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

Release: 1

Assessment Requirements for BSBCOM402 Implement processes for the management of a breach in compliance 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 analyse information required to keep up to date with organisational compliance requirements and relevant Australian and international standards

monitor the organisation’s performance in meeting its compliance requirements

investigate breaches in meeting compliance requirements according to organisational requirements and relevant Australian and international standards, including:

developing and implementing an action plan for managing organisational compliance breaches

using effective interpersonal skills when communicating with others to seek or provide information

•	following up on compliance breaches

completing required documents, records and reports.

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:

identify compliance requirements applicable to the organisation

identify strategies for developing a positive compliance culture within the organisation including:

analysis techniques relevant to the review and interpretation of an identified breach in compliance requirements

breach management policies and processes including identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements

compliance related management information systems

compliance reporting procedures

compliance complaints handling systems

continuous improvement processes for compliance including monitoring, evaluation and review

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance program/management system

record keeping systems required for compliance management

reporting processes on compliance management including reports on breaches and rectification action

specification of compliance management functions, accountabilities and responsibilities within the organisation

identify relevant legislation, codes of practice, and Australian and international standards.

Assessment Conditions

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

standards, legislation, regulations and codes of conduct relevant to job role, occupation or profession

organisational policies and procedures related to compliance

computer resources and business technology

compliance program/management system

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.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10