Unit of competency
Modification History
Release |
Comments |
Release 1 |
This version first released with BSB Business Services Training Package Version 7.0. |
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 compliance management system.
Application of this unit must be consistent with the relevant sections of standards and legislative requirements.
Unit Sector
Technical Skills – Audit and Compliance
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 processes for responding to breaches |
1.1 Collect and interpret information on current compliance requirements applicable to the organisation 1.2 Develop and document procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements |
2. Monitor adherence to compliance requirements |
2.1 Monitor and evaluate organisation’s operations and compliance management information systems and identify breaches in compliance requirements 2.2 Review and evaluate information on potential breaches in compliance requirements 2.3 Discuss findings with relevant stakeholders and confirm accuracy of compliance assessment |
3. Manage the identification and rectification of breaches in compliance |
3.1 Assign stakeholders to identify, classify, investigate and rectify breaches in compliance requirements 3.2 Inform senior stakeholders of all breaches in compliance requirements and corrective action according to organisational policies and procedures |
4. Communicate with relevant stakeholders during breach management |
4.1 Communicate breaches and rectification actions with relevant stakeholders 4.2 Seek and action advice from relevant stakeholders on the management of breaches in compliance requirements |
5. Evaluate the response to and rectification of breaches |
5.1 Monitor action to manage and rectify identified breaches in compliance requirements according to organisational policies and procedures 5.2 Confirm success in rectification of compliance breaches and notify relevant stakeholders 5.3 Identify issues in the rectification of compliance breaches and initiate action, where required 5.4 Refer reports of recurring breaches of compliance to relevant stakeholders |
6. Document and distribute breach management activities and outcomes |
6.1 Document and report identified breaches in compliance requirements in accordance with organisational policies and procedures 6.2 Maintain and store records of breaches in compliance requirements 6.3 Document and report the action to rectify identified breaches in compliance requirements and the outcomes of this action 6.4 Distribute reports on breach management to relevant stakeholders |
Foundation Skills
This section describes those language, literacy, numeracy and employment skills that are essential to performance but not explicit in the performance criteria.
Skill |
Description |
Reading |
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Writing |
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Oral Communication |
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Self-management |
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Problem solving |
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Technology |
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Unit Mapping Information
Supersedes and is equivalent to BSBCOM503 Develop processes for the management of breaches in compliance requirements.
Links
Companion Volume Implementation Guide is found on VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10