Free Sample
BSBCOM603 Plan and establish compliance management systems assignment 2
Solution.pdf
Information for Student: |
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General Information for this assessment:
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Re-assessment of Result & Academic Appeal procedures: |
If a student is not happy with his/ her results, that student may appeal against their grade via a written letter, clearly stating the grounds of appeal to the Chief Executive Officer. This should be submitted after completion of the subject and within fourteen days of commencement of the new term. Re-assessment Process:
The cost of reassessment will be borne by the Institute. The external assessor will base his/her judgement based on principles of assessment. These principles require assessment to be reliable, fair, practical and valid. Academic Appeals:
Student Support Officer, Western Sydney College (WSC), 55 High St, Parramatta NSW 2150, Email: support@wsc.nsw.edu.au
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Procedure
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Review the two scenarios in Appendix 1, in addition to the recommendations you made in Assessment Task 1.
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Organise to run a training needs analysis (TNA). This can be done with other members of the learning group if you are using the Charity-Case scenario. The template for the TNA is in Appendix 2.
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Arrange with your assessor a time, place and method to present your implementation plan for approval and agree on a relevant standard to be audited against for external approval.
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Present a summary of your report to the CEO for approval. Prepare to answer questions on your proposed plan from your CEO, or other internal approver (who may be your assessor), on how your planned system adheres to budgetary constraints set in Assessment Task 1 and contributes to an organisational culture of compliance.
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Answer questions from an external auditor (your assessor) on how the proposed compliance management system adheres to principles of the relevant standard agreed in advance with your assessor.
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Submit documentation as per specifications below. Keep copies for your records. You will need to draw on this documentation to complete Assessment Task 3.
Specifications
You must provide:
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a written implementation plan, including specifications, a training needs analysis for three employees, a budget and action schedule.
Your assessor will be looking for:
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your ability to contribute to a positive culture of compliance within an organisation
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interpersonal skills to relate to internal and external personnel
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literacy skills to write reports containing complex concepts
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knowledge of relevant Australian and international standards
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knowledge of elements of compliance program/management systems
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knowledge of relevant organisational policies and procedures.
Adjustment for distance-based learners
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No variation of the task is required. Meeting with the CEO and/or your assessor may be conducted via teleconferencing tool.
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A follow-up interview may be required (at the discretion of the assessor).
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Documentation can be submitted electronically or posted in the mail.
Appendix 1: Scenarios
Scenario: Internal approval |
You are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation. The CEO, or relevant internal approval authority, has now asked you to prepare an implementation plan for your compliance management system. Your plan will need to include:
To fulfil organisational requirements, your plan must be in the following format:
For the proposed compliance management system:
For the proposed compliance management system:
Identify and describe:
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Identify and describe:
Include:
You will need to meet with your CEO, or relevant internal approval authority, to present and defend your implementation plan, particularly on the basis of:
Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor in place of the CEO. |
Scenario: External approval As in the above scenario, you are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation. The CEO, or relevant internal approval authority, has now approved your implementation plan for your compliance management system. In order to build credibility for the organisation among clients, customers, and suppliers, as well as government and regulatory authorities, you have been asked to meet with an external auditor (representing an accredited certification body). This external auditor will help you take the first steps towards certifying the organisation with respect to, for example, AS/NZS 3806:2006 Compliance programmes, AS ISO 10002:2006 Guidelines for complaints handling, AS/NZS ISO 31000:2009 Risk Management – Principles and guidelines or AS ISO 15489:2004 Records management. You will need to satisfy the auditor that the planned implementation will be compliant with the principles set out in the relevant standards. Example questions that an auditor could ask with respect to AS/NZS 3806:2006 Compliance programmes, for instance, could include:
You will need to answer the auditor’s questions with specific reference to the implementation plan for the compliance management system as you have developed it. Note: You will need to meet with your assessor (as the external assessor) or a person assigned to role-play an external auditor. |
Appendix 2: Training needs analysis template
Name: (name of employee) |
Position: (their title) |
Assessor: (Who is assessing this?) |
Responsibilities |
Required knowledge |
Identified gaps |
When? |
Training provider? |
What will be the expected benefit for the employee of this training? |
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How will the success of the training be monitored? |
Marking Guide
Assessment Task 2: Implementation planning
Outcomes
Did the candidate: |
Satisfactory |
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Yes |
No |
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Submit a written report? |
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Present report to assessor (as CEO and/or external auditor)? |
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Submit a written implementation plan, including specifications, budget and action schedule? |
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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: |
Satisfactory |
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Yes |
No |
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Present the implementation plan for approval by the CEO (assessor) and:
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Present the implementation plan for approval by the external auditor (assessor) and:
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For the proposed compliance management system:
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For the proposed compliance management system:
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Identify and describe:
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Identify and describe:
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Identify and describe:
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Comments/feedback to candidate
Outcome: |
Successful |
Unsuccessful |
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Assessor name: |
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Assessor signature: |
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