BSBCOM603 Plan and establish compliance management systems Assessment Task 3

Establish, monitor and review plan

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.

Scenario

You are an external consultant hired to research, plan, implement and monitor a compliance management system.

You will need to follow your plan to train/induct personnel in their specific duties in relation to your implementation plan.

You will then need to monitor your plan by meeting with those personnel at a later date to gather information on performance in accordance with your plan.

Finally, the CEO has asked you to provide an evaluation of the implementation of your plan. To meet organisational requirements, you will need to prepare a report for senior management.

Report headings:

1. EXECUTIVE SUMMARY: Summarise content, results of monitoring.
2. ESTABLISHMENT OF SYSTEM: Describe steps taken to implement the system.
3. MONITORING METHODOLOGY: Describe the methods and approaches used to monitor performance of the system.
4. RESULTS AND ANALYSIS: Describe and analyse results of your monitoring activities.
5. CONCLUSION: Discuss overall compliance, including specific problem components of the system and success areas. Make specific recommendations for improvement with reference to relevant standards.

Procedure

1. Review the scenario above.
2. In accordance with your implementation plan, developed and approved 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.
   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.

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.