BSBCOM603 Plan And Establish Compliance Management Systems: Assessment 1 Answer

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Question :


Western Sydney College

BSBCOM603 Plan and establish compliance management systems


  1. Consider the scenario in the Appendix to this task in relation to the organisation in which you work. 

Note: If you do not have an appropriate workplace upon which to base this assessment task, you can use the Charity-Care case study provided by your assessor.

  1. Meet with relevant personnel in your organisation to receive information on:
    1. the overall budget for the compliance management system
    2. organisational requirements and criteria for the compliance management system.

Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor to receive this information.

  1. Develop a research plan which outlines:
    1. research tasks to be undertaken
    2. proposed research methods; including survey tools to gather qualitative and quantitative information on, for example, organisational compliance performance figures, compliance culture, etc.
  2. Develop survey tools to capture organisational data.
  3. Collect organisational data on compliance performance.

Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor to receive this information.

  1. Research and identify the compliance requirements that are applicable to the organisation, including:
    1. internal compliance requirements as described by organisational policy and procedure documents
    2. external compliance requirements as described by state/territory regulatory bodies and statutory requirements, and the Australian standards for compliance, records management and risk management
    3. industry-specific compliance requirements.
  2. For each identified compliance requirement, research the:
    1. areas of the organisation most affected by the compliance requirements
    2. organisational compliance data, including, for example, financial fraud, accident figures, training numbers, customer complaints, etc.
    3. risks involved for non-compliance with requirements
    4. penalties for breaching compliance requirements
    5. ways of ensuring ongoing compliance with the requirements.
  3. Review the established criteria for the compliance management system, and use these to:
    1. identify available options for a compliance management system for all of the identified compliance requirements
    2. compare the identified compliance management options against each other and the established criteria
    3. make a recommendation on system components.
  4. Using the information you have gathered from steps 6–8 above, develop a summary report in line with the headings required in the scenario. 
  5. Write a reflection on the process you undertook to research and prepare the report. Include description of:
    1. the type of research undertaken
    2. the development of the research plan
    3. the development of survey tools to collect required data to select compliance 
    4. analysis of qualitative and quantitative data.
  6. Submit documentation as per specifications below. Keep copies for your records. You will need to draw on this documentation to complete Assessment Tasks 2 and 3.


You must provide:

  • a written report
  • a research plan, including assigned tasks and budget allocations
  • a written reflection.

Your assessor will be looking for demonstration of:

  • 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.
  • literacy skills to write reports containing complex concepts
  • knowledge of research methods and techniques suitable for conducting compliance-related research projects
  • knowledge of quantitative and qualitative data analysis techniques relevant to compliance-related research
  • knowledge of relevant Australian and international standards
  • knowledge of elements or components of compliance program/management systems
  • knowledge of relevant organisational policies and procedures.

Adjustment for distance-based learners:

  • No variation of the task is required. Meeting with assessor may be undertaken via teleconferencing tool.
  • A follow-up interview may be required (at the discretion of the assessor).
  • Documentation can be submitted electronically or posted in the mail.


You are an external consultant hired to conduct research into an appropriate compliance management system for the organisation. Once you have found one fit for purpose you will present your findings. You must:
  • research internal and external compliance requirements
  • analyse qualitative and quantitative information to evaluate compliance management options
  • prepare a report for senior management identifying an appropriate compliance system for the organisation.
  • Below are the headings for your report. For the activity to be considered complete you will need to have addressed each of the topics that comprise these headings. 
Headings for summary report:
    1. internal compliance requirements, including information management and record keeping requirements
    2. external compliance requirements
    3. industry compliance requirements.
    1. areas affected
    2. risks
    3. penalties
    4. risk minimisation.
    1. discuss available systems, options or components, including discussion of relevant standards for each option; e.g. risk management and implementation of a risk management system
    2. compare systems or components in terms of:
      1. cost
      2. effectiveness
      3. efficiency
      4. feasibility
      5. match to organisational culture
  4. recommend system or components.

Marking Guide 

Assessment Task 1: Organisational requirements


Did the candidate:Satisfactory
Attend a meeting with you (the assessor) to receive all relevant information?

Submit a written report?

Submit a written reflection?

Submit a research plan, including assigned tasks and budget allocations?

Submit all materials within the agreed timeframe?

Performance indicators

Note: These indicators relate to the Charity-Care case study. The assessor will need to adapt the indicators for assessments based on the candidate’s own workplace.

Did the candidate:

Present (in report) compliance requirements that are applicable to the organisation, including:
internal compliance requirements such as Charity-Care’s:
risk management policy
sexual harassment policy
credit card policy
expense reimbursement policy
financial handling policy
expenses policy
equal employment opportunity policy
work health and safety policy?

external compliance requirements, such as:
ASIC requirements
GST Act and BAS regulations
Income Tax Act
Competition and Consumer Act
privacy law?

industry compliance requirements, such as:
Collections Act?

Describe (in report) the effects of each requirement in terms of:
areas affected, such as:
financial reporting
asset management and security
cash handling – misappropriation of funds
recordkeeping – confidentiality of records

duty of care? 

risks, such as: 
loss of assets

penalties, such as 
tax law
GST law?

risk minimisation, such as: 
internal controls

Identify (in report) compliance systems, including:
available options and components (and relevant standards for each option). For example,
risk management
records management
guidelines for complaints handling?

comparing system/s and options on the basis of:
match to organisational culture?

suitable system components. For example:
asset management and security, including cash handling and fraud
legislative compliance (tax, financial reporting, WH&S, privacy)
recordkeeping – confidentiality of records
duty of care?

selecting an appropriate compliance program/management system for implementation?

Submit a research plan that adheres to budgetary constraints set by the assessor?

Reflect on the process undertaken to research and prepare the report, including descriptions of:
the type of research undertaken; for example, literature, internet
the development of the research plan
the development of survey tools to collect required data to select compliance system components appropriate to organisation
how the budget was assigned
analysis of qualitative and quantitative data?

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