BSBCOM603

BSBCOM603 Plan and establish compliance management systems – Assessment 3 Last Updated: October 2016, V. No. 1.1

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Task 3: (Written Report) Establish, monitor and review plan

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 2, you are required to establish the

compliance management system within the organisation, and then report on your monitoring

and review of the system.

BSBCOM603 Plan and establish compliance management systems – Assessment 3 Last Updated: October 2016, V. No. 1.1

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Scenario

You are an external consultant hired to research, plan, implement and monitor a

compliance management system.

You will need to follow your plan to train personnel in their specific duties in

relation to your implementation plan.

You will then need to monitor your plan by meeting with those personnel at a later

date to gather information on performance in accordance with your plan.

Finally, the CEO has asked you provide an evaluation of the implementation of

your plan. To meet organisational requirements, you will need to prepare a report

for senior management.

Report headings:

1. EXECUTIVE SUMMARY

Summarise content, results of monitoring.

2. ESTABLISHMENT OF SYSTEM

Describe steps taken to implement the system.

3. MONITORING METHODOLOGY

Describe the methods and approaches used to monitor performance of the

system.

4. RESULTS AND ANALYSIS

Describe and analyse results of your monitoring activities.

5. CONCLUSION

Discuss overall compliance, including specific problem components of the

system and success areas. Make specific recommendations for improvement

with reference to relevant standards.

Procedure

1. Review the scenario above.

2. In accordance with your implementation plan, developed and approved in Assessment

Task 2, meet with the managers and operations personnel that you have assigned to

BSBCOM603 Plan and establish compliance management systems – Assessment 3 Last Updated: October 2016, V. No. 1.1

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positions implementing the compliance management systems to train them in their

specific duties:

a. explain the components of the compliance management system

b. describe the compliance management responsibilities for all personnel

c. outline each person’s duties with regard to reporting , including what methods,

tools, templates they should use to supply information to you. For example, you

might use negotiated performance measures such as KPIs and scorecards,

questionnaires and surveys, oral questioning, etc. Consider performance with

respect to , for example, achieving performance targets for outcomes such as a

particular number of complaints, achieving performance targets for processes or

management such as regular reporting, following procedures.

Be prepared to clarify misunderstandings and answer questions.

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

will need to assist with this step.

3. In accordance with your plan, meet with the managers and operations personnel that

have been implementing the compliance management system and:

a. monitor the operation of the compliance management system, using the methods

and approaches you outlined in your initial meeting with personnel

b. review and evaluate the implementation of the compliance management system.

Analyse relevant qualitative and quantitative data. Use benchmarking data, if

available, to compare the organisation to like organisations

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

will need to assist with this step.

4. Develop a management report in accordance with the requirements outlined in the

scenario above.

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

Specifications

You must provide:

● a written management report.

Your assessor will be looking for:

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

BSBCOM603 Plan and establish compliance management systems – Assessment 3 Last Updated: October 2016, V. No. 1.1

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● research skills to assist with the analysis and organisation of research data, including

qualitative and quantitative data, using appropriate techniques

● interpersonal skills to relate to internal and external personnel

● literacy skills to write reports containing complex concepts

● knowledge of quantitative and qualitative data analysis techniques relevant to compliance

related research

● knowledge of relevant Australian and international standards

● knowledge of elements of compliance program/management systems

● knowledge of relevant organisational policies and procedures