Unit of competency details

BSBCOM503 - Develop processes for the management of breaches in compliance requirements (Release 1)

Summary

Releases:
ReleaseStatusRelease date
1 1 (this release)Current 25/Mar/2015

Usage recommendation:
Current
Mapping:
MappingNotesDate
Supersedes and is equivalent to BSBCOM503B - Develop processes for the management of breaches in compliance requirementsUpdated to meet Standards for Training Packages 24/Mar/2015


Training packages that include this unit

Classifications

SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 091103 Legal Studies  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 091103 Legal Studies  30/Jul/2015 
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Unit Of competency

Modification History

Release 

Comments 

Release 1

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

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 planned compliance program/management system to ensure that compliance is an integral part of normal business operations.

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction – Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

Unit Sector

Regulation, Licensing and Risk – 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 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

Foundation Skills

This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.

Skill 

Performance 

Criteria 

Description 

Reading

1.1, 1.2, 2.2, 2.3, 3.1, 4.2

  • Recognises and evaluates complex texts in various forms to determine key information and specific requirements and responsibilities
  • Analyses and compares industry specific and complex texts to determine and distinguish compliance requirements

Writing

1.3, 3.2, 5.2, 5.4, 6.1, 6.3

  • 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, 4.1, 4.2

  • 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

Navigate the world of work

1.1, 1.3, 4.1, 4.2, 5.1, 6.1

  • Understands how own role meshes with others and contributes to broader organisational goals
  • Modifies or develops organisational procedures to comply with legislative and organisational requirements
  • Keeps up to date with changes to legislation or regulations relevant to own responsibilities

Interact with others

3.1, 3.2, 4.1, 4.2, 5.2, 5.4, 6.1, 6.3

  • Identifies and uses appropriate conventions and protocols when communicating with internal and external personnel

Get the work done

1.2, 1.3, 2.1, 2.2, 2.3, 3.1, 5.1, 5.3, 6.2, 6.4

  • Takes responsibility for developing, implementing and monitoring processes to manage breaches in compliance requirements
  • Organises, plans and sequences own workload and schedules work activities of others
  • Systematically gathers, analyses and evaluates all information in order to make informed decisions about management of compliance breaches
  • Uses a range of digitally based technology and applications to access, organise, integrate and share information

Unit Mapping Information

Code and title  

current version 

Code and title 

previous version 

Comments 

Equivalence status 

BSBCOM503 Develop processes for the management of breaches in compliance requirements

BSBCOM503B Develop processes for the management of breaches in compliance requirements

Updated to meet Standards for Training Packages

Equivalent unit

Links

Companion Volume implementation guides are found in VETNet - https://vetnet.education.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10

 

Assessment requirements

Modification History

Release 

Comments 

Release 1

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

Performance Evidence

Evidence of the ability to:

  • obtain and keep up to date with organisational compliance requirements
  • develop procedures for managing organisational compliance breaches
  • monitor the organisation’s compliance to requirements including:
  • review complaints
  • interrogate the management information system
  • identify and assign staff to manage breaches in compliance requirements
  • identify and inform senior management and regulatory authorities of breaches in compliance
  • seek advice from internal and external personnel
  • follow up on compliance breaches.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

  • describe analysis techniques relevant to the review and interpretation of an identified breach in compliance requirements
  • outline the compliance requirements applicable to the organisation
  • outline elements of a compliance program/management system including:
  • documentation of compliance requirements relevant to the organisation
  • specification of compliance management functions, accountabilities and responsibilities within the organisation
  • compliance related management information systems
  • record keeping systems required for compliance management
  • liaison procedures with relevant internal and external personnel on compliance related matters
  • breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
  • compliance reporting procedures
  • corporate induction and training processes related to compliance management
  • processes for the internal and external communication and promotion of information on compliance requirements and compliance program/management system
  • compliance complaints handling systems
  • continuous improvement processes for compliance including monitoring, evaluation and review
  • strategies for developing a positive compliance culture within the organisation
  • techniques and performance indicators for monitoring the operation of a compliance/program management system
  • list internal and external job roles with an interest in compliance
  • describe organisational responsibilities for compliance
  • identify the planning processes of the organisation
  • outline potential breaches in compliance requirements
  • identify relevant organisational policies and procedures including:
  • procedures for breaches in compliance requirements
  • compliance plans and policies in various compliance areas
  • organisational standards for operations and ethics
  • explain reporting processes on compliance management including reports on breaches and rectification action
  • identify sections of relevant Australian and international standards dealing with aspects of breach management processes and responsibilities
  • identify relevant standards for quantitative and qualitative data analysis techniques relevant to compliance related evaluation.

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk – compliance field of work and include access to:

  • relevant legislation, regulations, standards and organisational policies and procedures
  • data files
  • relevant internal and external personnel
  • computer resources and business technology
  • case studies and, where possible, real situations.

Assessors must satisfy NVR/AQTF assessor requirements.

Links

Companion Volume implementation guides are found in VETNet - https://vetnet.education.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10

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