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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:

1. 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

Please Note: Any changes in the assessment due date must be approved by your trainer.

2. This assessment must be in Microsoft word format. Following settings should be made for this assignment to keep consistency among all the assessments:

3. Do not forget to attach the Cover Sheet at the front of the assessment.
4. Make sure you have signed the Cover sheet to declare this is your own work.
5. You can e-mail this assessment to your trainer’s e-mail address with following details:

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:

1. 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.
2. Meet with relevant personnel in your organisation to receive information on:
   1. the overall budget for the compliance management system
   2. 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.

3. Develop a research plan which outlines:
   1. research tasks to be undertaken
   2. Proposed research methods; including survey tools to gather qualitative and quantitative information on, for example, organisational compliance performance figures, compliance culture, etc.
4. Develop survey tools to capture organisational data.
5. 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.

6. Research and identify the compliance requirements that are applicable to the organisation, including:
   1. internal compliance requirements as described by organisational policy and procedure documents
   2. external compliance requirements as described by state/territory regulatory bodies and statutory requirements, and the Australian standards for compliance, records management and risk management
   3. Industry-specific compliance requirements.
7. For each identified compliance requirement, research the:
   1. areas of the organisation most affected by the compliance requirements
   2. Organisational compliance data, including, for example, financial fraud, accident figures, training numbers, customer complaints, etc.
   3. risks involved for non-compliance with requirements
   4. penalties for breaching compliance requirements
   5. Ways of ensuring ongoing compliance with the requirements.
8. Review the established criteria for the compliance management system, and use these to:
   1. identify available options for a compliance management system for all of the identified compliance requirements
   2. compare the identified compliance management options against each other and the established criteria
   3. Make a recommendation on system components.
9. Using the information you have gathered from steps 6–8 above, develop a summary report in line with the headings given below:

COMPLIANCE REQUIREMENTS:

1. internal compliance requirements, including information management and recordkeeping requirements
2. external compliance requirements
3. Industry compliance requirements.

COMPLIANCE EFFECTS:

1. areas affected
2. risks
3. penalties
4. risk minimisation

COMPLIANCE SYSTEMS:

1. 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
2. compare systems or components in terms of:

1. cost
2. effectiveness

• efficiency

1. feasibility
2. match to organisational culture

1. Recommend system or components.

10. Write a reflection on the process you undertook to research and prepare the report. Include description of:
    1. the type of research undertaken
    2. the development of the research plan
    3. the development of survey tools to collect required data to select compliance
    4. Analysis of qualitative and quantitative data.
11. 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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