BSBCOM603

BSBCOM603 Plan and establish compliance management systems – Assessment 1 Last Updated: October 2016, V. No. 1.1

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Task 1: (Portfolio) Organisational requirements

Submission details

The Assessment Task is due on the date specified by your trainer. Any variations to this

arrangement must be approved in writing by your trainer.

Submit this document with any required evidence attached. See specifications below

for details.

You must submit both soft copies and printed copies of your answers.

Soft copies-

Upload on the eLearning to the specific submission folder with a cover page clearly indicating

your name, student id, assessment no and the unit name or put those information in the header

and footer of your documents.

Printed copies-

Submit to your Trainer with the "Assessment Cover Sheet" (Filled out and signed appropriately)

attached on top of your documents.

The Trainer/Assessor may further prompt and question in order to receive answers of

appropriate quality or if further clarification required and to validate authenticity of your

submitted work.

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.

BSBCOM603 Plan and establish compliance management systems – Assessment 1 Last Updated: October 2016, V. No. 1.1

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Scenario

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.

BSBCOM603 Plan and establish compliance management systems – Assessment 1 Last Updated: October 2016, V. No. 1.1

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Headings for summary report:

1. COMPLIANCE REQUIREMENTS:

a. internal compliance requirements

b. external compliance requirements

c. industry compliance requirements.

2. COMPLIANCE EFFECTS:

a. areas affected

b. risks

c. penalties

d. risk minimisation.

3. COMPLIANCE SYSTEMS:

a. 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

b. compare systems or components in terms of:

i. cost

ii. effectiveness

iii. efficiency

iv. feasibility

v. match to organisational culture

c. recommend system or components.

Procedure

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:

a. the overall budget for the compliance management system, including budget for

research

BSBCOM603 Plan and establish compliance management systems – Assessment 1 Last Updated: October 2016, V. No. 1.1

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b. 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:

a. research tasks to be undertaken

b. proposed research methods; including survey tools to gather qualitative and

quantitative information on, for example, organisational compliance performance

figures, compliance culture, etc.

c. a plan and budget for conducting research.

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:

a. internal compliance requirements as described by organisational policy and

procedure documents

b. external compliance requirements as described by state/territory regulatory bodies

and statutory requirements, and the Australian standards for compliance, records

management and risk management

c. industry specific compliance requirements.

7. For each identified compliance requirement, research the:

a. areas of the organisation most affected by the compliance requirements

b. organisational compliance data, including, for example, financial fraud, accident

figures, training numbers, customer complaints, etc.

c. risks involved for non-compliance with requirements

d. penalties for breaching compliance requirements

e. ways of ensuring ongoing compliance with the requirements.

8. Review the established criteria for the compliance management system, and use these to:

a. identify available options for a compliance management system for all of the

identified compliance requirements

BSBCOM603 Plan and establish compliance management systems – Assessment 1 Last Updated: October 2016, V. No. 1.1

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b. compare the identified compliance management options against each other and the

established criteria.

9. Using the information you have gathered from steps 6–8 above, develop a summary report

in line with the headings required in the scenario.

10. Write a reflection on the process you undertook to research and prepare the report. Include

description of:

a. the type of research undertaken

b. the development of the research plan

c. the development of survey tools to collect required data to select compliance

d. how the budget was assigned

e. 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.

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● 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.