Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

BSBCOM603 Mapping and Delivery Guide
Plan and establish compliance management systems

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency BSBCOM603 - Plan and establish compliance management systems
Description
Employability Skills
Learning Outcomes and Application 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.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Determine applicable compliance requirements
  • Obtain and interpret information on current compliance requirements applicable to the organisation
  • 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
       
Element: Identify and select an appropriate compliance program/management system
  • 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
  • Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria
  • Select an appropriate compliance program/management system for implementation
       
Element: Plan required compliance program/management system
  • Determine and document components for the proposed compliance program/management system
  • Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff
  • Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options
  • Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system
  • Select a complaints management system suitable for the organisation and its compliance responsibilities
  • Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel
  • Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements
  • Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements
  • Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned
       
Element: Document required compliance program/management system
  • Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements
  • Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel
  • Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system
       
Element: Establish the planned compliance program/management system
  • Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities
  • Establish the components of the compliance program/management system in collaboration with assigned staff
  • Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan
  • Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan
  • 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
       


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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/management 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/management 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/management 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/management 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

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

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/management 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/management 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/management 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/management 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

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Obtain and interpret information on current compliance requirements applicable to the organisation 
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 
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 
Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria 
Select an appropriate compliance program/management system for implementation 
Determine and document components for the proposed compliance program/management system 
Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff 
Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options 
Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system 
Select a complaints management system suitable for the organisation and its compliance responsibilities 
Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel 
Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements 
Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements 
Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned 
Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements 
Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel 
Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system 
Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities 
Establish the components of the compliance program/management system in collaboration with assigned staff 
Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan 
Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan 
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 

Forms

Assessment Cover Sheet

BSBCOM603 - Plan and establish compliance management systems
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBCOM603 - Plan and establish compliance management systems

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: