Assessment 3 BSBCOM603 -333




Assessment 3 BSBCOM603 -333

BSBCOM603 – Assessment Task 3


Summarise content, results of monitoring.

  • Compliance monitoring
  • Compliance monitoring and compliance auditing aim to establish whether a process or procedure is carried out in conformance with relevant external requirements, whether set through legislation, regulations or directions. It involves examining, at a fairly straightforward level.

    Public offices should regularly assess their conformity with the obligations of the State Records Act and the associated standards and codes of best practice to ensure that the organisation is compliant and that issues of non-compliance are corrected.

    Compliance monitoring activities can range from:

  • assessing compliance with obligations in the State Records Act
  • assessing the records management program
  • assessing recordkeeping
  • assessing the management of records, and
  • assessing records management system and business systems that create and capture records.
  • Documenting compliance monitoring activities is an important component in demonstrating the organisation’s compliance with the State Records Act and associated standards and codes of best practice. Public offices may be asked about their monitoring activities by other organisations with an interest in good records management or when responding to follow up on a recordkeeping:

    Accurate, up-to-date records of the organization’s compliance activities should be maintained to assist in the monitoring and review process and demonstrate conformity with the compliance program.

    Organisations can monitor their compliance by:

  • using the 
  • assessing compliance against the requirements of each standard issued by State Records
  • benchmarking against previous records management self assessment surveys or audit results to assess improvements or to identify issues of non compliance
  • undertaking a compliance audit using internal auditors or an external party to provide an independent assessment of the organisation’s records management program, practices and systems.
  • using the services of a consultant, internal or external auditors, or the Internal Audit to conduct compliance monitoring activities.

    Create a compliance system to control employee who need to follow the policy

    For example

    risk management policy

    Make sure that employee need to conduct the training , or the evacuation plan to minimise the risk or control it properly.

    sexual harassment policy

    When a complaint is received, the sexual harassment contact will:

  • obtain and record a full, step-by-step account of the incident/s
  • ensure the organisation’s process for handling the complaint is understood
  • ascertain the complainant’s preferred outcome, e.g. an apology, the behaviour to cease, a change in working arrangements
  • ......

    Assessment 3 BSBCOM603 -333
    Last updated: Feb 2024

    Page 1

    behaviour to cease, a change in working arrangements

  • agree on the next step: informal resolution or formal investigation
  • keep a confidential record of all details of this discussion and subsequent steps in the process.
  • Reports of sexual harassment will be treated promptly, seriously and confidentially. Complainants have the right to determine how a complaint will be treated. They also have the right to have a supporter or representative chosen by them involved in the process and the option to stop the process at any time.

    The alleged harasser also has the right to have a supporter or representative chosen by them present when he/she responds to the allegations made.

    credit card policystrictly follow the policy and No flexible

    ●expense reimbursement

    Record management system

    financial handling policy

    bookkeeper conduct about her staff update training and professional development

    expenses policy

    Make sure there is more paper work for payroll about pay rate change

    equal employment opportunity policy

    Make sure the manager treat every staff fairly and the same

    ● work health and safety policy.

    Everyone will be safe in the workplace by create a contingency plan for unexpected situation


    The regular monitoring of records, recordkeeping, and an organisational records management program, is beneficial for all public sector organisations.  Monitoring ensures that records are managed according to best practice, and in efficient and effective ways that meet the business needs of the organisation and the requirements of Government.  Monitoring should also go beyond a mere assessment of conformity with requirements and actively assist organisations to embed good recordkeeping practices and processes and develop organisational capacity.

    Technical Monitoring

    Technical monitoring concerns itself with the issues of individual pieces of equipment or software. It focuses on the function of the object under review, rather than the role that such an object plays in the system that it is part of.

    It may be just my skewed viewpoint, but I find that technical monitoring is by far the largest category of the three. Most tools monitoring tools were designed to perform functions in this category of monitoring.

    Technical monitoring tries to find out what is wrong, and how do we fix it?

    Many system operators make the mistake of thinking that technical monitoring also answers the question whether there is a problem in their system or not. It is an understandable mistake, because in many cases when there is a problem, it also shows up in the technical monitors. In some cases, however, it does not. And this is when miscommunication is likely to occur.

    When an…


    Assessment 3 BSBCOM603 -333
    Last updated: Feb 2024

    Page 2

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