BSBCOM603 UNIT NAME/TITLE Plan and establish compliance management systems

International College of Melbourne (ICM) International College of Melbourne (ICM) Assessment - BSBCOM603 Plan and establish compliance management systems ASSESSMENT STUDENT DETAILS STUDENT NAME STUDENT ID NO. DATE OF SUBMISSION ASSESSMENT DETAILS UNIT CODE BSBCOM603 UNIT NAME/TITLE Plan and establish compliance management systems ASSESSMENT TASK NO 1, 2, & 3 ASSESSMENT NAME/TITLE Project – Identify organizational requirements for compliance Project

International College of Melbourne (ICM)
ASSESSMENT
STUDENT DETAILS
STUDENT NAME
STUDENT ID NO.
BATCH NO.
DATE OF SUBMISSION
ASSESSMENT DETAILS
UNIT CODE BSBCOM603
UNIT NAME/TITLE Plan and establish compliance management systems
ASSESSMENT TASK NO 1, 2, & 3
ASSESSMENT NAME/TITLE
1. Project – Identify organizational requirements for
compliance
2. Project presentation – Implementation monitoring
3. Report and questions – Establish, monitor and
QUALIFICATION Advance Diploma of Leadership and Management
ASSESSOR DETAILS
ASSESSOR NAME

Assessment - BSBCOM603 Plan and establish compliance management systems
Table of Contents
1. Introduction.........................................................................................................................4
2. Assessment Task 1..............................................................................................................4
2.1 Research plan....................................................................................................................4
a. Research Tasks................................................................................................................4
b. Proposed research methods.............................................................................................4
2.2 Survey tool........................................................................................................................5
2.3 Organisational data on compliance performance.............................................................5
2.4 Compliance requirements............................................................................................6
a. Internal compliance requirements...............................................................................6
b. External compliance requirements..............................................................................6
c. Industry-specific compliance requirements.................................................................6
2.5 Research...........................................................................................................................7
a. Areas of the organisation most affected by the compliance requirements..................7
b. Organisational compliance data..................................................................................7
c. Risks involved for non-compliance with requirements...............................................7
d. Penalties for breaching compliance requirements.......................................................7
e. Ways of ensuring ongoing compliance with the requirements...................................8
2.6 Review compliance management system.........................................................................8
a. Identify available options for a compliance management system...............................8
b. Compare the identified compliance management options...........................................8
c. Recommendation on system components.......................................................................8
2.7 Summary report................................................................................................................8
2.8 Reflection.......................................................................................................................10
a. Type of research undertaken.....................................................................................10
b. Development of the research plan.............................................................................11
c. Development of survey tools to collect required data to select compliance.............11
d. Analysis of qualitative and quantitative data.............................................................11
3. Assessment Task 2 – Project............................................................................................12
3.1 COMPLIANCE MANAGEMENT SYSTEM...............................................................12
a. Management information system requirements............................................................12
b. Components of the compliance management system................................................12
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Assessment - BSBCOM603 Plan and establish compliance management systems
c. Document the specifications of each component......................................................12
3.2 PERSONNEL.................................................................................................................12
a. Personnel requirements for staffing..............................................................................12
b. Suitable personnel.........................................................................................................12
c. Key responsibilities to each position.........................................................................12
3.3 TRAINING.....................................................................................................................13
a. Training requirements for implementing the proposed compliance management system
..........................................................................................................................................13
b. Suitable training options for staff.................................................................................13
3.4 PROCESSES..................................................................................................................13
a. Complaints management system...................................................................................13
b. Strategy for developing a compliance management culture.........................................13
c. Processes and procedures for identifying and managing compliance breaches............13
d. Processes and procedures for meeting compliance reporting requirements..............13
e. Processes and procedures for internal and external liaison processes.......................14
d. Performance indicators to be measured.....................................................................14
3.5 ADMINISTRATION.....................................................................................................15
a. Budget required to resource implementation................................................................15
b. Action schedule outlining target milestones..............................................................15
3.6 Implementation plan – please clarify what needs to be included here...........................16
4. Assessment Task 3 – Report.............................................................................................17
4.1 Part A - Report................................................................................................................17
Executive Summary..........................................................................................................17
Establishment of System...................................................................................................18
Monitoring Methodology..................................................................................................18
Results and Analysis.........................................................................................................18
Conclusion........................................................................................................................19
4.2 Part B – Written Questioning.........................................................................................20
References................................................................................................................................24
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Assessment - BSBCOM603 Plan and establish compliance management systems
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Assessment - BSBCOM603 Plan and establish compliance management systems
1. Introduction
Charity-Care organisation is a not-for profit and based in Brisbane. It is a public company,
limited by guarantee under the Corporations Act 2001. It has also been registered under the
Queensland Collections Act 1966. With the rapid growth of the organisation, its compliance
systems have not been developed and there have been found issues associated with the last
audit undertaken. The current analysis includes undertaking a research such that an
appropriate compliance system can be developed and undertaken.
2. Assessment Task 1
2.1 Research plan
a. Research Tasks
In order to conduct research for development of a compliance system, there needs to be
several research tasks undertaken. The research tasks undertaken for the development of a
compliance system needs to include conducting a thorough analysis of the several challenges
faced in the current compliance system of the several departments of the organisation. The
research task will primarily encompass evaluation of the effectiveness, feasibility, cost
efficiency and suitability to organisation culture to recommend an appropriate compliance
management system.
b. Proposed research methods
In order to conduct research for the current organisation, there will need to be adopted
appropriate methods for conducting the research. The study will need to encompass survey
tools for the purpose of gathering data from the various department of the organisation. The
survey tool with collect qualitative as well as quantitative information in regards to
organisational compliance performance for each of its department. Quantitative data will
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Assessment - BSBCOM603 Plan and establish compliance management systems
include figures related to such compliance performance and qualitative data will include
compliance culture that is existing.
2.2 Survey tool
The survey tool for the purpose of capturing organisational data and information will consists
of a detailed questionnaire. Managers and other employees will be asked to fill out the
questionnaire for filling out the qualitative and quantitative information. The survey tool for
the purpose of the organisation is as given below;
1. What is your current role in the company?
2. How many years have you been employed with the current company?
3. What is the current compliance performance standards in your department?
4. What do you feel are the gaps existing in current compliance system performance?
5. Is the current compliance system matching up with the organisation culture?
2.3 Organisational data on compliance performance
Organisational data on compliance performance on the Charity-Care case study, the auditing
data reveals the details. The banking of repair payments of customers disagreeing with the
total receipts being issued. There was cheque disagreement implying non-compliance paid to
“Cheap Computer “R” Us” with no evidence of its receipt. There were multiple other non-
compliance related issues with the finance department.
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Assessment - BSBCOM603 Plan and establish compliance management systems
2.4 Compliance requirements
a. Internal compliance requirements
The organisation needs to implement its compliance requirement in each and every
department. Hence the internal compliance requirements as described by the organisational
policy and procedure documents. Some of the policies internal to the company includes risk
management policy, credit card policy, sexual harassment policy, expenses reimbursement
policy, expense policy, financial handling policy, work health and safety policy and equal
employment opportunity policy. All these policies along with the procedures are developed in
line with the current Acts, tax laws and tender agreements. As in work health and safety
policy, the internal compliance requirement has to include incident rate, location of the
incident or hazard,, name of the person submitting the report, description of the incident or
hazard, witnesses, persons involved, injuries sustained, actions taken to minimise hazards or
reduce risks post-incident and so on.
b. External compliance requirements
As per the external compliance requirements, the organisation being based in Brisbane and
being a public company, it is limited by guarantee under the Corporations Act 2001. It also
needs to adhere by the Queensland Collection Act 1966. The organisation also needs to
follow the state and territory regulatory bodies along with other statutory requirements as per
the Australian standards for compliance, risk management and records management.
c. Industry-specific compliance requirements.
The organisation needs to adhere by industry-specific compliance requirements as well. The
organisation needs to abide by any specific regulations as specified by the industry and also
abide by competition law and any other specific laws.
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Assessment - BSBCOM603 Plan and establish compliance management systems
2.5 Research
a. Areas of the organisation most affected by the compliance requirements
Post researching through the various the various policies of the organisation, the most
affected areas by compliance requirements are issues with the Charity-Care computer spare
parts that are purchased from Compute-IT, which is owned by the warehouse manager’s
family. Secondly, audit revealed issues with the banking of the repair system where there was
disagreement with the total receipts issues. Hence going through these various errors revealed
that the major issue faced from the compliance systems is in the financial areas of the
organisation.
b. Organisational compliance data
Analysis and research into the organisational compliance data revealed existence of several
types of financial frauds within the organisation. Such as banking repair payments not
agreeing with the total receipts being issues. There were accuracy related errors in stocktakes
in the computer retail store. There were no existing accident rates revealed in the auditing
figures or training numbers or customer complaints. But there have been notifications from
the ATO regarding late lodgement of taxes and monthly BAS returns.
c. Risks involved for non-compliance with requirements
There is significant amount of auditing risks that are involved with non-compliance with the
requirements. The organisation will then eventually fail to meet up to the legislative and
statutory or industry compliance systems as implemented in the current state or territory.
d. Penalties for breaching compliance requirements
The organisation needs to implement certain penalties in case any department breaches its
compliance requirements. Especially in regards to financial compliance, the organisation
needs to strictly adhere to the compliance requirements as stated.
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Assessment - BSBCOM603 Plan and establish compliance management systems
e. Ways of ensuring ongoing compliance with the requirements
In order that the organisation is able to ensure ongoing compliance with the existing
requirements, it needs to review the audit report and fill in the gaps existing with the current
compliance system. In case of any gaps in financial or any other departments of compliance
system then such gaps need to be filled out by development or inclusion of new system of
compliance.
2.6 Review compliance management system
a. Identify available options for a compliance management system
The options for a compliance management system for all the identified compliance
requirements includes catering to the legislative and statutory requirements. The organisation
needs to develop a compliance management system that meets the needs of legislative and
statutory bodies as stated by the state and territory.
b. Compare the identified compliance management options
The compliance management options against other criteria’s will be effective in meeting the
legislative and statutory needs as stated by the state and territories. Such a compliance
management will be updated from time to time such that it can meet the daily needs of the
organisation.
c. Recommendation on system components
Recommendation on system components includes developing and adapting an appropriate
compliance management system. Such system needs to be developed on the basis of existing
legal and statutory requirements as stated in the state and territory.
2.7 Summary report
The organization must meet compliance requirements in each department. Therefore, the
internal compliance requirements described in the organization's policies and procedures have
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Assessment - BSBCOM603 Plan and establish compliance management systems
to be met. All these principles and procedures are based on existing legislation, tax laws and
tender contracts. As in the case of health and safety guidelines, internal requirements should
include accident rate, accident rate or spree of danger, names of reporting persons,
description of events or hazards, witnesses, persons, injury-related measures with a view to
minimise risks after accidents or reduce risk.
The Brisbane-based organisation is a public company covered by the Companies Act 2001.
The 1966 Collections Act must also comply with it. Organisations must also meet additional
regulatory requirements within state and territorial regulators and Australian standards for
compliance, risk management and documentation.
The organization must also meet industry compliance requirements. Organizations must
comply with all specific industrial rules and comply with competition laws and other specific
laws.
After studying the organization's various policies, the area most affected by compliance
requirements is the issue of calculating spare parts for a charity purchased by an IT computer
that is purchased by a home camp manager.
Analysis and analysis of organization compliance data show that there are different types of
financial machinations in the organization. Like bank corrections, it is not compatible with
the total bill of accounts issued. An error occurred in the inventory accuracy of the computer
vendor. The incident factor is not displayed in the test number, training number, or customer
complaint. However, there are already announcements by the ATO about deferred tax returns
and monthly returns of dietary supplements.
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Assessment - BSBCOM603 Plan and establish compliance management systems
Breaches involve a significant risk of auditing. Ultimately, companies will not comply with
legal, legal or industrial standards for compliance with systems that are implemented in their
current state or territory.
If the department does not meet its requirements, the organization must impose certain
penalties. Especially if a company meets financial standards, it must strictly comply with the
requirements. To ensure that your organization continues to meet existing requirements, you
need to review the audit reports and fill in the gaps in the current compliance system. If there
are vulnerabilities in the financial system or any other part of the compliance system, they
need to be addressed by developing or integrating new compliance systems.
For all compliance requirements identified, compliance management options include
compliance. The organisation must establish a compliance management system that meets the
needs of legal and regulatory authorities established by states and territories.
Recommendations for system components include the development and adaptation of
appropriate compliance management systems. This system should be developed in
accordance with existing laws and laws of states and territories.
2.8 Reflection
a. Type of research undertaken
The research undertaken is a secondary research. The researcher has collected data from the
case study in order to arrive at the findings of the study. The case study furnished with
various details regarding the organisation which have been analysed to write the current
research.
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Assessment - BSBCOM603 Plan and establish compliance management systems
b. Development of the research plan
The research plan has been developed taking into consideration the several guidance’s that
has been received from the case study. With the several facts and figures supplied by the case
study, the research plan has been ascertained and developed.
c. Development of survey tools to collect required data to select compliance
The survey tool to collect the required data have been developed after researching through the
several types of survey tools that are available. Australia’s legal website where several laws
and legislations as well as statutory requirements are stated have been consulted for the
purpose of writing this report.
d. Analysis of qualitative and quantitative data
The qualitative and quantitative data obtained have been analysed as; qualitative data
analysed as qualitative analysis and quantitative data have been analysed by comparative
analysis using Ms Excel.
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Assessment - BSBCOM603 Plan and establish compliance management systems
3. Assessment Task 2 – Project
3.1 COMPLIANCE MANAGEMENT SYSTEM
a. Management information system requirements
The management information system needs to be such that it has huge capacity to store large
volumes of data and is available across all the departments of the organisation. The MIS
needs to be readily accessible and employees should be able to retrieve data with ease.
b. Components of the compliance management system
The compliance management system needs to include a MIS, along with documents for
reporting the procedure as complying with policies of the specific department. The
compliance management system needs to also have assigned personnel to take care of its
implementation.
c. Document the specifications of each component
The document specification of each component needs to reveal the data collected as against
the stated standards for performance as per the compliance requirements.
3.2 PERSONNEL
a. Personnel requirements for staffing
Personnel requirement for staffing includes a manager for overlooking all the processes and
procedures. Staffs who can assist employees in filling out requisite forms.
b. Suitable personnel
Suitable personnel available from the case study includes Counsellors and Office Staff.
c. Key responsibilities to each position.
While the Counsellor will have the responsibility as a manager, the Office Staffs in the
department will assists in filling out specific forms.
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Assessment - BSBCOM603 Plan and establish compliance management systems
3.3 TRAINING
a. Training requirements for implementing the proposed compliance management
system
The employees and staffs will need to be trained in the implementation of the proposed
compliance management system. They will need to understand the new system which will
ease their implementation.
b. Suitable training options for staff.
The staff will be trained on the job for learning the new compliance management system.
3.4 PROCESSES
a. Complaints management system
The complaints management system will include a grievance compliant form that needs to be
filled and submitted. It will also include personnel who takes such reports and documentation
system in a MIS that will keep records.
b. Strategy for developing a compliance management culture
A strategy for developing a compliance management culture includes promoting a sense of
compliance amongst the varied departments. There will also be frequent training for
implementation of such management culture.
c. Processes and procedures for identifying and managing compliance breaches
Processes and procedures for identification and managing compliance breaches will include
performance reports that will be frequently monitored. Such performance reports will be
integrated with existing policies and procedures for aligning them with stated compliance
outcomes.
d. Processes and procedures for meeting compliance reporting requirements
Processes and procedures for meeting compliance reporting requirements includes filling out
of the MIS and monitoring of requirement system in a frequent manner. Providing
appropriate training and so on.
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Assessment - BSBCOM603 Plan and establish compliance management systems
e. Processes and procedures for internal and external liaison processes
The processes and procedures for internal and external liaison processes includes conducting
frequent audits internal as well as external to meet the designated needs of the organisation.
d. Performance indicators to be measured
i. individual compliance/non-compliance
ii. training numbers
iii. numbers of complaints
iv. numbers of breaches
v. ratio of payroll errors/breaches to number of transactions
The performance indicators need to be measure by the system such that it can be evaluated in
an objective manner. Individual compliance requirement will be measured by ability to fill
out the compliance management forms and submit within designated time period. Training
numbers will need to abide by a minimum of 2 trainings for staffs and employees as set in the
compliance management plan. The number of complaints will need to closing of at least 5
complaints on a monthly basis. Similarly, number of breaches will need to be monitored and
reduced to a minimum of 5 breaches per month. The ratio of payroll errors/ breaches to
number of transactions will need to be at 1:1 at the optimum levels.
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Assessment - BSBCOM603 Plan and establish compliance management systems
3.5 ADMINISTRATION
a. Budget required to resource implementation
A budget has been developed for the purpose of implementing the new compliance
management system has been shown in the table below.
Table 1: Budget
Budgetary Heads Amount in AUD $
Human resources for developing 1200
Implementing 1500
Reviewing 2200
Maintaining 1000
Total 5900
b. Action schedule outlining target milestones
An action schedule with outline of targeted milestone for key activities have been shown in the table
below.
Table 2: Action Schedule
Milestone Timeline
0- 30 days 31-40 days 41- 60 days 61-75 days
Training
Review
Maintenance
3.6 Implementation plan
The implementation plan for the compliance management system for the organisation will be
as follows;
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Assessment - BSBCOM603 Plan and establish compliance management systems
Objective Strategy Actions Timeframe By whom Cost
1. Apply new set
of compliance
management
system
Develop handouts,
circulate amongst
team members and
conduct meetings
also issue notice
for such
application
Printing handouts
Conducting team
meetings
Printing and issuing
notice
Within 4
weeks
Compliance
manager
and the
management
team
$2500
2. Conduct
training
successfully
Plan and conduct
frequent training
programs for
different staffs for
providing them
knowledge
regarding the new
system
Training sessions Continue for
6 months
Compliance
manager
and his team
$5000/6
months
3.Evaluate
implementation
Compare
performance of
existing staffs &
employees with set
standards
Prepare KPI (Key
performance
indicators) for
individual
compliances
Compare against
performance of
staffs and
employees with set
standards
Continuousl
y
Compliance
manager
$2500
4.Monitor
implementation
Compare
performance of
existing staffs &
employees with set
standards
Prepare monitoring
sheets for month
Fill out each
monitoring
document
Compare and
develop results
Monthly for
1 year
Compliance
manager
$3000
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Assessment - BSBCOM603 Plan and establish compliance management systems
4. Assessment Task 3 – Report
4.1 Part A - Report
Executive Summary
Compliance management system includes a system of MIS and documents that needs to be
followed by the organisation in a diligent manner such that compliance can be adhered to.
The compliance report once implemented will be monitored frequently for performance of
the organisation.
The compliance management system first gives employees an overview of the system. That is
why the compliance management system is in place. Employees are specially trained under
the new compliance system. The manager responsible for implementing the system ensures
that all responsible employees have the necessary reading skills and can adapt to the updated
system.
System performance tracking methods and methods set performance standards with their own
performance. When checking the performance of each system, the results are measured to
find existing holes and subsequent monitoring.
The results of follow-up activities indicate that there are a number of deficiencies in the
results that need attention. The results indicate that some documents were not filled out
correctly and others contained irrelevant information. Analysis of monitoring results shows
that the organization has made great efforts to implement the previous system. As a result of
monitoring activities, each department must keep the documents correctly.
Overall the system was effectively implemented across the organization. However,
supervisory measures have shown that staff and staff who are unable to properly complete
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Assessment - BSBCOM603 Plan and establish compliance management systems
their documents have not been adequately filled out. The great success is the enormous effort
being made to use these systems and implement them in all sectors. Recommendations for
improvement include raising documentation standards to identify relevant deficiencies. In
addition, the organization's financial standards must be implemented correctly to help the
organization reduce any differences in its financial department.
Establishment of System
The compliance management system will be implemented by first providing the staffs
overview regarding the system. Then the staffs and employees will be given specific training
such that they can abide by the new system of compliance. The manager responsible for
implementing the system will ascertain that all the responsible personnel have appropriate
knowledge reading the same and can abide by the updated system.
Monitoring Methodology
The methods and approaches used to monitor performance of the system is tallying of the set
performance standards against the actual performance received. When the performance of
each and every system is cross-checked then the outcome will be measured to find gaps
existing and then monitoring the same.
Results and Analysis
The results of monitoring activity revealed several gaps in performance existing that needs
attention. The results have been found reflects that some documents have not been completed
in an appropriate manner, while some documents contain irrelevant information. Analysing
results of monitoring, it was found that the organisation have overall implemented
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Assessment - BSBCOM603 Plan and establish compliance management systems
tremendous efforts in implementing of the said system. As a result of monitoring activity, the
documents were maintained by each and every department in an appropriate manner.
Conclusion
The overall compliance has been implemented in an effective manner throughout the
organisation. However, the monitoring activity revealed lack of training amongst staffs and
employees, who have not been able to fill out the documents in an appropriate manner. Key
success areas have been the tremendous efforts in the application of such systems and its
implementation through all departments. Recommendation for improvement includes
enhancing documentation standards such that proper gaps can be identified. Moreover, the
financial standards in the organisation have to be implemented in an appropriate manner such
that the organisation is able to reduce any discrepancies in its finance department.
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Assessment - BSBCOM603 Plan and establish compliance management systems
4.2 Part B – Written Questioning
1. Explain relevant organisational policies and procedures including compliance
plans in various compliance areas and organisational standards for operations
and ethics.
Organisational policies procedures are such as to comply to the existing legislations
and statutory requirements within the industry. For compliance plans each department
will need to comply with set regulations and legislations as per the state and territory
in which the organisation conducts its business.
2. Explain research methods and techniques suitable for conducting compliance
related research projects
For compliance related research project, appropriate research methods and techniques
includes secondary research.
3. Describe the application of quantitative and qualitative data analysis techniques
to compliance related research
With the application of quantitative and qualitative data analysis technique appropriate
compliance related systems in such research can be established.
4. Summarise relevant aspects of Australian and international standards
The relevant aspects of Australian and international standards includes complying
with legislative and statutory requirements.
5. Outline the following elements of compliance program/management systems:
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Assessment - BSBCOM603 Plan and establish compliance management systems
1) documentation of compliance requirements relevant to the organisation
MIS and other forms which needs to be filled.
2) specification of compliance management functions, accountabilities and
responsibilities within the organisation
As stated within the state and territorial legislation and statutory requirements
such compliance standards is outlined and needs to be met.
3) compliance related management information systems
Enables adhering to compliance requirement as stated by the organisation.
4) record keeping systems required for compliance management
Essential to determine adhering to specific compliance management.
5) liaison procedures with relevant internal and external personnel on
compliance related matters
Allows complying to the set standards and abiding by state and territorial
legislations and statutory requirements.
6) breach management policies and processes including the identification,
classification, investigation, rectification and reporting of breaches in
compliance requirements
Reporting of such breaches and then monitoring the same for evaluation.
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Assessment - BSBCOM603 Plan and establish compliance management systems
7) compliance reporting procedures
Procedure that allows compliance with state and territorial legislations.
8) corporate induction and training processes related to compliance
management
Allows appropriate implementation.
9) processes for the internal and external promulgation and promotion of
information on compliance requirements and a compliance program
management system
Assists in abiding by the compliance system.
10) compliance complaints handling systems
A grievance procedure that needs to be adopted by the organisation.
11) continuous improvement processes for compliance including monitoring,
evaluation and review
Assist in improvisation of existing system performance.
12) strategies for developing a positive compliance culture within the
organisation
Create positive organization culture that is in line with the compliance system.
13) techniques and performance indicators for monitoring the operation of a
compliance program/management system
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Assessment - BSBCOM603 Plan and establish compliance management systems
Frequent reviews and methodical monitoring.
14) reporting processes on compliance management including reports on
breaches and rectification action
Allows complying to the system.
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Assessment - BSBCOM603 Plan and establish compliance management systems
References
Student Workbook, 2017, BSBCOM603, Plan and establish compliance management
systems, 1st edn, Innovation and Business Industry Skills Council Ltd, Australia
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