NTISthis.com

Evidence Guide: BSBCOM603B - 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

 

BSBCOM603B - 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

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

planning for and setting up a compliance program/management system for an actual workplace or a simulated workplace in collaboration with relevant personnel

knowledge of research methods and techniques suitable for conducting compliance related research projects.

Context of and specific resources for assessment

Assessment must ensure:

access to relevant information on compliance requirements

access to relevant information on options for compliance program/management systems

access to the relevant internal and external personnel

access to appropriate computer resources for online searching, data processing and analysis, and report preparation and editing.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

analysis of techniques and data collected to plan and establish compliance management systems

assessment of reports documenting the development and progress of compliance management systems

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

observations of activities undertaken to develop and create compliance systems and processes

observations of interactions with internal and external stakeholders while developing and creating compliance management systems

oral or written questioning to assess knowledge of methods and rationales for developing compliance systems and processes

review of documented action schedule

periodic reviews of the compliance program/management system

assessment of reports on the operation and review of the compliance program/management system.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

other compliance units.

Required Skills and Knowledge

Required skills

contribute to a positive culture of compliance within an organisation

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

interpersonal skills to relate to internal and external personnel and in particular those representing relevant regulatory authorities, professional institutes and organisations, standards organisations, etc.

literacy skills to write reports containing complex concepts.

Required knowledge

research methods and techniques suitable for conducting compliance related research projects

quantitative and qualitative data analysis techniques relevant to compliance related research

relevant Australian and international standards such as:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

elements of compliance program/management systems including:

documentation of compliance requirements relevant to the organisation

specification of compliance management functions, accountabilities and responsibilities within the organisation

compliance related management information systems

record keeping systems required for compliance management

liaison procedures with relevant internal and external personnel on compliance related matters

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance reporting procedures

corporate induction and training processes related to compliance management

processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system

compliance complaints handling systems

continuous improvement processes for compliance including monitoring, evaluation and review

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance program/management system

reporting processes on compliance management including reports on breaches and rectification action

relevant organisational policies and procedures including:

compliance plans and policies in various compliance areas

organisational standards for operations and ethics.

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Compliance requirements may include:

different types of external and internal compliance requirements including:

accreditation requirements of an institute, professional organisation or registration body

internal policies, procedures, standards or codes of practice of an organisation

regulations of a state/territory, national or international regulatory authority

requirements for certification under statutory licensing systems

statutory standards or codes of practice

cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):

anti-discrimination (including discrimination by race, sex, disability, religion, etc.), alcohol licensing (licensing regulations covering clubs, pubs, licensed premises, etc.), aviation

bankruptcy

chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit

education, electricity, environmental protection, equal opportunity

financial services (including banking), fire, food hygiene, freedom of information, freight forwarding

gambling, gene technology

health, human rights

insurance, immigration, intellectual property

land management

maritime, mining

pharmaceuticals, patents, privacy

quarantine

racing, rail transport, road transport

safety (including cross-industry generic regulations as well as industry, equipment or product-specific sub-categories e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, road safety, etc.), security, sewage, superannuation

taxation, telecommunications, tobacco, trade practices and consumer protection

water supply, workers compensation, workers rehabilitation

Compliance program/management system may include:

breach management processes

compliance complaints handling systems

compliance related management information systems

compliance reporting procedures

continuous improvement processes for compliance including monitoring, evaluation and review

corporate induction and training processes related to compliance management

documentation of compliance requirements relevant to the organisation

liaison procedures with relevant internal and external personnel on compliance related matters

processes for the internal and external promulgation and promotion of information on compliance requirements and the compliance program/management system

record keeping systems required for compliance management

reporting processes on compliance management including reports on beaches and rectification action

specification of compliance management accountabilities/responsibilities in the organisation

strategies for developing a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of the compliance program/management system

Relevant Australian and international standards may include:

AS 3806:2006 Compliance programs

AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations

AS ISO 15489:2004 Records management

AS/NZS 4360:2004 Risk management quantitative and qualitative data analysis techniques relevant to compliance related evaluation

Established criteria may include:

cost

effectiveness

efficiency

feasibility

match to organisational culture

Personnel requirements may include:

compliance management team (where relevant)

compliance manager

compliance officer

compliance specialists at the operational level

frontline managers and team leaders with compliance management responsibilities

internal or external consultants and advisors with expertise in compliance requirements and management systems

MIS specialists and managers with expertise in compliance requirements and management systems

senior managers with compliance management responsibilities

trainers with expertise in compliance requirements and management systems

Training requirements may include:

customised in-house off-the-job training and assessment programs for both operational and management staff

customised training programs delivered by external training organisations for both operational and management staff

external training programs in skill/knowledge areas relevant to the operation of compliance program/management systems

internal and external training programs aimed at strengthening the compliance management culture of the organisation

online training and assessment for both operation and management staff

on-the-job coaching and mentoring

Action schedule may include:

budgets for implementation, review and maintenance

internal and external reporting requirements and dates for implementation, review and maintenance

key responsibilities and activities for implementation, review and maintenance

resource acquisition and maintenance schedules

staff assignments including recruitment and training schedules

target outcomes, time lines and milestones