Name ID BSBCOM603 AT3

Establish, monitor and review plan

Procedure
1. Review the scenario above.
Yes, I have reviewed the scenario
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.
a. Explain the components of the compliance management system.
for financial transactions & handling issues – computerised accounting information system
(explain the system)
payroll issues – computerised payroll system (explain the system)
missing laptops – computerised inventory management system (explain the system)
b. Describe the compliance management responsibilities for all personnel.

Position Name Responsibility

Woolloongabba Community- Judith Moore responsible for cash handling
Care centre manager

c. 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.
Mention duties of each position.
Woolloongabba Community-Care centre manager – Judith Moore (responsible for cash
handling)
1. Keep all the cash received safely in a locker
2. At the end of each day, deposit all cash in bank
 Name ID BSBCOM603 AT3

a. Mention & explain KPIs from 4(f) of AT2

b. (mention procedures for complaints process and procedures for notification) 4(c)
c. (mention procedures for reporting compliance issues & internal controls to prevent them)
4(d)

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:
a. monitor the operation of the compliance management system, using the methods and
approaches you outlined in your initial meeting with personnel
How would you monitor the implementation & operation of compliance management system
e.g. individual compliance & non-compliance, no. of complaints, no. of breaches, ratio of
payroll errors/breaches to number of transactions
b. 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.
How would you review & evaluate the implementation e.g. comparing past performances,
internal KPIs & targets, industry averages, best industry practices, benchmarking to
understand and evaluate our current position and identify areas for improvement
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.
 Name ID BSBCOM603 AT3

1. EXECUTIVE SUMMARY
Summarise content, results of monitoring.

2. ESTABLISHMENT OF SYSTEM
Describe steps taken to implement the system.
TASKS AND ACTIONS FROM IMPLEMENTATION PLAN)

3. MONITORING METHODOLOGY
Describe the methods and approaches used to monitor performance of the system.
EXPLAIN ALL KPIS AND MONITORING SYSTEMS

4. RESULTS AND ANALYSIS

Describe and analyse results of your monitoring activities.
OUTCOMES AND RESULTS – ANALYSIS – COMPARISON WITH PAST PERFORMANCE)
(AUDIT OR SURVEY – QUALITATIVE AND KPIS – QUANTITATIVE APPROACH)

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. CONCLUDE THE WHOLE THING) (RECOMMENDATION
AROUND BENCHMARKING)

5. Submit documentation as per specifications below. Keep copies for your records.

I have submitted all documents