Develop processes for the management of breaches 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 BSBCOM503, 'Develop processes for the management of breaches 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 'Develop processes for the management of breaches 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. 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