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Evidence Guide: BSBCOM603 - Plan and establish compliance management systems

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBCOM603 - Plan and establish compliance management systems

What evidence can you provide to prove your understanding of each of the following citeria?

Determine applicable compliance requirements

  1. Obtain and interpret information on current compliance requirements applicable to the organisation
  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
Obtain and interpret information on current compliance requirements applicable to the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and select an appropriate compliance program/management system

  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. Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria
  3. Select an appropriate compliance program/management system for implementation
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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select an appropriate compliance program/management system for implementation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan required compliance program/management system

  1. Determine and document components for the proposed compliance program/management system
  2. Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff
  3. Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options
  4. Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system
  5. Select a complaints management system suitable for the organisation and its compliance responsibilities
  6. Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel
  7. Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements
  8. Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements
  9. Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned
Determine and document components for the proposed compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select a complaints management system suitable for the organisation and its compliance responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document required compliance program/management system

  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
  2. Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel
  3. Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed 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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish the planned compliance program/management system

  1. Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities
  2. Establish the components of the compliance program/management system in collaboration with assigned staff
  3. Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan
  4. Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan
  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
Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish the components of the compliance program/management system in collaboration with assigned staff

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Required Skills and Knowledge

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