Release 

Comments 

Release 1

This version first released with BSB Business Services Training Package Version 1.0.

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 non-compliance 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

Skill 

Performance 

Criteria 

Description 

Reading

1.1, 1.2, 2.2, 2.3, 3.3, 4.1, 5.3

• Analyses, evaluates and compares industry specific and complex texts to determine and distinguish compliance requirements

Writing

1.2, 2.2, 2.4, 3.1, 3.2, 4.2, 4.3, 4.3, 5.1, 5.2, 5.3

• Produces a range of text types matching style of writing to purpose and audience
• Documents and records findings using required organisational formats

Oral Communication

3.1, 3.2, 3.3, 3.4, 4.2, 4.3, 5.2

• Presents specialised information to a range of audiences using structure and language to suit the audience
• Uses active listening and questioning to elicit the views and opinions of others and to confirm understanding

Navigate the world of work

1.1, 2.1, 2.2, 3.3, 4.1, 5.3

• Takes personal responsibility for following explicit and implicit policies, procedures and legislative requirements

Interact with others

1.2, 2.4, 3.1, 3.2, 3.3, 3.4, 4.2, 4.3, 5.1, 5.2

• Identifies and uses appropriate conventions and practices when seeking or sharing information with internal and external personnel
• Identifies relevant information and ideas from a range of oral and written exchanges

Get the work done

1.1, 1.2, 2.2-2.3, 4.1-4.3, 5.1-5.3

• Takes responsibility for developing, implementing and monitoring processes to manage breaches in compliance requirements
• Organises, plans and sequences own workload and schedules work activities to achieve required outcomes
• Systematically gathers, analyses and evaluates all relevant information in order to make informed decisions about management of compliance breaches

Code and title  

current version 

Code and title 

previous version 

Comments 

Equivalence status 

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

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

Updated to meet Standards for Training Packages

Equivalent unit

Release 

Comments 

Release 1

This version first released with BSB Business Services Training Package Version 1.0.