Course Title: Plan and establish compliance management systems

Part B: Course Detail

Teaching Period: Term2 2020

Course Code: LAW5752C

Course Title: Plan and establish compliance management systems

School: 650T Vocational Business Education

Campus: City Campus

Program: C6164 - Advanced Diploma of Conveyancing

Course Contact: Callie Harvey

Course Contact Phone: +61 3 99255772

Course Contact Email: callie.harvey@rmit.edu.au


Name and Contact Details of All Other Relevant Staff

Sukant Arora

sukant.arora@rmit.edu.au 

Nominal Hours: 50

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

Pre-requisites and Co-requisites

None

Course Description

This unit describes the skills and knowledge required to plan and establish appropriate compliance program/management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements.

It applies to individuals who have specific responsibility for the planning, development and operation of a compliance program/management system.


National Codes, Titles, Elements and Performance Criteria

National Element Code & Title:

BSBCOM603 Plan and establish compliance management systems

Element:

1. Determine applicable compliance requirements

Performance Criteria:

1.1 Obtain and interpret information on current compliance requirements applicable to the organisation

1.2 Review each compliance requirement in terms of the relevant internal and external authorities, the risks involved, ways of ensuring compliance, the penalties for a breach of compliance, and the areas and operations of the organisation most affected

Element:

2 Identify and select an appropriate compliance program/management system

Performance Criteria:

2.1 Investigate each area of applicable compliance to determine available options for a compliance program/management system that would be consistent with relevant Australian and International standards

2.2 Review and compare the options for a suitable compliance program/management system and its various components on the basis of established criteria

2.3 Select an appropriate compliance program/management system for implementation

Element:

3 Plan required compliance program/management system

Performance Criteria:

3.1 Determine and document components for the proposed compliance program/management system

3.2 Determine personnel requirements for the operation of the compliance program/management system and assign or recruit appropriate staff

3.3 Identify training requirements for the implementation of the proposed compliance program/management system and select suitable training options

3.4 Identify and document management information systems requirements for effective and efficient operation of the compliance program/management system

3.5 Select a complaints management system suitable for the organisation and its compliance responsibilities

3.6 Determine a strategy for developing a compliance management culture in collaboration with relevant internal and external personnel

3.7 Identify and document suitable processes and procedures for identifying and managing breaches in compliance requirements

3.8 Determine reporting requirements in the various areas of compliance and develop suitable processes and procedures to meet these requirements

3.9 Ensure identified resources including human resources required for developing, implementing, reviewing and maintaining the proposed compliance program/management system are budgeted and assigned

Element:

4 Document required compliance program/management system

Performance Criteria:

4.1 Document the specifications for the various components of the proposed compliance program/management system in accordance with organisational procedures and any relevant statutory requirements

4.2 Document an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel

4.3 Seek approval from appropriate internal and external personnel or authorities prior to establishing the proposed compliance program/management system

Element:

5 Establish the planned compliance program/management system

Performance Criteria:

5.1 Appoint and train assigned managers and operations personnel if required, before they assume their compliance management responsibilities

5.2 Establish the components of the compliance program/management system in collaboration with assigned staff

5.3 Monitor operation of the compliance program/management system in collaboration with assigned staff as per the approved plan

5.4 Conduct periodic reviews of the compliance program/management system in collaboration with assigned staff as per the approved plan

5.5 Prepare reports on the operation and review of the compliance program/management system in accordance with established procedures and any statutory or other compliance obligations


Learning Outcomes



Details of Learning Activities

This semester we will be learning remotely through Collaborate Ultra Sessions.

A range of learning activities are planned for this course including self-paced and discussion activities.

The self-paced activities will be delivered through various technology platforms and may include your contribution to wikis and discussion threads, reflective journals, quizzes and interactive sessions.

The collaborative activities will include group discussions, group problem-solving activities and opportunities to practice your skills in a simulated/real workplace environment. We expect you to participate and contribute in all scheduled learning activities.

This course will be delivered via our existing learning management system, Canvas.  This means that, for the foreseeable future, there will be no face-to-face classes in any of the units for which you are enrolled.

Classes in each of your units will still take place in their normal scheduled time-slots, but instead of being conducted in a face-to-face mode, your teachers will utilise the Collaborate Ultra platform to deliver ‘live’ online classes.  These classes delivered online will not only provide you with the required learning materials for those sessions, but they will also enable interactions with your teachers and fellow students via forums or discussion boards.

This course guide contains information that describes course aspects that don’t change and are locked in well ahead of the semester. Any information that differs due to changes of delivery is a consequence of COVID-19. Your course coordinator will advise you as to the correct details via Canvas.

 


Teaching Schedule

This course is comprised of three co-delivered and co-assessed competencies: 

BSBCOM603 Plan and Establish Compliance Management Systems
FNSPRM601 Establish Systems to Conform with Legislation
BSBSMB401 Establish Legal and Risk Management Requirements of Small Business

 

Induction Session

Prior to training commencement a program level induction session will be conducted that comprises the following:

  • Program overview and requirements
  • MyRMIT/Canvas
  • Overview of assessment requirements
  • Pre-Training Review including:
    • Recognition of Prior Learning and Credit Transfers
    • Assessment of current skills and knowledge
  • Competency/Grading Criteria
  • Plagiarism
  • Appeals
  • Extensions
  • Feedback
  • Privacy
  • Submission requirements
  • Resubmission policy
  • Where to get support
  • Student responsibilities 

The Teaching Schedule for this course is as follows.

Please note that this schedule is subject to change.

Week number &

Week beginning (Monday)

Topic

Collaborate Session & Workshop

Assessment Task (AT)

Week 1: July 6Introductions and Identify regulations and requirements affecting the business

Collaborate Session-1

(Wednesday 17:30-19:30 PM)

 
Week 2: July 13Identify regulations and requirements affecting the business

Collaborate Session-2 

(Wednesday 17:30-19:30 PM)

Week 1 Practice Quiz

(12 July, 23:59 PM)

Week 3: July 20Preparing for AT1 success

Collaborate Session-3 

(Wednesday 17:30-19:30 PM)

Week 2 Practice Quiz

(19 July, 23:59 PM)

Week 4: July 27Plan compliance management systems, AT1 Q&A

Workshop-1 (080.02.01)

(Wednesday 17:30-19:30 PM)

Week 3 Practice Quiz

(26 July, 23:59 PM)

Week 5: August 3Plan compliance management systems

Collaborate Session-4 

(Wednesday 17:30-19:30 PM)

Assessment 1 Due

(09 August, 23:59 PM)

Week 6: August 10Establish compliance management systems

Collaborate Session-5 

(Wednesday 17:30-19:30 PM)

 

Week 7: August 17Preparing for AT2 success

Collaborate Session-6

(Wednesday 17:30-19:30 PM)

 

Week 8: August 24Establish compliance management systems, AT2 Q&A

Collaborate Session-7

(Wednesday 17:30-19:30 PM)

Assessment 2 Due

(30 August, 23:59 PM)

Mid-Semester Break

31 August - 06 September

Week 09: September 7Comply with regulations affecting the business

Collaborate Session-8

(Wednesday 17:30-19:30 PM)

 

Week 10: September 14Preparing for AT3 success 

Workshop-3

(Wednesday 17:30-19:30 PM)

 

Week 11: September 21Comply with regulations affecting the business, AT3 Q&A

Collaborate Session-9

(Wednesday 17:30-19:30 PM)

Assessment 3 Due
(27 September, 23:59 PM)

Week 12: September 28Supervise and monitor practice systems

Collaborate Session-10

(Wednesday 17:30-19:30 PM)

 

Week 13: October 5Supervise and monitor practice systems

Collaborate Session-11

(Wednesday 17:30-19:30 PM)

 

Week 14: October 12Preparing for AT4 success

Workshop

(Wednesday 17:30-19:30 PM)

 

Week 15: October 19Course Wrap-up, AT4 Q&A

Collaborate Session-12

(Wednesday 17:30-19:30 PM)

Assessment 4 Due

(25 October, 23:59 PM)

Week 16: October 26Extensions / Re-submissions  
Week 17: November 2Grade Entry 

 

 


Learning Resources

Prescribed Texts


References


Other Resources

Online learning materials can be accessed by going into the RMIT website's Online Learning Hub.

The online learning materials listed include:

  • Course outlines
  • Power point Presentations
  • Supporting Reading material
  • Industry relevant articles
  • Activities.

 


Overview of Assessment

 

In order to achieve competency in this unit, you must provide:

Performance Evidence

Evidence of the ability to:

  • plan for and set up a compliance program/management system, in collaboration with relevant personnel, using research methods and techniques suitable for conducting compliance related research projects
  • review the organisational compliance requirements against legislation, regulations and standards
  • plan for, identify and select a suitable compliance system
  • prepare specifications
  • document an action schedule for implementing, maintaining and reviewing the compliance system
  • appoint and train staff on using the compliance system
  • monitor and review the compliance system.

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

  • explain research methods and techniques suitable for conducting compliance related research projects
  • describe the application of quantitative and qualitative data analysis techniques to compliance related research
  • summarise relevant aspects of Australian and international standards
  • outline elements of compliance program/management systems including:
  • documentation of compliance requirements relevant to the organisation
  • specification of compliance management functions, account-abilities and responsibilities within the organisation
  • compliance related management information systems
  • record keeping systems required for compliance management
  • liaison procedures with relevant internal and external personnel on compliance related matters
  • breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
  • compliance reporting procedures
  • corporate induction and training processes related to compliance management
  • processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system
  • compliance complaints handling systems
  • continuous improvement processes for compliance including monitoring, evaluation and review
  • strategies for developing a positive compliance culture within the organisation
  • techniques and performance indicators for monitoring the operation of a compliance program/management system
  • reporting processes on compliance management including reports on breaches and rectification action
  • explain relevant organisational policies and procedures including compliance plans in various compliance areas and organisational standards for operations and ethics.

 

Assessment Conditions

Assessment 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 and 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

 

You are advised that you are likely to be asked to personally demonstrate your assessment work to your teacher to ensure that the relevant competency standards are being met

Feedback

Feedback will be provided throughout the semester in class and/or online discussions. You are encouraged to ask and answer questions during class time and online sessions so that you can obtain feedback on your understanding of the concepts and issues being discussed 

You should take note of all the feedback received and use this information to improve your learning outcomes and final performance in the course. Finally you can email or arrange an appointment with your teacher to gain more feedback on your progress.


Assessment Tasks

In order to achieve competency in this unit, you must satisfactorily complete the criteria for each of the four assessments in this course.

 

Assessment Task 1: Identify requirements and plan appropriate systems

Due: 11:59PM Sunday 9 August 2020

The purpose of this assessment is for you to show how you can identify and comply with regulations affecting a small business.  

Assessment Task 2: Research plan and establish appropriate system

Due: 11:59PM Sunday 30 August 2020

The purpose of this assessment is for you to exhibit your ability to plan for and establish appropriate compliance program/ management systems which would enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements.

 

Assessment Task 3: Comply with regulations affecting the business

Due: 11:59PM Sunday 27 September 2020

The purpose of this assessment is for you to exhibit their ability to plan, establish, supervise and monitor appropriate practice systems which would enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements, conform to legislative and regulatory requirements, and meet standards defined in professional code of practice.

 

Assessment Task 4: Comply, supervise and monitor performance and provide recommendations

Due: 11:59PM Sunday 25 October 2020

The purpose of this assessment is for you to exhibit your ability to plan, establish, supervise and monitor appropriate practice systems which would enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements, confirm to legislative and regulatory requirements, and meet standards defined in professional codes of practice.


Assessment Matrix

The assessment matrix that maps all the assessments is available on CANVAS.

Other Information

Submission Requirements

  • Ensure that you submit assessments on or before the due date.
  • Always retain a copy of your assessment tasks. (hard copy and soft copy)
  • When you submit work for assessment at RMIT University you need to use the Assessment task document that includes a declaration and statement of authorship.
  • Each page of your assessment should include a footer with your name, student number, the title of the assessment, unit code and title and page numbers.

 

Resubmissions (VET Programs)

If you are found to be unsuccessful (Not satisfactory/Unsatisfactory) in a Course Assessment Task you will be allowed one resubmission.  Your teacher will provide feedback regarding what you need to do to improve and will set a new deadline for the resubmission.

If you are still not meeting the assessment requirements you must apply to your Program Manager in writing outlining the steps you will take to demonstrate competence in your course. Your submission will be considered by the Program Team and you will be advised of the outcome as soon as possible.

 

Penalties for Late Submission 

Late submissions of assignments without special consideration or extension will automatically be considered a re-submission (see above).

 

Extensions, Special Consideration and Adjustment to Assessments

Extensions:

Extensions are available for unforeseen circumstances of a short-term nature.

An application form must be submitted to the school at least one working day before the due date of the assessment.

Extensions can be approved for a maximum of one week (seven calendar days) past the due date for an assessment. (Where students need an extension exceeding one week they must instead apply for special consideration.)

 

Special consideration:

Special consideration is available for unexpected circumstances outside students’ control. These include but are not limited to: unexpected short-term ill health, and unavoidable family, work, cultural or religious commitments.

An application for special consideration is made in advance of an assessment wherever possible but will normally be accepted within five working days after the assessment date

For more information, see the Special Consideration page of the RMIT website.

 

Adjustments to Assessment:

RMIT provides several adjustments to assessment for students experiencing ongoing or long-term circumstances. Find the right one for your circumstances here.

 

Changes to the Assessment Scheme

Where a change to assessment approved by the Dean/head of school changes an assessment due date, students will be given at least five working days’ notice of the new due date.

 

Feedback

You can expect to receive marks and feedback on in-course assessment work in time to improve your performance in related assessment tasks later in the course.

 

Academic Integrity and Misconduct

Students demonstrate academic integrity in their assessment practices by:

  • engaging with assessment activities in an honest way;
  • providing accountability for the authorship and originality of work submitted;
  • acknowledging the work of others and the re-use of original work.

Academic misconduct is addressed in accordance with the Student conduct policy

Assessment involving research with human participants, their information or their tissue, or animal subjects is carried out in accordance with the Staff ethics and integrity policy.

For further information see the Academic Integrity website.

 

Review and Appeal

A student may request a review of an assessment result or appeal a final course grade in accordance with the Conduct of assessment and appeals section of the Assessment Processes.

 

Grade Criteria

You must demonstrate that you have all the required skills/knowledge/elements in the unit of competency you are studying.

The following grades are available for this course.

Vocational education grades:

CA - Competency Achieved

NYC - Not Yet Competent

DNS - Did Not Submit for assessment

 

Course Overview: Access Course Overview