Assessor Resource

BSBCOM502
Evaluate and review compliance

Assessment tool

Version 1.0
Issue Date: March 2024


This unit describes the skills and knowledge required to evaluate and review an organisation’s compliance program/management system and how it is fulfilling its obligations and responsibilities under applicable compliance requirements.

It applies to individuals who are responsible for evaluating and reporting on the operation and effectiveness of an organisation’s planned compliance program/management system to ensure that compliance is an integral part of normal business operations.

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including: AS 3806:2006 Compliance programs, AS ISO 10002:2006 Customer satisfaction – Guidelines for complaints handling in organizations, AS/NZS 4360:2004 Risk management and AS ISO 15489:2004 Records management.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Develop the evaluation plan

1.1 Obtain details of the organisation’s compliance policies, objectives and assessment criteria

1.2 Obtain and interpret information on current compliance requirements applicable to the organisation

1.3 Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes

1.4 Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected

1.5 Obtain approval of plan from relevant internal and/or external personnel

2 Gather required evaluation data

2.1 Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan

2.2 Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards

2.3 Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel

2.4 Organise interpreted evaluation data for later analysis

3 Analyse the collected data

3.1 Analyse evaluation data in accordance with planned methodology

3.2 Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel

4 Determine evaluation findings and outcomes

4.1 Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel

4.2 Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary

4.3 Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel

5 Document and disseminate the outcomes and recommendations of the evaluation

5.1 Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback

5.2 Edit the report based on the feedback obtained

5.3 Proofread the report in preparation for publishing

5.4 Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel

5.5 Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)


Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Develop the evaluation plan

1.1 Obtain details of the organisation’s compliance policies, objectives and assessment criteria

1.2 Obtain and interpret information on current compliance requirements applicable to the organisation

1.3 Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes

1.4 Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected

1.5 Obtain approval of plan from relevant internal and/or external personnel

2 Gather required evaluation data

2.1 Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan

2.2 Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards

2.3 Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel

2.4 Organise interpreted evaluation data for later analysis

3 Analyse the collected data

3.1 Analyse evaluation data in accordance with planned methodology

3.2 Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel

4 Determine evaluation findings and outcomes

4.1 Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel

4.2 Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary

4.3 Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel

5 Document and disseminate the outcomes and recommendations of the evaluation

5.1 Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback

5.2 Edit the report based on the feedback obtained

5.3 Proofread the report in preparation for publishing

5.4 Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel

5.5 Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Obtain details of the organisation’s compliance policies, objectives and assessment criteria 
Obtain and interpret information on current compliance requirements applicable to the organisation 
Develop a suitable evaluation methodology to enable sufficiently valid and reliable outcomes for the required research and suitable arrangements for both internal and external monitoring processes 
Prepare the evaluation plan for the proposed project including the detailing of established evaluation criteria and the data to be collected 
Obtain approval of plan from relevant internal and/or external personnel 
Collect relevant evaluation data on how the organisation is fulfilling its compliance requirements using appropriate techniques and sources in accordance with the agreed evaluation plan 
Organise, interpret and review collected data against established evaluation criteria including those specified in relevant Australian and international standards 
Discuss ambiguities, uncertainties and problems experienced while interpreting collected data and address appropriately in conjunction with relevant internal and/or external personnel 
Organise interpreted evaluation data for later analysis 
Analyse evaluation data in accordance with planned methodology 
Review and discuss outcomes and findings of the analysis with relevant internal and/or external personnel 
Develop and discuss preliminary findings and any identified issues with relevant internal and/or external personnel 
Undertake any additional data collection and analysis required to clarify aspects of findings, issues and related action options if necessary 
Prepare recommendations for any action to improve identified deficiencies in conjunction with relevant internal and/or external personnel 
Prepare a draft report of the outcomes, findings and recommendations of the compliance evaluation in accordance with the agreed structure and format and distribute to relevant internal and/or external personnel for comment and feedback 
Edit the report based on the feedback obtained 
Proofread the report in preparation for publishing 
Ensure the report of outcomes, findings and recommendations of the evaluation is signed off by authorised personnel 
Produce and disseminate the report to nominated internal and external personnel in accordance with agreed arrangements 

Forms

Assessment Cover Sheet

BSBCOM502 - Evaluate and review compliance
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:


Assessment Record Sheet

BSBCOM502 - Evaluate and review compliance

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: