Course Title: Develop processes for the management of breaches in compliance requirements

Part A: Course Overview

Program: C5225

Course Title: Develop processes for the management of breaches in compliance requirements

Portfolio: BUS

Nominal Hours: 30.0

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

Course Code




Learning Mode

Teaching Period(s)


City Campus


650T TAFE Business

Face-to-Face or Internet or Workplace

Course Contact: Sylvia Baroutis

Course Contact Phone: +61 3 9925 5469

Course Contact Email:

Course Description

This unit describes the performance outcomes, 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 has been designed to be consistent with AS 3806:2006 Compliance programs. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.

This unit applies to individuals working as a chief executive or manager in a small organisation (where it would be part of their broad role), or as a compliance officer or senior manager within a larger organisation with responsibility for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements.
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.

Pre-requisite Courses and Assumed Knowledge and Capabilities

Not applicable.

National Competency Codes and Titles

National Element Code & Title:

BSBCOM503B Develop processes for the management of breaches in compliance requirements


1. Develop procedures for responding to breaches in internal and external compliance requirements

2. Monitor adherence to compliance requirements

3. Manage the identification and rectification of breaches in compliance

4. Liaise with relevant personnel and organisations during breach management

5. Evaluate the response to and rectification of, breaches in compliance

6. Document and disseminate the breach management activities and outcomes

Learning Outcomes

Overview of Assessment

Assessment may incorporate a variety of methods including technical requirements documentation, homework, assignments, group and/or individual projects, in class exercises, written and practical assessments, problem solving exercises, presentations, direct observation of actual and simulated work practice, presentation of portfolio of evidence which may comprise documents, and/or photographs and/or video and audio files, review of products produced through work based or course activities.

Students are advised that they are likely to be asked to personally demonstrate their assessment work to their teacher to ensure that the relevant competency standards are being met.  Students will be provided with feedback throughout the course to check their progress.