Student Assessment
BSBPMG635
Implement program governance
UNIT OVERVIEW
BSBPMG635 Implement program governance
This unit describes the skills and knowledge required to establish and implement governance requirements to ensure effective program management. It includes implementing systems and processes for decision-making, management systems, compliance and program support.
The unit applies to individuals who are program managers and those managing a suite of projects (a program). They operate within assigned authority levels, are responsible for their own performance and sometimes the performance of others.
Individuals in this role may be operating within an organisation, a business or working as a consultant.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Elements
To achieve competency in this unit students must demonstrate their ability to:
1.Facilitate effective decision making and accountability
2.Implement systems and methods
3.Ensure program compliance
4.Enable program support services
Performance Evidence
The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:
implement program governance on at least one occasion.
In the course of the above, the candidate must:
compare decision making processes and outcomes against program objectives
identify alternative program management systems
design a program records and configuration system
compare types of effective program policy
identify ways to support program implementation.
Knowledge Evidence
The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:
techniques for the use and purpose of program controls
functions of audit and/or compliance requirements for a program
plans to rectify program compliance problems
decision making processes in the program context
methods to support skill development support within a program.
A complete copy of the above unit of competency can be downloaded from the TGA website: https://training.gov.au/Training/Details/BSBPMG635
The assessment activities and information in this booklet are based on and customised from the BSBPMG635 Implement program governance, assessment resources provided by Compliant Learning Resources. Compliant Learning Resources owns all copyright to this information and the intellectual property of this resource remains with Compliant Learning Resources.
Table of Contents
General Assessment Information 4
What happens if you do not agree with the assessment result? 5
aSSESSMENT 1-Knowledge Assessment 11
Assessment 1: Knowledge Assessment– Result Sheet 17
ASSESMENT 2-Practical Assessment 18
Details of the Program You are Undertaking for This Assessment 18
Part I. Facilitate Decision Making and Accountability 22
1.1 Negotiate and Agree on Roles and Responsibilities 22
1.2 Document Agreed Accountabilities 23
1.3 Confirm Program Accountabilities 24
1.4 Make Complex Decisions using Analytical Techniques 25
Part II. Implement Systems and Methods 26
2.1 Establish Systems and Processes 26
2.2 Implement Management Control Systems 28
2.3 Monitor Process Efficiency 29
Part III. Ensure Program Compliance 30
3.1 Identify Organisation and External Compliance Requirements 30
3.2 Generate and Maintain Audit Documentation 31
3.4 Rectify Non-Compliances 33
Part IV. Enable Program Support Services 34
4.1 Identify Support Needs of Management and Internal Personnel 34
4.2 Establish Support Systems 35
4.3 Implement Program Support Protocols 37
4.4 Document Lessons Learned 38
Assessment Workbook Checklist 39
ASSESSMENT 2: PRACTICAL Assessment- Result Sheet 44
INFORMATION FOR STUDENTS
General Assessment Information
This information is designed to provide you with a full overview of the tasks you need to successfully complete to be deemed competent in this unit.
You must achieve a satisfactory performance in each of the assessment tasks in order to be deemed competent in the relevant unit. Where necessary, the assessment tasks are divided into parts or steps. These are designed to take you through a step-by-step approach to completing the activities.
Instructions
First and foremost, please contact your assessor to discuss any necessary adjustments that may need to be made prior to completing these tasks. The instructions for each of the assessment tasks are logically sequenced. If you have any questions, contact your assessor immediately. If there is a practical component to your assessment, you will need to discuss the arrangements for its completion with your assessor in advance.
Assessment Cover Sheet
Once you have completed all of the tasks, complete the Assessment Cover Sheet, sign the declaration and forward along with your documentation to your assessor, or upload on the student portal as directed by the assessor.
Submitting Assessment Tasks
All written assessment tasks must be typed and submitted with the provided cover sheet.
Your trainer/assessor will tell you when assessments are due. It is your responsibility to ensure that assessment tasks are submitted on or before their due date.
Extensions for individual assessment tasks may be negotiated with your trainer in specific circumstances. You must request this prior to the due date, and extensions due to illness will require a medical certificate. Extensions will be confirmed by your trainer/assessor.
Where assessment tasks are submitted following the conclusion of the term without a medical certificate or extension, a late submission fee for each assessment task will be charged.
Assessment Outcomes
There are two outcomes of assessment tasks: S = Satisfactory and NS = Not Satisfactory (requires more training and experience).
You will be awarded C = Competent on completion of the unit when you have achieved S for all completed assessment tasks and by meeting all the performance criteria. If you fail to meet this requirement, you will receive the result NC = Not Competent and will be eligible to be re-assessed according to Australian Vocational Training Institute (AVTI) ‘s policy.
If you are deemed Not Competent by your assessor and require re-assessment, you will be informed of the process. A fee may be charged according to AVTI policy.
If all assessment tasks are not completed for a qualification, a certificate will not be awarded. A Statement of Attainment for completed units of competency will be provided.
Your Results
Your assessor is committed to providing you with detailed feedback on the outcomes of the assessment and will provide guidance on areas for improvement. In most instances, you should only need to complete the sections of the assessment that were deemed not satisfactory. However, it is important to remember that depending on the task, it may be necessary to repeat the whole task (for example presentations or the delivery of a training session).
You are entitled to view your results at any time by viewing them once they are uploaded on RTO Manager.
Reasonable Adjustment
AVTI supports individual differences in the learning environment and provides ‘reasonable adjustment’ in training and assessment activities to support every learner. If you have any special needs that make it difficult for you to complete your learning or assessments, you should discuss this with your assessor beforehand and will be provided with reasonable alternatives to assist you to complete the required tasks such as completing tests verbally or using an interpreter.
What happens if you do not agree with the assessment result?
If you do not think the assessment process is valid, or disagree with the decision once it is made, or believe that you have been treated unfairly, you can appeal. The first step is to discuss the matter with your trainer.
If you still do not agree with the results, refer to the AVTI Complaints and Appeals Policy and speak to the Student Services team.
Support
While we may not be in a position to assist you with language training or specific LLN training, our assessors will work with you to ensure that you are supported throughout your qualification. If you require individual tutoring this may attract an additional fee (see Student Handbook). Support may be offered by your assessor, or for more specialists support you may need to contact AVTI administration.
Plagiarism and Referencing
Plagiarism is a form of theft where the work, ideas, inventions etc. of other people are presented as your own. Information, ideas etc. quoted or paraphrased from another source, must be cited using the Harvard referencing system. Direct quotes must be acknowledged with quotation marks around the relevant words/ sentences or ideas.
You must also list the sources at the end of your assessment.
It is advisable to never copy another person’s work. Should it appear that your work has been copied or does not appear to be authentic, you will be asked to speak to your Course Coordinator and required to re-submit it. A fee may be charged according to AVTI policy. If it occurs on more than one occasion, your enrolment may be cancelled.
Contacting the RTO
If you should need further support or assistance, please do not hesitate to contact the Student Services team.
Instructions for assessment
The assessments in this workbook are divided into two categories: the Knowledge Assessment and the Practical Assessment.
The Knowledge Assessment is a set of general and workplace questions testing your knowledge and understanding of the general theory behind the unit.
You must answer all Knowledge Assessment Questions using your own words. However, you may refer to your Learner Guide and other relevant resources and learning materials to complete this assessment.
Some questions cover processes you will likely encounter in a workplace setting. Ideally, you should be able to answer these questions based on the processes that are currently in place in your workplace. However, if you do not currently have access to a workplace, then answer the questions based on processes that should be implemented in a typical workplace setting.
The Practical Assessment is made up of the Workplace Assessment. This assessment tests your practical skills with respect to the requirements of the relevant unit of competency.
The Practical Assessment requires you to complete and submit workplace documents and other documentation relevant to the unit of competency.
The evidence you submit must be your own work except where due reference is made and where you are required to submit supplementary workplace documents such as policies and procedures.
When completing the assessments included in this workbook:
Read the instructions provided in each task carefully before attempting to complete the task. The instructions will guide you on how to answer the question or complete the task satisfactorily.
Follow the steps provided in each task.
If the question instructs you to describe, provide a description as your response. If the question instructs you to list, provide a list as your response.
Where there is a number of required responses, provide the required number of responses. For example, if you are asked to list three responses, provide three responses.
Ensure that all your submissions for this assessment indicate your first and last name and that these submissions have been named according to the file naming convention prescribed in each task.
This workbook uses the following assessment method/s:
Knowledge Assessment
A set of general and workplace questions testing the candidate’s general knowledge and understanding of the general theory behind the unit.
Workplace Assessment
A set of tasks or activities completed according to set instructions and guidelines to meet the requirements of the relevant unit. These tasks and activities require you to have access to a workplace or a similar environment.
Resources Required for Assessment
The Training Organisation to provide the candidate with access to/organise the following for the candidate:
Assessor to supervise and observe candidate as they complete assessments, where required.
Workplace, or a similar simulated environment, where the candidate can complete the assessments, and that will allow them access to:
Please refer to the following simulated business portal links to access these documents:
https://compliantlearningresources.com.au/network/awesome-landscapes/projects/
You can Login to the Link by using following username and password:
Username: avtilearner
Password: [email protected]
Workplace program, with at least two projects (Note – students are to choose Project 1 as ‘Cascade Peak Bypass Project 2017’ & Project 2 as ‘Bluegum Downs Townhouses Project 2016’ and Project 3 as ‘Cascade Peak Bypass Project’ for the purposes of this assessment task).
Workplace supervisor
Program stakeholders, management, and authorities.
Policies and procedures for implementing program support protocols.
Organisation’s templates, tools, and applications (where applicable) for:
establishing systems.
Implementation of management control systems
implementation of support protocols.
securely maintaining audit documentation.
monitoring process efficiency
Workplace documents such as policies, procedures, program initiation documents, and program plans.
Information on:
program’s management control systems
program objectives and program policies.
program progress and organisational objectives
program processes and process efficiency.
organisational and external compliance requirements and audit documentation requirements
program personnel, support needs, and objectives
program’s policies and procedures and processes for maintaining audit documentation
legislative requirements relevant to maintaining audit documentation.
systems used for supporting the implementation
decision-making processes followed and outcomes against program objectives
alternative program management systems
types of effective program policy
ways to support the implementation of future programs
Feedback from program stakeholders on support needs and on program governance.
Opportunity to:
Implement management control systems within the program.
Monitor process efficiency of one process in two separate instances.
Generate audit documentation and securely maintain this audit documentation, including:
Documents from the planning of the audit.
Audit checklist/s used in the audit.
Procedures followed during the audit
Report summarising the findings of the audit.
Implement support protocols.
The candidate will need access to:
Computer with Internet, email access, and a working web browser
Installed software: MS Word, Adobe Acrobat Reader
ASSESSMENT DECLARATION SHEET
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Student Name: |
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Student ID: |
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Contact Number: |
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Email: |
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Trainer / Assessor Name: |
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Qualification: |
BSB60720 – Advanced Diploma of Program Management |
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Unit of Competency: |
BSBPMG635 Implement program governance |
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Assessment: |
ASSESSMENT 1-Kknowledge questions ASSESSMENT 2-Practical Assessment |
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Due Date: |
Date Submitted: |
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If your assessment is being submitted after the due date, please attach a copy of the written confirmation of extension received from your assessor. |
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Declaration: |
I have read and understood the following information at the beginning of this assessment (please tick): |
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☐ Assessment information ☐ Submitting assessments ☐ Plagiarism and referencing |
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I declare this assessment is my own work and where the work is of others, I have fully referenced that material. |
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Name (please print) |
Signature |
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aSSESSMENT 1-Knowledge Assessment
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Listed below are different types of program controls. For each type: Explain their purpose. Provide one example of their use. Identify one technique used within this program control. |
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Program control |
Purpose |
One example of their use |
One technique used |
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Risk management |
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Stakeholder engagement |
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Document control |
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Answer the following questions about audit and compliance requirements in program management. |
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Explain the function of an audit in program management.
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List two areas that may be audited in program management.
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Explain the function of compliance requirements in program management.
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Provide one example of how compliance requirements are used in program audits.
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Answer the following questions about decision-making processes in the program context. |
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List three analytical tools you can use when analysing problems as part of decision-making processes.
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Explain the application of these analytical tools in decision-making processes in the program context.
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List three methods you can use when asking others’ opinion in decision-making processes.
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How are program authorities used in decision-making processes?
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Listed below are methods used to support skill development. Describe each method and explain how they can be used in program management. |
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Methods |
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How they are used in program management |
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Coaching |
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Shadowing |
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Training |
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Assessment 1: Knowledge Assessment– Result Sheet |
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Student’s name: |
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Student ID: |
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Assessor’s name: |
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Unit of competency: |
BSBPMG635 Implement program governance |
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Question |
Response |
Comment |
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Satisfactory |
Not Satisfactory |
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Feedback to student:
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Student’s overall performance is: |
☐ Satisfactory |
☐ Not Satisfactory |
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Is re-assessment required? |
☐ Yes |
☐ No |
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Assessor’s signature: |
Date: |
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ASSESMENT 2-Practical Assessment
Candidate Instructions
The Practical Assessment is a set of tasks that must be completed in a workplace or in an environment with conditions similar to that of a real workplace.
This assessment will help you demonstrate skill requirements relevant to implementing project governance.
The Practical Assessment includes the following:
Assessment Simulation
A set of tasks or activities completed according to set instructions and guidelines to meet the requirements of the relevant unit. These tasks and activities require you to have access to a workplace or a similar simulated environment.
Workplace Information
Details of the Program You are Undertaking for This Assessment
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The tasks included in this Assessment Simulation must be completed within the context of a program you are managing. For your assessor’s reference, complete the table below by providing the required details and information of the program you are undertaking for this assessment. |
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Candidate’s name |
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Workplace/organisation |
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Program name |
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State/territory where the program is being undertaken |
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Overview of the program |
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Projects associated with this program |
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Candidate’s role/title in this program |
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Program sponsor/client |
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Assessment Simulation
Overview
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The goal of this assessment is to assess your practical knowledge and skills in: Facilitating effective decision making and accountability Implementing systems and methods Ensuring program compliance Enabling program support services The Assessment Simulation is divided into 15 tasks: Task 1.1 – Negotiate and Agree on Roles and Responsibilities Task 1.2 – Document Agreed Accountabilities Task 1.3 – Confirm Program Accountabilities Task 1.4 – Make Complex Decisions using Analytical Techniques Task 2.1 – Establish Systems and Processes Task 2.2 – Implement Management Control Systems Task 2.3 – Monitor Process Efficiency Task 3.1 – Identify Organisation and External Compliance Requirements Task 3.2 – Generate and Maintain Audit Documentation Task 3.3 – Report on Compliance Task 3.4 – Rectify Non-Compliance Task 4.1 – Identify Support Needs of Management and Internal Personnel Task 4.2 – Establish Support Systems Task 4.3 – Implement Program Support Protocols Task 4.4 – Document Lessons Learned The Assessment Simulation tasks must be completed for a workplace program consisting of at least two projects. Each task comes with a set of instructions. You are to follow and perform these instructions while being observed by the assessor and submit any required documentation. Before starting this assessment, your assessor will also discuss these tasks with you, as well as instructions and guidance for satisfactorily completing them. They will also organise the resources required for this assessment (listed below). You are required to: Complete the tasks within the time allowed, as scheduled in-class roll. Review the instructions in each task included in this Assessment Simulation. Facilitate effective decision making and accountability Implement systems and methods Ensure program compliance Enable program support services Perform the workplace task according to the instructions provided. Complete and submit any required documentation. Resources required for assessment: The Training Organisation to provide the candidate with access to/organise the following for the candidate: Assessor to supervise and observe candidate as they complete assessments, where required. Workplace, or a similar simulated environment, where the candidate can complete the assessments, and that will allow them access to: Please refer to the following simulated business portal links to access these documents: https://compliantlearningresources.com.au/network/awesome-landscapes/projects/
You can Login to the Link by using following username and password: Username: avtilearner Password: [email protected]
Workplace program, with at least two projects (Note – students are to choose Project 1 as ‘Cascade Peak Bypass Project 2017’ & Project 2 as ‘Bluegum Downs Townhouses Project 2016’ and Project 3 as ‘Cascade Peak Bypass Project’ for the purposes of this assessment task). Workplace supervisor Program stakeholders, management, and authorities. Policies and procedures for implementing program support protocols. Organisation’s templates, tools, and applications (where applicable) for: establishing systems. Implementation of management control systems implementation of support protocols. securely maintaining audit documentation. monitoring process efficiency Workplace documents such as policies, procedures, program initiation documents, and program plans. Information on: program’s management control systems program objectives and program policies. program progress and organisational objectives program processes and process efficiency. organisational and external compliance requirements and audit documentation requirements program personnel, support needs, and objectives program’s policies and procedures and processes for maintaining audit documentation legislative requirements relevant to maintaining audit documentation. systems used for supporting the implementation decision-making processes followed and outcomes against program objectives alternative program management systems types of effective program policy ways to support the implementation of future programs Feedback from program stakeholders on support needs and on program governance. Opportunity to: Implement management control systems within the program. Monitor process efficiency of one process in two separate instances. Generate audit documentation and securely maintain this audit documentation, including: Documents from the planning of the audit. Audit checklist/s used in the audit. Procedures followed during the audit Report summarising the findings of the audit. Implement support protocols. |
Part I. Facilitate Decision Making and Accountability
1.1 Negotiate and Agree on Roles and Responsibilities
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Meet with key program stakeholders to negotiate and agree on clear program roles and responsibilities while being observed by your assessor. You will be assessed on: Practical knowledge of program roles and responsibilities and decision-making roles. Practical skills relevant to negotiating clear program roles and responsibilities and decision-making roles with relevant stakeholders. Record the minutes of your discussion with key program stakeholders. Use your organisation’s template for documenting meeting minutes, or you may use the Generic Meeting Minutes template provided along with this workbook. Before starting this task, review the Assessment Simulation Task 1.1 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the minutes of your discussion with the relevant program stakeholders to your assessor. |
1.2 Document Agreed Accountabilities
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Document the program accountabilities as agreed in the meeting conducted in Task 1.1. Document them in the: Stakeholder Analysis RACI Matrix These documents must clearly identify each key stakeholder: Program objectives Interests Expectations Influence Program roles, including decision making roles Refer to your meeting minutes from Task 1.1. to help you develop the stakeholder analysis and RACI Matrix. Use your organisation’s template for documenting stakeholder interests, expectations, roles and responsibilities, or you may use the Generic Stakeholder Analysis and RACI Matrix templates provided along with this workbook. You will be assessed on: Practical knowledge of program objective, stakeholder interests and expectations, and roles and responsibilities. Practical skills relevant to documenting agreed decisions and accountabilities to support program objectives. Before starting this task, review the Assessment Simulation Task 1.2 – Assessor’s Checklist provided along with this workbook. This form lists the criteria your submission must address to complete this task satisfactorily. |
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Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: A copy of the Stakeholder Analysis you prepared. A copy of the RACI Matrix you prepared. |
1.3 Confirm Program Accountabilities
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While being observed by your assessor, meet with relevant program stakeholders to review the Stakeholder Analysis and RACI Matrix you developed in Task 1.2. Refer to your Stakeholder Analysis and RACI Matrix during the meeting. You will be assessed on: Practical knowledge of program objective, stakeholder interests and expectations, and roles and responsibilities. Practical skills relevant to communicating and confirming roles and responsibilities to all relevant stakeholders. Record the minutes of your discussion with relevant program stakeholders. Use your organisation’s template for documenting meeting minutes, or you may use the Generic Meeting Minutes template provided along with this workbook. Before starting this task, review the Assessment Simulation Task 1.3 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the practical skills listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the minutes of your meeting with relevant program stakeholders to your assessor. |
1.4 Make Complex Decisions using Analytical Techniques
Part II. Implement Systems and Methods
2.1 Establish Systems and Processes
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Establish two systems for managing the program in accordance with the program objectives. One system you establish must be a program records and configuration system, while the other must relate to one of the following: Communication Cost management Decision-making Project management Reporting. Each system you establish must have associated processes, and each process must be supported by a relevant program policy and must have established criteria for process efficiency. For the purpose of this assessment, you must submit evidence that you have established one process for each of the two systems. Use your organisation’s templates, tools, and applications (where applicable) for establishing systems. Secure documentation from your establishment of these systems and processes. Document your completion of this task using the Systems and Processes Template provided along with this workbook. You will be assessed on: Practical knowledge of program management systems and processes, program objectives, and program policies. Practical skills relevant to establishing systems and processes. Before starting this task, review the Assessment Simulation Task 2.1 – Assessor’s Checklist provided along with this workbook. This form lists the criteria your submissions must address to complete this task satisfactorily. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: Completed Systems and Processes template Your workplace supervisor must complete and sign the Supervisor Declaration sections in this template. Evidence of establishing System 1. At a minimum, this must include the following consolidated in a folder: Copy of at least one process documented for this system and its criteria for process efficiency. Copy of the relevant program policy supporting this process Other supporting documents such as, but not limited to: Screenshot of the system (if it is set up using an application) Roles and responsibilities Minutes from meetings with program stakeholders discussing or reviewing this system. Forms and templates to be used in the implementation of this system and its processes. Evidence of establishing System 2. At a minimum, this must include the following consolidated in a folder: Copy of at least one process documented for this system Copy of the relevant program policy supporting this process Other supporting documents such as, but not limited to: Screenshot of the system (if it is set up using an application) Roles and responsibilities Minutes from meetings with program stakeholders discussing or reviewing this system Forms and templates to be used in the implementation of this system and its processes. |
2.2 Implement Management Control Systems
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While being observed by your assessor, implement two management control systems for monitoring program progress against organisational objectives. Management control systems relate to: Administration Implementation and change Performance management Risk Safety and security Strategy and planning Technology How you will perform this task will depend on the management control systems that are in place in the program you are undertaking for this assessment. Secure documentation from your implementation of these management control systems, e.g. meeting minutes, memorandum, process documents you followed, forms and templates you completed in implementing these control systems, etc. You will be assessed on: Practical knowledge of management control systems and organisational objectives. Practical skills relevant to implementing management control systems. Practical skills relevant to monitoring program progress against organisational objectives. Before starting this task, review the Assessment Simulation Task 2.2 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. |
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After completing this task, submit the following to your assessor: Copy of organisational objectives Documentation from your implementation of Management Control System 1 Documentation from your implementation of Management Control System 2 |
2.3 Monitor Process Efficiency
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While being observed by your assessor, monitor the process efficiency of one process in two separate instances. Process efficiency may be monitored through: Non-value adds costs and time Quality costs Resource utilisation Total processing time. How you will perform this task will depend on the process you will monitor as well as your organisation’s procedures for monitoring process efficiency. Use your organisation’s templates, tools, and applications (where applicable) for monitoring process efficiency. You will be assessed on: Practical knowledge of process efficiency and program processes. Practical skills relevant to monitoring process efficiency. Before starting this task, review the Assessment Simulation Task 2.3 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: Documentation from your monitoring (Instance 1) Documentation from your monitoring (Instance 2) The documentation you will submit may include but are not limited to meeting minutes, screenshots of program/project management applications, reports summarising your findings from monitoring process efficiency, etc. |
Part III. Ensure Program Compliance
3.1 Identify Organisation and External Compliance Requirements
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Identify the following: Organisational compliance requirements relevant to the program External compliance requirements relevant to the program Audit records that need to be maintained in compliance with relevant legislative requirements Document the above in the Audit Records and Compliance Requirements Report template provided along with this workbook. Have your supervisor complete and sign the Supervisor Declaration section of this report. You will be assessed on: Practical knowledge of organisational and external compliance requirements relevant to the program Practical knowledge of audit records and legislative requirements relevant to audit records. Before starting this task, review the Assessment Simulation Task 3.1 – Assessor’s Checklist provided along with this workbook. This form lists the criteria your submissions must address to complete this task satisfactorily. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit your completed Audit Records and Compliance Requirements Report to your assessor. |
3.2 Generate and Maintain Audit Documentation
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Generate and consolidate documentation from audits conducted within the program. For this assessment, you are not required to perform the actual audits. However, you are required to generate the documentation from these audits. Audit documentation must include: Documents from the planning of the audit. Audit checklist/s used in the audit. Procedures followed during the audit Report summarising the findings of the audit. While being observed by your assessor, securely maintain these audit documents according to relevant legislative requirements. You will be assessed on: Practical knowledge of audit documentation. Practical skills relevant to consolidating and securely maintaining audit documentation. Before starting this task, review the following checklists provided along with this workbook: Assessment Simulation Task 3.2 – Observation Form This form lists all the practical skills you need to demonstrate while completing this task. Assessment Simulation Task 3.2 – Assessor’s Checklist This form lists the criteria your submissions must address to complete this task satisfactorily. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form and Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. |
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After completing this task, submit the following to your assessor: Folder containing the audit documentation. This must include: Documents from the planning of the audit. Audit checklist/s used in the audit. Procedures followed during the audit Report summarising the findings of the audit. |
3.3 Report on Compliance
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While being observed by your assessor, meet with key program stakeholders and authorities to present information and key findings from the audits conducted. At a minimum, during this meeting, you must: Report on compliance and non-compliant behaviours. Report on compliance and non-compliant processes. Report on compliance and non-compliant products. Identify actions to rectify these non-compliances. Distribute copies of the audit documentation to key program stakeholders and authorities during this meeting. You will be assessed on: Practical knowledge of audit information, documentation, and key findings. Practical skills relevant to presenting and distributing audit documentation to key program stakeholders and authorities. Practical skills relevant to identifying actions to rectify non-compliances. Before starting this task, review the Assessment Simulation Task 3.3 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. |
3.4 Rectify Non-Compliances
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While being observed by your assessor, implement the actions you identified to rectify the following: Non-compliant behaviours Non-compliant processes Non-compliant products. How you will perform this task will depend on the actions you identified as well as processes in place within your program for rectifying non-compliances. Secure documentation from your implementation of these actions, e.g., meeting minutes, revised processes and procedures, rectification reports, etc. You will be assessed on: Practical knowledge of non-compliances and actions for rectifying them. Practical skills relevant to implementing actions to rectify non-compliances. Before starting this task, review the Assessment Simulation Task 3.4 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: Documentation of implementing actions to rectify non-compliant behaviours. Documentation of implementing actions to rectify non-compliant processes. Documentation of implementing actions to rectify non-compliant products. |
Part IV. Enable Program Support Services
4.1 Identify Support Needs of Management and Internal Personnel
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Meet with program management and program stakeholders to identify any issues they are facing and the supports they need to overcome those issues while being observed by your assessor. Use your organisation’s template for recording the meeting minutes, or you may use the Generic Meeting Minutes templates provided along with this workbook. You will be assessed on: Practical skills relevant to identifying management and internal personnel support needs for the program. Practical skills relevant to identifying ways to support program implementation. Before starting this task, review the Assessment Simulation Task 4.1 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while holding the meeting. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the minutes of your discussion with the relevant program stakeholders to your assessor. |
4.2 Establish Support Systems
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Based on the outcomes of your meeting in Task 4.1, establish two support systems for program personnel to meet program needs. Use your organisation’s templates, tools, and applications (where applicable) for establishing systems. Secure documentation from your establishment of these systems. This must include: Screenshot of the system (if it is set up using an application) Roles and responsibilities Copies of processes to be followed within this system Minutes from meetings with program stakeholders discussing or reviewing this system. Document your completion of this task using the Support Systems Template provided along with this workbook. You will be assessed on: Practical knowledge of program needs and support systems for program personnel to meet these needs. Practical skills relevant to identifying ways to support the implementation of the program. Practical skills relevant to establishing support systems for program personnel to meet these needs. Before starting this task, review the Assessment Simulation Task 4.2 – Assessor’s Checklist provided along with this workbook. This form lists the criteria your submissions must address to complete this task satisfactorily. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: Completed Support Systems template Your workplace supervisor must complete and sign the Supervisor Declaration sections in this template. |
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Evidence of establishing Support System 1. At a minimum, this must include the following consolidated in a folder: Screenshot of the system (if it is set up using an application) Roles and responsibilities Minutes from meetings with program stakeholders discussing or reviewing this system. Copies of processes to be followed within this system Forms and templates to be used in the implementation of this system and its processes. Evidence of establishing Support System 2. Screenshot of the system (if it is set up using an application) Roles and responsibilities Minutes from meetings with program stakeholders discussing or reviewing this system. Copies of processes to be followed within this system Forms and templates to be used in the implementation of this system and its processes. |
4.3 Implement Program Support Protocols
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While being observed by your assessor, implement two program support protocols within an organisation according to your organisation’s policies and procedures. How you will perform this task will depend on the support protocols that are in place in the program you are undertaking for this assessment. Secure documentation from your implementation of program support protocols. You will be assessed on: Practical knowledge of program support protocols. Practical knowledge of organisational policies and procedures. Practical skills relevant to implementing program support protocols. Before starting this task, review the Assessment Simulation Task 4.3 – Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task. Your assessor will also: Organise workplace resources required for you to complete this assessment. Provide you with a copy of the organisation’s policies and procedures for your reference and explain these policies to you. Discuss with you the requirements listed in the Observation Form prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the following to your assessor: Documentation of implementing program support protocol 1 Documentation of implementing program support protocol 2 Copies of organisational policies and procedures you followed in implementing these protocols. |
4.4 Document Lessons Learned
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Reflect on program governance and identify and document how it can be improved in future programs. You may also seek feedback from relevant program stakeholders to complete this task. Use your organisation’s template for documenting the lessons learned, or you may use the Generic Lessons Learned template provided along with this workbook. At a minimum, your lessons learned must cover: Evaluation of systems for supporting the implementation Comparing decision making processes and outcomes against program objectives Identifying alternative program management systems Comparing types of effective program policy Ways to support the implementation of future programs You will be assessed on: Practical skills relevant to evaluating systems for supporting implementation. Practical skills relevant to evaluating outcomes to identify improvement opportunities. Practical skills relevant to identifying ways to support program implementation. Before starting this task, review the Assessment Simulation Task 4.4 – Assessor’s Checklist provided along with this workbook. This form lists the criteria your submission must address to complete this task satisfactorily. Your assessor will also: Organise workplace resources required for you to complete this assessment. Discuss with you the requirements listed in the Assessor’s Checklist prior to the assessment. Address your queries and concerns regarding this task. After completing this task, submit the completed Lessons Learned to your assessor. |
Assessment Workbook Checklist
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TO THE CANDIDATE When you have completed this assessment workbook, review your work, and ensure that: ☐ You have completed all the Knowledge Assessments Questions. ☐ You have completed the Practical Assessments in this workbook: ☐ Assessment Simulation ☐ Task 1.1 ☐ Task 1.2 ☐ Task 1.3 ☐ Task 1.4 ☐ Task 2.1 ☐ Task 2.2 ☐ Task 2.3 ☐ Task 3.1 ☐ Task 3.2 ☐ Task 3.3 ☐ Task 3.4 ☐ Task 4.1 ☐ Task 4.2 ☐ Task 4.3 ☐ Task 4.4 ☐ You have saved and submitted the following evidence: ☐ This completed workbook ☐ Assessment Workbook Cover Sheet signed and scanned ☐ Assessment Simulation Task 1.1 ☐ Meeting minutes ☐ Assessment Simulation Task 1.2 ☐ Program stakeholder analysis ☐ RACI Matrix ☐ Assessment Simulation Task 1.3 ☐ Meeting minutes ☐ Assessment Simulation Task 1.4 ☐ Copies of analytical techniques used to analyse at least two issues ☐ Assessment Simulation Task 2.1 ☐ Completed Systems and Processes template ☐ Evidence of establishing System 1 and 2 ☐ Assessment Simulation Task 2.2 ☐ Copy of organisational objectives ☐ Documentation from their implementation of Management Control System 1 and 2 ☐ Assessment Simulation Task 2.3 ☐ Documentation from your monitoring (Instances 1 and 2) ☐ Assessment Simulation Task 3.1 ☐ Assessment Simulation Task 3.1 – Assessor’s Checklist ☐ Assessment Simulation Task 3.2 ☐ Folder containing the audit documentation. ☐ Assessment Simulation Task 3.4 ☐ Documentation of implementing actions to rectify non-compliant behaviours, processes, and products. ☐ Assessment Simulation Task 4.1 ☐ Meeting Minutes ☐ Assessment Simulation Task 4.2 ☐ Completed Support Systems template ☐ Evidence of establishing Support Systems 1 and 2. ☐ Assessment Simulation Task 4.3 ☐ Documentation of implementing program support protocols 1 and 2. ☐ Copies of organisational policies and procedures they followed in implementing these protocols. ☐ Assessment Simulation Task 4.4 ☐ Lessons Learned Documentation IMPORTANT: You must achieve a satisfactory result in ALL assessment tasks to be deemed COMPETENT for the unit/s relevant to this workbook. To be deemed competent in the unit/s of competency relevant to this workbook, you must successfully complete all the requirements listed above according to the prescribed benchmarks provided to the assessor. |
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TO THE ASSESSOR When you have completed assessing the assessment workbook, review the candidate’s submissions against the checklist below: ☐ The candidate has completed all the Knowledge Assessments Questions. ☐ The candidate has completed the Practical Assessments in this workbook: ☐ Assessment Simulation ☐ Task 1.1 ☐ Task 1.2 ☐ Task 1.3 ☐ Task 1.4 ☐ Task 2.1 ☐ Task 2.2 ☐ Task 2.3 ☐ Task 3.1 ☐ Task 3.2 ☐ Task 3.3 ☐ Task 3.4 ☐ Task 4.1 ☐ Task 4.2 ☐ Task 4.3 ☐ Task 4.4 ☐ The candidate has saved and submitted the following evidence: ☐ This completed workbook ☐ Assessment Workbook Cover Sheet signed and scanned ☐ Assessment Simulation Task 1.1 ☐ Meeting minutes ☐ Assessment Simulation Task 1.2 ☐ Program stakeholder analysis ☐ RACI Matrix ☐ Assessment Simulation Task 1.3 ☐ Meeting minutes ☐ Assessment Simulation Task 1.4 ☐ Copies of analytical techniques used to analyse at least two issues ☐ Assessment Simulation Task 2.1 ☐ Completed Systems and Processes template ☐ Evidence of establishing System 1 and 2 ☐ Assessment Simulation Task 2.2 ☐ Copy of organisational objectives ☐ Documentation from their implementation of Management Control System 1 and 2 ☐ Assessment Simulation Task 2.3 ☐ Documentation from your monitoring (Instances 1 and 2) ☐ Assessment Simulation Task 3.1 ☐ Assessment Simulation Task 3.1 – Assessor’s Checklist ☐ Assessment Simulation Task 3.2 ☐ Folder containing the audit documentation. ☐ Assessment Simulation Task 3.4 ☐ Documentation of implementing actions to rectify non-compliant behaviours, processes, and products. ☐ Assessment Simulation Task 4.1 ☐ Meeting Minutes ☐ Assessment Simulation Task 4.2 ☐ Completed Support Systems template ☐ Evidence of establishing Support Systems 1 and 2. ☐ Assessment Simulation Task 4.3 ☐ Documentation of implementing program support protocols 1 and 2. ☐ Copies of organisational policies and procedures they followed in implementing these protocols. ☐ Assessment Simulation Task 4.4 ☐ Lessons Learned Documentation IMPORTANT: The candidate must achieve a satisfactory result in ALL assessment tasks to be deemed COMPETENT for the unit/s relevant to this workbook. To be deemed competent in the unit/s of competency relevant to this workbook, the candidate must successfully complete all the requirements listed above according to the prescribed benchmarks. |
ASSESSMENT 2: PRACTICAL Assessment- Result Sheet |
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Student’s name: |
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Student ID: |
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Assessor’s name: |
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Unit of competency: |
BSBPMG635 Implement program governance |
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Did the student satisfactorily: |
Yes |
No |
Comments |
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Practical Assignment |
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Workplace Assessment |
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Task 1.1 |
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Task 1.2 |
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Task 1.3 |
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Task 1.4 |
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Task 2.1 |
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Task 2.2 |
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Task 2.3 |
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Task 3.1 |
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Task 3.2 |
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Task 3.3 |
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Task 3.4 |
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Task 4.1 |
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Task 4.2 |
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Task 4.3 |
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Task 4.4 |
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Rules of Evidence |
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All knowledge and skills evidence submissions are valid |
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All knowledge and skills evidence submissions are authentic |
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All knowledge and skills evidence submissions are sufficient |
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All knowledge and skills evidence submissions are current |
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Feedback to student:
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Student’s overall performance is: |
☐ Not Satisfactory |
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Is re-assessment required? |
☐ Yes |
☐ No |
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Assessor’s signature: |
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Date: |
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