BSBCOM603

Plan and establish compliance management

systems

ASSESSMENT
 ASSESSMENT INFORMATION FOR
STUDENTS
Throughout your training we are committed to your learning by providing a training and
assessment framework that ensures the knowledge gained through training is translated into
practical on the job improvements.

You are going to be assessed for:

• Your skills and knowledge using written and observation activities that apply to the
workplace.

• Your ability to apply your learning.

• Your ability to recognise common principles and actively use these on the job.

All of your assessment and training is provided as a positive learning tool. Your assessor will
guide your learning and provide feedback on your responses to the assessment materials until
you have been deemed competent in this unit.

HOW YOU WILL BE ASSESSED

The process we follow is known as competency-based assessment. This means that evidence of
your current skills and knowledge will be measured against national standards of best practice,
not against the learning you have undertaken either recently or in the past. Some of the
assessment will be concerned with how you apply your skills and knowledge in the workplace,
and some in the training room as required by each unit.
The assessment tasks have been designed to enable you to demonstrate the required skills and
knowledge and produce the critical evidence to successfully demonstrate competency at the
required standard.
Your assessor will ensure that you are ready for assessment and will explain the assessment
process. Your assessment tasks will outline the evidence to be collected and how it will be
collected, for example; a written activity, case study, or demonstration and observation.
The assessor will also have determined if you have any special needs to be considered during
assessment. Changes can be made to the way assessment is undertaken to account for special
needs and this is called making Reasonable Adjustment.

What happens if your result is ‘Not Yet Competent’ for one or more assessment tasks?

Our assessment process is designed to answer the question “has the desired learning outcome
been achieved yet?” If the answer is “Not yet”, then we work with you to see how we can get
there.

1
BSBCOM603 - Plan and establish compliance management systems Version 2.2
In the case that one or more of your assessments has been marked ‘NYC’, your trainer will
provide you with the necessary feedback and guidance, in order for you to resubmit your
responses.

What if you disagree on the assessment outcome?

You can appeal against a decision made in regards to your assessment. An appeal should only
be made if you have been assessed as ‘Not Yet Competent’ against a specific unit and you feel
you have sufficient grounds to believe that you are entitled to be assessed as competent. You
must be able to adequately demonstrate that you have the skills and experience to be able to
meet the requirements of units you are appealing the assessment of.
Your trainer will outline the appeals process, which is available to the student. You can request
a form to make an appeal and submit it to your trainer, the course coordinator, or the
administration officer. The RTO will examine the appeal and you will be advised of the outcome
within 14 days. Any additional information you wish to provide may be attached to the appeal
form.

What if I believe I am already competent before training?

If you believe you already have the knowledge and skills to be able to demonstrate competence
in this unit, speak with your trainer, as you may be able to apply for Recognition of Prior
Learning (RPL).

Assessor Responsibilities

Assessors need to be aware of their responsibilities and carry them out appropriately. To do
this they need to:
• Ensure that participants are assessed fairly based on the outcome of the language,
literacy and numeracy review completed at enrolment.

• Ensure that all documentation is signed by the student, trainer, workplace

supervisor and assessor when units and certificates are complete, to ensure that
there is no follow-up required from an administration perspective.

• Ensure that their own qualifications are current.

• When required, request the manager or supervisor to determine that the student is
‘satisfactorily’ demonstrating the requirements for each unit. ‘Satisfactorily’ means
consistently meeting the standard expected from an experienced operator.

• When required, ensure supervisors and students sign off on third party assessment
forms or third party report.

• Follow the recommendations from moderation and validation meetings.

How should I format my assessments?

2
BSBCOM603 - Plan and establish compliance management systems Version 2.2
Your assessments should be typed in a 11 or 12 size font for ease of reading. You must include a
footer on each page with the student name, unit code and date. Your assessment needs to be
submitted as a hardcopy or electronic copy as requested by your trainer.

How long should my answers be?

The length of your answers will be guided by the description in each assessment, for example:
Type of Answer Answer Guidelines

Short Answer 4 typed lines = 50 words, or

5 lines of handwritten text
Long Answer 8 typed lines = 100 words, or
10 lines of handwritten text = 1�3of a foolscap page
Brief Report 500 words = 1 page typed report, or
50 lines of handwritten text = 11�2foolscap handwritten pages
Mid Report 1,000 words = 2 page typed report
100 lines of handwritten text = 3 foolscap handwritten pages
Long Report 2,000 words = 4 page typed report
200 lines of handwritten text = 6 foolscap handwritten pages

How should I reference the sources of information I use in my assessments?

Include a reference list at the end of your work on a separate page. You should reference the
sources you have used in your assessments in the Harvard Style. For example:

Website Name – Page or Document Name, Retrieved insert the date. Webpage link.

For a book: Author surname, author initial Year of publication, Title of book, Publisher, City,
State

3
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 ASSESSMENT GUIDE
The following table shows you how to achieve a satisfactory result against the criteria for each
type of assessment task. The following is a list of general assessment methods that can be used
in assessing a unit of competency. Check your assessment tasks to identify the ones used in this
unit of competency.

Assessment Method Satisfactory Result Non-Satisfactory Result

You will receive an overall result of Competent or Not Yet Competent for the unit. The assessment process
is made up of a number of assessment methods. You are required to achieve a satisfactory result in each of
these to be deemed competent overall. Your assessment may include the following assessment types.
Questions All questions answered correctly Incorrect answers for one or more
questions
Answers address the question in Answers do not address the
full; referring to appropriate question in full. Does not refer to
sources from your workbook appropriate or correct sources.
and/or workplace
Third Party Report Supervisor or manager observes Could not demonstrate
work performance and confirms consistency. Could not
that you consistently meet the demonstrate the ability to achieve
standards expected from an the required standard
experienced operator
Written Activity The assessor will mark the activity Does not follow
against the detailed guidelines/instructions
guidelines/instructions
Attachments if requested are Requested supplementary items
attached are not attached
All requirements of the written Response does not address the
activity are addressed/covered. requirements in full; is missing a
response for one or more areas.

Responses must refer to One or more of the requirements

Observation/Demonstration
Case Study
appropriate sources from your
workbook and/or workplace
All elements, criteria, knowledge
and performance evidence and
critical aspects of evidence, are
demonstrated at the appropriate
AQF level
All comprehension questions
answered correctly; demonstrating
an application of knowledge of the
topic case study.
are answered incorrectly.
Does not refer to or utilise
appropriate or correct sources of
information
Could not demonstrate elements,
criteria, knowledge and
performance evidence and/or
critical aspects of evidence, at the
appropriate AQF level
Lack of demonstrated
comprehension of the
underpinning knowledge (remove)
required to complete the case
study questions correctly. One or
more questions are answered
incorrectly.

4
BSBCOM603 - Plan and establish compliance management systems Version 2.2

Practical Activity
BSBCOM603 - Plan and establish compliance management systems
Answers address the question in
full; referring to appropriate
sources from your workbook
and/or workplace
All tasks in the practical activity
must be competed and evidence of
completion must be provided to
your trainer/assessor.
All tasks have been completed
accurately and evidence provided
for each stated task.
Attachments if requested are
attached
Answers do not address the
question in full; do not refer to
appropriate sources.
Tasks have not been completed
effectively and evidence of
completion has not been provided.
Requested supplementary items
are not attached
5
Version 2.2
 WRITTEN ACTIVITY
Your task is to research the following topics then outline your findings in a report. Use the
questions below as a guide to your research:

1. Explain the research methods and techniques which are suitable to use when
conducting compliance related research projects.

2. Explain and describe how to apply quantitative and qualitative data analysis
techniques to compliance related research.

3. Summarise the aspects of Australian and international standards that are relevant to
compliance and compliance management.

4. Explain each of the following elements that should be included in compliance

program/management systems:

a. The documentation of compliance requirements relevant to the organisation

b. What information must be specified for compliance management functions,

accountabilities and responsibilities within the organisation?

c. Management information systems which are compliance related

d. The record keeping systems which are required for compliance management

e. Procedures for liaison procedures with relevant internal and external

personnel on compliance related matters

f. The various areas to be included in breach management policies and

processes

g. Compliance reporting procedures that will be developed

h. The requirements for corporate induction and training processes that are
related to compliance management

i. Processes for the internal and external promulgation and promotion of

information on compliance requirements and a compliance program
management system

j. Systems for handling compliance complaints

k. The processes to be included in continuous improvement for compliance

l. Strategies for developing a positive compliance culture within the

organisation
6
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 m. Techniques and performance indicators that can be used for monitoring the
operation of a compliance program/management system

n. Reporting processes on compliance management including reports on

breaches and rectification action

5. Referring to your organisation, or one with which you are familiar, explain the
organisational policies and procedures relevant to compliance management,
including compliance plans in various compliance areas and the organisational
standards for operations and ethics.

7
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 PRACTICAL ACTIVITY
The following task must be conducted in a safe environment where evidence gathered
demonstrates consistent performance of typical activities experienced in the regulation,
licensing and risk – compliance field of work and include access to:

• Organisational policies, procedures and documentation relevant to compliance

requirements

• Interaction with others

• Legislation, regulations and standards for compliance

• Computer resources and business technology

• Case studies and, where possible, real situations.

For this task you are to complete the following steps, collaborating and communicating
effectively within a team of relevant personnel, to plan and establish a compliance
program/management system.

Complete the following steps to determine the applicable compliance requirements, in

collaboration with relevant personnel:

1. Obtain and interpret information from legislation, regulations and standards on the
current compliance requirements which are applicable to the organisation. Document
the sources of information obtained and establish the criteria of the compliance
requirements determined.
2. Review each identified compliance requirement in terms of:
a. The relevant internal and external authorities
b. The risks involved
c. Ways of ensuring compliance
d. The penalties for a breach of compliance
e. The areas and operations of the organisation most affected
Document the review of each compliance requirement.

8
BSBCOM603 - Plan and establish compliance management systems Version 2.2
Identify and select an appropriate compliance program/management system in collaboration
with relevant personnel:

3. Investigate each of the areas of applicable compliance, identifying and determining the
options available for a compliance program/management system that would be
consistent with relevant Australian and international standards. Document the options
identified.
4. Review each of the options for a suitable compliance program/management system and
compare the various components, on the basis of the established criteria, and select an
appropriate system for implementation. Document the review of each compliance
program/management system option, including the reasoning behind the system
selected.

Complete the following steps in collaboration with the relevant personnel to plan the required
compliance program/management system:

5. Determine and document the components for the proposed compliance

program/management system.
6. Determine the personnel requirements for the operation of the compliance
program/management system. Document the personnel requirements determined.
7. Assign or recruit appropriate staff for the operation of the compliance
program/management system. Document the staff assigned and any staff recruitment
needs.
8. Identify and document the training requirements for the implementation of the
proposed compliance program/management system.
9. Select suitable training options to meet the training requirements for the
implementation of the proposed compliance program/management system. Document
the training selected.
10. Identify and document the management information systems requirements for the
effective and efficient operation of the compliance program/management system.
11. Select a complaints management system which is suitable for the organisation and its
compliance responsibilities. Document the complaints management system selected,
including the reasoning behind its selection.
12. Collaborating with relevant internal and external personnel, develop and document a
strategy for developing a compliance management culture.
13. Identify and document suitable processes and procedures for identifying and managing
breaches in compliance requirements.

9
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 14. Determine the reporting requirements for the various areas of compliance. Document
these requirements.
15. Develop suitable processes and procedures to meet the identified reporting
requirements for the various areas of compliance. Provide copies of the developed
processes and procedures.
16. Budget and assign the identified resources including human resources required for
developing, implementing, reviewing and maintaining the proposed compliance
program/management system. Provide a copy of this budget and the assigned
resources.

Accurately document the required compliance program/management system, in collaboration

with relevant personnel, by completing the following steps:

17. Accurately document the specifications for the various components of the proposed
compliance program/management system, ensuring this is done in accordance with
organisational procedures and any relevant statutory requirements.
18. Develop an action schedule for implementing, reviewing and maintaining the planned
compliance program/management system. Provide a copy of this action plan.
19. Disseminate the action schedule to the relevant internal and external personnel. Note
the personnel.
20. Seek and obtain approval from appropriate internal and external personnel or
authorities to establish the proposed compliance program/management system.
Provide evidence of all approval obtained.

Establish the planned compliance program/management system, in collaboration with relevant

personnel, by completing the following steps:

21. If required, appoint and train assigned managers and operations personnel before they
assume their compliance management responsibilities. Document the appointments and
any training required.
22. Work in collaboration with assigned staff to establish the components of the compliance
program/management system. Document this process.
23. Monitor the operation of the compliance program/management system, in collaboration
with assigned staff and as per the approved plan. Document the monitoring activities.
24. Periodically conduct reviews of the compliance program/management system, in
collaboration with assigned staff and as per the approved plan. Provide at least one of
these periodic reviews.
10
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 25. Prepare a report on the operation and review of the compliance program/management
system, in accordance with the established procedures and any statutory or other
compliance obligations. Provide the report prepared.

11
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 QUESTIONS
The following questions may be answered verbally with your assessor or you may write down
your answers. Please discuss this with your assessor before you commence. Short Answers are
required which is approximately 4 typed lines = 50 words, or 5 lines of handwritten text.

Your assessor will take down dot points as a minimum if you choose to answer them verbally.

Answer the following questions either verbally with your assessor or in writing.

1. What are 15 types of compliance requirements that you may need to obtain and
interpret information on?

2. What consideration should be made when conducting reviews for each compliance
requirement?

3. How can you determine the risks involved with each compliance requirement?

4. How can you ensure compliance?

5. Why should you assess the penalties for a breach of compliance?

6. How can you determine the areas and operations within the organisation that will
be most affected?

7. What factors should you consider when investigating each area of applicable
compliance?

8. Why should you review and compare compliance program options?

9. What considerations should you consider when selecting an appropriate compliance

program or management system?

10. What personnel requirements for the operation of the compliance program or
management system might you have to determine? List eight.

11. What training requirements might you need to identify?

12. What information may be included in an information management system? List ten
types of internal information and eight types of external information.

13. What should you consider when selecting a complaints management system?

14. Who can you collaborate with when determining a strategy for developing a
compliance management culture?

15. What strategies could you use to develop a culture of compliance?

16. How can you identify and manage breaches in compliance requirements?
12
BSBCOM603 - Plan and establish compliance management systems Version 2.2
 17. What reporting requirements should you determine and develop suitable processes
and procedures for?

18. What should you consider when developing suitable processes and procedures to
meet these requirements?

19. How can you budget and assign information for resource requirements?

20. What documentation considerations do you need to make?

21. What specification might you need to document for the various components of the
proposed compliance program or management system? List ten.

22. What is an action schedule?

23. What steps are involved in seeking approval from appropriate internal and external
personnel or authorities?

24. Why should you appoint and train a compliance program team?

25. How can you establish the components of the compliance program or management
system?

26. What does monitoring the compliance program or management system in consist
of?

27. Why should you conduct periodic reviews of the compliance program or
management system?

28. What considerations should you make when prepare reports?

13
BSBCOM603 - Plan and establish compliance management systems Version 2.2