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BSBCOM603 Plan and establish compliance management systems Assessment Task 3

Establish, monitor and review plan

The assessment task is due on the date specified by your assessor. Any variations to this arrangement must be approved in writing by your assessor.

Submit this document with any required evidence attached. See specifications below for details.

Performance objective

This task requires you to establish, monitor and review the implementation plan developed in the previous assessment task.

Assessment description

In this assessment task, following on from Assessment Task 2, you are required to establish the compliance management system within the organisation, and then report on your monitoring and review of the system.

Procedure

1. Review the scenario in the Appendix to this task.
2. In accordance with the implementation plan, you developed and sought approval for in Assessment Task 2, meet with the managers and operations personnel that you have assigned to positions in implementing the compliance management systems. Train them in their specific duties as follows:
   1. Explain the components of the compliance management system.
   2. Describe the compliance management responsibilities for all personnel.
   3. Outline each person’s duties with regard to reporting, including what methods, tools and templates they should use to supply information to you.

For example, you might use negotiated performance measures such as KPIs and scorecards, questionnaires and surveys, oral questioning, etc. Consider performance with respect to, for example: achieving performance targets for outcomes such as a particular number of complaints; achieving performance targets for processes or management such as regular reporting; following procedures.

Be prepared to clarify misunderstandings and answer questions.

Note: If you are basing your assessment on the Charity-Care case study, your assessor will need to assist with this step.

3. In accordance with your plan, meet with the managers and operations personnel that have been implementing the compliance management system and:
   1. monitor the operation of the compliance management system, using the methods and approaches you outlined in your initial meeting with personnel
   2. review and evaluate the implementation of the compliance management system. Analyse relevant qualitative and quantitative data. Use benchmarking data, including time lines, if available, to compare the organisation to like organisations.

Note: If you are basing your assessment on the Charity-Care case study, your assessor will need to assist with this step.

4. Develop a management report in accordance with the requirements outlined in the scenario above.
5. Submit documentation as per specifications below. Keep copies for your records.
6. If you are using the Charity-Care case study as your organisation, you will need to train three appointed trainees in simulation. These personnel must be trained in:
   1. the outline of the system
   2. the duties in the system, including reporting
   3. any identified gaps that became evident when using the training needs analysis.

During simulated training, trainees should ask questions suitable to their role to provide a realistic simulated training environment.

Training:

• The training will be provided: After Session 3.
• Time required for training: At least 4 hours.
• You will need to submit:
  • a written management report.

Specifications

You must provide:

• a written management report.

Your assessor will be looking for:

• ability to contribute to a positive culture of compliance within an organisation
• research skills to assist with the analysis and organisation of research data, including qualitative and quantitative data, using appropriate techniques
• interpersonal skills to relate to internal and external personnel
• literacy skills to write reports containing complex concepts
• knowledge of quantitative and qualitative data analysis techniques relevant to compliance-related research
• knowledge of relevant Australian and international standards
• knowledge of elements of compliance program/management systems
• knowledge of relevant organisational policies and procedures.

Adjustment for distance-based learners

• No variation of the task is required. Training/induction and meeting with personnel may be conducted via teleconferencing.
• A follow-up interview may be required (at the discretion of the assessor).
• Documentation can be submitted electronically or posted in the mail.

Appendix