Assessment Task 1 (BSBCOM603)
Assessment Task 1
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 1 of 4
Organisational requirements
The assessment task is due on the date specified in your timetable / term-planner. Any variations to this
a
angement must be approved in writing by your assessor.
Submit this document with any required evidence attached. See specifications below
for details.
Performance objective
This task requires you to review the compliance requirements for your organisation or the Charity-Care
case study provided and investigate compliance management systems.
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.
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.
Assessment Task 1
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 2 of 4
Headings for summary report:
1. COMPLIANCE REQUIREMENTS:
a. internal compliance requirements, including information management and
ecordkeeping requirements
. external compliance requirements
c. industry compliance requirements.
2. COMPLIANCE EFFECTS:
a. areas affected
. 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
. 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
. 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.
Assessment Task 1
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 3 of 4
3. Develop a research plan which outlines:
a. research tasks to be undertaken
. proposed research methods; including survey tools to gather qualitative and quantitative
information on, for example, organisational compliance performance figures, compliance
culture, etc.
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
. external compliance requirements as described by state/te
itory 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
. 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
eaching 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
. compare the identified compliance management options against each other and the
established criteria
c. make a recommendation on system components.
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
. the development of the research plan
c. the development of survey tools to collect required data to select compliance
d. analysis of qualitative and quantitative data.
Assessment Task 1
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 4 of 4
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.
● literacy skills to write reports containing complex concepts
● knowledge of research methods and techniques suitable for conducting compliance-related
esearch projects
● knowledge of quantitative and qualitative data analysis techniques relevant to compliance-related
esearch
● knowledge of relevant Australian and international standards
● knowledge of elements or components of compliance program/management systems
● knowledge of relevant organisational policies and procedures.
Assessment Task 2
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 1 of 5
Implementation planning
The assessment task is due on the date specified in your timetable / term-planner. Any variations to this
a
angement must be approved in writing by your assessor.
Submit this document with any required evidence attached. See specifications below
for details.
Performance objective
This task requires you to develop for an organisation an implementation plan for the compliance
management system that has been identified in the previous assessment task.
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
oth the CEO (or relevant internal approval authority) and an external auditor prior to beginning the
implementation process. You will need to respond to two scenarios, one for internal approval, and one
for external approval.
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
eakdown of costs for each component of the system.
Assessment Task 2
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 2 of 5
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 system requirements
. 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
. 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
. suitable training options for staff.
4. PROCESSES
Identify and describe:
a. a complaints management system
. a strategy for developing a compliance management culture
c. processes and procedures for identifying and managing compliance
eaches,
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. numbers of complaints
iv. numbers of
eaches
v. ratio of payroll e
ors
eaches to number of transactions.
Assessment Task 2
BSBCOM603 Plan and establish compliance management systems
RTO: 22332 Version: 2
CRICOS: 03234B Page 3 of 5
5. ADMINISTRATION
Include:
a. the budget required to resource implementation (including human resources for
developing, implementing, reviewing and maintaining the proposed compliance
management system)
. an action schedule outlining target milestones for all aspects of XXXXXXXXXXimplementation, 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.
Scenario: 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