Assessment 2 Part a Compliance




Assessment 2 Part a Compliance

Assessment 2 Part a – Research

1.Compliance requirements relevant to the organisation (from Assessment 1, Part A)

Records Management

Records must be kept for at least 5 years until they are no longer needed. This is a government policy for every company to follow. If this policy is not followed it will be a violation of government laws and destruction of evidence.

Accounts and Finance (include ATO Compliance)

Making sure that the measurements are reliable and proper is another government policy. No bias or taking sides should be done when preparing the measure.

Workplace Safety

All employers are responsible for their employees and are liable for fines if they are not complying with the OHS standards for workplace safety. The risks of a government must be reduce as much as possible to ensure that the employees are not in any danger or risk.

Human Resources Management

This means that the HR management team is responsible for assigning people, tasks that they would be the most effective.

2.Specification of compliance management functions, accountabilities and responsibilities within the organisation

3.Compliance related management information systems (from Assessment 1, Part B)

Information management is a method of managing files and documents to be stored and stored until they may need to be recovered again. It should be the simplest and easiest way to recover the files if they are ever needed. This means that they should be sorted in a very simple and effective system.

Information must be kept for at least 5 years until they are no longer needed. This is a government policy for every company to follow. If this policy is not followed it will be a violation of government laws and destruction of evidence.

4.Record keeping systems required for compliance management (from Assessment 1, Part B)

Record keeping must be done as the same way as any important information which is to keep them for at least 5 years. The records must also be managed well and have sufficient security.

5.Liaison procedures with relevant internal and external personnel on compliance related matters, for example, workplace safety consultation procedures

  • Employees who do not comply with the duty of care are liable for up to $10,000 – $20,000 depending on if this causes death or serious injury.
  • Making sure that all employees understand what is a breach of compliance will give them better understandings and remove the chance of them not knowing it was a breach.
  • Supervisor must monitor the employees all the time.
  • 6.Breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

  • Create application for compliance
  • Assess the application for legitimacy and validity
  • Judge the assessment
  • Publish the judgment and start operating the judgement.
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    Assessment 2 Part a Compliance
    Last updated: Feb 2024

    Page 1

    lish the judgment and start operating the judgement.

  • Information capture or Information Analysis
  • Judgement on the risks assessment and Compliance
  • Regulatory Response on the Compliance
  • Regulatory Judgement
  • 7.Compliance reporting procedures

  • The compliance will be audited by a professional auditor.
  • Then the auditor will check all areas of compliances such as employees, organisational and financial compliances.
  • The compliances are then reported in an audit form.
  • Lastly the audit form is reviewed.
  • 8.Corporate induction and training processes related to compliance management

    9.Processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system

    The information about the compliance requirements are generally provided to employees when they are first inducted and trained. They will have sufficiently knowledge to do their job well and comply with the government and organisational goals. Any new compliance requirements will either be emailed, talked about in a meeting, or written in a notice board or forum.

    10.Compliance complaints handling systems

  • The problem is hard to deal have to let the customer know it quite take the time to fix it and make them feel like we try to fix this problem.
  • Collect the complaint and every the end of the year , review the complaint to the staff and make sure they know every weakness
  • Deal the problem that the customer or someone complain about anything , fix the problem that they want the organisation to fix by team meeting , brainstorming, conference etc.
  • The complaint can tell the organisation about the weakness so if it is about the staff , they should give the training to the staff to know how to fix the problem and train them to work better and get less complaint in the future.
  • Record the complaint in the system of the organisation (eg. Who did complain ?, how did they complain, when did they complain, what did they complain and list the number to deal the problem .
  • If fix the complaint already , have to call the customer for getting the feedback to make sure the problem or complaint is fixed already and they feel better with the fixing.
  • 11.Continuous improvement processes for compliance including monitoring, evaluation and review

  • Improving the employees will help build the business as a whole.
  • If a experienced worker has left, make sure that company can find someone that can try to fill in with the same experience or more.
  • Give employees constant training and guidance for them to improve more.
  • Try to create group tasks which…
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    Assessment 2 Part a Compliance
    Last updated: Feb 2024

    Page 2

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