STRATHFIELD COLLEGE Strathfield College Pty Ltd CRICOS Code: 02736K National Code: 91223 ABN: 85 168 435 667 Level 2, 86 Mary St, Surry Hills, NSW, 2010, AUSTRALIA - Tel +61 2 9212 7799 Level 2, 422 Little Collins St, Melbourne, Vic, 3000 - Tel +61 3 8658 5200 info@strathfieldcollege.edu.au - www.strathfieldcollege.edu.au ASSESSMENT TASK 1 Assessment Details Qualification code Unit Code BSB61015 BSBCOM603 Assessment Type Qualification Name Unit Name Report Advanced Diploma of Leadership & Management Plan and Establish Compliance Management Systems Term 4/2016 Due Date Trainer / Assessor's Details Full Name: Date of Submission Student Details Student Name Student ID Instructions to the Candidates Pre Requirement for this task Student must review Lesson materials provided in class Examples used in lessons. Instructions to Students: Please complete assessment task within the time frame given You must attempt all the requirements that are addressed within this assessment task. Copying or any kind of cheating is absolutely not permitted, if someone is found cheating or copying, will be debarred from the assessment and a disciplinary proceeding would begin. This assessment covers the following Performance Criteria PC's Covered: 1.1, 1.2, 2.1-2.3,3.1-3.9,4.1-4.3,5.1-5.5 Assessment Description You must determine the compliance requirements for Charity-Care (case study provided under additional resources on Moodle) and suggest an appropriate compliance management system. You are required to develop an implementation plan for the compliance management system that you have identified when undertaking your review. You must also determine appropriate processes to monitor and review the implementation of the compliance management system developed. BSBCOM603 Plan and Establish Compliance Management Systems.AT1.Report.V2 Page 1 of 4 STRATHFIELD COLLEGE Strathfield College Pty Ltd CRICOS Code: 02736K National Code: 91223 ABN: 85 168 435 667 Level 2, 86 Mary St, Surry Hills, NSW, 2010, AUSTRALIA - Tel +61 2 9212 7799 Level 2, 422 Little Collins St, Melbourne, Vic, 3000 - Tel +61 3 8658 5200 info@strathfieldcollege.edu.au - www.strathfieldcollege.edu.au Assessment Instructions You are an external consultant hired to conduct research into and propose an appropriate compliance management system for Charity-Care. In addition the CEO has asked you to include an implementation plan for the compliance management system you have identified. You will also be required to develop an implementation plan and determine appropriate processes to monitor and review the implementation of the compliance management system. In this assessment task, you are required to review the Charity-Care case study to determine the compliance requirements that are applicable to the organisation. Using this information, you will need to identify and select an appropriate compliance management system for implementation within the organisation. You will also be required to develop an implementation plan and determine appropriate processes to monitor and review the implementation of the compliance management system. BSBCOM603 Plan and Establish Compliance Management Systems.AT1.Report.V2 Page 2 of 4 STRATHFIELD COLLEGE Strathfield College Pty Ltd CRICOS Code: 02736K National Code: 91223 ABN: 85 168 435 667 Level 2, 86 Mary St, Surry Hills, NSW, 2010, AUSTRALIA - Tel +61 2 9212 7799 Level 2, 422 Little Collins St, Melbourne, Vic, 3000 - Tel +61 3 8658 5200 info@strathfieldcollege.edu.au - www.strathfieldcollege.edu.au Key Requirements You must demonstrate: research management skills 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 for example, , AS/NZS ISO 31000:2009 Risk Management - Principles and guidelines , AS ISO 15489:2004 Records management. knowledge of elements or components of compliance program/management systems Knowledge of relevant organisational policies and procedures. You must provide a comprehensive report in the format below: EXECUTIVE SUMMARY Summary COMPLIANCE REVIEW Compliance requirements: a. internal compliance requirements, including information management and recordkeeping requirements b. external compliance requirements c. industry compliance requirements. Compliance effects: a. areas affected b. risks c. penalties d. risk minimisation. Compliance Systems a. Determine available systems, options or components, including discussion of relevant standards for each option; for example risk management and implementation of a risk management system b. compare systems or components in terms of: BSBCOM603 Plan and Establish Compliance Management Systems.AT1.Report.V2 Page 3 of 4 STRATHFIELD COLLEGE Strathfield College Pty Ltd CRICOS Code: 02736K National Code: 91223 ABN: 85 168 435 667 Level 2, 86 Mary St, Surry Hills, NSW, 2010, AUSTRALIA - Tel +61 2 9212 7799 Level 2, 422 Little Collins St, Melbourne, Vic, 3000 - Tel +61 3 8658 5200 info@strathfieldcollege.edu.au - www.strathfieldcollege.edu.au i. cost ii. effectiveness iii. efficiency iv. feasibility v. match to organisational culture c. recommend system or components. ESTABLISHMENT OF COMPLIANCE MANAGEMENT SYSTEM For the proposed compliance management system: 1. Personnel a. determine personnel requirements for staffing b. select suitable personnel from those available within the case study c. assign key responsibilities to each position. 2. Training Identify and describe: a. the training requirements for implementing the proposed compliance management system b. suitable training options for staff. 3. Processes Identify and describe: a. processes and procedures for identifying and managing compliance breaches, including integration with existing policies and procedures b. processes and procedures for meeting compliance reporting requirements c. processes and procedures for internal and external liaison processes d. performance indicators to be measured by the system so that it can be objectively evaluated, for example: i. individual compliance/non-compliance ii. training numbers iii. numbers of complaints iv. numbers of breaches MONITORING METHODOLOGY Describe the methods and approaches used to monitor performance of the system. CONCLUSION Discuss overall compliance. BSBCOM603 Plan and Establish Compliance Management Systems.AT1.Report.V2 Page 4 of 4