Plan and establish compliance management systems

Formats and tools

Unit Description
Reconstruct the unit from the xml and display it as an HTML page.
Assessment Tool
an assessor resource that builds a framework for writing an assessment tool
Assessment Template
generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
Assessment Matrix
a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
Wiki Markup
mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
Evidence Guide
create an evidence guide for workplace assessment and RPL applicants
Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
Observation Checklist
create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)

Self Assessment Survey
A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
Moodle Outcomes
Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
Registered Training Organisations
Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver BSBCOM603, 'Plan and establish compliance management systems'.
Google Links
links to google searches, with filtering in place to maximise the usefulness of the returned results
Books
Reference books for 'Plan and establish compliance management systems' on fishpond.com.au. This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to ntisthis.com for every purchase, so go nuts :)


Elements and Performance Criteria

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