BSBCOM603 Plan and Establish Compliance Management Systems Assessment
Assessment Resource Summary
Unit Details
BSBCOM603 - Plan and establish compliance management systems
Assessment Type
This is a summative assessment, this assessment need adequate practice prior to undertaking this assessment.
Assessment Methods Project Work and Meeting Observation
Assessment 1
Written Question and Answer
Assessment 2
BSB61015 Advanced Diploma of Leadership and Management
Assessment Resource – BSBCOM603 Plan and establish compliance management systems
Unit Summary
This unit describes the skills and knowledge required to plan and establish appropriate compliance program/management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements.
It applies to individuals who have specific responsibility for the planning, development and operation of a compliance program/management system.
Application of this unit must be consistent with the pertinent sections of relevant
Australian and international standards and legislative requirements including: AS
3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.
Prerequisite Units
There are no recommended pre – requisite units for this competency.
ELEMENT PERFORMANCE CRITERIA
Elements describe the essential outcomes. Performance criteria describe the performance needed to demonstrate achievement of the element.
1. Determine applicable compliance requirements 1.1 Obtain and interpret information on current compliance requirements applicable to the organisation
1.2 Review each compliance requirement in terms of the relevant internal and external authorities, the risks involved, ways of ensuring compliance, the penalties for a breach of compliance, and the areas and operations of the organisation most affected
2. Identify and select an appropriate
compliance program/managem ent system 2.1 Investigate each area of applicable compliance to determine available options for a compliance
program/management system that would be consistent with relevant Australian and International standards
2.2 Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria
2.3 Select an appropriate compliance program/management system for implementation
3. Plan required compliance program/managem ent system 3.1 Determine and document components for the proposed compliance program/management system
3.2 Determine personnel requirements for the operation of
the compliance program/management system and assign or recruit appropriate staff
3.3 Identify training requirements for the implementation of
the proposed compliance program/management system and select suitable training options
3.4 Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system
3.5 Select a complaints management system suitable for the organisation and its compliance responsibilities
3.6 Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel
3.7 Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements
3.8 Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements
3.9 Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned
4. Document required compliance
program/managem ent system 4.1 Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements
4.2 Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel
4.3 Seek approval from appropriate internal and external
personnel or authorities prior to establishing the proposed compliance program/management system
5. Establish the planned
compliance
program/managem ent system 5.1 Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities
5.2 Establish the components of the compliance program/management system in collaboration with assigned staff
5.3 Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan
5.4 Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan
5.5 Prepare reports on the operation and review of the compliance program/management system in accordance with
established procedures and any statutory or other compliance obligations.
Foundation skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.
Skill Performance
Criteria Description
Reading
1.1, 1.2, 2.1, 2.2,
3.1, 3.2, 3.3, 3.4 • Investigates and evaluates complex texts to determine key information and specific requirements and responsibilities
Writing 1.1, 3.1, 3.4, 3.6,
3.7, 4.1, 4.3, 5.2,
5.4, 5.5 • Develops material for a specific audience using clear and detailed language to convey information, requirements and recommendations
• Collates and compiles data to convey specific information, requirements and recommendations
• Edits and incorporates amendments, as required to ensure compliance with regulatory requirements
Oral
Communication 3.6, 4.3, 5.2, 5.4 • Conveys information, which incorporates evaluation of information and specialised and cohesive language, in a format and style appropriate to a specific audience
• Elicits the view and opinions of others by listening and questioning
Navigate the world of work all • Takes responsibility for developing, implementing and reviewing policies, procedures and processes in accordance with organisational and legislative requirements
Get the work done 1.2, 2.1-2.3, 3.2,
3.3, 3.5, 3.6,
3.8, 3.9, 4.2,
5.1- 5.4 • Plans strategic priorities and outcomes within a flexible, efficient and effective context in a diverse environment exposed to competing demands
• Explores and incubates new and innovative ideas through unconstrained analysis and critical thinking to develop compliance program/management systems
plan for and set up a compliance program/management system, in collaboration with relevant personnel, using research methods and techniques suitable for conducting compliance related research projects
review the organisational compliance requirements against legislation, regulations and standards
plan for, identify and select a suitable compliance system
prepare specifications
document an action schedule for implementing, maintaining and reviewing the compliance system
appoint and train staff on using the compliance system monitor and review the compliance system.
To complete the unit requirements safely and effectively, the individual must:
explain research methods and techniques suitable for conducting compliance related research projects
describe the application of quantitative and qualitative data analysis techniques to compliance related research
summarise relevant aspects of Australian and international standards
outline elements of compliance program/management systems including:
documentation of compliance requirements relevant to the organisation
specification of compliance management functions, accountabilities and responsibilities within the organisation
compliance related management information systems
record keeping systems required for compliance management
liaison procedures with relevant internal and external personnel on compliance related matters
breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
compliance reporting procedures
corporate induction and training processes related to compliance management
processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system
compliance complaints handling systems
continuous improvement processes for compliance including monitoring, evaluation and review
strategies for developing a positive compliance culture within the organisation
techniques and performance indicators for monitoring the operation of a compliance program/management system
reporting processes on compliance management including reports on breaches and rectification action
explain relevant organisational policies and procedures including compliance plans in various compliance areas and organisational standards for operations and ethics.
Assessment Conditions
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk compliance field of work and include access to:
organisational policies and procedures and documentation relevant to compliance requirements
interaction with others
legislation, regulations and standards for compliance
computer resources and business technology
case studies and, where possible, real situations.
VERSION HISTORY
Version Number Date Reason for revision Who Approved By
TAS-AT-V1-21052018 21-05-2018 IBSA Material CEO
TAS-AT-V1.1-23052018 23-05-2018 Contextualized IBSA Material A.C CEO
TAS-AT-V2-04062018 04-06-2018 Version Control updated to align with other material A.C CEO
TAS-AT-V3-06092018 06-09-2018 Re-formatted assessment tool A.C CEO
V3.1 20 May 2020 Updated Assessment
Tool as Audit
Rectification AC CEO
Re-assessment of Result & Academic Appeal Procedures:
If a student is not happy with his/ her results, that student may appeal against their grade via a written letter, clearly stating the grounds of appeal to the Director of Studies. This should be submitted after completion of the subject and within fourteen days of commencement of the new term.
Re-assessment:
If a student does not qualify for resubmission or is still deemed Not Yet Competent (NYC) after the resubmission, they will need to go through the reassessment process. To qualify for reassessment the student must have completed and submitted the required assessments for the unit of competency as per the unit assessment schedule. Student will get three reassessments attempt, without any additional penalty/ fee.
Reassessment will occur only for those assessment tasks in which the student is deemed NYC. Reassessment is a formal process and student must apply for reassessment through Request for Reassessment Form available from the reception. ON approval and payment of reassessment fees, a reassessment schedule will be advised.
If still failed in three reassessment attempts, the student will need to repeat (re-sit) the unit.
Re-sit (or Repeat):
The student will need to re-sit the unit in the following term/semester if they are not deemed eligible for any of the above post-assessment options; i.e., both the options of resubmission and reassessment have been exhausted. The student will also need to re-sit the unit if the result from reassessment is still Not Yet Competent (NYC). Resit may result in extension of course duration and may affect student’s original completion date of the course. Student will need to pay a pro rata fee of the course fee to re-sit for the unit. Student should contact the admin department if he/she remains NYC after 3 attempts of reassessment. Admin team/ student support officer will liaise with accounts and academic team and issue the special training plan and the invoice for the resit attempt to the student. Student will be advised if there is a need to amend the COE at this stage.
If a course is extended by an academic term, a pro-rata term fee based on total course fee will apply as per the course fees specified in the International Student Agreement. to be reliable, fair, practical and valid.
Resit mean repeating the entire unit of competency. Resit is a formal process and student will be advised of their resit options once all the term results are published. In the event where a student has been deemed NYC in 50% or more units within a study period, they will be asked to attend a course progress interview and go through the course progress process according to college’s Course Progress Policy.
Late Submission Fee:
A late fee of $100 per unit will be charged if students fail to submit assessments on due dates.
Absentees:
Students are absent on the day of the assessment without prior approval or a valid reason (e.g. medical certificate) will be marked Not Yet Competent and will be subject to college’s Course Progress Policy. Academic Appeals
A student may appeal against a decision in writing to the Academic Manager within 2 (two) weeks of publication of the final results.
If the appeal is in respect of an assessment or an outcome from the reassessment process, a review of available information/data is conducted within a reasonable timeframe by the course coordinator in consultation with CEO. The appellant will be given the opportunity to formally present his/her case. This is designed to ensure fairness and consistency and underpins the continuous improvement process.
If the appeal is to dispute the outcome of a complaint other than an assessment, the appeal will be scheduled to be heard by an independent person or panel, inviting the appellant to formally present his/her case.
Upon a decision being made, the appellant is provided with a written statement of the appeal outcomes, including reasons for the decision. Please refer to the Complaints & Appeals Policy for further details.
Reasonable adjustments
TasCollege enables reasonable adjustments to be made to assessment procedures for students with special needs, such as people with disabilities or with language or literacy difficulties. Assessing knowledge is usually assessed through written or oral, short‑answer tests where assessors seek to determine the extent of the student’s knowledge. However, you may need to do the following for a student with disability:
• Ask questions orally instead of in a written format
• Provide equipment such as text enlargers, image enhancers, and voice recorders.
• Give the student more time to complete the assessment; • Allocate a different time for completion of the assessment; • Offer a separate, quiet room.
• Modifying or providing equipment
• Adapting delivery strategies
• Ensuring that course activities are sufficiently flexible
• Providing additional support to student where necessary
• Customizing resources and activities within the training package or accredited course
• Monitoring the adjustments to ensure student needs continue to be met
Student Declaration
“I understand all the above rules and guidelines for the assessment”.
Date
Full Name Signature
(dd/mm/yyyy)
Your Trainer/Assessor will advise you of your rights before and after assessments, including the right to appeal.
Your Trainer/Assessor will provide you with all relevant information relating to the assessments prior to commencement, and of the appeals procedure that can be utilised if you wish to appeal against the assessment outcome or make a complaint.
You will be informed of the outcome of your assessment as soon as possible from the date the assessment was submitted. Prompt feedback will be offered to you on the outcome of the assessment. Feedback will be delivered in written and where possible, verbal form to you.
This assessment is set in accordance with the criteria for AQF Level 6. Advance Diploma qualifications must be designed and accredited to enable graduates to demonstrate the learning outcomes expressed as knowledge, skills and the application of knowledge and skills specified in the level 6 criteria and the Advance Diploma descriptor.
Summary
Graduates at this level will have broad knowledge and skills for paraprofessional/highly skilled work and/or further learning.
Knowledge
Graduates at this level will have broad theoretical and technical knowledge of a specific area or a broad field of work and learning.
Skills
Graduates at this level will have a broad range of cognitive, technical and communication skills to select and apply methods and technologies to:
• analyse information to complete a range of activities
• interpret and transmit solutions to unpredictable and sometimes complex problems
• transmit information and skills to others
Application of knowledge and skills
Graduates at this level will apply knowledge and skills to demonstrate autonomy, judgement and defined responsibility:
• in contexts that are subject to change
• within broad parameters to provide specialist advice and functions
The term ‘Foundation Skills’ is currently used to include the core skills defined in the Australian Core Skills Framework (ACSF) as well as the employability skills identified by employers as critical for effective performance in the workplace. The core skills of the ACSF include reading, writing, oral communication, numeracy and learning.
Foundation skills encompass the core skills of reading, writing, oral communication, numeracy and learning as described by the Australian Core Skills Framework (ACSF), and the Employability Skills/Core Skills for Work. They exist on a continuum from very basic skills to highly-developed and specialist skills. The foundation skills have been addressed in this assessment.
To demonstrate competence in this unit, you must undertake all tasks in this assessment booklet and complete them satisfactorily and in addition, also satisfactorily complete the practical assessment, including demonstrating communication skills during the practical activities. If you do not answer some questions or perform some tasks satisfactorily and therefore are deemed to be ‘Not Competent’, you may be asked supplementary questions or given alternative activities to determine competence, which will be documented in your student file. After you have demonstrated consistency in performance you will be awarded this unit.
As part of the assessment process, you must abide by any relevant assessment policies as provided to you. If you feel you are not yet ready to be assessed or this assessment is unfair, please discuss with your assessor all options that are available to you to enable you to complete the assessment.
You should submit assessment tasks with the provided cover sheet.
Assessments should be submitted on or before their due date. Extensions for individual assessment tasks may be negotiated in specific circumstances. Consultation on this must occur prior to the due date and extensions due to illness will require a medical certificate. Extensions must be confirmed by the Trainer/Assessor in writing.
All students are reminded that plagiarism will not be tolerated. Information, ideas etc. quoted or paraphrased from another source, must be acknowledged with “quotation marks” around the relevant words/sentences or ideas and cited at the end of the document. Sources of information, ideas etc. must be provided in alphabetical order by author’s surname (including author’s full name, name of document/ book/internet etc. and year and place of publishing) or may be included in brackets in the text.
There are three (3) outcomes of assessments: Satisfactory, Unsatisfactory (requires to include feedback and improvise as Trainer/Assessor suggestions) and Fail Non Submission (FNS).
You will be awarded a ‘Competent’ grade on completion of the unit when the trainer/assessor is satisfied that you have completed all assessments and have provided the appropriate evidence required to meet all criteria. If you fail to meet this requirement you will receive the result of Not Yet Competent or Withdrawn and will be eligible to be re-assessed.
Students will be allowed two (2) further attempts at an assessment for which the outcome is Not Satisfactory, within the timeframe of a course (unit of competency) and in this time they can request a coaching session as required. No additional fees will be charged.
Students who require re-assessment beyond the delivery timeframe of a unit or due date of an assessment, unless it is due to medical reasons, will be given the opportunity to request additional time to resubmit and in this time, they can also request a coaching session as required. After that students may be charged a reassessment fee.
RTOs and trainer/assessors are obliged by law to make reasonable adjustment to ensure maximum participation of students with disability in teaching, learning and assessment activities. This includes:
• ensuring that course activities are sufficiently flexible;
• providing additional support where necessary; and
• offering a reasonable substitute within the context of the course where a student cannot participate
Reasonable adjustment is defined in section 4 (1) of the Employment and the Disability Discrimination Act as ‘an adjustment to be made by a person is a reasonable adjustment unless making the adjustment would impose an unjustifiable hardship on the person’.
Reasonable adjustment as it applies to participation in learning and assessment activities may include:
• customising resources or activities within a training package or accredited course;
• modifying a presentation medium;
• providing additional support;
• providing assistive or adaptive technologies;
• making additional information accessible both before enrolment and during the course; and
• monitoring these adjustments to ensure that the student’s needs continue to be met
Category Possible issue Possible Strategies
LLN • Speaking
• Reading
• Writing
• Confidence • Verbal assessment
• Presentations
• Demonstration of a skill
• Use of diagrams
• Use of support documents such as word lists
Indigenous
• Knowledge and understanding
• Flexibility
• Services
• Inappropriate training and assessment • Culturally appropriate training
• Explore understanding of concepts and practical application through oral assessment
• Flexible delivery & using group rather than individual assessments
• Assessment through completion of practical tasks in the field after demonstration of skills and • knowledge.
Non-English-
Speaking
Background
• Speaking
• Reading
• Writing
• Cultural background
• Confidence • Discuss with the student and supervisor whether language, literacy and numeracy are likely to impact on the assessment process
• Use methods that do not require a higher level of language or literacy than is required to perform the job role
• Use short sentences that do not contain large amounts of information and clarify information by rephrasing, confirm understanding
• Read any printed information to the student
• Use graphics, pictures and colour coding instead of, or to support, text
• Offer to write down, or have someone else write, oral responses given by the candidate
• Ensure that the time available to
complete the assessment, takes account of the student’s needs
Age •
• Educational background Age of the assessor Limited study skills •
• Make sure font size is not too small
Assessor should refer to the student’s experience
Ensure that the time available to complete the assessment takes account of the student’s needs
Educational background •
• Reading
Writing
Numeracy
Limited study skills and /or learning strategies •
• Discuss with the student their previous learning experience
Ensure learning and assessment methods meet the learner’s individual need
Disability •
• Speaking
Reading
Writing
Numeracy
Learning
Strategies
• Identify the Issues
Create a climate of support & ensure access
Appropriately structured assessment
Using other’s expertise
An individual’s access to the assessment process should not be adversely affected by restrictions placed on the location or context of assessment beyond the requirements specified in the training package. Reasonable adjustments can be made to ensure equity in assessment for people with disabilities. Adjustments include any changes to the assessment process or context that meet the individual needs of the person with a disability, but do not change competency outcomes.
When assessing people with disabilities, trainer/assessors are encouraged to apply good practice assessment methods with sensitivity and flexibility.
The assessment process must:
• Provide for valid, reliable, flexible and fair assessment
• Provide for judgement to be made on the basis of sufficient evidence • Offer valid, authentic and current evidence
Please speak to your trainer/assessor if you require assistance with any access and equity concerns you may have.
If you can demonstrate that you have the skills and knowledge within this unit, you should speak to your trainer/assessor about this and apply for recognition of prior learning.
Assessments
There are three (3) outcomes of assessments: Satisfactory, Unsatisfactory (requires to include feedback and improvise as Trainer/Assessor suggestions) and Fail Non Submission (FNS).
You will be awarded a ‘Competent’ grade on completion of the unit when the trainer/assessor is satisfied that you have completed all assessments and have provided the appropriate evidence required to meet all criteria. If you fail to meet this requirement you will receive the result of Not Yet Competent or Withdrawn and will be eligible to be re-assessed.
Students may use various sources of information including: text books, learning workbooks, other documents and the internet and they must list the sources of the information.
Assessment 1 Project work & Meeting Observation: You are an external consultant hired to conduct research into an appropriate compliance management system for a large not-for-profit charity called Charity-Care. You will be provided with the relevant document about the organisation by your assessor.
You are to review the case study, identify and select an appropriate compliance management system for implementation in the organisation
Assessment 2 Written Question and Answers: Answer all 9 questions in the given space. Add more sheets if you need more space.
STUDENT INFORMATION
Whilst researching and writing your project it is important to:
• Read the Assessment description carefully
• Assessment should be in a Word format
• All work is to be entirely of the Student. General Information for this assessment:
• Read the instructions for each question very carefully.
• Be sure to PRINT your FULL name & LAST name in every place that is provided.
• For those activities requesting extra evidence such as: research reports, ESSAY reports, etc. The student must attach its own work formatted in double space, Arial 12 pts.
• All activities must be addressed correctly in order to obtain a competence for the unit of competency.
• If the Student doesn’t understand the assessment, they can request help from the assessor to interpret the assessment.
• Submit this document along with your assessment
Task 1 – Project Work and Meeting Observation
Submission Details
The assessment task is due on the date specified by your assessor. Any variations to this arrangement must be approved in writing by your assessor.
Submit this document with any required evidence attached. See instructions below for details.
Required documents
• Charity-Care case study including relevant policies and audit report (embedded)
• Training Needs Analysis template
• Standards: AS/NZS 3806:2006 Compliance programmes, 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
Project overview and context
You are an external consultant hired to conduct research into an appropriate compliance management system for a large not-for-profit charity called Charity-Care. You will be provided with the relevant document about the organisation by your assessor.
You are to review the case study, identify and select an appropriate compliance management system for implementation in the organisation. You must:
1. Research internal and external compliance requirements which will include
1. Preparing 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.
2. Developing survey tools to capture organisational data
3. Collecting organisational data on compliance performance which will include:
a. the overall budget for the compliance management system
b. organisational requirements and criteria for the compliance management system
4. Identifying
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
5. For each identified compliance requirement, researching 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.
6. Reviewing the established criteria for the compliance management system, and using these to:
a. identify available options for a compliance management system for all of the identified compliance requirements
b. compare the identified compliance management options against each other and the established criteria
c. make a recommendation on system components
2. Using the information, you have gathered from steps iv-vi above, prepare a summary report in line with the headings listed below.
Headings for summary report:
1. COMPLIANCE REQUIREMENTS:
a. internal compliance requirements, including information management and recordkeeping 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; e.g. 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
3. The CEO of Charity-Care has now asked you to prepare an implementation plan for your compliance management system. Your plan will need to include:
a. specifications
b. action schedule
c. budget, with a breakdown of costs for each component of the system.
To fulfil organisational requirements, your plan must be in the following format:
For the proposed compliance management system:
a. describe the management information system requirements
b. identify all components of the compliance management system, including any documentation required to be developed
c. document the specifications of each component.
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.
Identify and describe:
a. the results of the training needs analysis to determine the level of required learning for the company’s employees
b. the training requirements for implementing the proposed compliance management system
c. suitable training options for staff.
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. processes and procedures for internal and external liaison processes
f. 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. number of complaints
iv. numbers of breaches
v. ratio of payroll errors/breaches to number of transactions.
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.
4. As you have prepared the implementation plan of your compliance management system, you are now to meet with your assessor (representing the relevant internal approval authority) to present and defend your implementation plan, receive approval and agree on a relevant standard to be audited against for external approval particularly on the basis of:
a. adherence to budget
b. the ability of the plan to contribute to a culture of compliance in the organisation.
Review the observation checklist I to ensure you will present, defend, discuss and get approval of your implementation plan as per what your assessor will be looking into.
5. The CEO of Charity-Care, based on the recommendation of your assessor, 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 (your assessor). S/he will help you take the first steps towards certifying the organisation with respect to, for example, AS/NZS 3806:2006 Compliance programmes, 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/NZS 3806:2006 Compliance programmes, 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?
• 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?
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. Make sure you have reviewed the observation checklist II before you meet the external auditor.
6. As you are an external consultant hired to research, plan, implement and monitor a compliance management system for Charity-Care, you will need to follow your plan to train/induct 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 least two of your classmates) at a later date to gather information on performance in accordance with your plan.
7. Finally, the CEO has asked you to provide an evaluation of the implementation of your plan. To meet organisational requirements, you will need to prepare a report for the Charity-Care senior management with the recommended headings below
Rep ort 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.
BSB61015 Advanced Diploma of Leadership and Management
Appendix 1: Training Needs Analysis - Template
Name: (name of employee) Position: (their title) Assessor: (Who is assessing this?)
Responsibilities
(insert tasks) Required knowledge
(Insert knowledge required to use KMS)
Identified gaps
(What training will be required to cover gaps?)
When?
(When will this training take place? Over what timeframe?)
Training provider?
(Who will be undertaking this training?)
What will be the expected benefit for the employee of this training?
How will the success of the training be monitored?
Task 2 – Written Question and Answer
BSB61015 Advanced Diploma of Leadership and Management
Submission details
The assessment task is due on the date specified by your assessor. Any variations to this arrangement must be approved in writing by your assessor.
Submit this document with any required evidence attached. See instructions below for details.
Assessment description
• This is an open-book assessment.
• You are to read each question carefully and understand them before you write answers
• You MUST answer the questions in your own words.
• You have to write answers in the space provided. You can use extra sheets if your answers do not fit in the given space. Please give proper reference of questions when using extra sheets.
• You must answer all written questions satisfactorily as part of this assessment to be deemed Satisfactory for this assessment
Assessment Resource and establish compliance management systems
Q1. Explain at least three methods of collecting data/information for conducting compliance related research projects.
Q2. Each organisation will have different requirements relating to the collection of information held by the organisation. What guidelines and processes might you need to consider when accessing the organisation’s information for compliance related research purposes?
Q3. Explain any three methods for clarifying the validity of information you gather for a compliance related research project.
Q4. Show your acquaintance with quantitative and qualitative data analysis techniques to compliance related research.
Q5. List and explain five compliance management processes based on AS/ISO 19600:2015.
Q6. Explain how you would relate the compliance management system with the continual improvement principle (PDCA) in accordance with AS/ISO 19600:2015.
Q7. List at least three sorts of documents that are to be included in compliance reports.
Q8. How would you define a compliance management system (CMS) in an organisation? Discuss about the functions, accountabilities and responsibilities within the system.
Q9. How would you define management information systems from compliance perspective?
