BSBCOM603 Plan and establish compliance management systems

Organisational requirements

Assessment Task 1

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.

Headings for summary report:

1. COMPLIANCE REQUIREMENTS:
   1. internal compliance requirements, including information management and recordkeeping requirements
   2. external compliance requirements
   3. industry compliance requirements.
2. COMPLIANCE EFFECTS:
   1. areas affected
   2. risks
   3. penalties
   4. risk minimisation.
3. COMPLIANCE SYSTEMS:
   1. 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
   2. compare systems or components in terms of:
      1. cost
      2. effectiveness
      3. efficiency
      4. feasibility
      5. match to organisational culture
   3. 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:
   1. the overall budget for the compliance management system
   2. 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.

3. Develop a research plan which outlines:
   1. research tasks to be undertaken
   2. 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:
   1. internal compliance requirements as described by organisational policy and procedure documents
   2. external compliance requirements as described by state/territory regulatory bodies and statutory requirements, and the Australian standards for compliance, records management and risk management
   3. industry-specific compliance requirements.
7. For each identified compliance requirement, research the:
   1. areas of the organisation most affected by the compliance requirements
   2. organisational compliance data, including, for example, financial fraud, accident figures, training numbers, customer complaints, etc.
   3. risks involved for non-compliance with requirements
   4. penalties for breaching compliance requirements
   5. ways of ensuring ongoing compliance with the requirements.
8. Review the established criteria for the compliance management system, and use these to:
   1. identify available options for a compliance management system for all of the identified compliance requirements
   2. compare the identified compliance management options against each other and the established criteria
   3. 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:
    1. the type of research undertaken
    2. the development of the research plan
    3. the development of survey tools to collect required data to select compliance
    4. analysis of qualitative and quantitative data.
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.

Adjustment for distance-based learners:

• No variation of the task is required. Meeting with assessor may be undertaken via teleconferencing tool.
• A follow-up interview may be required (at the discretion of the assessor).
• Documentation can be submitted electronically or posted in the mail.