, so go nuts :)


Elements and Performance Criteria

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