BSBCOM603 Plan and establish compliance management systems Section A: Knowledge Activity (Q&A) Objective: To provide you with an opportunity to show you have the required knowledge for this unit. The answers to the following questions will enable you to demonstrate your knowledge of: 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 Explain relevant organisational policies and procedures including compliance plans in various compliance areas and organisational standards for operations and ethics. Answer each question in as much detail as possible, considering your organisational requirements for each one. 1. Identify five possible sources of information about organisational compliance requirements. 2. Describe the difference between qualitative and quantitative analysis techniques, detailing the use of each in the evaluation of business compliance. 3. What are the seven key areas covered by ISO 19600? 4. Identify and summarise the aspects of two international standards which apply to your business. 5. Specify four details that should be included in documentation regarding compliance breaches. 6. Identify five specific components of a compliance program. 7. Give five examples of activities that may be included as part of an organisational communication strategy with regards to compliance. 8. Identify five possible reasons for compliance breaches. 9. Specify four details which may be included within compliance breach reports. 10. Specify five criteria which the compliance training of employees should fulfil. 11. Outline the procedures that should be followed as part of a complaints management system. 12. Identify five factors which will support the development of a compliance culture. 13. Give five examples of KPIs which may be referred to in the evaluation of a compliance program. 14. Identify five ways of ensuring compliance with organisational policies and procedures. 23