BSBCOM603 Plan and Establish Compliance Management Systems Assessment Task 1
Assessment Task 1
BSBCOM603 Plan and establish compliance management systems
Organisational Requirements
Assessment Submission details:
Please include following details on the top of your assessment:
Your Name
Your Student Id
Your Trainer’s name
Assessment Due Date
Actual Submission Date
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In ‘subject’ mention your ‘student Id – Your name’.
Achieving Competence:
To be deemed competent in this assessment you must:
Correctly address all of the assessment requirements as described in this task
Correctly address all of the submission instructions
Successfully complete the Assessment Questions
Submit assessment on or before the due date with an assessment cover sheet
Performance objective:
This task requires you to review the compliance requirements for your organisation or the Charity-Care case study provided and investigate compliance management systems
Assessment description:
In this assessment task, you are required to review your own organisation or the Charity-Care case study, as well as the scenario below, to determine compliance requirements that are applicable. Using this information, you will need to identify and select an appropriate compliance management system for implementation in the organisation. You will use the products of this assessment task to complete Assessment Tasks 2 and 3.
You are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation. You must:
research internal and external compliance requirements
analyse qualitative and quantitative information to evaluate compliance management options
Prepare a report for senior management identifying an appropriate compliance system for the organisation.
Assessment Questions:
Consider the scenario above in relation to the organisation in which you work. If you do not have an appropriate workplace upon which to base this assessment task, you can use the Charity-Care case study provided.
Meet with relevant personnel in your organisation to receive information on:
the overall budget for the compliance management system
Organisational requirements and criteria for the compliance management system.
Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor to receive this information.
Develop a research plan which outlines:
research tasks to be undertaken
Proposed research methods; including survey tools to gather qualitative and quantitative information on, for example, organisational compliance performance figures, compliance culture, etc.
Develop survey tools to capture organisational data.
Collect organisational data on compliance performance.
Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor to receive this information.
Research and identify the compliance requirements that are applicable to the organisation, including:
internal compliance requirements as described by organisational policy and procedure documents
external compliance requirements as described by state/territory regulatory bodies and statutory requirements, and the Australian standards for compliance, records management and risk management
Industry-specific compliance requirements.
For each identified compliance requirement, research the:
areas of the organisation most affected by the compliance requirements
Organisational compliance data, including, for example, financial fraud, accident figures, training numbers, customer complaints, etc.
risks involved for non-compliance with requirements
penalties for breaching compliance requirements
Ways of ensuring ongoing compliance with the requirements.
Review the established criteria for the compliance management system, and use these to:
identify available options for a compliance management system for all of the identified compliance requirements
compare the identified compliance management options against each other and the established criteria
Make a recommendation on system components.
Using the information you have gathered from steps 6–8 above, develop a summary report in line with the headings given below:
COMPLIANCE REQUIREMENTS:
internal compliance requirements, including information management and recordkeeping requirements
external compliance requirements
Industry compliance requirements.
COMPLIANCE EFFECTS:
areas affected
risks
penalties
risk minimisation
COMPLIANCE SYSTEMS:
discuss available systems, options or components, including discussion of relevant standards for each option; for example risk management and implementation of a risk management system
compare systems or components in terms of:
cost
effectiveness
efficiency
feasibility
match to organisational culture
Recommend system or components.
Write a reflection on the process you undertook to research and prepare the report. Include description of:
the type of research undertaken
the development of the research plan
the development of survey tools to collect required data to select compliance
Analysis of qualitative and quantitative data.
Submit documentation as per specifications below. Keep copies for your records. You will need to draw on this documentation to complete Assessment Tasks 2 and 3.
Specifications
You must provide:
a written report
a research plan, including assigned tasks and budget allocations
a written reflection.
Your assessor will be looking for demonstration of:
research skills to:
conduct literature and internet searches
assist with various types of research surveys
Assist with the analysis and organisation of research data, including qualitative and quantitative data, using appropriate techniques.
research management skills to:
develop research plans
manage other personnel involved in the research activity
manage time
Manage finances.
literacy skills to write reports containing complex concepts
knowledge of research methods and techniques suitable for conducting compliance-related research projects
knowledge of quantitative and qualitative data analysis techniques relevant to compliance-related research
knowledge of relevant Australian and international standards
knowledge of elements or components of compliance program/management systems
Knowledge of relevant organisational policies and procedures.
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