Assessment Task 1

BSBCOM603 Plan and establish compliance management systems

Organisational requirements
The assessment task is due on the date specified in your timetable / term-planner. Any variations to this
arrangement 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.

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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; for example 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.

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
b. 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.

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BSBCOM603 Plan and establish compliance management systems

3. Develop 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.
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
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.
7. For each identified compliance requirement, research 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.

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
b. 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
b. 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.

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BSBCOM603 Plan and establish compliance management systems

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

research projects
● knowledge of quantitative and qualitative data analysis techniques relevant to compliance-related
research
● knowledge of relevant Australian and international standards

● knowledge of elements or components of compliance program/management systems

● knowledge of relevant organisational policies and procedures.

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BSBCOM603 Plan and establish compliance management systems

Implementation planning
The assessment task is due on the date specified in your timetable / term-planner. Any variations to this
arrangement 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
both 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 breakdown of costs for each component of the system.

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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 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.

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. 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 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.

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, and suppliers, as well as
government and regulatory authorities, you have been asked to meet with an external auditor
(representing an accredited certification body). This external auditor 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?

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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 addition to 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.

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

1
Adapted from AS/NZS 3806:2006 Compliance programmes, Standards Australia, p. 7.

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● 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.

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BSBCOM603 Plan and establish compliance management systems

Establish, monitor and review plan

The assessment task is due on the date specified in your timetable / term-planner. Any variations to this
arrangement 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 establish, monitor and review the implementation plan developed in the
previous assessment task.

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.

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/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 a later date to gather
information on performance in accordance with your plan.
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 senior management.

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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 positions in
implementing the compliance management systems. 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 and
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

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b. review and evaluate the implementation of the compliance management system. Analyse
relevant qualitative and quantitative data. Use benchmarking data, including time lines, 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

● 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.

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