Assessor Resource

BSBAUD516
Develop and monitor processes for the management of breaches in compliance requirements

Assessment tool

Version 1.0
Issue Date: May 2024


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.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

manage at least two different breaches of compliance requirements.

In the course of the above, the candidate must:

develop, monitor, and communicate processes for the management of breaches

obtain and keep up to date with organisational compliance requirements

identify and assign staff to manage breaches

identify and inform senior management and regulatory authorities of breaches

report corrective action activities and outcomes.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

compliance requirements applicable to organisation

key elements of compliance management systems, including:

documentation of compliance requirements relevant to the organisation

functions, accountabilities and responsibilities within the organisation

compliance related management information systems

breach management policies and procedures

compliance reporting procedures

process for communication of information on compliance requirements to relevant stakeholders

techniques and performance indicators for monitoring the operation of a compliance management system

potential breaches in compliance requirements

reporting processes on compliance management.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

legislation, regulations, standards and organisational policies and procedures relevant to compliance requirements

data files relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

manage at least two different breaches of compliance requirements.

In the course of the above, the candidate must:

develop, monitor, and communicate processes for the management of breaches

obtain and keep up to date with organisational compliance requirements

identify and assign staff to manage breaches

identify and inform senior management and regulatory authorities of breaches

report corrective action activities and outcomes.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

compliance requirements applicable to organisation

key elements of compliance management systems, including:

documentation of compliance requirements relevant to the organisation

functions, accountabilities and responsibilities within the organisation

compliance related management information systems

breach management policies and procedures

compliance reporting procedures

process for communication of information on compliance requirements to relevant stakeholders

techniques and performance indicators for monitoring the operation of a compliance management system

potential breaches in compliance requirements

reporting processes on compliance management.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

legislation, regulations, standards and organisational policies and procedures relevant to compliance requirements

data files relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Collect and interpret information on current compliance requirements applicable to the organisation 
Develop and document procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements 
Monitor and evaluate organisation’s operations and compliance management information systems and identify breaches in compliance requirements 
Review and evaluate information on potential breaches in compliance requirements 
Discuss findings with relevant stakeholders and confirm accuracy of compliance assessment 
Assign stakeholders to identify, classify, investigate and rectify breaches in compliance requirements 
Inform senior stakeholders of all breaches in compliance requirements and corrective action according to organisational policies and procedures 
Communicate breaches and rectification actions with relevant stakeholders 
Seek and action advice from relevant stakeholders on the management of breaches in compliance requirements 
Monitor action to manage and rectify identified breaches in compliance requirements according to organisational policies and procedures 
Confirm success in rectification of compliance breaches and notify relevant stakeholders 
Identify issues in the rectification of compliance breaches and initiate action, where required 
Refer reports of recurring breaches of compliance to relevant stakeholders 
Document and report identified breaches in compliance requirements in accordance with organisational policies and procedures 
Maintain and store records of breaches in compliance requirements 
Document and report the action to rectify identified breaches in compliance requirements and the outcomes of this action 
Distribute reports on breach management to relevant stakeholders 

Forms

Assessment Cover Sheet

BSBAUD516 - Develop and monitor processes for the management of breaches in compliance requirements
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBAUD516 - Develop and monitor processes for the management of breaches in compliance requirements

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: