Assessment Requirements for BSBCOM503 Develop processes for the management of breaches in compliance requirements

Release: 1

Assessment Requirements for BSBCOM503 Develop processes for the management of breaches 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 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.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10