Unit of competency Outline

Date retreived
22/07/2026 11:26 AM AWST

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Implement processes for the management of a breach in compliance requirements

Implement processes for the management of a breach in compliance requirements

Unit of competency
National Code
BSBCOM402
State Code
AUH08
TGA Status
Replaced
DTWD Status
Transition (Replaced)
Current Release Number
1.00
Current Release Date
25/03/2015
View on TGA
State Implementation and Classification
Approved Date
15/09/2015
Field of Education
091103 - Legal Studies
Original Release Date
15/09/2015
Nominal Hours
40
Description
This unit describes the skills and knowledge required to identify, classify, investigate, rectify and report breaches in compliance requirements within an organisation. The unit has been designed to be consistent with AS 3806: 2006 Compliance programs.It applies to individuals who use the processes and procedures defined within an organisation’s compliance program/management system to manage compliance breaches according to specific legislative requirements, code/s of practice and internal standards. 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, regulatory or certification requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
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 noncompliance 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
No information
No information
Replaces
State Code National Code Title Type
D0634 BSBCOM402B Implement processes for the management of a breach in compliance requirements Unit of competency
Replaced By
State Code National Code Title Type
OCF98 BSBAUD412 Work within compliance frameworks Unit of competency