Reference no: EM133168122

BSBPMG635 Implement program governance

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.

Assessment - Knowledge Assessment

1. Listed below are different types of program controls. For each type:
i. Explain their purpose.
ii. Provide one example of their use.
iii. Identify one technique used within this program control.

2. Answer the following questions about audit and compliance requirements in program management.
i. Explain the function of an audit in program management.
ii. List two areas that may be audited in program management.
a.
b.
iii. Explain the function of compliance requirements in program management.
iv. Provide one example of how compliance requirements are used in program audits.

3. Answer the following questions about decision-making processes in the program context.

i. List three analytical tools you can use when analysing problems as part of decision-making processes.
a.
b.
c.

ii. Explain the application of these analytical tools in decision-making processes in the program context.

iii. List three methods you can use when asking others' opinion in decision-making processes.
a.
b.
c.
iv. How are program authorities used in decision-making processes?

4. Listed below are methods used to support skill development. Describe each method and explain how they can be used in program management.

Methods
i. Coaching
ii. Shadowing
iii. Training

Assesment - Practical Assessment

Part I. Facilitate Decision Making and Accountability
1.1 Negotiate and Agree on Roles and Responsibilities
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
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.

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
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
You are required to:
• use one analytical technique to investigate and identify effective solutions to resolve program issues relevant to complex priorities, and
• use another analytical technique to investigate and identify effective solutions to resolve program issues relevant to competing demands.
Analytical techniques include Ishikawa Diagram, Pareto Analysis, Root Cause Analysis, Risk Analysis, Decision Matrix. Ensure to select the most appropriate analytical techniques for each issue to be analysed.
Use your organisation's analytical tools and templates, or you may use the Generic Templates (5Why Template, Decision Matrix, Ishikawa Diagram etc.) provided along with this workbook.
You will be assessed on:
• Practical knowledge of analytical tools and techniques used in decision-making processes in the program context.
• Practical skills relevant to making decisions regarding complex priorities and competing demands using repeatable methods.
Before starting this task, review the Assessment Simulation Task 1.4 - 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:
• Copy of the analytical technique used to analyse a program issue relevant to solving complex priorities
• Copy of the analytical technique used to analyse a program issue relevant to solving competing demands
Your submissions must show that you have collectively used two different analytical techniques.

Part II. Implement Systems and Methods
2.1 Establish Systems and Processes
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:
o Copy of at least one process documented for this system and its criteria for process efficiency.
o Copy of the relevant program policy supporting this process
o Other supporting documents such as, but not limited to:
o Screenshot of the system (if it is set up using an application)
o Roles and responsibilities
o Minutes from meetings with program stakeholders discussing or reviewing this system.
o 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:
o Copy of at least one process documented for this system
o Copy of the relevant program policy supporting this process
o Other supporting documents such as, but not limited to:
o Screenshot of the system (if it is set up using an application)
o Roles and responsibilities
o Minutes from meetings with program stakeholders discussing or reviewing this system
o Forms and templates to be used in the implementation of this system and its processes.

2.2 Implement Management Control Systems
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 theAssessment 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.

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
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
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
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.

After completing this task, submit the following to your assessor:
• Folder containing the audit documentation. This must include:
o Documents from the planning of the audit.
o Audit checklist/s used in the audit.
o Procedures followed during the audit
o Report summarising the findings of the audit.

3.3 Report on Compliance
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
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
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
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.
• Evidence of establishing Support System 1.
At a minimum, this must include the following consolidated in a folder:
o Screenshot of the system (if it is set up using an application)
o Roles and responsibilities
o Minutes from meetings with program stakeholders discussing or reviewing this system.
o Copies of processes to be followed within this system
o Forms and templates to be used in the implementation of this system and its processes.
• Evidence of establishing Support System 2.
o Screenshot of the system (if it is set up using an application)
o Roles and responsibilities
o Minutes from meetings with program stakeholders discussing or reviewing this system.
o Copies of processes to be followed within this system
o Forms and templates to be used in the implementation of this system and its processes.

4.3 Implement Program Support Protocols
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 theAssessment 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
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.