BSBAUD601 Assessment (Word Version)BSBAUD601 Assessments-V1.0
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ASSESSMENT BOOKLET
BSBAUD601 Establish and manage compliance
management systems
Student Details
Student Name
Student ID
Result Summary
Assessment task
outcomes
TASK 1
☐
C
☐
NYC
☐
NA
Type of
Submission
☐
First submission
☐
First re-submission
☐
Second re-submission
TASK 2
☐
C
☐
NYC
☐
NA
Final Unit Outcome
☐
Competent
☐
Not Yet
Competent
Submission
Date
Assessor Name
Assessor
Signature
BSBAUD601
2
This Page is
intentionally left
blank
Assessment Record of Outcome
BSBAUD601
3
Purpose:
This sheet provides an overview of a student’s competency for each unit based on all assessment
tasks submitted.
Instructions: Assessor: Record the outcome of each assessment task and determine the student’s
competency for the unit based on all assessment tasks. Record the unit outcome below, sign and date.
Admin Team:
Record the unit outcome in RTO Manager and save the assessment bundle in the student’s
file. A scanned copy of this document is to be retained once the assessment is destroyed.
Student Name
Student ID Unit Code
BSBAUD601
Unit Title
Establish and manage compliance management systems
Assessment
Submission Date
Type
of
submission
□ First Submission □ First Re-submission □ Second Re-submission
Assessment Task Results (Please tick)
Assessment 1
□ C (Competent) □ NYC (Not Yet Competent) □NA (Not Assessed)
Assessment 2
□ C (Competent) □ NYC (Not Yet Competent) □NA (Not Assessed)
Final Assessment Result for this unit
☐
Competent ☐
Not Yet Competent
Assessor
Declaration
In completing this assessment, I confirm that the participant has demonstrated all unit
outcomes through consistent and repeated application of skills with competent
performance in multiple instances over a period of time.
Evidence collected has been confirmed as: Valid Sufficient Current
Authentic
Assessor Name
Assessor
Signature
Feedback
Data Entry
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BSBAUD601
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Admin
Officer
Initials
Date Entered In
RTO Manager
☐
YES ☐
No
Student Declaration and Agreement
Section One: Declaration
a.
I declare that this assessment is my own work, except where acknowledged, and has not
been submitted for academic credit elsewhere, and acknowledge that the assessor of this item
may, for the purpose of assessing this item:
i.
reproduce this assessment item and provide a copy to another member of the Institute;
and/or, ii.
communicate a copy of this assessment item to a plagiarism checking service (which may
then retain a copy of the assessment item on its database for the purpose of future
plagiarism checking). b.
I understand it is my responsibility as a student to keep a copy of the assessment prior to
submission, Albright Institute takes no responsibility for lost in transit. If required I may be asked to
reproduce another copy of the assessment/s.
c.
I understand that it is my responsibility to read all the policies relevant to my course
and college and if I am found to be in breach of policy, disciplinary action may be taken
against me.
Section Two: Agreement
Read through the assessments in this booklet before you fill out and sign the agreement
below. Make sure you sign this before you start any of your assessments.
i.
Have you read and understood what is required of you in terms of assessment?
Yes
No
ii.
Do you understand the requirements of this assessment?
Yes
No
iii.
Do you agree to the way in which you are being assessed?
Yes
No
iv.
Do you have any special needs or considerations to be made for this assessment? If yes, what are they? __________________________________________________________________________________________________
Yes
No
v.
Do you understand your rights to appeal the decisions made in an assessment?
Yes
No
BSBAUD601
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Student
Name
Student
Signature
Date
Assessment Overview
This Student Assessment Booklet includes all your tasks for assessment of BSBAUD601 Establish and manage compliance management systems
About your assessments
This unit requires that you to complete two (2) assessments. You must complete all
assessments with a competent result to achieve competency for this unit. Please read the
information below about each task included in this assessment.
Task
Description
Assessment 1
Short Answer Questions
In this assessment, you will demonstrate a sound knowledge of the
unit requirements through completing and submitting written
questions.
You must correctly answer all questions to show that you understand
the knowledge required of this unit.
BSBAUD601
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Task
Description
Assessment 2 (Workplace Project)
This assessment is divided into six tasks:
Task 1: Identify Compliance Requirements
Task 2: Consult with Stakeholders
Task 3: Create and Collate Documents for Compliance
Management System
Task 4: Distribute Information and Seek Approval
Task 5: Establish and Monitor Compliance Management
System
Task 6: Facilitate Continuous Improvement
Student Information
What is competency? To complete assessment tasks satisfactorily you will need to demonstrate competence – but
what does this mean? In the Australian vocational education and training system, the concept of competence, is
defined as: “The ability to perform tasks and duties to the standard expected in the
workplace”. Competence involves the application of specific skills, knowledge and attitudes
to the work performance in an industry, an industry sector or an enterprise. Competence is
rarely achieved in a one-off demonstration. It needs to be developed holistically – that is,
bringing a range of skills and knowledge together – and over time in a real or simulated
workplace. To achieve competence, you need to demonstrate that you can perform a
given task to the standard defined in an endorsed unit of competency.
How to submit your assessments?
When you have completed each assessment you will need to submit it to your assessor.
Instructions about submission can be found at the beginning of each assessment task. Make
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sure you photocopy your written activities before you submit them – your assessor will put the
documents you submit into your student file. These will not be returned to you.
Assessment Task Cover Sheet
At the beginning of each task in this booklet, you will find an Assessment Task Cover Sheet.
Please fill it in for each task, making sure you sign the student declaration. Your assessor will give you feedback about how well you went in each task, and will write this
on the back of the Task Cover Sheet.
Assessment outcomes
Once the assessment has been completed the student will be given the result within 14 days.
Once the student has satisfactorily completed the required assessments for a unit of
competency he/she will receive an outcome of C (Competent) or otherwise NYC (Not Yet
Competent) in which case the student is entitled to apply for a resubmission of the
assessment.
Reasonable adjustments
Wherever possible, trainers/assessors will make reasonable adjustments to training and
assessment processes to ensure all people are treated equally in the training and assessment
process. Students who have special needs may be allowed reasonable adjustment at the time of
assessment in line with the Albright Institute’s Policy and Procedures. To meet the needs of all learners’ adjustments can be made to the way assessments are
conducted but not to the requirements of the assessment. The purpose of these adjustments
is to enhance fairness and flexibility so that the specific needs of students can be met.
Examples of reasonable adjustments a.
providing additional time for student to practice the assessment tasks
b.
presenting questions orally for students with literacy issues
c.
asking questions in a relevant practical context
d.
adapting machinery and equipment to make it more easily used
e.
presenting work instructions in diagrammatic or pictorial form instead of words and
sentences
f.
simplifying the design of tasks
It is the responsibility of each assessor to assess students’ needs and make whatever
reasonable adjustments are practicable to maximise a students’ opportunity to demonstrate
their competence.
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Assessment re-submission
If a student is deemed NYC (not yet competent) the Trainer/Assessor (TRN) will explain why
and inform the student of what needs to be completed in order to demonstrate
competence.
Re-assessment for assessments only occurs if the student has previously submitted the
assessment or has missed the relevant session(s) and has been afforded special
consideration which is approved by the Administration department.
If the result for the first submission of an assessment is NYC, students will be given two re-
submission opportunities to achieve a competent result (this re-assessment is conducted free
of charge). A suitable time will be arranged for the reassessment to occur within 14 days of
the completion of the unit in question. Should a student either not make an attempt within
this time frame (in spite of all efforts by Albright Institute, its Trainer/Assessor and administration
staff to have the student attend a reassessment session) or the student does not achieve a
satisfactory result after two re-assessments they may be charged for another attempt.
Should the student still not achieve competence after these assessment attempts, it will be
necessary for them to re-enrol in (repeat) the unit of competence at a cost.
Assessment appeals
You can make an appeal about an assessment decision by filling an appeal form. Ask for an
appeal for from a student support officer. Refer to Albright Institute’s Assessment Policy for
more information about our appeals process. Plagiarism Policy
All student work must be written in their own words, except where acknowledged through
quotations and referencing. Plagiarism is a serious offence; Albright Institute may impose
severe penalties on students who plagiarise.
For more information on Plagiarism and Cheating refer to Albright Institute’s policies.
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Assessment 1 – Coversheet
Students: Please fill out this cover sheet clearly and accurately. Make sure you have kept a
copy of your work.
Student and Submission Details
Student
Name
Student ID
Unit
Code
and Name
BSBAUD601
Establish
and
manage
compliance management systems
Date
of
submission
STUDENT DECLARATION
I declare that a.
this assessment is my own work. b.
None of this work has been completed by any other person.
c.
I have not cheated or plagiarised the work or colluded with any other student/s. d.
I have correctly referenced all resources and reference texts throughout these
assessment tasks. e.
I understand that if I am found to be in breach of policy, disciplinary action may be
taken against me.
Student
Signature
Assessor To Complete
Assessment 1
Assessment Result
Date
Type Of Submission
Short Answer Questions
□ C (Competent)
□ NYC (Not Yet
Competent) □NA (Not Assessed)
☐
First submission
☐
First re-submission
☐
Second
re-
submission
Assessor feedback
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Assessor Name
Assessor Signature
This assessment meets the following Knowledge Evidence: Knowledge evidence Satisfactory
Unsatisfactory
Not Present
research methods and techniques
standards and legislation relevant to organisational compliance requirements
key elements of compliance management systems, including:
documentation
of
compliance
requirements
relevant to the organisation
functions, accountabilities and responsibilities within
the organisation
compliance related management information
systems
record keeping systems required for compliance
management
continuous improvement processes for compliance,
including monitoring, evaluation and review
strategies for developing a positive compliance
culture within the organisation
reporting processes on compliance management,
including reports on breaches and rectification
action
organisational policies and procedures, including compliance plans in various compliance areas and organisational standards for operations.
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Assessment 1 – Short Answer
Questions
Assessment summary
☐
You are required to answer all the written questions in this assessment.
Resources and equipment required to complete this assessment
o
Access to textbooks and other learning materials.
o
Access to a computer, printer, Internet and email software (if required).
☐
When and where should the assessment be completed?
o
This assessment may be done in your own time as homework or you
may be given time to do this task in class (where applicable).
o
Your assessor will provide you with the due date for this assessment.
☐
What needs to be submitted?
o
Your answers to each question in this assessment along with references.
☐
Instructions
o
This is an open book test – you can use your learning materials as reference.
o
You must answer all questions in this assessment correctly.
o
You must answer the questions by typing your answers in Microsoft
Word and converting it into a pdf
.
o
Please include the following details in the header section of
each page of your assessment document:
☐
Student Name and ID
Course Code and title
Unit Code and title
Trainer and assessor name
Page numbers
☐
o
You are required to submit your assessment on the LMS
(Moodle). No submissions will be accepted via emails.
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Short Answer Questions
Question 1
Complete the table below.
a.
Identify at least two research methods. b.
In 100 words or more, explain in your own words, how each identified research
method can be applied in establishing a compliance management system.
Research Method
Application of Research Method in Establishing a
Compliance Management System
i.
Surveys
Through the use of a predetermined list of questions
and direct interaction with a specific subset of the population, data can be gathered from surveys. It is possible to acquire information regarding the level of compliance that already exists within an organisation by conducting surveys as part of the process of setting up a management system for compliance. It is possible to design the surveys in such a way that they assess the employees' understanding of compliance policies, identify potential gaps or areas of non-compliance, and gauge the employees' impressions of the effectiveness of measures that are already in place to ensure compliance. The findings of the surveys may offer helpful insights that may be utilised in the process of developing and putting into effect an effective compliance management system.
ii.
Case Studies
Case studies are a method for gaining a profound comprehension of a phenomenon through the in-depth examination of particular cases or instances. Case studies
can be produced within the framework of compliance management by investigating previous instances of non-
compliance that occurred inside an organisation. Researchers are able to discover similar trends, core reasons, and institutional deficiencies that lead to non-
compliance by reviewing these examples and drawing parallels between them. This knowledge can be put to use in the creation of plans and policies that target those particular vulnerabilities and help prevent future instances of non-compliance that are comparable to those seen in the past. Case studies include examples drawn from the actual world as well as ideas that can be put to use in the planning and execution of a compliance management system.
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Question 2 Complete the table below.
a.
Identify at least three techniques to perform research.
b.
In 100 words or more, describe each technique identified in your own words. Techniques to Perform Research
Description of the Technique
i.
Experimental
research The method of experimental research is a rigorous
approach that enables researchers to study potential
cause-and-effect linkages through the manipulation of
variables and the measurement of the impact of those
changes. Researchers are able to establish a high level
of confidence in their findings and draw conclusions
about causal linkages if they control factors and
randomly assign individuals to different conditions.
ii.
qualitative research qualitative research is centred on developing a
comprehensive understanding of complicated events.
Data that is both rich and descriptive can be gathered
by researchers through the use of methods such as
interviews, observations, or textual analysis. This
method offers insights into the viewpoints, experiences,
and social and cultural backgrounds of persons in
relation to the topic that is being examined. Exploring
uncharted territories, developing testable theories, and
achieving a more profound comprehension of
convoluted occurrences are all important goals of
qualitative research.
iii.
Survey research
Survey research is collecting data from a
representative sample of people through the use of pre-
designed questionnaires or in-person interviews.
Researchers are able to collect quantitative data on a
wide variety of factors from a big number of
participants by means of surveys. This paves the way for
statistical analysis as well as the ability to generalise
findings to larger populations. Individuals' views,
behaviours, and qualities can be usefully studied
through the use of surveys, which can provide an
efficient and cost-effective method of data collection.
Conducting research in the form of surveys can yield
extremely helpful insights on patterns, relationships, and
trends among the variables of interest.
BSBAUD601
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Question 3 Complete the table below. a.
Identify the five main functions of the compliance department in an organisation.
b.
Briefly define each identified function. Functions of the Compliance
Department
Definition of Each Function
i.
Policy
and
Procedure Development
The department of compliance is in charge of
formulating and carrying out the organization's
compliance obligations by way of its policies and
processes, and this duty falls under its purview.
Because of these policies, employees will be made
aware of their responsibilities and the expectations
they must fulfil in order to comply with the laws,
regulations, and internal policies that are now in
effect.
ii.
Compliance
Training and Education
Training and education programmes are run by
the compliance department to ensure that
employees
understand
their
compliance
responsibilities. these programmes also provide
employees with the knowledge and skills necessary to
comply with applicable laws and regulations, as well
as internal policies and procedures.
iii.
Monitoring
and
Auditing
The activities of the organisation are monitored
and audited by the compliance department in order
to detect possible compliance risks and evaluate the
effectiveness of controls that are already in place. As
part of this duty, frequent internal audits, reviews of
procedures and controls, and data analyses need to
be carried out in order to identify and resolve any
instances of non-compliance that may have
occurred.
iv.
Reporting
and
Investigation
It is the responsibility of the compliance
department to establish processes that can accept
reports of suspected non-compliance and then
investigate those reports. In the context of this job,
"whistleblower hotlines," "managing incident reporting
systems," and "conducting thorough investigations into
alleged violations of laws, regulations, or internal
policies" are all included in the list of responsibilities.
v.
Compliance
Risk
Management
Managing compliance risks inside the
organisation includes locating, analysing, and
monitoring any violations as part of this responsibility.
The compliance department is responsible for
performing risk assessments, coming up with risk
mitigation plans, and putting controls into place in
order to reduce the chance of non-compliance as
well as its potential consequences. It collaborates with
other departments to incorporate compliance issues
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into business processes and decision-making, so
contributing to the development of a culture of
compliance throughout the organisation.
BSBAUD601
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Question 4
Answer the following questions on record keeping systems for compliance management. a.
Outline at least three considerations for record keeping systems. i.
Compliance requirements: The system for maintaining records has to be in
accordance with the pertinent compliance standards that are particular to the
industry, the jurisdiction, and the requirements of the organisation. This requires
having a grasp of the laws, regulations, and standards that regulate record
keeping, confidentiality, the protection of data, and auditability, as well as a
commitment to complying with them. Organisations are able to guarantee that
their record keeping system satisfies all mandatory statutory requirements if they
take compliance requirements into consideration.
ii.
Data Privacy and Security: The confidentiality and protection of records is
an essential component of effective compliance management. The system
that is used to retain records ought to make use of rigorous security measures in
order to safeguard sensitive and confidential information from being accessed
in an unauthorised manner, lost, or compromised. Encryption, access controls,
regular backups, and compliance with data protection standards such as the
General Data Protection Regulation (GDPR) or industry-specific rules are some
examples of what this may include. The maintenance of the trust of
stakeholders and the reduction of the risk of compliance violations are both
facilitated by the protection of data security and privacy.
iii.
Documentation and Retention Policies: The proper maintenance of
records requires the formulation of policies for the documentation and storage
of records. The types of records that need to be captured, the appropriate
amount of information, and the precise retention periods should be defined by
organisations based on the legal and regulatory requirements as well as the
needs of the business. The development of a method that is both systematic
and consistent in its approach to documentation and record keeping helps to
ensure that the required records are kept, while records that are either
unneeded or out of date are disposed of in an acceptable manner. This
facilitates compliance audits and investigations while also reducing the
expenses associated with storage and promoting efficiency.
b.
Outline at least four functions for record keeping systems according to the
Australian Standard ISO 15489. i.
Capture: The creation or receiving of records in a manner that is both
structured and regulated falls under the purview of the capture function. It
guarantees that records that are relevant and necessary are recognised,
captured, and documented in a timely way in the appropriate locations. The
generation of records, the collection of metadata (information that is
descriptive of the records), and the implementation of suitable controls all fall
under the purview of this function.
ii.
Registration: The task of appointing one-of-a-kind identifiers or registration
numbers to each record is the primary emphasis of the registration function.
Through the use of this function, the systematic tracking and identification of
records is made possible throughout the course of their lifetime. When records
are given distinct IDs, it is much simpler to identify, retrieve, and link them to
other data or transactions that are relevant to them. The capture of pertinent
metadata that is connected with the records as part of the registration process
also helps to offer context and makes search and retrieval easier.
BSBAUD601
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iii.
Classifcation: The process of organising records into a logical and
hierarchical structure according to their subject matter, function, or any other
pertinent criteria is referred to as the classification function. This function
contributes to the methodical organisation of records, which in turn makes it
simpler to search and retrieve such records. Classification ensures that records
are grouped together based on their content, making it possible for the record
keeping system to be efficiently managed and navigated.
iv.
Access and Retrieval: The purpose of the access and retrieval function is
to ensure that authorised individuals have the capability to find, retrieve, and
access records whenever they are required to do so. To guarantee that only
authorised personnel are able to access records, it is necessary to set up the
right access controls, user permissions, and security measures. This function
maintains the integrity and confidentiality of the information that is contained
within the records, enables the efficient retrieval of records, provides support for
compliance audits, investigations, and legal requests, and enables efficient
recovery of records.
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c.
Access Inc: A Guide for Incorporated Associations in Western Australia. Inc: A Guide for Incorporated Associations in Western Australia
https://www.commerce.wa.gov.au/books/inc-guide-incorporated-associations-
western-australia
For an incorporated association in Western Australia, list the five records that are
required to be kept. i.
Constitution: A copy of the association's constitution, which describes the
rules and regulations that govern the operations and management of the
association, is required to be kept in the association's files. The constitution
ought to be easily accessible so that members and other stakeholders can look
it over and use it as a reference.
ii.
Membership Register: It is necessary for an incorporated organisation to
have a membership register that contains information about its members, such
as their names, addresses, and the dates on which they joined the organisation
and when they resigned their membership. The association is better able to
manage its membership base and improve its ability to communicate with its
members thanks to the membership register.
iii.
Minutes of Meeting: It is expected of the association that it retains
accurate minutes of its general meetings as well as the meetings of its
committees. The choices that were made, the resolutions that were passed,
and any other relevant conversations or activities that were taken during the
meetings should be documented in the minutes. These minutes serve as a
formal record of the decision-making processes that took place within the
association and provide a historical overview of the activities that took place
inside the association.
iv.
Financial Records:
In order to comply with applicable laws, an
incorporated association is required to keep accurate financial records that
detail both its financial transactions and its financial situation. This includes
keeping records of assets, liabilities, income, and costs, as well as receipts and
payments. In order to facilitate the creation of financial statements, audits, and
compliance with reporting obligations, the financial records should be well-
organized and kept up to date at all times.
v.
Annual Returns and Notices: The association is required to maintain copies
of any notices or documents that it has filed with the appropriate regulatory
authorities, as well as any annual returns that it has submitted for filing.
Documents such as the Annual Information Statement and notices of any
changes to the association's details or office-bearers are included in this
category. Keeping these documents helps establish compliance with statutory
responsibilities and gives a historical record of the association's dealings with
regulatory bodies. Keeping these records also offers a record of the
association's activities.
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d.
Complete the table below.
List the five steps in setting up a records management system.
Briefly describe each step. Steps to Setup a Records Management
System
Brief Description of the Step
i.
Assessing Records
In this stage, you will be responsible for
doing an in-depth analysis of the records
that are currently held by the organisation.
Performing this step involves determining
the different sorts of records, as well as their
formats, locations, and the value they bring
to the organisation. It is helpful to
comprehend the extent of the records
management system and determine the
suitable strategies for organising and
managing the records when these systems
have been evaluated using the records.
ii.
Developing
Policies
and
Procedures
During this stage, the policies and
procedures that will later direct the
management
of
the
records
are
developed. This includes determining the
lengths of time records are kept, creating
criteria for their creation, storage, access,
retrieval, and disposal, and addressing the
requirements for legal and regulatory
compliance. A framework that enables
consistent
and
standardised
record
management
practises
across
the
organisation
is
provided
by
the
organization's policies and procedures.
iii.
Designing File Structures
In this step, you will be
developing
the
file
structures
and
classification systems that will be used to
efficiently organise and categorise the
records. This involves coming up with file
name standards, folder hierarchies, and
metadata schemas, as well as figuring out
the logical order in which records should be
stored. When file structures are designed, it
is ensured that records are organised in a
logical and easily retrievable manner,
which makes accessing and retrieving them
more efficient.
iv.
Implementing
Record
Management Software
This step entails selecting and putting
into action record management software
or systems that are suitable for the
requirements of the organisation. The
software needs to support the record
management policies of the organisation,
make it easier to capture, retrieve, and
track records, and maintain security and
access control. The use of record
management software helps to streamline
BSBAUD601
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and automate a variety of record
management operations, which in turn
improves both the efficiency and accuracy
of record management.
v.
Training and Awareness
The final phase is to educate and
raise awareness among staff members
about the recently implemented records
management system through the delivery
of training and educational programmes.
Employees are better able to comprehend
the significance of efficient records
administration, the appropriate application
of record management methods and
systems, as well as their own roles and
duties in relation to the management of
records when they get training on these
topics. The dissemination of information
helps to cultivate a culture of compliance
and accountability, which ensures that
employees take an active role in protecting
the authenticity and confidentiality of data.
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Question 5 Listed in the table below are continuous improvement stages for compliance. Complete
the table below: a.
Define each listed stage in your own words. b.
List all the general steps that are involved in each stage. Continuous
Improvement Stage
Definition of the Stage
Steps Followed
i.
Monitoring Monitoring is the
continuous
observation
and
evaluation of actions
and procedures within
an organisation that
are
intended
to
maintain compliance
standards. It seeks to
monitor and detect
any
deviations
or
breaches
in
compliance as well as
locate areas that can
be improved upon.
i.
Establishing the precise
objectives
and
criteria
for
monitoring compliance inside the
organisation is the first step in
establishing monitoring objectives
and criteria.
ii.
Collect relevant data:
Collect incident reports, audit
findings, performance metrics,
and comments from various
stakeholders, as well as data and
information pertaining to activities
associated with compliance.
iii.
Conduct an analysis of the
data collected to look for
patterns, trends, and possible
areas of non-compliance or
improvement.
iv.
Prepare reports that provide
a summary of the findings of the
monitoring operations, noting any
issues relating to non-compliance
and suggesting corrective steps
to take if necessary.
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BSBAUD601
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iv.
Evaluation
Evaluation entails
doing
a
thorough
investigation
and
examination
of
compliance
performance as well as
the efficiency of the
controls
and
procedures that have
been put into place. Its
purpose is to ascertain
whether or not the
compliance
management system is
producing
the
outcomes that were
hoped for.
i.
The effectiveness of the
compliance management system
should be evaluated based on
specific objectives and criteria,
which you must establish.
ii.
Conduct investigations and
audits
to
examine
the
effectiveness
of
controls,
processes, and procedures within
the organisation in order to
determine how well it complies
with regulations.
iii.
Conduct a thorough
analysis of the findings of the
review
to
determine
the
compliance
management
system's strong points, weak
points, gaps, and potential
improvement areas.
iv.
On the basis of the analysis,
formulate
some
recommendations and action
plans in order to address the
problems that have been found
and improve the efficiency of the
compliance
management
system.
vii.
Review
Review entails
conducting
an
in-
depth
investigation
into the compliance
management system,
including an analysis of
its performance and
how well it aligns with
organisational
goals
and
legal
requirements.
Its
purpose is to make
certain that the system
is always effective, up
to current, and able to
adapt to the ever-
shifting
requirements
for compliance.
i.
Conduct a review and
update of the organization's
compliance
policies
and
processes to ensure that they are
in line with the most recent
requirements and best practises in
the industry.
ii.
Analyse
the
current
compliance management system
in relation to the internal
standards, external laws, and
regulations that are applicable in
order to locate any holes or areas
that need to be improved.
iii.
To close the detected gaps
and make the compliance
management
system
more
efficient, it is necessary to revise
and
improve
the
controls,
procedures,
and
processes
already in place.
iv.
It is important to keep a
record of the results of the
evaluation, which should include
any discoveries, suggestions for
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BSBAUD601
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improvement,
or
proposed
adjustments.
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What to submit:
Answers to all questions
References
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BSBAUD601
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Assessment 2 – Coversheet
Students: Please fill out this cover sheet clearly and accurately. Make sure you have kept a
copy of your work.
Student and Submission Details
Student
Name
Student ID
Unit
Code
and Name
BSBAUD601
Establish
and
manage
compliance management systems
Date
of
submission
STUDENT DECLARATION
I declare that
This assessment is my own work.
None of this work has been completed by any other person.
I have not cheated or plagiarised the work or colluded with any other student/s.
I have correctly referenced all resources and reference texts throughout these
assessment tasks.
I understand that if I am found to be in breach of policy, disciplinary action may be
taken against me.
Student
Signature
Assessor to complete
Assessment 2
Assessment Result
Date
Type Of Submission
Assessment 2 (Workplace
project
□ C (Competent)
□ NYC (Not Yet
Competent) □NA (Not Assessed)
☐
First submission
☐
First re-submission
☐
Second
re-
submission
Assessor feedback
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BSBAUD601
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Assessor Name
Assessor Signature
Assessment 2 – Workplace Project Assessment
This assessment meets the following performance criteria: Performance Criteria
1.
Determine
compliance
requirements
1.1 Collect and interpret information on current compliance requirements applicable to the organisation
1.2
Review
compliance
requirements
according
to
organisational
policies
and
procedures
2. Identify and select relevant
compliance management system
2.1 Investigate required compliance areas and identify
options for compliance management systems
2.2 Compare and select options
for compliance management
system according to identified
organisational
compliance
requirements
3. Plan and document required
compliance management system
3.1 Determine and assign resources for the operation of the compliance management
system 3.2 Identify and document management information
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BSBAUD601
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systems requirements 3.3 Determine and plan strategy for developing compliance management culture, in consultation with relevant stakeholders
3.4 Identify and document processes and procedures for identifying, managing and reporting breaches in compliance requirements
3.5 Document schedule for implementing, reviewing and maintaining the planned compliance management system, and distribute to relevant stakeholders
3.6 Collate documents in compliance management system plan and seek approval from relevant stakeholders 3.7 Establish mechanisms for
collecting feedback information
on compliance management
system
4.
Establish
compliance
management system
4.1 Appoint and distribute information to relevant stakeholders on their compliance management responsibilities
4.2 Establish the components of compliance management system in collaboration with relevant stakeholders
4.3 Monitor operation of compliance management system in collaboration with relevant stakeholders according to plan
5.
Facilitate
continuous
improvement
of
compliance
management system
5.1 Monitor and review performance against targets and performance indicators
5.2 Analyse feedback and evaluation data and implement improvements
5.3 Document and report continuous improvement of compliance management system
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This assessment meets the following performance Evidence: Performance evidence
plan, establish and monitor one compliance management system in collaboration with relevant stakeholders, including:
reviewing organisational compliance requirements
documenting an action schedule for implementing, maintaining
and reviewing the compliance system
appointing and informing staff on compliance management
system
.
This assessment meets the following Foundation Skills: Foundation Skills
Reading
Investigates and evaluates complex texts to determine key information and specific requirements
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and responsibilities
Writing
Develops documentation for a specific audience using detailed language to convey information, requirements and recommendations
Collates and compiles data to convey specific information, requirements and recommendations
Oral
Communicati
on
Conveys information, which incorporates evaluation of information and specialised and cohesive language, in a format and style appropriate to a specific audience
Elicits the views of others by listening and questioning
Initiative and
enterprise
Explores and incubates new and innovative ideas through unconstrained analysis and critical thinking to
establish and monitor compliance management systems
Teamwork
Collaborates with others to achieve joint outcomes, playing an active role in facilitating understanding Technology
Uses a range of digitally based technology and applications to access, organise, integrate and share information Assessment 2 – Workplace assessment
Assessment Overview
This workplace assessment requires you to plan, establish and monitor at least one
compliance management system in collaboration with at least two relevant
stakeholders.
This assessment is divided into six tasks:
Task 1: Identify Compliance Requirements
Task 2: Consult with Stakeholders
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Task 3: Create and Collate Documents for Compliance Management System
Task 4: Distribute Information and Seek Approval
Task 5: Establish and Monitor Compliance Management System
Task 6: Facilitate Continuous Improvement
You are required to complete the assessment tasks in a workplace or simulated
environment where the conditions are typical of those in a working environment in this
industry.
Each task comes with a set of instructions. You are to follow these instructions to
complete the assessment. Each task will require you to either:
Submit completed workplace templates and/or any required documentation; or
Demonstrate task requirements while being observed by the assessor.
Some tasks may include both requirements. These will serve as evidence of your task
completion.
Before starting this assessment, your assessor will discuss with you these instructions,
resources, and guidance for satisfactorily completing the tasks.
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You are required to:
Complete the tasks within the time allowed, as scheduled in-class roll.
Identify at least two compliance requirements for each identified compliance
area in the organisation based on the relevant legislation and standards
Identify and select a relevant compliance management system
Consult with relevant stakeholders to determine and plan strategy for developing
compliance management culture
Assign resources for compliance operations and appoint stakeholder
responsibilities
Create and collate documents related to the compliance management system
Distribute collated documents to relevant stakeholders and seek their approval
Establish feedback collection mechanisms
Establish the components and monitor the operation of compliance
management system in collaboration with relevant stakeholders
Facilitate continuous improvement of the compliance management system.
Forms and Templates
Generic forms and templates to be used for the assessments are specified for each task,
unless otherwise stated. These can be accessed from the following link:
BSBAUD601 Forms and Templates
Username: albrightlearner
Password: albright@123
Review these forms and templates with your assessor before starting the task.
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Task 1: Identify Compliance Requirements
ASSESSMENT INSTRUCTIONS This task will require you to identify at least two compliance requirements for compliance
areas in the organisation and select a relevant compliance management system. Use the Compliance Requirements Document template provided at the Bounce Fitness
site.
To complete this task, you must:
Access and review at least two of each of the following to source information for
the organisation’s compliance requirements: o
Legislation
o
Regulations o
Standards
The legislation, regulations and standards reviewed must contain
compliance requirements applicable to the learner’s organisation.
Identify at least one compliance requirement applicable to the organisation from
each of the following:
o
Legislation
o
Regulations
o
Standards
Access and review the following the following for each of the identified
compliance requirements:
o
At least one organisational policy and one procedure
Organisational policies and procedures must be related to the identified
compliance requirements for the organisation.
o
At least two organisational standards for operations
Review each identified compliance requirement against the organisational policy
and procedure and the organisational standards for any gaps.
Based on identified compliance requirements, identify at least two required
compliance areas in the organisation. Compliance areas primarily include the organisation’s business processes, products
and services and operations, customer interactions and management, workplace
health and safety, human resource and financial operations and reporting.
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Access and review at least one organisational plan for each of the identified
compliance areas.
Identify at least one organisational requirement from each compliance plan
reviewed.
Perform research on compliance management systems.
Identify at least two options for compliance management systems based on your
research.
Determine the parameters to select the compliance management system
according to the organisational compliance requirements.
Compare the options against each of the parameters.
Select at least one option based on the option that fulfills the selection
parameters in the best way. You will need to use the selected compliance
management system later, in Workplace Assessment Task 3, 5 and 6.
Complete the Compliance Requirements Document with the information
identified.
Submit the completed compliance requirements document to your assessor.
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Task 2: Consult with Stakeholders
ASSESSMENT INSTRUCTIONS Your assessor will observe you as you consult with at least two relevant stakeholders to
determine and plan the strategy for developing compliance management culture. Relevant stakeholders include individuals who can provide inputs on compliance
management strategy for developing organisational culture.
Use the Meeting Minutes template provided at the Bounce Fitness site.
Before starting this task, access and review the compliance requirements document
from
Workplace Project Task 1. You will be assessed on your practical skills to:
Discuss at least two strategies for developing positive organisational culture for
compliance management.
Determine the action plan for the two strategies discussed, including:
o
At least one action item for each strategy
o
Expected timelines for each action item
o
Individual who will perform each action item
Convey information on the compliance management system to the stakeholders.
Obtain the views of the stakeholders by listening and questioning.
You must complete a meeting minutes during your meeting. You will need to use
this to create the compliance management system plan in Workplace Assessment
Task 3.
Submit the Meeting Minutes to your assessor.
Task 3: Create and Collate Documents for Compliance Management
System
ASSESSMENT INSTRUCTIONS This task will require you to create and collate documents related to the compliance
management system including:
Processes and procedures for breaches in compliance requirements.
Schedule for compliance management system.
Management information system requirements. Use the following templates provided at the Bounce Fitness site:
Compliance MIS Requirements
Breach Processes
Compliance Management System Operations Plan
Resource Plan.
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To complete this task, you must:
Access and review the following: o
Organisational documents and procedures relevant to:
Assigning resources for the operation of compliance management
systems.
Compliance-related management information systems.
o
Compliance requirements document from Workplace Assessment Task 1.
Identify at least two requirements for the organisation’s compliance management
information systems.
Complete the Compliance MIS Requirements with the information identified.
Identify at least one process for each of the following activities:
o
Identifying a breach in compliance.
o
Managing the breach with at least one rectification action.
o
Reporting the breach and rectification action.
Each of these must include at least two procedures.
Complete the Breach Processes with the information identified.
Create the schedule for the planned compliance management system, including:
o
At least one task to be performed for each of the following:
Implement
Review
Monitor and maintain
o
For each task, include:
Start Date
End Date
Dependencies on other tasks, if any
Identify at least two performance indicators for the compliance management
operations.
For each indicator, identify the performance target.
Specify the following for each monitoring task in the schedule: o
Frequency of monitoring
o
Period or dates of monitoring
o
Performance targets to be monitored
Complete the Compliance Management System Operations Plan with the
information identified.
Identify at least two resources required for the selected compliance management
system option.
Resources may be physical resources, technological, or financial resources.
Assign each of the identified resources for the operation of the compliance
management system.
Complete the Resource Plan with the information identified.
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Identify at least two team members to be appointed for the operation of the
compliance management system.
For each team member, identify at least one of each of the following: o
Responsibility
o
Accountability
Log the details of each team member in the Resource Plan.
Collate the following documents created in this task into a compliance
management system plan:
o
Compliance MIS Requirements
o
Breach Processes
o
Compliance Management System Operations Plan
o
Resource Plan
o
Strategy for Developing Compliance Management Culture
The document for Strategy for Developing Compliance Management
Culture will depend on the learner’s organisational requirements and can
refer to the Meeting Minutes created in Workplace Assessment Task 2.
You will need to share the collated compliance management system plan with
stakeholders and seek their approval in Workplace Assessment Task 4 and
Workplace Assessment Task 5.
Submit the collated compliance management system plan to your assessor. Include any
supplementary documents used to create the compliance management system plan,
such as organisational documents and procedures relevant to:
Assigning resources for the operation of compliance management systems
Compliance-related management information systems.
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Task 4: Distribute Information and Seek Approval
ASSESSMENT INSTRUCTIONS This task will require you to distribute the documents collated in Workplace Assessment
Task 3 and seek relevant stakeholders’ approval. Relevant stakeholders refer to the organisation’s:
senior management who can provide approvals, and
internal team members who are responsible for implementing, reviewing and
monitoring the organisational compliance management system.
Use the Feedback Mechanisms template provided at the Bounce Fitness site.
To complete this task, you must:
Access the documents you collated in Workplace Assessment Task 3.
Identify at least two mechanisms for collecting feedback on the compliance
management system.
Record the mechanisms in the Feedback Mechanisms document.
Update the compliance management system plan from Workplace Assessment
Task 3 by compiling the Feedback Mechanisms document into it.
Seek approval from at least one relevant stakeholder (senior management) on
the updated compliance management system plan.
Distribute the following to at least two relevant stakeholders (internal team
members):
o
Compliance management system plan from Workplace Assessment Task 3
.
o
Information for team members about their compliance management
responsibilities identified in the resource plan in Workplace Assessment Task
3
.
o
Information on at least two feedback collection mechanisms. Submit the updated compliance management system plan including the feedback
mechanisms to your assessor. You must also submit the following evidence:
Evidence of seeking approval.
Evidence of distributing information. Each evidence submitted must be at least one of the following:
Email correspondence
Meeting minutes
Video recording of the meeting conducted with the stakeholders
When using this as evidence, ensure to inform the stakeholder of the purpose of the
recording before doing so
.
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Task 5: Establish and Monitor Compliance Management System
ASSESSMENT INSTRUCTIONS This task will require you to establish the components and monitor the operation of
compliance management system in collaboration with at least two relevant stakeholders.
Relevant stakeholders refer to the same stakeholders from Workplace Assessment Task 4. To complete this task, you must:
Access the information on tasks for implementing and monitoring in Compliance
Management System Operations Plan from Workplace Assessment Task 3.
Collaborate with at least two relevant stakeholders including team members and
senior management to: o
Explore and develop at least one innovative idea for the compliance
management system, for each of the following:
Establishing.
Monitoring.
o
Implement the tasks listed for Implement in the compliance management
system plan from Workplace Assessment Task 3
.
o
Implement the tasks listed for Monitoring in the Compliance Management
System Schedule from Workplace Assessment Task 3 in two separate
instances
.
Share relevant information about the compliance management system’s
objectives and operations to stakeholders. Submit the following evidence to your assessor:
Evidence of establishing components
Evidence of monitoring operations
Each evidence submitted must be at least one of the following:
Email correspondence
Meeting minutes
Video recording of the meeting conducted with the stakeholders
When using this as evidence, ensure to inform the stakeholder of the purpose of
the recording before doing so
.
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Task 6: Facilitate Continuous Improvement
ASSESSMENT INSTRUCTIONS This task will require you to implement and report continuous improvement of the
compliance management system. Use the Continuous Improvement Report template provided at the Bounce Fitness site.
To complete this task, you must:
Collect current performance data from the implemented compliance
management system on two separate instances, for the two performance
indicators identified in Workplace Assessment Task 3.
Compare the performance data with the target data identified in Workplace
Assessment Task 3.
Analyse the performance evaluation data which you have captured above.
Access available feedback for the compliance management system.
Analyse the feedback recorded.
Identify at least two ways to improve the performance of the compliance
management system.
Identify at least one task to be performed to implement each of the improvement
ideas.
Implement each of the two improvements identified.
Measure the performance after implementation of the improvements and
compare against the target.
Write a Continuous Improvement Report, incorporating all of the above
information.
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Submit the completed Continuous Improvement Report to your assessor. Include any
supplementary documents/sources used to create the Continuous Improvement Report,
such as the feedback recorded in the organisation for the compliance management
system.
You must also submit evidence of implementing at least two improvements to the
compliance management system. Evidence must be at least one of the following:
Email correspondence
Meeting minutes
Video recording of the learner completing the action items to implement the
improvement and getting sign-off from the stakeholders on the implementation.
When using this as evidence, ensure to inform the stakeholders of the purpose of
the recording before doing so
.
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Assessment Checklist
The learner has completed the Short Answer Questions in this
workbook
Short Answer Questions
☐
The learner has completed the Practical Assessments in this
workbook and has submitted all the required evidence:
Workplace Assessment
Task 1: Identify Compliance Requirements
Compliance Requirements Document
☐
Supplementary evidence: a.
Organisational policies and procedures relevant to
compliance requirements ☐
c.
Organisational standards for operations
☐
e.
Organisational plans in the compliance areas of the
organisation
☐
g.
Printed or online sources relevant to compliance
requirements and compliance management
systems.
Specify evidence submitted: ☐
Task 2: Consult with Stakeholders
Meeting Minutes
☐
Video recording of the presentation
Only if direct observation is not possible.
☐
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Task 3: Create and Collate Documents for Compliance
Management System
Compliance Management System Plan
☐
Supplementary evidence: a.
Organisational documents and procedures relevant
to assigning resources for the operation of
compliance management systems
Specify evidence submitted: ☐
b.
Organisational documents and procedures relevant
to compliance-related management information
systems
Specify evidence submitted: ☐
Task 4: Distribute Information and Seek Approval
Updated Compliance Management System Plan
☐
Evidence of distributing information
Specify evidence submitted: ☐
Evidence of seeking approval
Specify evidence submitted: ☐
Task 5: Establish and Monitor Compliance Management
System
Evidence of establishing components
Specify evidence submitted: ☐
Evidence of monitoring operations
☐
Task 6: Facilitate Continuous Improvement
Continuous Improvement Report
☐
Evidence of implementing improvements
Specify evidence submitted: ☐
Feedback recorded in the organisation for the compliance
management system.
☐
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Specify evidence submitted: Record of Assessment
Assessment Details
Learner
Course Code
Unit of Competency
BSBAUD601 - Establish and manage compliance management systems
Assessor Name
RTO
Assessment Activity
Satisfactory
Needs
more
evidence
Short Answer Questions Short Answer Question 1
☐
☐
Short Answer Question 2
☐
☐
Short Answer Question 3
☐
☐
Short Answer Question 4
☐
☐
Short Answer Question 5
☐
☐
Workplace Assessment
Task 1: Identify Compliance Requirements
☐
☐
Task 2: Consult with Stakeholders
☐
☐
Task 3: Create and Collate Documents for Compliance Management System
☐
☐
Task 4: Distribute Information and Seek Approval
☐
☐
Task 5: Establish and Monitor Compliance Management System
☐
☐
Task 6: Facilitate Continuous Improvement
☐
☐
Assessor’s Comments
Remarks/feedback
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Details of further evidence required
Please tick the appropriate box.
Yes
No
Comments and further action required are noted in the
Learner Assessment Pack
☐
☐
Results discussed and agreed to by the learner
You have the right to appeal the outcome of your
assessment.
☐
☐
The Learner is
☐
Competent
☐
Not
Yet
Competent
Assessor’s signature
Date signed
End of Document
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