Course Title: Plan and establish compliance management systems

Part B: Course Detail

Teaching Period: Term2 2019

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

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

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


Teaching Schedule

This course is comprised of three co-delivered competencies:

BSBCOM603 Plan and Establish Compliance Management Systems

FNSPRM601 Establish, Supervise and Monitor Practice Systems

BSBSMB401 Establish Legal and Risk Management Requirements of Small Business

 

The Teaching Schedule for this course is as follows

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:

o    Recognition of Prior Learning and Credit Transfers

o    Assessment of current skills and knowledge

  • Competency/Grading Criteria
  • Plagiarism
  • Appeals
  • Extensions
  • Feedback
  • Privacy
  • Submission requirements
  • Resubmission policy
  • Where to get support
  • Student Charter

 

Week 

Topic

Workshop

Assessment

Week 1: 08 July 2019Introductions and Identify regulations and requirements affecting the business

Collaborate Session-1

(Thursday 18:00-19:30 PM)

Collaborate Session-1

(Saturday 15:00-16:30 PM)

 
Week 2: 15 July 2019Identify regulations and requirements affecting the business

Collaborate Session-2 

(Thursday 18:00-19:30 PM)

Collaborate Session-2

(Saturday 15:00-16:30 PM)

 
Week 3: 22 July 2019Preparing for AT1 success

Workshop -1

(Wednesday 17:30-19:00 PM)

 
Week 4: 29 July 2019Plan compliance management systems, AT1 Q&A

Collaborate Session-3 

(Thursday 18:00-19:30 PM)

Collaborate Session-3

(Saturday 15:00-16:30 PM)

Assessment 1 - Due

(04 Aug, 23:59 PM)

Week 5: 05 Aug 2019Plan compliance management systems

Collaborate Session-4 

(Thursday 18:00-19:30 PM)

Collaborate Session-4

(Saturday 15:00-16:30 PM)

AT1 Feedback 

(11 Aug, 23:59 PM)

 

Week 6: 12 Aug 2019Establish compliance management systems

Collaborate Session-5 

(Thursday 18:00-19:30 PM)

Collaborate Session-5

(Saturday 15:00-16:30 PM)

AT1 re-submissions - due

(18 Aug, 23:59 PM)

Week 7: 19 Aug 2019Preparing for AT2 success

Workshop-2

(Wednesday 17:30-19:00 PM)

 
Week 8: 26 Aug 2019Establish compliance management systems, AT2 Q&A

Collaborate Session-6

(Thursday 18:00-19:30 PM)

Collaborate Session-6

(Saturday 15:00-16:30 PM)

Assessment 2

Due

(30 Aug, 23:59 PM)

Mid-Semester Break: 2-6 September

AT2

Feedback 

(08 Sept, 23:59 PM)

Week 09: 09 Sep 2019Comply with regulations affecting the business

Collaborate Session-7 

(Thursday 18:00-19:30 PM)

Collaborate Session-7

(Saturday 15:00-16:30 PM)

AT2 re-submissions - due

(15 Sep 2019)

Week 10: 16 Sep 2019Preparing for AT3 success 

Workshop-3

(Wednesday 17:30-19:00 PM)

 
Week 11: 23 Sep 2019Comply with regulations affecting the business, AT3 Q&A

Collaborate Session-8 

(Thursday 18:00-19:30 PM)

Collaborate Session-8

(Saturday 15:00-16:30 PM)

Assessment 3 Due
(29 Sep, 23:59 PM)

Week 12: 30 Sep 2019Supervise and monitor practice systems

Collaborate Session-9

(Thursday 18:00-19:30 PM)

Collaborate Session-9

(Saturday 15:00-16:30 PM)

AT3 

Feedback 

(06 Oct, 23:59 PM)

Week 13: 07 Oct 2019Supervise and monitor practice systems

Collaborate Session-10 

(Thursday 18:00-19:30 PM)

Collaborate Session-10

(Saturday 15:00-16:30 PM)

AT3 re-submissions - due

(13 Oct, 23:59 PM)

Week 14: 14 Oct 2019Preparing for AT4 success

Workshop-4

(Wednesday 17:30-19:00 PM)

 
Week 15: 21 Oct 2019Course Wrap-up, AT4 Q&A

Collaborate Session-11 

(Thursday 18:00-19:30 PM)

Collaborate Session-11

(Saturday 15:00-16:30 PM)

Assessment 4

Due

(27 Oct, 23:59 PM)

Week 16: 28 Oct 2019Extensions / Re-submissions AT4

Feedback 

(03 Nov, 23:59 PM)

Week 17: 4 Nov 2019Grade Entry 

AT4 re-submissions - due

(10 Nov, 23:59 PM)

The nominal hours associated with this are a guide only and represent the total teaching time and student effort required to successfully complete this course.  This may include not only scheduled classes but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

 

This overall semester schedule of the face to face classes is subject to changes.


Learning Resources

Prescribed Texts


References


Other Resources

Online learning materials can be accessed by going into the RMIT web sites 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

Compliance and Risk

BUSM6503C, LAW5752C & BUSM8845C

This cluster unit is comprised of following three competencies that are co-delivered and co-assessed (delivered and assessed together). You must successfully complete Tasks 1, 2, 3 & 4 to be deemed competent.

 

Assessment Task 1 – Knowledge Assessment

Identify requirements and plan appropriate systems.

Due in week 4 by 04 Aug 23:59pm AEST

Approx.1500-2000 words

For this assessment task students are required to complete seven (7) short answer written questions in approx. 200-300 words based upon the content delivered in class from weeks 1-3. Students will need to research relevant legislative, business registration and licensing requirements governing Australian businesses and specific to the conveyancing business operation. Students are required to participate actively in discussion activities, collaborate sessions and scheduled face-to-face workshops in addition to the learning materials provided.

Unit of Competency assessed:

BSBSMB401 Establish Legal and Risk Management Requirements of Small Business

Assessment Task 2 – Case Study

Research, plan and establish appropriate systems

Due in week 8 by 30 August 23:59pm AEST

(Not available until 05 August)

Approx. 2000-2500 words

For this assessment task, students are required to answer written questions for an overarching case study on a conveyancing business that will require them to demonstrate the skills and knowledge required to identify, plan and establish appropriate compliance management systems which enable an organisation to fulfil its obligations and responsibilities under applicable compliance requirements. Students will need to research planning and development of relevant compliance management systems that are applicable to Australian businesses and specific to conveyancing business operation. Students are required to participate actively in discussion activities, collaborate sessions and scheduled face-to-face workshops in addition to reading of the learning materials provided.

Unit of Competencies co-assessed are:

BSBSMB401 Establish Legal and Risk Management Requirements of Small Business

BSBCOM603 Plan and Establish Compliance Management Systems


Assessment Task 3 – Knowledge Assessment

Comply with regulations affecting the business

Due in week 11 by 29 Sep 23:59pm AEST

(Not available until 09 September)

Approx. 2000-2500 words

For this assessment task, students are required to answer ten (10) written questions in approx. 200-300 words to demonstrate the skills and knowledge required to plan, establish, supervise and monitor appropriate compliance management systems to ensure a practise or unit of business conforms to legislative and regulatory requirements, and meets standards defined in professional code of practice. Students will need to research relevant compliance management systems that are applicable to Australian businesses and specific to conveyancing business operation. Students are required to participate actively in discussion activities, collaborate sessions and scheduled face-to-face workshops in addition to reading of the learning materials provided.

Unit of Competencies co-assessed are:

BSBCOM603 Plan and Establish Compliance Management Systems

FNSPRM601 Establish, Supervise and Monitor Practice Systems


Assessment Task 4 – Case Study

Comply, supervise and monitor performance

Due in week 15 by 27 October 23:59pm AEST

(Not available until 30 September)

Approx. 2000-2500 words

For this assessment task, you are required to answer written questions for an overarching case study presented on a conveyancing business in Assessment Task 2. This assessment task will provide additional information and new scenarios in the overarching case study for students to demonstrate the skills and knowledge required to identify, plan, establish, supervise and monitor appropriate compliance management systems to ensure a practise or unit of business conforms to legislative and regulatory requirements, and meets standards defined in professional code of practice. Students will need to research planning, development and operation of relevant compliance management systems that are applicable to Australian businesses and specific to conveyancing business operation. Students are required to participate actively in discussion activities, collaborate sessions and scheduled face-to-face workshops in addition to reading of the learning materials provided.

Unit of Competencies co-assessed are:

BSBSMB401 Establish Legal and Risk Management Requirements of Small Business

BSBCOM603 Plan and Establish Compliance Management Systems

FNSPRM601 Establish, Supervise and Monitor Practice Systems

You must successfully complete all assessment tasks to be deemed competent


Assessment Matrix

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

Other Information

Submission Requirements

You should:

  • 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 footer with your name, student number, the title of the assessment, unit code and title and page numbers.

 

Late Submission Procedures  You are required to submit assessment items and/or ensure performance based assessment is completed by the due dates.  If you are prevented from submitting an assessment item on time, by circumstances outside your control, you may apply in advance to your teacher for an extension to the due date of up to seven calendar days.   More Information:  https://www.rmit.edu.au/students/student-essentials/assessment-and-exams/assessment/extensions-of-time-for-submission-of-assessable-work   Where an extension of greater than seven days is needed, you must apply for Special Consideration.  Applications for special consideration must be submitted no later than two working days after the assessment task deadline or scheduled examination.   More Information: https://www.rmit.edu.au/students/student-essentials/assessment-and-exams/assessment/special-consideration   Resubmissions: If you are found to be unsuccessful (Not satisfactory/Unsatisfactory) in a particular 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.     Adjustments to Assessment  In certain circumstances students may be eligible for an assessment adjustment. For more information about the circumstances under which the assessment arrangements might be granted please access the following website:  https://www.rmit.edu.au/students/student-essentials/assessment-and-exams/assessment/adjustments-to-assessment     Marking Guide (Competency):  You must demonstrate that you have all the required skills/knowledge/elements in the unit of competency you are studying.   You will receive feedback on each assessment task that will inform you about your progress and how you are performing.    The following grades are available for this course:
CACompetency Achieved
NYC Not Yet Competent
DNS Did Not Submit for Assessment

Course Overview: Access Course Overview