Course Title: Plan and establish compliance management systems

Part B: Course Detail

Teaching Period: Term1 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

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 thought 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 discussion, 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

The following courses are are delivered together under the unit title Compliance and Risk:

  • BSBCOM603/LAW5752C Plan and Establish Compliance Management Systems
  • FNSPRM601/BUSM8845C Establish Systems to Conform with Legislation
  • BSBSMB401/BUSM6503C Establish Legal and Risk Management Requirements of Small Business

(Please note that this schedule is subject to change)

Week 

Topic

Collaborate Session & Workshop

Assessment Task (AT)
Week 1: February 10 Introductions and Identify regulations and requirements affecting the business

Collaborate Session-1

(Thursday 18:00-19:30 PM)

  
Week 2: February 17 Identify regulations and requirements affecting the business

Collaborate Session-2 

(Thursday 18:00-19:30 PM)

  
Week 3: February 24 Preparing for AT1 success

Workshop -1

(Wednesday 17:30-19:00 PM)

  
Week 4: March 2 Plan compliance management systems, AT1 Q&A

Collaborate Session-3 

(Thursday 18:00-19:30 PM)

  
Week 5: March 9 Plan compliance management systems

Collaborate Session-4 

(Thursday 18:00-19:30 PM)

Assessment 1 - Due

(15 March, 23:59 PM)
Week 6: March 16 Establish compliance management systems

Collaborate Session-5 

(Thursday 18:00-19:30 PM)

AT1 Feedback 

(22 March, 23:59 PM)
Week 7: March 23 Preparing for AT2 success

Workshop-2

(Wednesday 17:30-19:00 PM)

AT1 re-submissions - due

(29 March, 23:59 PM)
Week 8: March 30 Establish compliance management systems, AT2 Q&A

Collaborate Session-6

(Thursday 18:00-19:30 PM)

Assessment 2

Due

(5 April, 23:59 PM)
Week 09: April 6 Comply with regulations affecting the business

Collaborate Session-7 

(Thursday 18:00-19:30 PM)

AT2 re-submissions - due

(12 April, 23:59PM)

Mid-Semester Break

Week 10: April 20 Preparing for AT3 success 

Workshop-3

(Wednesday 17:30-19:00 PM)

AT2 re-submissions Feedback - 

(26 April, 23:59PM)
Week 11: April 27 Comply with regulations affecting the business, AT3 Q&A

Collaborate Session-8 

(Thursday 18:00-19:30 PM)

Assessment 3 Due
(3 May, 23:59 PM)
Week 12: May 4 Supervise and monitor practice systems

Collaborate Session-9

(Thursday 18:00-19:30 PM)

AT3 Feedback 

(10 May, 23:59 PM)
Week 13: May 11 Supervise and monitor practice systems

Collaborate Session-10 

(Thursday 18:00-19:30 PM)

AT3 re-submissions - due

(17 May, 23:59 PM)
Week 14: May 18 Preparing for AT4 success

Workshop-4

(Wednesday 17:30-19:00 PM)

AT3 re-submissions Feedback 

(24 May, 23:59PM)
Week 15: May 25 Course Wrap-up, AT4 Q&A

Collaborate Session-11 

(Thursday 18:00-19:30 PM)

Assessment 4 Due

(31 May, 23:59 PM)
Week 16: June 1 Extensions / Re-submissions   AT4 Feedback 

(7 June, 23:59 PM)
Week 17: June 8 Grade Entry  

AT4 re-submissions - due

(14 June, 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 the 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 including the self - paced activities in the workbooks.  


Learning Resources

Prescribed Texts


References


Other Resources

Online learning materials can be accessed by going into the RMIT's Learning Management System, Canvas. 

The online learning materials listed may 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

There are a total of four (4) assessments in this unit. You need to complete all assessment tasks satisfactorily in order to be deemed competent for this unit. 

Assignment 1: Identify requirements and plan appropriate systems

Due: Sunday, 15 March 2020

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

Assessment Instructions: In this assessment task you will respond to several questions based on the given scenario. 

Note: Some questions require you to work with your class peers and learn through interaction, cooperation and collaboration. However, in all these tasks you will be required to undertake your own independent research to inform your responses. Where group work is required, you will be assigned to a group of 3 – 5 members in the beginning of the unit to perform the group tasks.

Assignment 2: Research, plan and establish appropriate systems

Due: Sunday, 5 April 2020

Summary and Purpose: 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 Instructions: In this assessment task you will need to develop a range of proposals for your business that will be presented to the Board. Ensure you collate and compile information using reliable sources. All proposed recommendations must be clear and with enough detail.

Note: Some questions require you to work with other class peers and learn through interaction, cooperation and collaboration. However, in all these tasks you will be required to undertake your own independent research to inform your responses. Where group work is required, you will be assigned to a group of 3 – 5 members in the beginning of the course to perform the group tasks. 

Assignment 3: Comply with regulations affecting the business

Due: Sunday, 3 May 2020

Summary and Purpose: 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 Instructions: In this assessment task, you are required to read through the context of e-Conveyancing in Victoria.

Based on the given context and using any conveyancing organisation based in Victoria or the one assumed in the previous assignment as a guide, you are to complete Q1 – Q10. You may assume that the conveyancing organisation is in the process of, or has recently transitioned to, 100% digital lodgement. You are also allowed to make any reasonable assumptions to meet the assessment criteria satisfactorily. 

Assignment 4: Comply, supervise and monitor performance and provide recommendations

Due: Sunday, 31 May 2020 

Summary and Purpose: 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 Instructions: This assessment task consists of two parts:

  • Part A is a performance evidence in a real – world scenario. It includes Q1 – Q5
  • Part B relates to financial professional services and covers learning materials from FNSPRM601. It includes Q6 – Q7 


Assessment Matrix

The assessment matrix that maps all the assessment 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