BSBCOM603

BSBCOM603 Plan and establish compliance management systems – Assessment 2 Last Updated: October 2016, V. No. 1.1

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Task 2: (Project) Implementation planning

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, following on from Assessment Task 1, you are required to plan and

document the compliance management system to be implemented in the organisation, and

gain approval from both the CEO, or relevant internal approval authority, and an external

auditor, prior to beginning the implementation process. You will need to respond to 2

scenarios, one for internal approval, and one for external approval.

BSBCOM603 Plan and establish compliance management systems – Assessment 2 Last Updated: October 2016, V. No. 1.1

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Scenario: Internal approval

You are an external consultant hired to conduct research into and propose an

appropriate compliance management system for an organisation.

The CEO, or relevant internal approval authority, has now asked you to prepare an

implementation plan for your compliance management system. Your plan will

need to include:

● specifications

● action schedule

● budget, with a breakdown of costs for each component of the system.

BSBCOM603 Plan and establish compliance management systems – Assessment 2 Last Updated: October 2016, V. No. 1.1

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Your plan, to fulfil organisational requirements, must be in the following format:

1. COMPLIANCE MANAGEMENT SYSTEM

For the proposed compliance management system:

a. describe the management information systems requirements

b. identify all components of the compliance management system

including any documentation required to be developed

c. document the specifications of each component.

2. PERSONNEL

For the proposed compliance management system:

a. determine personnel requirements for staffing

b. select suitable personnel from those available within the case study

c. assign key responsibilities to each position.

3. TRAINING

Identify and describe:

a. the training requirements for implementing the proposed compliance

management system

b. suitable training options for staff.

4. PROCESSES

Identify and describe:

a. a complaints management system

b. a strategy for developing a compliance management culture

c. processes and procedures for identifying and managing compliance

breaches, including integration with existing policies and procedures

d. processes and procedures for meeting compliance reporting

requirements.

e. performance indicators to be measured by the system so that it can be

objectively evaluated, for example:

i. individual compliance/non-compliance

ii. training numbers

iii. numbers of complaints

iv. numbers of breaches

v. ratio of payroll errors/breaches to number of transactions.

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5. ADMINISTRATION

Include:

a. the budget required to resource implementation (including human

resources for developing, implementing, reviewing and maintaining

the proposed compliance management system)

b. an action schedule outlining target milestones for all aspects of

implementation, including training, review and maintenance.

You will need to meet with your CEO, or relevant internal approval authority, to

present and defend your implementation plan, particularly on the basis of:

● adherence to budget

● the ability of the plan to contribute to a culture of compliance in the

organisation.

Note: If you are basing your assessment on the Charity-Care case study, you will

need to meet with your assessor in place of the CEO.

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Scenario 2: External approval

As in the above scenario, you are an external consultant hired to conduct research

into and propose an appropriate compliance management system for an

organisation.

The CEO, or relevant internal approval authority, has now approved your

implementation plan for your compliance management system.

In order to build credibility for the organisation among clients, customers and

suppliers as well as government and regulatory authorities, you have been asked

to meet with an external auditor (representing an accredited certification body) to

take the first steps towards certifying the organisation with respect to for example,

AS 3806:2006 Compliance programs, AS ISO 10002:2006 Guidelines for complaints

handling, AS/NZS ISO 31000:2009 Risk Management – Principles and Guidelines or AS

ISO 15489:2004 Records management.

You will need to satisfy the auditor that the planned implementation will be

compliant with the principles set out in the relevant standards. Example questions

that an auditor could ask with respect to AS 3806:2006 Compliance programs, for

instance, could include:

● How does the planned implementation of the compliance management

system:

○ Ensure commitment by top management to effective compliance

throughout the organisation?

○ Ensure the compliance policy aligns with business goals?

○ Ensure appropriate resources are allocated to the compliance program?

○ Ensure endorsement by top management?

○ Ensure compliance obligations are identified and assessed?

BSBCOM603 Plan and establish compliance management systems – Assessment 2 Last Updated: October 2016, V. No. 1.1

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○ Ensure responsibilities for compliance are set?

○ Ensure training needs are met?

○ Ensure appropriate behaviours are encouraged?

○ Ensure controls are put in place to achieve desired behaviours and

outcomes?

○ Ensure performance of the compliance program is monitored,

measured and reported?

○ Ensure that the organisation can demonstrate compliance through

documentation?

○ Ensure the program is continuously reviewed and improved?1

You will need to answer the auditor’s questions with specific reference to the

implementation plan for the compliance management system as you have

developed it.

Note: You will need to meet with your assessor (as the external assessor) or a

person assigned to role-play an external auditor.

Procedure

1. Review the two scenarios above in concert with the recommendations you made in

Assessment Task 1.

2. Arrange with your assessor a time, place and method to present your implementation

plan for approval and agree on a relevant standard to be audited against for external

approval.

3. Present a summary of your report to the CEO for approval. Prepare to answer questions

on your proposed plan from your CEO, or other internal approver, (who may be your

assessor) on how your planned system adheres to budgetary constraints set in

Assessment Task 1 and contributes to an organisational culture of compliance.

4. Answer questions from an external auditor (your assessor) on how the proposed

compliance management system adheres to principles of the relevant standard agreed in

advance with your assessor.

5. Submit documentation as per specifications below. Keep copies for your records. You

will need to draw on this documentation to complete Assessment Task 3.

1 Adapted from AS 3806:2006 Compliance programs, Standards Australia, p. 7.

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Specifications

You must provide:

● a written implementation plan, including specifications, budget and action schedule.

Your assessor will be looking for:

● your ability to contribute to a positive culture of compliance within an organisation

● interpersonal skills to relate to internal and external personnel

● literacy skills to write reports containing complex concepts

● knowledge of relevant Australian and international standards

● knowledge of elements of compliance program/management systems

● knowledge of relevant organisational policies and procedures