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BSBCOM603 Plan and establish

compliance management systems Presntation 2

Purpose of this presentation At the end of this session, you should know how to:  Identify elements of compliance system.  Identify personnel requirements.  Identify resource requirements.  Document the compliance system.

Compliance systems  Elements of compliance systems:

 strategy  processes  people.

 Systems must consider:

 cost  efficiency  feasibility.

Strategy

People Processes

Presenter
Presentation Notes
Record keeping requirements - AS ISO 15489:2004 Records management: DIRKS (Designing and Implementing Record Keeping Systems) outlines 8 steps for records and information management. Gathering information for compliance - AS ISO 10002:2006 Guidelines for complaints handling: Encouraging open communication and feedback. Creating customer focus. Addressing customer needs and building customer satisfaction.

Personnel requirements  Roles and responsibilities.  Consultants and advisors.  Training:

 formal and informal.

Senior Management

Line Manager

Employees

Line Manager

Employees

Line Manager

Employees

Chief Compliance

Officer

Compliance Management

Team

Presenter
Presentation Notes
Consultants and advisors may provide compliance information, including assistance with requirements specific to your industry or business type. These include: Legal advisors. OHS experts. IT system designers. Auditors. Technical experts. Training is required to ensure everyone across the organisation understands their compliance responsibilities. This includes: Induction training for new employees. Information workshops and update sessions for existing employees. Ongoing coaching, mentoring and supervision.

Resource requirements  Resources can be obtained through collaboration

between departments and business units.  Consider the unique resource needs of individuals.  The investment of resource into compliance

management is ongoing – what will you need for the future?

Presenter
Presentation Notes
Resources include: Human resource. Infrastructure. Technology. Reference materials. Legal/technical advice.

Documenting systems  Compliance strategy.  Policies and procedures:

 process and procedures  roles and responsibilities  relevant legislation.

 Organisational chart:  lines of authority  communication flow.

Presenter
Presentation Notes
Review the example Compliance Management System document provided in Appendix 1 of the Student Workbook

The next step You should now be able to:  Identify elements of a compliance system.  Identify personnel requirements.  Identify resource requirements.  Document the compliance system.

  • Plan compliance systems
  • Purpose of this presentation
  • Compliance systems
  • Personnel requirements
  • Resource requirements
  • Documenting systems
  • The next step