IMPORTANT



RPL Assessor Kit

BSB40407

Certificate IV in Small Business Management

Editable version

Skills First RPL Assessor Kits are developed by the State of Queensland (Department of Education, Training and the Arts) and are based on the Skills First philosophy of providing client focussed, streamlined, and flexible RPL.

The State of Queensland (Department of Education, Training and the Arts) is the copyright owner of material contained within the original RPL Assessor Kit.

Permission is given to Registered Training Organisations to use, reproduce and adapt this RPL Assessor Kit for their organisation’s RPL assessment purposes, provided such use, reproduction or adaptation is for non-commercial purposes.

The State of Queensland (Department of Education, Training and the Arts) disclaims any liability for any damage resulting from the use of the material (in either original or modified format) and will not be responsible for any loss, howsoever arising, from use of, or reliance on this material.

The original version of this RPL Assessor Kit is available free of charge at



If you would like any further information, please email rpl@deta..au

Candidate’s Kit

|HOW TO USE THIS RPL ASSESSOR KIT |

This RPL Assessor Kit is divided into sections to allow you to easily access only those sections you require at any given time. These sections are:

SECTION A – Assessor Information

You need to read this information before conducting an assessment. It outlines the intent and processes surrounding this RPL assessment and how it differs from assessment undertaken following formal training.

SECTION B – Candidate Information and Application Forms

You give this information to the candidate. It tells them about the assessment process as well as containing simple forms for the applicant to fill out. From the information provided by the candidate on these forms, you will be able to gain a general understanding of the skills and experience the candidate may have, as well as potential referee contacts.

SECTION C – Competency Conversation and Record of Conversation Sheets

You use this section to determine and record candidate competence via a competency conversation. In other words, these questions guide your conversation with the applicant and assist in your assessment of their competence. The notes you take about this conversation are important evidence for assessment.

SECTION D – Practical Tasks and Observation Recording Sheets

You use this section to assess competencies through a practical demonstration of the candidate’s skills. It contains practical tasks/scenarios on the outcomes required to determine competency and a place to record your observation. The notes you take are important evidence for assessment.

SECTION E – Resources for Practical Tasks

You use this section to access required resources for performing practical tasks and scenarios.

SECTION F – Third Party Verification

You give this section to the referees to confirm the candidate’s skills and experience in this qualification/occupation. The referees may fill out the appropriate form and return to you to confirm your judgement. You may be able to complete this part of evidence gathering in person while at the workplace.

SECTION G – Assessment Tables

You use this table as a reference tool to see at a glance how units/elements of competency are assessed within the tool. All the elements and performance criteria within the competency units are cross-matched in this table with a corresponding assessment question/task/scenario. This allows you to validate the assessment process against the qualification.

SECTION A

Assessor Information

It is VITAL you read this information prior to commencing your RPL assessment. It provides generic information on assessment, as well as an overview of this streamlined RPL assessment process.

|ADVICE FOR ASSESSORS |

This RPL Assessor Kit streamlines the RPL assessment process for Certificate IV in Small Business Management by taking a practical approach to RPL and increasing the use of on-site questioning and observation. This will assist in developing a “picture of the candidate’s skills and knowledge”. This picture can then be compared with industry standards enabling a determination of whether the candidate has achieved the required outcomes.

IMPORTANT ASPECTS TO REMEMBER:

A sound knowledge of assessment and the qualification is essential

It is important to have a good understanding of the competencies and qualification/s appropriate to the candidate’s goals.

Assessing a single unit of competency is rarely cost or time effective. Where possible, effort should be made to assess several units at the same time taking advantage of any commonality in content. This means looking at the whole picture of a particular job role as it happens in industry and assessing holistically. This saves valuable time in the assessment process.

Assessment involves judgement

This tool encourages the use of a “competency conversation” to maximise the candidate’s opportunities to demonstrate competence. This is NOT an oral exam. It is about using the two or three holistic questions provided to start a conversation with the candidate which draws out their actual individual experiences and relevant skills. In other words, it is about the assessor probing the candidate through a conversation to draw out further information on the candidate’s experience which may not be forthcoming due to nerves or confusion over technical terminology.

The tool also provides observable tasks to allow candidates to demonstrate skills.

Authentication/verification is integral to RPL assessment

It is critical information gleaned from the interview and observation be confirmed with those who can vouch for the candidate’s skill over time. Supervisors would generally perform this role. Authentication may also be done through conversation but it cannot be stressed enough that it is essential assessors take careful notes to back up and record their judgement.

Recording assessment is critical

Keep careful records of all aspects of conversations, skills demonstration or documentation viewed that support the claim of prior learning. Remember – the record is the document that makes sense of the assessment and why a particular judgment was made. Keeping detailed notes about the candidate’s response is vital, as is the rationale for judgement.

The assessment record is a legal document and must be signed, dated and stored according to requirements of the State Training Authority and the AQTF Standards for Registered Training Organisations.

Assessor summaries and other quality assurance documentation from your own Registered Training Organisation will also be required. For examples of assessment summary documentation, please see Assessment Guide Number 1: Training Package Assessment Materials Kit:



To access further information on the principles assessment and dimensions of competency, you can visit Assessment Guide Number 1: Training Package Assessment Materials Kit.



To access further information on the Australian Qualifications Framework, you can visit:



Employability Skills

Assessment of a candidate’s employability skills should be integrated into the assessment of their technical skills and knowledge. Where possible, employability skills have been embedded within the bank of questions and practical assessment tasks in this RPL Assessor Kit. Therefore, assessors should make and document holistic judgements about a candidate’s attainment of employability skills as part of the RPL assessment. For more information about the employability skills requirements for particular qualifications, refer to the training package.

To access further general information on employability skills, refer to Employability Skills: From framework to practice, at:



|COMPETENCIES IN THIS RPL ASSESSOR KIT |

Certificate IV in Small Business Management

CORE UNITS

|Unit Code |Unit Title |Questions |Practical |

|BSBSMB401A |Establish legal and risk management requirements of small business | | |

|BSBSMB402A |Plan small business finances | | |

|BSBSMB403A |Market the small business | | |

|BSBSMB404A |Undertake small business planning | | |

ELECTIVE UNITS

|Unit Code |Unit Title |Questions |Practical |

|BSBCRT501A |Originate and develop concepts | | |

|BSBCUS401A |Coordinate implementation of customer services strategies | | |

|BSBCUS402A |Address customer needs | | |

|BSBEBU401A |Review and maintain a website | | |

|BSBFIA402A |Report on financial activity | | |

|BSBINN301A |Promote innovation in a team environment | | |

|BSBMKG413A |Promote products and services | | |

|BSBMKG414A |Undertake marketing activities | | |

|BSBRES401A |Analyse and present research information | | |

|BSBPMG510A |Manage projects | | |

|BSBREL401A |Establish networks | | |

|BSBREL402A |Build client relationships and business networks | | |

|BSBSMB405A |Monitor and mange small business operations | | |

|BSBSMB406A |Manage small business finances | | |

|BSBSMB407A |Manage a small team | | |

|BSBSMB408A |Manage personal, family, cultural and business obligations | | |

|BSBSMB409A |Build and maintain relationships with small business stakeholders | | |

|OVERVIEW OF RECOGNITION PROCESS |

This RPL Assessor Kit has been developed to streamline the application for recognition of prior learning.

|RPL ASSESSMENT PROCESS FLOWCHART FOR ASSESSORS |

|STEPS IN THE RPL PROCESS |

1. Complete application

The candidate completes the application forms in SECTION B. It is important candidates provide as much information of their previous experience in the small business industry as is available.

Documents that may be available include but are not limited to:

← any licences

← brief CV or work history

← certificates/results of assessment

← indentures/trade papers

← certificates/results of assessment – interstate/overseas

← certificates/results of assessment – universities

← results/statement of attendance/certificates – vendor training courses, in-house courses, workshops, seminars, symposiums

← results/statements of attendance/ certificates – club courses e.g. first aid, officials, surf life saving, etc

← tickets held eg forklift, crane, etc

← photographs of work undertaken

← diaries/task sheets/job sheets/log books

← site training records

← site competencies held record membership of relevant professional associations

← hobbies/interests/special skills outside work

← references/letters from previous employers/supervisors

← industry awards

← any other documentation that may demonstrate industry experience

Candidates also need to provide contact details for one or two referees who can confirm their industry skills in context and over time.

To have skills formally recognised under the Australian Qualifications Framework, you must ensure the candidate’s skills meet industry standards.

2. Interview about candidate’s documentary information

Review the information provided by the candidate and arrange a time for both you and the candidate to discuss. Begin alignment of documentation and skills to the following qualification:

BSB40407 Certificate IV in Small Business Management

The candidate will have the opportunity to discuss and identify previous experience with you. The available documents are step one in collecting information and you will need to determine which units of competency, if any, are fully covered at this stage. You use your own or your RTO’s assessment recording forms to record this stage of the assessment.

There may be instances where the candidate has little, or no, documentary information of industry experience. This is not a barrier to gaining recognition. This will just require you to rely on the questioning, practical assessment and referee validation phases of the RPL process.

3. Questions for the Competency Conversation

The bank of questions in SECTION C is the next phase in collecting evidence for the RPL process. The questions are designed to enable you to have a “competency conversation” with the candidate to further gain evidence of their past experience. REMEMBER, the primary focus is on the candidate’s experience.

Each question has “key points” to look for in responses. You may use the list of key points to formulate questions of your own if you wish, or contextualise the question to the candidate’s particular work situation. The Record of Conversation sheets indicate relevant content that should be sought. Place a tick next to each key point as you hear this topic being discussed during the conversation. You should read the “industry requirements” of each competency before the candidate answers the questions posed. You may also target the assessment to those aspects that present the greatest risk in the industry. Questions are aligned with the relevant unit/s of competency in SECTION G.

It is not intended every question for all competencies is asked, only those competencies the initial interview about the candidate’s documentary evidence has failed to fully address. The question bank covers most but not all units in the kit. Units without questions are covered in the practical assessment/scenario section.

4. Practical assessment tasks

It is important that you use both Steps 3 (Questioning) and 4 (Practical Assessment) in doing this assessment. The RPL process is a streamlined RPL process which does not rely solely on practical assessment but uses a combination of questioning and practical to provide evidence of candidate competence.

This is the third phase in collecting evidence. A practical skills test is then conducted by you at the candidate’s workplace or another suitable venue. Appropriate permission must be sought before entering workplaces.

This is a further opportunity for candidate to demonstrate competence. It is expected the practical assessment will comprise only those competencies the candidate is still unable to demonstrate knowledge/experience in after documentary review and questioning have been applied. These assessments contain the practical skills and application of knowledge for the qualification. A number of holistic practical assessments are included in this kit (SECTION D) to assist you with tasks suitable for observation on the job.

You decide if the response to questions and practical assessment tasks fulfils the requirements of the standard and may choose to pursue the issue further for a determination to be made. The assessment is a conversation/observation, not an exam, and you are encouraged to assist candidates to focus responses toward relevant issues.

Assessing through observation and questioning, particularly on the job, will speed up and streamline the RPL assessment process.

NOTE: Where candidate’s documentation and questions meet the assessment requirement, it is still strongly recommended the candidate undertake one practical assessment so you are confident in making a judgement of “competent”. The practical assessment selection should be negotiated between you and the candidate.

Recording sheets for candidate information, questioning and the practical assessments have been included in SECTION D. You may use other recording mechanisms provided these also keep a complete record of assessment and justification of judgement. Candidate responses, observations of skills demonstrated and documents presented as evidence must be noted in enough detail so anyone external to the process (e.g. a fellow assessor, auditor, lawyer, etc) can read the record and retrace your judgement.

5. Gap training

RPL is an assessment process designed to show areas of competence and to identify IF a candidate has gaps in skills and knowledge against a whole qualification.

Not all candidates will have skill/knowledge gaps.

If a candidate has skills gaps, a pathway to complete training in the outstanding units can be negotiated to assist the client to gain the full qualification.

|EVIDENCE REVIEW |

Recognition of prior learning outcomes (both Granted and Not Granted) are now funded nationally and as such will be included in National AVETMISS audits. NCVER have stipulated evidence recording requirements for RPL assessments as a minimum requirement for passing an AVETMISS audit. The following “Evidence Review” proforma has been approved by NCVER as covering AVETMISS audit requirements for RPL recorded outcomes. It also gives you an opportunity to track a student’s assessment progress at a glance.

It is expected that this “Evidence Review” summary sheet (or similar) would be attached to each participant’s evidence compiled during the RPL assessment process.

(Place a tick in the appropriate evidence collection method column for each unit of competency. Place a line through those units not examined as part of this RPL assessment.)

|Unit Code |Unit Title |Questions |Practical |Documents |3rd Party |Other |

| | | | | |Report |evidence |

|BSBSMB401A |Establish legal and risk management requirements of small business| | | | | |

|BSBSMB402A |Plan small business finances | | | | | |

|BSBSMB403A |Market the small business | | | | | |

|BSBSMB404A |Undertake small business planning | | | | | |

|BSBCRT501A |Originate and develop concepts | | | | | |

|BSBCUS401A |Coordinate implementation of customer services strategies | | | | | |

|BSBCUS402A |Address customer needs | | | | | |

|BSBEBU401A |Review and maintain a website | | | | | |

|BSBFIA402A |Report on financial activity | | | | | |

|BSBINN301A |Promote innovation in a team environment | | | | | |

|BSBMKG413A |Promote products and services | | | | | |

|BSBMKG414A |Undertake marketing activities | | | | | |

|BSBRES401A |Analyse and present research information | | | | | |

|BSBPMG510A |Manage projects | | | | | |

|BSBREL401A |Establish networks | | | | | |

|BSBREL402A |Build client relationships and business networks | | | | | |

|BSBSMB405A |Monitor and mange small business operations | | | | | |

|BSBSMB406A |Manage small business finances | | | | | |

|BSBSMB407A |Manage a small team | | | | | |

|BSBSMB408A |Manage personal, family, cultural and business obligations | | | | | |

|BSBSMB409A |Build and maintain relationships with small business stakeholders | | | | | |

Assessor’s Name:

Assessor’s Signature:

Date:

SECTION B

Candidate Information and Application Forms

You give this information to the candidate for them to read about the RPL process and to complete the appropriate forms.

|WHAT DOES IT MEAN TO BE RECOGNISED IN |

|Certificate IV in Small Business Management |

For most units at Certificate IV level, candidates are required to have a high level of knowledge of their own work role and the policies and procedures of the organisation. Accuracy, attention to detail and a high level of written and spoken communication skills are considered essential at this level.

Working in Small Business at this level requires a positive attitude to the job, ethical behaviour and a respect for client confidentiality. For most units of competency in the Certificate IV level candidates are required to have knowledge of their own work role and policies and procedures of the organisation. Accuracy, attention to detail, written and spoken communication skills are essential to the position.

To gain recognition of units for the certificate you need to be able to demonstrate that you can currently do or possess skills in areas relating to each unit of competency. Some examples of skills you might be asked to demonstrate are:

• a sound working knowledge of relevant legislation and codes of practices for the business services industry to ensure compliance;

• sound knowledge of organisational policies and procedures;

• business and finance planning;

• ability to support and develop other team members;

• implement customer service strategies;

• manage promotions;

• manage operations;

• knowledge of products and services and promotional activities;

• maintaining financial records; and

• performing other general business duties

“If you are doing these roles in your job, then don’t write off your skills – consider getting them recognised”.

|TIPS AND HINTS TO HELP YOU PREPARE FOR RECOGNITION |

To have skills formally recognised in the national system, assessors must make sure you have the skills and knowledge to meet the industry standard. This means you must be involved in a careful and comprehensive process that covers the content of all unit/s or qualification/s you can be recognised for.

Assessment happens in a variety of ways. Being prepared can save you valuable time and hassle and make the recognition process stress-free for you.

Here are some tips and hints for you:

1. Be prepared to talk about your job roles and your work history. Bring a resume or jot down a few points about where you have worked, either paid or unpaid, and what you did there.

2. Bring your position description and any performance appraisals you have from any small businesses, shops or facilities you have worked in.

3. Consider the possibilities for workplace contact. Are you in a workplace that is supporting your goals to get qualified? Would you feel comfortable to have the assessor contact your workplace or previous workplaces so your skills can be validated?

4. Think about who can confirm your skill level. Think about current or recent supervisors who have seen you work in the past 18 months and will be able to confirm your skills. The assessor will need to contact them. You may also have community contacts or even clients themselves who can vouch for your skills level.

5. Collect any certificates from in-house training or formal training you have done in the past.

6. You can speak with your training organisation about other ways you can show your skills in small business management. These could be letters from employers, records of your professional development sessions, employers or clients in related industries or government agencies, acknowledgements, workplace forms (as long as they don’t show client details) or other relevant documents.

|STEPS IN THE RPL PROCESS |

Step 1 – Provide information of your skills and experience

Complete the attached forms and provide as much information of your previous experience in small business management as you can. This is your first opportunity (and not the last) to provide proof of your variety of experience in the industry. Here you can supply examples of your work history which could include:

General employment documents

← brief CV or work history

← position descriptions

← certificates/results of assessment

← details of in house courses, workshops, seminars, orientation or induction sessions

← references/letters from previous employers/supervisors

Workplace documents

← any licences

← brief CV or work history

← certificates/results of assessment

← indentures/trade papers

← certificates/results of assessment – interstate/overseas

← certificates/results of assessment – universities

← tickets held eg forklift, crane, etc

← photographs of work undertaken

← diaries/task sheets/job sheets/log books

← site training records

← site competencies held record

← membership of relevant professional associations

← hobbies/interests/special skills outside work

← references/letters from previous employers/supervisors

← industry awards

← any other documentation that may demonstrate industry experience

Depending on the industry you have worked in, you may or may not have documentary evidence available. This should not deter you from seeking RPL as the Assessor will work with you during the RPL process.

You will also need to supply contact details of one or two work referees who can confirm your skills in the industry.

Step 2 – Conversation with Assessor

An assessor will review the information you have provided (usually with you) and begin to match up your skills to the units/subjects in the qualification. At this point, you will have the opportunity to discuss and identify your previous experience with the assessor who will understand your industry experience and conduct a competency conversation with you. You will be required to answer small business management related questions to identify your current skills.

Step 3 – Practical demonstration of your skills

The assessor will conduct a practical skills test at your workplace (if appropriate) or at another suitable venue. This, again, is an opportunity to demonstrate your level of competence. This assessment will be focussed on skills that are required in the qualification. Your assessor will identify the skills that he/she will want you to demonstrate.

Further steps

After the assessment, your assessor will give you information about the skills that have been recognised and whether you have gained the full qualification. If you do have skill gaps, these may be addressed through flexible training.

|APPLICATION – Self Assessment Questionnaire |

|BSB40407 Certificate IV in Small Business Management |

Candidate Name: Date Completed:

Please identify your level of experience in each competency.

|Unit Code |Unit Title |I have performed these tasks |

| | |Frequently |Sometimes |Never |

|CORE UNITS |

|BSBSMB401A |Establish legal and risk management requirements of small business| | | |

|BSBSMB402A |Plan small business finances | | | |

|BSBSMB403A |Market the small business | | | |

|BSBSMB404A |Undertake small business planning | | | |

|ELECTIVE UNITS |

|BSBCRT501A |Originate and develop concepts | | | |

|BSBCUS401A |Coordinate implementation of customer services strategies | | | |

|BSBCUS402A |Address customer needs | | | |

|BSBEBU401A |Review and maintain a website | | | |

|BSBFIA402A |Report on financial activity | | | |

|BSBINN301A |Promote innovation in a team environment | | | |

|BSBMKG413A |Promote products and services | | | |

|BSBMKG414A |Undertake marketing activities | | | |

|BSBRES401A |Analyse and present research information | | | |

|BSBPMG510A |Manage projects | | | |

|BSBREL401A |Establish networks | | | |

|BSBREL402A |Build client relationships and business networks | | | |

|BSBSMB405A |Monitor and mange small business operations | | | |

|BSBSMB406A |Manage small business finances | | | |

|BSBSMB407A |Manage a small team | | | |

|BSBSMB408A |Manage personal, family, cultural and business obligations | | | |

|BSBSMB409A |Build and maintain relationships with small business stakeholders | | | |

Candidate Signature: Date:

|RPL APPLICATION FORM |

Applicant Details:

|1. Occupation you are seeking recognition in | |

|2 Personal Details |

|Surname | |

|Preferred Title (Mr, Mrs, Ms, Miss) | |

|First Name/s | |

|Any other name used | |

|Home Address | |

| | |

|Postal address if different from above | |

| | |

|Telephone Numbers |Home: |Work: |

| |Mobile: |Fax: |

|Date of Birth | / / |

|Gender |MALE ( / FEMALE ( |

|Age | |

|Are you a permanent Resident of Australia |YES ( / NO ( |

|3 Current Employment |

| |YES ( / NO ( |

|Are you currently employed? | |

| |……………………………………………………… |

|If Yes, in which occupation are you currently employed? | |

| | |

|Who is your current employer? |………………………………………………………. |

|4. Armed Forces details (If Applicable) |

|Branch of Service | |

|Trade classification on discharge | |

|5. Further Training |

|Have you undertaken any training courses related to the |YES ( / NO ( |

|occupation applied for? | |

|If Yes | |

|What occupation were you trained in? | |

|Training completion Date (month, year) | |

|Country where you trained | |

|Name of course and institution (if applicable) | |

|6. Is there any further information you wish to give in| |

|support of your application | |

| | |

| | |

| | |

| | |

| | |

| | |

| | |

|7. Professional Referees (relevant to work situation) |

| | |

|Name |…………………………………………………………………… |

| | |

|Position |…………………………………………………………………… |

| | |

|Organisation |…………………………………………………………………… |

| | |

|Phone Number |…………………………………………………………………… |

| | |

|Mobile Number |…………………………………………………………………… |

| | |

|Email Address |…………………………………………………………………… |

| | |

|Name |…………………………………………………………………… |

| | |

|Position |…………………………………………………………………… |

| | |

|Organisation |…………………………………………………………………… |

| | |

|Phone Number |…………………………………………………………………… |

| | |

|Mobile Number |…………………………………………………………………… |

| | |

|Email Address |…………………………………………………………………… |

|APPLICANT EMPLOYMENT HISTORY FORM |

|Name, Address and Phone |Period of Employment |Position Held |Full Time |Description of Major Duties |

|number of Employers |(DD/MM/YYYY) | |Part-time | |

| | | |Casual | |

| |From |To | | | |

|1. | | | | | |

| | | | | | |

|2. | | | | | |

| | | | | | |

|3. | | | | | |

| | | | | | |

|4. | | | | | |

| | | | | | |

Attach additional sheet if required

If you are including documents in your application, please provide a brief description below

|Document Description |Office Use Only – Assessor to use this section to align documents to specific |

|(e.g. resume, photos, awards etc) |units of competency and identify key questions for competency conversation |

| | |

| | |

| | |

| | |

| | |

Declaration

I declare that the information contained in this application is true and correct and that all documents are genuine.

Candidate Signature: Date

SECTION C

Competency Conversation and Record of Conversation Sheets

This section assists the assessor in documenting the competency conversation.

Do NOT give this section to the candidate.

Once you have assessed the candidate’s documentary information and determined which competencies you still require more information/evidence on, you use the question bank and Record of Conversation sheets in this section to document evidence of past experience. It is not intended that every question for all competencies be discussed during the conversation, only those competencies the initial documentary review has failed to fully address.

Each question has “key points” to look for in responses. You may use the list of key points to formulate questions of your own if you wish, or contextualise or rephrase the suggested question to the candidate’s particular work situation. The questions are not intended to be a formal ‘script’ for the assessor to follow, but to provide guidance in exploring the range of the candidate’s skills, knowledge and experience in performing a particular task or function.

The Record of Conversation sheets indicate relevant content that should be sought. Place a tick next to each key point as you hear this topic being discussed during the conversation. In doing so, you are making a statement of fact about what you hear the candidate say during the competency conversation. Use the Comments section to provide further detail about the context of the discussion or briefly outline any examples discussed by the candidate. You may also use the Comments section to make a brief analysis of the responses or summary judgements about the quality of the candidate’s responses in relation to the requirements of the competency standard.

Remember, the notes you take about this conversation are important evidence and should be retained in the candidate’s assessment record.

|QUESTION BANK |

Note to Assessors: Refer to “Record of Conversation” sheets

|Unit of Competency |Question |

|BSBSMB401A |Discuss the range of legislative requirements your business complies with. How have you maintained compliance and what |

|Establish legal and |records have you kept as proof of compliance? |

|risk management |What type of contracts do you have in place for your business and how did you arrange these? |

|requirements of small | |

|business | |

|BSBSMB402A |In preparing a financial plan, what factors did you consider that could potentially have impacted on the business |

|Plan small business |finances? |

|finances |Explain how you have identified financial requirements of the business and acquired finance in line with your financial |

| |plan. |

|BSBSMB403A |In developing your marketing plan to promote the business, what marketing strategies did you decide were best suited and|

|Market the small |how did you identify these strategies? |

|business |Discuss your marketing mix and how you monitor marketing activities to ensure success and identify improvements. |

|BSBSMB404A |Discuss the factors you consider when developing your business plan and why it is important to have a plan. |

|Undertake small |In implementing your business plan, how have you monitored business performance to ensure you meet your goals and |

|business planning |objectives? |

| |What risk management strategies have you integrated in your plan? |

|BSBCRT501A |How have you identified concerns within your organisation? |

|Originate and develop |What methods do you use to encourage collaboration/participation form all stakeholders to develop creative solutions to |

|concepts |the issues? |

| |How do you turn creative ideas into operational plans? |

|BSBCUS401A |Discuss a recommendation you made to management to improve on meeting customer needs. What methods did you use to |

|Coordinate |assess customer needs? |

|implementation of |Outline your organisations policy and procedure on implementing customer service and how you have monitored it and put |

|customer service |it into practice. |

|strategies |How does your organisation promote and encourage good customer service? |

|BSBCUS402A |Provide an example of a special need you identified with a customer. How did you help them evaluate their needs? |

|Address customer needs |Explain how maintaining a business network has helped you, your customers and your organisation. |

|BSBEBU401A |How do you ensure the information on the company website is current and meets the goals of the business? |

|Review and maintain a |What steps do you take to up date and maintain the website? |

|website | |

|BSBFIA402A |What financial information are you required to report on? |

|Report on financial |How do you prepare the information for reporting? |

|activity |Explain the process you use to complete BAS statements. |

|BSBINN301A |Discuss a change to work practices implemented in your workplace. How was the need for change identified and how did |

|Promote innovation in a|you contribute to the implementation of the change? |

|team environment |What methods have you used to gather information on the effect of change and how have you presented this information? |

| |Describe an innovative idea you have had to improve work practices. What guidelines did you follow when considering the|

| |idea and how did you source feedback on the idea? |

|BSBMKG413A |Describe the products and services offered by your organisation and discuss how you keep your knowledge current on these|

|Promote products and |products and services. |

|services |Tell me about a promotional activity you have planned and coordinated including the planning process, personnel and |

| |resource allocation and how you used your networks to ensure the success of the activity. |

| |In advising on promotional activities of products/services, what types of advice have you provided and what data did you|

| |base your advice on? |

| |What types of feedback has you company collected on promotional activities of products and services and how was the |

| |feedback used to plan future activities? |

|BSBMKG414A |Discuss a marketing activity you have planned and managed. How did you evaluate the outcomes of the activity? |

|Undertake marketing |What information have you or your organisation gained from reviewing marketing activities? |

|activities | |

|BSBRES401A |Describe a presentation (oral or written) you have completed in your workplace and how you prepared it. How did you |

|Analyse and present |evaluate the effectiveness of the presentation? |

|research information |Discuss how you have applied research skills to gather information for a presentation. |

|BSBPMG510A |Discuss an example of a project you have managed and how you formulated your project plan. |

|Manage Projects |In administering a project plan, how have you managed risk? |

| |What information have you collected at the final review of a project and how was it used to plan for future projects? |

|BSBREL401A |Discuss how you develop networks and maintain professional relationships. |

|Establish networks | |

|BSBREL402A |What skills do you use in building relationships with a diverse range of clients and how do you foster that |

|Build client |relationship? |

|relationships and |In what ways do you participate in and contribute to your businesses networks? |

|business networks | |

|BSBSMB405A |What is the process you have used to develop operational strategies and procedures? |

|Monitor and manage |How do you monitor the effectiveness of the strategies and procedures? |

|small business |What are the implementation strategies you use when changes are made due to your monitoring process? |

|operations | |

|BSBSMB406A |How do you develop and implement your businesses financial plan? |

|Manage small business |How do ensure your financial plan is working for your business goals and objectives? |

|finances | |

|BSBSMB407A |What factors have you considered when planning to recruit staff? |

|Manage a small team |Describe a time you employed a new staff member and the induction and training process you undertook. |

| |Explain how you have managed staffing to ensure consistent business operations. |

| |Outline how you have managed your team to maximise performance outcomes. How have you handled poor performance? |

|BSBSMB408A |What are the implications of family, community, cultural obligations/commitments on the business? |

|Manage personal, |What strategies do you have in place to ensure workers have work/life balance and are able to meet their |

|family, cultural and |obligations/commitments? |

|business obligations |How do you manage a negative impact on the business due to workers outside obligations/commitments? |

|BSBSMB409A |How do you make sure that the relationships you have with key stakeholders is appropriate for your small business? |

|Build and maintain |How does the structure of your organisation contribute to the development of key stakeholder relationships? |

|relationships with | |

|small business | |

|stakeholders | |

|RECORD OF CONVERSATION |

|BSBSMB401A Establish legal and risk management of small business |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 1: Discuss the range of legislative requirements your business complies with. How have you maintained compliance and what records have you kept as proof of compliance?

Question 2: What type of contracts do you have in place for your business and how did you arrange these?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 1 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Planning and other permissions | | |

| |Environmental legislation | | |

| |Enterprise policy and procedure | | |

| |Insurance requirements | | |

| |EEO and Anti-discrimination Legislation | | |

| |Anti-competition regulations | | |

|Industry law | | | |

|Agency law | | | |

|Property law | | | |

|Anti-trust, Consumer legislation and standards | | | |

|Torts law | | | |

|Duty of care | | | |

|EEO and Anti-discrimination legislation | | | |

|Anti-competition regulations | | | |

|Taxation including GST | | | |

|Workers compensation and public liability | | | |

|Copyright, patent trademark and design regulations | | | |

|Maintains business systems to ensure legal obligations are met | | | |

|Sets procedures for taxation | | | |

|Sources and uses legal documents | | | |

|Acquires adequate insurance | | | |

|Monitors compliance | | | |

|Investigates non-compliance areas | | | |

|Records | | | |

|Personnel HR files | | | |

|Financial records | | | |

|Taxation documents | | | |

|OHS and Environmental records | | | |

|Workers compensation and rehabilitation | | | |

|Hazardous substance register | | | |

|Material safety data sheets | | | |

|Manufacturers’ and suppliers’ information | | | |

|OHS audits and inspections | | | |

|First aid and medical; accident reports and investigations | | | |

|Plant maintenance and testing | | | |

|Instruction manual and training records | | | |

|Question 2 | | | |

|Products and services contracts | | | |

|Suppliers contracts | | | |

|Business premises contract | | | |

|Insurance policies | | | |

|Franchise contract | | | |

|Agency contract | | | |

|Seeks legal advice | | | |

|Investigates products and services | | | |

|Assesses procurement rights | | | |

|Ensure protection of business | | | |

|Investigates conditions of contracts | | | |

|Negotiates contract outcomes | | | |

|Secures contracts in line with business plan | | | |

|RECORD OF CONVERSATION |

|BSBSMB402A Plan small business finances |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 3: In preparing a financial plan, what factors did you consider that could potentially have impacted on the business finances?

Question 4: Explain how you have identified financial requirements of the business and acquired finance in line with your financial plan.

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 3 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Planning and other permissions | | |

| |Environmental legislation | | |

| |Principles of financial planning | | |

| |Contractual arrangements | | |

| |Principles of statistical analysis and | | |

| |measures of variance | | |

| |Corporations law | | |

| |Industrial law | | |

| |Taxation law | | |

|Working capital available | | | |

|Assets management | | | |

|Current economic climate | | | |

|Business goals and cash flow and growth forecast | | | |

|Government legislation and regulation | | | |

|Codes of practice and National standards | | | |

|Taxation framework and potential changes | | | |

|Competitors’ actions | | | |

|Market research | | | |

|Previous sales figures | | | |

|Duration of budget cycle (1/5 year budget) | | | |

|Fixed and variable expenses | | | |

|Seasonal trends | | | |

|Prices of goods and services and cost allocation | | | |

|Timing and timeframes | | | |

|Staffing and HR issues | | | |

|Price movements | | | |

|Question 4 | | | |

|New business | | | |

|start up costs | | | |

|non-current assets required | | | |

|Labour costs | | | |

|working capital needed | | | |

|total capital required | | | |

|Existing business | | | |

|check out current business financial standing | | | |

|labour costs | | | |

|estimates funds required | | | |

|Expanding business | | | |

|purpose of expansion funds | | | |

|estimates funds required | | | |

|add on labour costs | | | |

|considers unplanned expansion | | | |

|Uses forecasting techniques | | | |

|Identifies source of finance | | | |

|Investigates cost of securing finance | | | |

|Compares finance options | | | |

|Chooses finance based on funds required | | | |

|Viability and profit margins are established | | | |

|Prepares required documents | | | |

|Applies for finance | | | |

|RECORD OF CONVERSATION |

|BSBSMB403A Market the small business |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 5: In developing your marketing plan to promote the business, what marketing strategies did you decide were best suited and how did you identify these strategies?

Question 6: Discuss your marketing mix and how you monitor marketing activities to ensure success and identify improvements.

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 5 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Industry market trends | | |

| |Marketing principles | | |

| |Company policy and procedure | | |

|Product design and packaging | | | |

|Pricing | | | |

|Presentation and display of products/services | | | |

|Promotion and advertising | | | |

|Distribution | | | |

|Achieving lower costs of production and distribution than competitors | | | |

|Pursuing cost leadership and/or product differentiation for a specialist | | | |

|market segment | | | |

|Creating a very different product line or service so that the business becomes| | | |

|a class leader in the industry | | | |

|Conducts a SWOT analysis of products and services | | | |

|Compares prices to others in the industry | | | |

|Identifies image of services | | | |

|Evaluates of customer base and target markets | | | |

|Consults with relevant people – partners, financiers, accountant, clients, | | | |

|industry associations | | | |

|Question 6 | | | |

|Advertise in national, suburban or local newspapers | | | |

|Develop a web site | | | |

|Word of mouth, referral and testimonial | | | |

|Advertise in professional/industry journals | | | |

|Mail drops | | | |

|Display posters | | | |

|Canvassing and telemarketing | | | |

|Exhibitions | | | |

|In-store promotions | | | |

|Sponsorship | | | |

|Networking and strategic alliances | | | |

|Monitor | | | |

|Staff development and appraisal | | | |

|Monitors implementation of marketing | | | |

|Monitors budgets | | | |

|Holds review meetings with staff and stakeholders | | | |

|Implements incentive programs for staff to be involved in improving marketing | | | |

|Conducts on-going market research | | | |

|Seeks customer input – satisfaction surveys, meetings, focus groups | | | |

|Conducts sales to contact ratio and trends analysis | | | |

|RECORD OF CONVERSATION |

|BSBSMB404A Undertake small business planning |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 7: Discuss the factors you consider when developing your business plan and why it is important to have a plan.

Question 8: In implementing your business plan, how have you monitored business performance to ensure you meet your goals and objectives?

Question 9: What risk management strategies have you integrated in your plan?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 7 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Planning and other permissions | | |

| |Environmental legislation | | |

| |Risk management | | |

| |Enterprise policy and procedure | | |

|Details of ownership/management | | | |

|Proposed type, size and scale of the business | | | |

|Market focus of the business | | | |

|Marketing requirements to ensure a growing customer base (marketing mix) | | | |

|Sources of funds to start up/keep the business going/expand | | | |

|Methods of raising finance and costs involved | | | |

|Methods to develop and present tenders or quotes | | | |

|Level of risk involved – risk assessment and risk management | | | |

|Identify stages of business development – goals and objectives | | | |

|Identify business opportunities | | | |

|Outline staffing requirements | | | |

|Outline legal and legislative requirements including OHS | | | |

|Methods of operations | | | |

|Importance of planning | | | |

|Monitor financial performance | | | |

|Monitor staff performance | | | |

|Monitor marketing and promotional performance | | | |

|Seeking additional finance as needed | | | |

|Maintain constant awareness of business direction – goals and objectives | | | |

|Manage risk | | | |

|Implement operational plan | | | |

|Question 8 | | | |

|Monitors internal business targets – size, quality, quantity | | | |

|Reviews financials – wages to sales, sales to costs | | | |

|Identifies payment periods and levels | | | |

|Monitors external targets – market share and positioning | | | |

|Explores new markets – national or international trade links | | | |

|Reviews targets – short, medium, long term | | | |

|Appraises staffing skills and levels | | | |

|Question 9 | | | |

|Security systems to provide physical security of premises, plant, equipment, | | | |

|goods and services | | | |

|Security of intellectual property | | | |

|Knowledge management | | | |

|Breach of contract, product liability | | | |

|Insurance requirements – work cover, professional indemnity, liability | | | |

|Contingency plans for areas of non-compliance | | | |

|Occupational Health and Safety planning | | | |

|RECORD OF CONVERSATION |

|BSBCRT501A Originate and develop concepts |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 10: How have you identified concerns within your organisation?

Question 11: What methods do you use to encourage collaboration/participation form all stakeholders to develop creative solutions to the issues?

Question 12: How do you turn creative ideas into operational plans?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 10 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Codes of Practice | | |

| |Environmental legislation | | |

| |Indigenous laws and protocols | | |

| |Copyright and intellectual property | | |

| |Privacy and confidentiality | | |

| |Technology | | |

| |communication and teamwork | | |

|Look at current information/strategic direction | | | |

|Look at industry trends | | | |

|Market research | | | |

|Examine customer feedback | | | |

|Compare data | | | |

|Identify where there is openings for new products, improved processes and | | | |

|services, new programs | | | |

|Feasibility study | | | |

|Competition | | | |

|Question 11 | | | |

|Consultation with all involved | | | |

|Brainstorming, mind mapping, trigger words, games, vision circles, De Bono’s | | | |

|hats, sub-culture surfing etc. | | | |

|Collaborative processes which includes trialling ideas | | | |

|Evaluating ideas for suitability | | | |

|Be culturally sensitive | | | |

|Consider the environment | | | |

|Come up with foundation ideas and broader concepts | | | |

|Identify necessary resources | | | |

|Examine and recognise the feasibility of each idea | | | |

|Present the chosen strategies/concepts appropriately | | | |

|Ensure consultation is continued through the process | | | |

|Gather stakeholder feedback | | | |

|Question 12 | | | |

|Evaluate ideas and strategies for | | | |

|cost effectiveness | | | |

|Competing priorities | | | |

|Strategic directions | | | |

|Risk | | | |

|Benefits | | | |

|Technical feasibility | | | |

|Target market need | | | |

|Values/cultural fit | | | |

|Compare ideas/strategies with current quality products, programs, processes | | | |

|and services | | | |

|Identify limitations | | | |

|Seek advice where necessary | | | |

|Develop and improve proposals | | | |

|Develop implementation processes | | | |

|Have the proposals approved by appropriate people | | | |

|Evaluate the process for future innovation | | | |

|RECORD OF CONVERSATION |

|BSBCUS401A Coordinate implementation of customer service strategies |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 13: Discuss a recommendation you made to management to improve on meeting customer needs. What methods did you use to assess customer needs?

Question 14: Outline your organisations policy and procedure on implementing customer service and how you have monitored it and put it into practice.

Question 15: How does your organisation promote and encourage good customer service?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 13 | | | |

| |OHS and other relevant legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Business communication skills | | |

| |Environmental legislation | | |

| |Enterprise policies and procedures | | |

| |Customer special needs | | |

| |Business technology | | |

| |Confidentiality / privacy | | |

| |Ethical principles | | |

|Discusses recommendation – delivery times, price offer, product/service | | | |

|availability, refund/guarantee offer | | | |

|Methods to assess customer needs: | | | |

|Customer survey | | | |

|Complaint forms | | | |

|Customer database | | | |

|Customer service statistics | | | |

|Analysis of data | | | |

|Written reports | | | |

|Minutes of meetings | | | |

|Question 14 | | | |

|Expected standard of service | | | |

|Approaches the staff member should take to the customer e.g. accept full | | | |

|responsibility | | | |

|Types of issues the member can deal with themselves | | | |

|Issues that should be referred to a manager or supervisor | | | |

|Returns and refund procedure | | | |

|Dealing with a complaint about service | | | |

|Having products repaired | | | |

|Returning goods to suppliers | | | |

|Dealing with goods under warranty or guarantee | | | |

|Recording of complaints or difficulties | | | |

|Strategies to ensure customer is happy with solution e.g. offer discount on | | | |

|next purchase | | | |

|Monitor | | | |

|Reviews customer service data – surveys, complaints, questionnaires | | | |

|Identifies changes required | | | |

|Reports to designated personnel | | | |

|Makes recommendations for future strategies | | | |

|Maintains records to compare outcome including budgetary requirements | | | |

|Question 15 | | | |

|Provides clear instructions | | | |

|Documents procedures | | | |

|Inducts new staff | | | |

|Involves everyone in the process | | | |

|Sets sales targets | | | |

|Provides incentives | | | |

|Conducts training | | | |

|RECORD OF CONVERSATION |

|BSBCUS402A Address customer needs |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 16: Provide an example of a special need you identified with a customer. How did you help them evaluate their needs?

Question 17: Explain how maintaining a business network has helped you, your customers and your organisation.

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 16 | | | |

| |OHS and other relevant legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Enterprise policies and procedures | | |

| |Environmental legislation | | |

| |Ethical and moral constraints | | |

| |Australian Standards | | |

| |Effective communication | | |

|Uses appropriate and effective communication skills | | | |

|Customer requests product not in stock | | | |

|Customer requests product not stocked by your organisation | | | |

|Customer requests a service to be performed in a manner different to the | | | |

|normal service | | | |

|Customer requires alteration to a product | | | |

|Customer has difficulty understanding and speaking English | | | |

|Customer disabilities prevent them from purchasing in the usual way | | | |

|Asks questions and communicates openly with customer to understand needs | | | |

|Paraphrases and clarifies to ensure correct understanding | | | |

|Identifies options to suit customer needs | | | |

|Explains each option | | | |

|Checks customer understanding of options | | | |

|Gains agreement on which option will suit customer needs | | | |

|Question 17 | | | |

|Increases industry knowledge | | | |

|Increases skills to help customers | | | |

|Shares information with colleagues to ensure that practices/procedures are | | | |

|current | | | |

|Obtains key information for customers and others in your organisation | | | |

|Meets people with business interests in common | | | |

|Gains access to useful resources to call on | | | |

|Keeps management and customers informed about developments in the industry | | | |

|Provides the organisation with greater opportunities to do business with a | | | |

|wider circle of customers, in new regions, in new ways | | | |

|Taps into key information about new products, services | | | |

|Opportunities to form alliances to better meet customer needs | | | |

|RECORD OF CONVERSATION |

|BSBEBU401A Review and maintain a website |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 18: How do you ensure the information on the company website is current and meets the goals of the business?

Question 19: What steps do you take to up date and maintain the website?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 18 | | | |

| |OHS, anti discrimination and other | | |

| |relevant legislation | | |

| |Industry codes of practice | | |

| |Business registration and licences | | |

| |Privacy laws | | |

| |Environmental legislation | | |

| |Ethical principles | | |

| |Technology | | |

|Monitors current trends and compares to web site information | | | |

|Collect and analyse statistical data, feedback from clients | | | |

|Recommend changes | | | |

|Have changes approved | | | |

|Question 19 | | | |

|Remove old information | | | |

|Add new information | | | |

|Make appropriate changes to information | | | |

|Check information is accurate and matches that found in brochures and | | | |

|newsletter etc | | | |

|Take out services that no longer exist | | | |

|Add new services | | | |

|Ensure security procedures are followed e.g. access protocols and password | | | |

|protected areas | | | |

|Analyse faults, errors and/or complaints found in customer feedback | | | |

|Correct faults | | | |

|Add or remove pages as required | | | |

|Add or remove links as required | | | |

|Consider business goals, budgets and marketing strategies in changes | | | |

|RECORD OF CONVERSATION |

|BSBFIA402A Report on financial activity |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 20: What financial information are you required to report on?

Question 21: How do you prepare the information for reporting?

Question 22: Explain the process you use to complete BAS statements?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 20 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Financial Legislation | | |

| |Privacy laws | | |

| |Anti Discrimination Legislation | | |

| |Ethical principles | | |

| |Knowledge of Federal government taxes | | |

| |and charges | | |

| |Literacy and Numeracy skills | | |

| |Principles of double entry book keeping | | |

| |and accrual accounting | | |

|Budget variances | | | |

|Budgets and forecasts | | | |

|Profit and loss statements | | | |

|Cash flow and profit reports | | | |

|Operational statements and reports | | | |

|Wages, superannuation, work cover etc | | | |

|Investments and financing information | | | |

|Asset and liability valuations | | | |

|Question 21 | | | |

|Identify time frames | | | |

|Keep record of income and expenditure | | | |

|Calculate liabilities | | | |

|Calculate depreciation, donations, interest payments and sales tax | | | |

|Identify and include discrepancies/variances | | | |

|Make recommendations | | | |

|Compile and format report within policy and procedure | | | |

|Question 22 | | | |

|Identify the type of BAS statement | | | |

|Check period for completion | | | |

|On line or manually | | | |

|Sales for period | | | |

|GST collected | | | |

|Purchases for period | | | |

|GST paid for purchases for period | | | |

|Purchases capital or general | | | |

|Wages and PAYG withholding for the period | | | |

|Income for the period | | | |

|PAYG instalments on total sales based on ATO % | | | |

|Post or lodge online and make payments | | | |

|RECORD OF CONVERSATION |

|BSBINN301A Promote innovation in a team environment |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 23: Discuss a change to work practices implemented in your workplace. How was the need for change identified and how did you contribute to the implementation of the change?

Question 24: What methods have you used to gather information on the effect of change and how have you presented this information?

Question 25: Describe an innovative idea you have had to improve work practices. What guidelines did you follow when considering the idea and how did you source feedback on the idea?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 23 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Organisation’s strategic objectives and | | |

| |plans | | |

| |Job descriptions | | |

| |Environmental legislation | | |

| |Access and equity practices | | |

| |Enterprise policies and procedures | | |

|Management recommendation or decisions (e.g. relocation, downsizing, new | | | |

|priorities) | | | |

|Technical, market, organisational or resource changes or uncertainty | | | |

|Corporate research and development | | | |

|Organisational restructuring, staffing changes | | | |

|Introduction of new technology or products | | | |

|Continuous improvement programs | | | |

|Employee or team suggestions or interviews | | | |

|Market demands; new client base | | | |

|Analysis of qualitative/quantitative data | | | |

|Brainstorming and feedback | | | |

|Implement change | | | |

|Creates a readiness to change | | | |

|Creates shared vision and common direction | | | |

|Develops leadership and uses behaviours that advocate innovation | | | |

|Implements mentoring and coaching programs | | | |

|Builds the ability to change – prepares management, develops implementation | | | |

|plan, monitors change implementation | | | |

|Promotes participation and consultation with individuals and teams | | | |

|Encourages teams and asks for feedback | | | |

|Promotes positive attitude | | | |

|Question 24 | | | |

|Customer surveys | | | |

|Employee satisfaction | | | |

|Industrial disputes | | | |

|Supplier feedback | | | |

|Productivity measures | | | |

|Cost savings | | | |

|Market share data | | | |

|Presented | | | |

|Weekly reports | | | |

|Monthly reports | | | |

|Present to consultative groups | | | |

|Occupational health and safety meetings | | | |

|Union delegates consultation | | | |

|Financial reports | | | |

|Business and performance plans | | | |

|Question 25 | | | |

|Values contribution of others | | | |

|Integrates different points of view | | | |

|Ensures idea is realistic | | | |

|Ensures idea relates to work practices and company goals | | | |

|Ensures idea is clear, correct and complete | | | |

|Ensures idea meets company guidelines | | | |

|Identifies risk factors and potential constraints | | | |

|Provides recommendation for success of change | | | |

|Feedback | | | |

|Customer survey | | | |

|Interviews | | | |

|Comments from colleagues | | | |

|Analysis of qualitative/quantitative data | | | |

|Recommendations | | | |

|Management decisions | | | |

|Knowledge management systems | | | |

|Quality assurance data | | | |

|RECORD OF CONVERSATION |

|BSBMKG413A Promote products and services |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 26: Describe the products and services offered by your organisation and discuss how you keep your knowledge current on these products and services.

Question 27: Discuss a promotional activity you have planned and coordinated including the planning process, personnel and resource allocation and how you used your networks to ensure the success of the activity.

Question 28: In advising on promotional activities of products/services, what types of advice have you provided and what data did you base your advice on?

Question 29: What types of feedback has your company collected on promotional activities of products and services and how was the feedback used to plan future activities?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 26 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Anti-Discrimination legislation | | |

| |Ethical practices | | |

| |Environmental legislation | | |

| |Privacy and Confidentiality | | |

| |Industry standards | | |

| |Company policies and procedures | | |

| |Business communication skills | | |

| |Customer special needs | | |

| |Cultural awareness / sensitivity / | | |

| |diversity | | |

| |Profitability and viability | | |

|Describes products and services features and characteristics | | | |

|Reads product manual | | | |

|Learns about services features and offerings | | | |

|Seeks information on internet/intranet | | | |

|Talks to industry associations | | | |

|Attends conferences | | | |

|Seeks supplier information | | | |

|Researches competitors product and service information | | | |

|Question 27 | | | |

|Describes promotional activity – media announcement, employee function, client| | | |

|function, product or other launches, advertisement, web pages | | | |

|Planning | | | |

|Determines market needs of the organisation | | | |

|Determines promotional objectives | | | |

|Consults with relevant stakeholders | | | |

|Sets realistic timeframes | | | |

|Ensures cost meets budget requirements | | | |

|Uses business technology for planning and scheduling | | | |

|Personnel and resources | | | |

|Identifies personnel roles to facilitate promotion | | | |

|Allocates responsibility to personnel based on role | | | |

|Seeks agreement on roles and responsibilities | | | |

|Trains personnel as needed | | | |

|Identifies resources requirements – venues, flyers, promotion products, | | | |

|samples, demonstrations) | | | |

|Ensures availability of resources | | | |

|Develops action plan for distribution | | | |

|Checks set up of resources in advance | | | |

|Networks | | | |

|Uses networks to assist with planning and organising | | | |

|Invites contacts/clients to increase exposure | | | |

|Seeks input from industry contacts | | | |

|Promotes activity through contacts (word-of-mouth promotion) | | | |

|Seeks feedback from contacts to evaluate success of activity | | | |

|Question 28 | | | |

|Most appropriate types of promotional material | | | |

|Cost of promotional activities within budget resources | | | |

|Target groups | | | |

|Based on | | | |

|Knowledge of product/service | | | |

|Knowledge of customer group | | | |

|Customer feedback/surveys | | | |

|Sales figures/trends | | | |

|Returned goods | | | |

|Lost customers | | | |

|Complaints | | | |

|Question 29 | | | |

|Unsolicited feedback – verbal or written | | | |

|Customer surveys/questionnaires | | | |

|Suggestion box | | | |

|Feedback used to | | | |

|Repeat or improve upon what has worked well in the past | | | |

|Prepare conclusions and recommendations for continuous improvement of | | | |

|promotional activities | | | |

|Improve promotional activities | | | |

|Use financial and other resources more effectively | | | |

|RECORD OF CONVERSATION |

|BSBMKG414A Undertake marketing activities |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 30: Discuss a marketing activity you have planned and managed. How did you evaluate the outcomes of the activity?

Question 31: What information have you or your organisation gained from reviewing marketing activities?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 30 | | | |

| |Legislation | | |

| |Industry codes of practice | | |

| |Industry and national standards | | |

| |Enterprise policies and procedures | | |

| |Environmental legislation | | |

| |Business communication skills | | |

| |Marketing strategies | | |

| |Business plans and objectives | | |

|Activities | | | |

|Identifies the organisations need | | | |

|Attends a trade show or other events | | | |

|Develops displays, signs, media releases | | | |

|Implements advertising or telemarketing campaigns | | | |

|Creates website or online information | | | |

|Conducts client or supplier information sessions | | | |

|Creates promotion or information materials | | | |

|Provided samples | | | |

|Sources testimonials | | | |

|Implements | | | |

|Develops implementation or work plan | | | |

|Determines resources requirements | | | |

|Allocates roles and responsibilities | | | |

|Communicates plan and timeframes | | | |

|Monitors progress | | | |

|Evaluate | | | |

|Compares expected and actual outcomes | | | |

|Debriefs participants | | | |

|Analyses collected data – surveys, feedback | | | |

|Identifies and documents future improvements | | | |

|Reports on activity for management input | | | |

|Question 31 | | | |

|Projected client inquiries | | | |

|Projected detailed potential client follow up | | | |

|Projected sales and service levels | | | |

|Market definitions and statistics | | | |

|Market segmentation | | | |

|Target audience profiles | | | |

|Marketing problems and change requirements | | | |

|Future promotion activities | | | |

|RECORD OF CONVERSATION |

|BSBRES401A Analyse and present research information |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 32: Describe a presentation you have completed in your workplace and how you prepared it. How did you evaluate the effectiveness of the presentation?

Question 33: Discuss how you have applied research skills to gather information for a presentation.

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 32 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Anti-discrimination legislation | | |

| |Codes of Practice | | |

| |Privacy legislation | | |

| |Data management | | |

| |Information validity | | |

| |Enterprise policies and procedures | | |

| |Ethical standards | | |

| |Recording and filing procedures | | |

| |Research procedures | | |

|Identifies purpose, content, audience, relevant information | | | |

|Gathers information and organises the presentation according to audience | | | |

|needs/organisational requirements | | | |

|Identifies relevant sources of information | | | |

|Uses appropriate technology to gather, store and organise information | | | |

|Uses a variety of ways to research, collect and analyse information including | | | |

|online and non-electronic | | | |

|Considers ethical matters in collecting, using and sharing data | | | |

|Presents information in a format and using language that is suitable | | | |

|Reviews and clarifies information where necessary | | | |

|Checks accuracy of content, spelling, technical names and terminology | | | |

|Produces according to requirements including timeframes | | | |

|Presentation effectiveness | | | |

|Questions audience to check understanding | | | |

|Asks for feedback | | | |

|Completes a self assessment | | | |

|Discusses presentation with colleagues or manager | | | |

|Reviews effect on the business (2 weeks/1 month) | | | |

|Collects product/service sales data | | | |

|Question 33 | | | |

|Identifies the objectives of the research | | | |

|Reads and evaluates different type of texts, documents and information | | | |

|Uses appropriate research strategies | | | |

|Uses appropriate strategies to ensure data and information is reliable | | | |

|(including use of Boolean operators, online strategies and other tools) | | | |

|Listens to what others have to say and extracts relevant information | | | |

|Watches others and uses observations to add to data | | | |

|Questions and analyses information gathered | | | |

|Selects relevant pieces of information | | | |

|Summarises important information to be presented | | | |

|Organises information so it is easy to understand and is meaningful | | | |

|Writes up conclusions in an appropriate format to present and ensures that it | | | |

|meets organisational objectives | | | |

|Ensures findings are distributed appropriately according to organisational | | | |

|requirements | | | |

|RECORD OF CONVERSATION |

|BSBPMG510A Manage projects |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 34: Discuss an example of a project you have managed and how you formulated your project plan.

Question 35: In administering a project plan, how have you managed risk?

Question 36: What information have you collected at the final review of a project and how was it used to plan for future projects?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 34 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Anti Discrimination legislation | | |

| |Ethical principles | | |

| |Environmental legislation | | |

| |Data management | | |

| |Legislation | | |

| |Australian Standards | | |

| |Time constraints | | |

| |Information technology | | |

| |Enterprise policies and procedures | | |

|Establishes project scope, parameters and constraints | | | |

|Defines and analyses project stakeholders | | | |

|Identifies reporting relationships | | | |

|Identifies relationships to other projects in the organisation | | | |

|Identifies required resources (including human resources) | | | |

|Uses information to develop budgets | | | |

|Sources organisation project tools | | | |

|Seeks input from other functional areas | | | |

|Gains approval for project plan | | | |

|Question 35 | | | |

|Ensures project personnel are clear about roles and responsibilities | | | |

|Implements training as required | | | |

|Provides support as required | | | |

|Seeks specialist input | | | |

|Maintains records for progress reports | | | |

|Communicates frequently with stakeholders | | | |

|Identifies and evaluates risk to establish treatment | | | |

|Monitors and reviews projects systems | | | |

|Achieves project goals/aims | | | |

|Question 36 | | | |

|Contract documents | | | |

|Forms, logs, checklists completed by personnel | | | |

|Progress reports | | | |

|Performance criteria on contractors | | | |

|Process information | | | |

|Documented problems | | | |

|Prepares project completion report including future recommendations | | | |

|Reassigns staff and resources to other roles | | | |

|Reviews information against original plan and updates plan for future use | | | |

|Advises of problems faced and resolutions | | | |

|Reviews processes for more effective implementation | | | |

|Determines suitability of contractors for future projects | | | |

|Documents lessons learned | | | |

|RECORD OF CONVERSATION |

|BSBREL401A Establish networks |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 37: Discuss how you develop networks and maintain professional relationships.

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 37 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Ethical standards | | |

| |Legal requirements | | |

| |Environmental legislation | | |

| |Organisational policies and procedures | | |

| |Strategic plans | | |

| |Marketing plan | | |

|Member of professional and peak bodies | | | |

|Attends conferences/seminars | | | |

|Distributes business and marketing material | | | |

|Attends networking meetings | | | |

|Attends trade shows, pre-launch activities, exhibitions | | | |

|Participates and contribute to: | | | |

|advisory committees/reference groups | | | |

|business meetings/committees | | | |

|external agencies/ inter-agency networks | | | |

|colleagues/work team | | | |

|lobby groups/support groups/interest groups | | | |

|clients/customers/suppliers | | | |

|Uses communication and negotiation | | | |

|Conducts collaboration with networks | | | |

|Gives presentations to promote the relationship | | | |

|Gathers feedback to inform networking practices | | | |

|Seeks advice in establishing new contacts | | | |

|Establishes terms of reference, goals and objectives of the relationship | | | |

|RECORD OF CONVERSATION |

|BSBREL402A Build client relationships and business networks |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 38: What skills do you use in building relationships with a diverse range of clients and how do you foster that relationship?

Question 39: In what ways do you participate in and contribute to your businesses networks?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 38 | | | |

| |OHS legislation | | |

| |Marketing codes of practice | | |

| |Ethical standards | | |

| |Legal requirements | | |

| |Environmental legislation | | |

| |Organisational policies and procedures | | |

| |Strategic plans | | |

| |Marketing plan | | |

| |Trade Practices Act | | |

| |Privacy Confidentiality Legislation | | |

|Uses diverse range of communication techniques to meet client need | | | |

|Develops rapport | | | |

|Ability to feedback relevant information | | | |

|Opens questions and active listening | | | |

|Demonstrates awareness of cultural/physical differences | | | |

|Uses high level of literacy | | | |

|Seeks clarification | | | |

|Identifies non verbals / body language | | | |

|Uses cards, brochures, flyers | | | |

|Provides prompt and courteous client service | | | |

|Gives clients an opportunity to provide feedback | | | |

|Plans to reward clients loyalty | | | |

|Maintains regular contact | | | |

|Uses effective strategies to work around identified barriers | | | |

|Uses improvement strategies based on client feedback | | | |

|Question 39 | | | |

|Make the time to participate in networking activities | | | |

|Participate in conferences/forums/seminars/PD | | | |

|Take opportunity to develop knowledge of market and products | | | |

|Ensure communication path ways are established and open | | | |

|Approach the network for information | | | |

|Provide the network with information | | | |

|RECORD OF CONVERSATION |

|BSBSMB405A Monitor and manage small business operations |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 40: What is the process you have used to develop operational strategies and procedures?

Question 41: How do you monitor the effectiveness of the strategies and procedures?

Question 42: What strategies do you use to improve your business operations?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 40 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Quality assurance systems | | |

| |Risk management | | |

| |Environmental legislation | | |

| |Technology | | |

| |Communication skills | | |

|Analyse business goals and objectives | | | |

|Develop an action plan to provide clear direction | | | |

|Risk management strategies are applied | | | |

|Review/develop quality systems | | | |

|Develop short and long term operational targets. | | | |

|Involve staff in the process | | | |

|Apply strategies to encourage participation/collaboration | | | |

|Provide PD for staff | | | |

|Question 41 | | | |

|Implement monitoring systems such as, customer feedback, stock control, | | | |

|waste/shrinkage, expenditure/cost, risk management | | | |

|Maintain staffing numbers and skills mix. | | | |

|Ensure cost, time and quality requirements | | | |

|Follow legal, ethical, cultural and technical standards in the provision of | | | |

|services | | | |

|Track performance to goals and objectives | | | |

|Question 42 | | | |

|Review strategic and business plan | | | |

|Research business opportunities | | | |

|Review systems | | | |

|Review policy and procedure | | | |

|Provide PD for staff | | | |

|Use the data collected to inform changes | | | |

|Keep accurate records | | | |

|Implement remedial action | | | |

|Researches and analyses information about new business opportunities | | | |

|RECORD OF CONVERSATION |

|BSBSMB406A Manage small business finance |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 43: How do you develop and implement your businesses financial plan?

Question 44: How do ensure your financial plan is working for your business goals and objectives?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 43 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Risk management | | |

| |Awards/tax and superannuation | | |

| |Environmental legislation | | |

| |Communication skills | | |

| |Insurance requirements | | |

| |Technology | | |

| |Legal and legislated requirements | | |

| |Principles of book keeping | | |

|Develop financial plan according to business goals and objectives | | | |

|Gather relevant financial information for reports and distribution | | | |

|Enlist professional services as required | | | |

|Develop projected budgets for the period | | | |

|Develops clear credit policies and procedures and collection of debt | | | |

|Keep accurate records for statutory reporting | | | |

|Consult/collaborate with key stakeholders | | | |

|Set key performance indicators | | | |

|Reporting requirements | | | |

|Question 44 | | | |

|Monitor and review policies and procedures | | | |

|Track performance against business plans | | | |

|Evaluate and analyse financial ratios | | | |

|Measure the success of marketing strategies | | | |

|Make changes to financial plan as needed | | | |

|RECORD OF CONVERSATION |

|BSBSMB407A Manage a small team |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 45: What factors have you considered when planning to recruit staff?

Question 46: Describe a time you employed a new staff member and the induction and training process you undertook.

Question 47: Explain how you have managed staffing to ensure consistent business operations.

Question 48: Outline how you have managed your team to maximise performance outcomes. How have you handled poor performance?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 45 | | | |

| |Legislation EEO, OHS, IR, Anti | | |

| |Discrimination | | |

| |Company policy and procedure | | |

| |Awards and Enterprise agreements | | |

| |Industry Codes of Practice | | |

| |Social and cultural diversity | | |

| |Disciplinary and grievance procedures | | |

| |Taxation /superannuation | | |

|Number of staff required to meet company and team goals | | | |

|Job descriptions and performance expectations | | | |

|Existing skills in the business | | | |

|Skills gaps to cover all business functions | | | |

|Policies and procedures in relation to staffing – recruitment, performance | | | |

|measures, induction, training | | | |

|Systems and processes for staff to follow | | | |

|Recruitment costs | | | |

|Job advertisement | | | |

|Recruitment process | | | |

|Question 46 | | | |

|Provides job description and explains responsibilities | | | |

|Provides tour of business and introduces employee (if applicable) | | | |

|Demonstrates use of equipment and technology | | | |

|Discusses business policies and procedures | | | |

|Coaches on job specific tasks | | | |

|Develops a HR file to maintain employee records | | | |

|Records payroll details | | | |

|Question 47 | | | |

|Reviews skill levels against performance measures | | | |

|Notes and monitors staffing requirements | | | |

|Adjusts staffing to balance between operational and support personnel | | | |

|Monitors and review staff an task allocation | | | |

|Provides opportunity for staff to discuss work related issues | | | |

|Develops contingency plan for unexpected or extreme situations | | | |

|Takes corrective action as identified | | | |

|Question 48 | | | |

|Develops positive working relationships within the team | | | |

|Consults with team members to review and update objectives | | | |

|Identifies team strengths and weaknesses against current and expected outcomes| | | |

|Allocates time for team members to discuss operations | | | |

|Brainstorms with team to make improvements | | | |

|Seeks feedback from team members for continuous improvement | | | |

|Encourages team members to monitor own performance | | | |

|Encourages team members to identify and suggest own development opportunities | | | |

|Poor performance | | | |

|Allocates time to discuss performance issues | | | |

|Outlines employee rights and obligations | | | |

|Counsels employee in a positive and constructive manner | | | |

|Discusses options for improvement | | | |

|Sets future review date | | | |

|Takes records and files in HR file | | | |

|RECORD OF CONVERSATION |

|BSBSMB408A Manage personal, family, cultural and business obligations |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 49: What are the implications of family, community, cultural obligations/commitments on the business?

Question 50: Outline the contexts in which a business operates.

Question 51: What strategies do you have in place to ensure workers have work/life balance and are able to meet their obligations/commitments?

Question 52: How do you manage a negative impact on the business due to workers outside obligations/commitments?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 49 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Risk management | | |

| |Awards/tax and superannuation | | |

| |Environmental legislation | | |

| |Communication skills | | |

| |Principles of HR | | |

| |Technology | | |

| |Legal and legislated requirements | | |

| |Ethical principles | | |

|Increased/decreased staff leave | | | |

|Reduced/increased productivity | | | |

|Enhanced depth of knowledge/worker development | | | |

|Discord among staff | | | |

|Access to programs which aim to benefit both organisation and community | | | |

|Staff retention | | | |

|Question 50 | | | |

|Business community | | | |

|Culturally and linguistically diverse communities | | | |

|Family groups | | | |

|Indigenous communities | | | |

|Non-indigenous communities | | | |

|Professional community | | | |

|Religious and/or spiritual communities | | | |

|Specific target groups | | | |

|Question 51 | | | |

|Open communication strategies | | | |

|Forward planning to address known events | | | |

|Contingency plans for unknown events | | | |

|Flexible work hours | | | |

|Tools such as calendar, rosters, timetables, diaries | | | |

|Promoting team processes | | | |

|Succession planning | | | |

|Question 52 | | | |

|Open communication strategies | | | |

|Developing clear processes and guidelines for staff | | | |

|Forward planning to address known events | | | |

|Contingency plans for unknown events | | | |

|Understands the impact of their work on community, family, self, business and | | | |

|job role and skill level | | | |

|Using networks to discuss resolutions | | | |

|Developing clear processes and guidelines for staff | | | |

|Performance appraisal system | | | |

|Personal and professional development | | | |

|Relevant work roles for services/community and individual | | | |

|Provision for 360 degree feedback | | | |

|Consultation with all groups | | | |

|RECORD OF CONVERSATION |

|BSBSMB409A Build maintain relationships with small business stakeholders |

CANDIDATE’S NAME:       ASSESSOR’S NAME:       DATE:      

Question 53: How do you make sure that the relationships you have with key stakeholders is appropriate for your small business?

Question 54: How does the structure of your organisation contribute to the development of key stakeholder relationships?

|KEY POINTS |INDUSTRY REQUIREMENTS |Indicate if |COMMENTS |

|The candidate’s response should evidence the following |These must be evidenced in the |response |Record other key points and examples from conversation. |

| |candidate’s response |addresses KP |Identify whether a practical assessment is warranted. |

| | |and IR | |

|Question 53 | | | |

| |OHS legislation | | |

| |Industry codes of practice | | |

| |Risk management | | |

| |Principles of access and equity | | |

| |Environmental legislation | | |

| |Communication skills | | |

| |Organisations policy and procedure | | |

| |Technology | | |

| |Legal and legislated requirements | | |

| |Problem solving skills | | |

|Provision of appropriate communication strategies | | | |

|Inclusive strategies for communicating with key stakeholders | | | |

|Ensures communication is clear, accurate and responsive to issues and needs | | | |

|Communication is culturally sensitive | | | |

|Ensure each staff member has clear description of their role and knows their | | | |

|responsibilities | | | |

|Staff training around strategic direction | | | |

|Professional, ethical behaviour | | | |

|Carry out work with due diligence | | | |

|Maintain professional boundaries | | | |

|Develop terms of reference/contract arrangements/agreed roles and | | | |

|responsibilities | | | |

|Information gathered from client is used to improve services | | | |

|Question 54 | | | |

|Identify type of organisational structure | | | |

|Reporting requirements | | | |

|Business/strategic plan goals and objectives | | | |

|Services/programs developed to meet plans and client requirements | | | |

|Business relationships developed based on services/programs | | | |

|Evaluation and review of relationships to enhance or alter the arrangement | | | |

|Make changes to the roles and responsibilities of the organisation to improve | | | |

|the relationship | | | |

SECTION D

Practical Tasks and

Observation Recording Sheets

You use this section to assist you in determining a candidate’s competency in those areas where they have not yet successfully demonstrated their skills, knowledge and prior experience. Therefore, candidates are not required to complete all tasks. You select tasks after considering available evidence collected through previous phases and according to context and needs of each candidate.

|PRACTICAL TASKS |

Candidates are not required to complete all tasks. The Assessor is to select tasks after considering available evidence collected through previous phases and according to the context and needs of each candidate.

|Unit of Competency |Practical Task |

|BSBPMG510A |Task 1 |

|Manage projects |SCENARIO |

|BSBMKG414A |This task requires you to demonstrate your project planning skills to plan a conference in six (6) months time from now.|

|Undertake marketing |The conference is to be held in Sydney and small businesses across Australia are to be invited. You work for an |

|activities |E-Marketing company and the conference is on new E-Marketing products and services offered by your company. |

|BSBMKG413A |Complete the following steps to this task using the resources provided in Section E of this document: |

|Promote products and |Using effective participative arrangements with your project team, define the scope of the project (partially completed)|

|services |and develop an innovative overview plan using Table 1 and 2 in Section E – x indicates areas to be completed |

|BSBCUS401A |Include marketing strategies |

|Coordinate |Include team meetings and training and development |

|implementation of |Plan for monitoring, record keeping and writing reports |

|customer services |Encourage effective workplace relationships using consultation and collaborative strategies |

|strategies |Table 3 - Write in examples of costs you may encounter in such a project using the categories in the table as a |

| |guideline |

| |Table 4 - Write a number of questions you might ask your self and your team to review the success of the conference. |

| |From these questions develop feedback forms for conference delegates to fill in to inform your reporting |

|BSBRES401A |Task 2 |

|Analyse and present |This task requires you to identify objectives of the research based on the organisations requirements and plan your |

|research information |research. |

| |Conduct research using valid and relevant strategies and collect, assess and organise information/data on any of the |

| |following: |

| |Organisations products |

| |Organisations services |

| |Policy and procedures |

| |Create a report on the findings with recommendations for improvements and present it to the appropriate person for |

| |feedback. |

|BSBCUS401A |Task 3 |

|Coordinate the |This task requires you to demonstrate the implementation of customer service strategies and standards applied in your |

|implementation of |workplace. |

|customer service |Options |

|strategies |If you are being assessed in your workplace you may be able to train a staff member on your company’s customer service |

|BSBCUS402A |strategies and standards and how to meet customer’s special needs using business networks you and your company have |

|Address customer needs |established. |

| |If you are not being assessed in your workplace then step through the same training outline with your assessor. |

|BSBINN301A |Task 4 |

|Promote innovation in a|You are to organise and facilitate a team planning meeting where the goals are to explore the issues the organisation |

|team environment |has with it’s current client/business relationships and develop innovative strategies/concepts for: |

|BSBCRT501A |Establish and maintain new business networks |

|Originate and develop |Innovative communication strategies |

|concepts |Terms of reference for new business relationships |

|BSBREL402A |Improvement and management of the relationships |

|Build client |Promotion of business relationships |

|relationships and |Review of business relationships |

|business networks |Change management |

|BSBSMB409A | |

|Build and maintain |During this meeting you will demonstrate your skills in applying techniques in keeping attendees motivated and drawing |

|relationships with |ideas out using creative thinking methods. |

|small business | |

|stakeholders | |

|BSBREL401A | |

|Establish networks | |

|BSBSMB407A |Task 5 |

|Manage a small team |To complete this task there are 5 stages. |

|BSBSMB408A |A. From the business plan determine how many staff members you need to run your business effectively and mix of skill |

|Manage personal, |and knowledge you need. Develop a position description for each. |

|family, cultural and |B. Plan to recruit a new team member and develop a recruitment policy and process including induction. |

|business obligations |C. Consult staff through a performance planning and review process to identify: |

| |business and/or personal requirements that may need to be considered when organising rosters and other functions of |

| |managing the business |

| |professional development |

| |performance and non-performance |

| |short and long term goals |

| |D. Develop guidelines for staff that includes: |

| |code of conduct |

| |customer/client charter |

| |family/community charter |

| |contingency plans for events that are expected and not expected |

| |flexibility for effective work/life balance |

| |debriefing/supervision |

| |E. Hold a team meeting to discuss and review team goals and objectives, strengths and weaknesses, time for |

| |operational/planning commitments, staff retention and other relevant issues. |

|BSBSMB404A |Task 6 |

|Undertake small |Develop or review the business plan for your organisation that includes finance and budgeting, marketing strategies, |

|business planning |products and services and risk management strategies to assist in the achievement of business goals and objectives. |

|BSBSMB405A |Based on the business plan develop operational strategies and procedures to run the business effectively and recommend |

|Monitor and mange small|procedural changes where required. |

|business operations | |

|BSBSMB403A | |

|Market the small | |

|business | |

|BSBSMB402A |Task 7 |

|Plan small business |Using your knowledge of financial decision making, develop a financial plan for the business which identifies the |

|finances |businesses financial requirements, profit targets, cash flow projections and strategies for the procurement of finance. |

|BSBSMB406A |Review and modify systems for the ongoing management of finances on a day to day basis and write a report for |

|Manage small business |management. |

|finances |Complete a periodical report on financial data that highlights aspects such as budget expenditure, resource allocation |

|BSBFIA402A |deficits, discrepancies, profit and loss, investment returns, wages etc. |

|Report on financial | |

|activity | |

|OBSERVATION RECORDING SHEET |

|Practical Tasks |

CANDIDATE’S NAME:       SIGNATURE:       DATE:      

ASSESSOR’S NAME:       SIGNATURE:       DATE:      

LOCATION:      

NB: The skills listed below must be verified by a competent assessor through observed demonstration either in the candidate’s workplace as part of the candidate’s normal work duty OR as part of a practical assessment/demonstration set by the assessor.

|Unit and element |Task No. |Observable behaviours in task |Industry requirements |Assessor’s comments |Indicate if |Date assessed |

|covered in task | | | | |behaviour | |

| | | | | |observed | |

|BSBPMG510A |1b |Develops budget for project |Cash flow |      | |      |

|1, 2, 3, 4 | |Identifies resource needs |Profitability | | | |

|BSBMKG413A | |Develops a budget for the project |Enterprise policies and procedures | | | |

|1, 3 | |Allocates realistic costs | | | | |

|BSBMKG414A | |Allocates costs in line with company guidelines | | | | |

|2 | |Seeks feedback and approval on budget/costs | | | | |

|BSBMKG413A |1c |Reviews project for high quality outcomes |Marketing strategies |      | |      |

|3 | |Seeks feedback on effectiveness of promoting products and services |Business plans and objectives | | | |

|BSBMKG414A | |Reports on effectiveness of conference in promoting products and |Quality standards | | | |

|2, 3 | |services |Enterprise policies and procedures | | | |

|BSBPMG510A | |Reviews problems and learning for future events |Legislation | | | |

|2, 3, 4, 5 | |Seeks advise and recommendations for improvement |Industry and national standards | | | |

| | |Reviews marketing strategy effectiveness | | | | |

| | |Review effectiveness of planning tools | | | | |

| | |Reviews staffing allocation | | | | |

| | |Records and reports on resource usage | | | | |

| | |Monitors project implementation | | | | |

| | |Monitors and reports on budget and actual costs | | | | |

| | |Measures outcomes against plan and budget | | | | |

| | |Records problems and future planning | | | | |

|BSBRES401A |2 |Identify objectives of the research |Legislation |      | |      |

|1, 2, 3 | |Establishes method of collecting information |Company policies and procedures | | | |

| | |Collects information |Workplace documentation | | | |

| | |Assesses information and how it relates to the research objectives |Data management | | | |

| | |Determines format of information |Information technology | | | |

| | |Accesses technology to store information and produce the report | | | | |

| | |Analyses data | | | | |

| | |Organises information to suit audience, format and purpose of the | | | | |

| | |report | | | | |

| | |Enters information on the report | | | | |

| | |Reviews information | | | | |

| | |Asks for feedback | | | | |

|BSBCUS401A |3 |Promotes customer service strategies |Legislation |      | |      |

|1, 2, 3 | |Encourages quality customer service standards |Enterprise policies and procedures | | | |

|BSBCUS402A | |Outlines strategies to deal with complaints and difficulties |Customer service standards | | | |

|1, 2, 3 | |Implements customer service systems |Legal requirements and constraints | | | |

| | |Discusses approaches in assessing customer needs | | | | |

| | |Outlines strategies to help customer articulate needs | | | | |

| | |Discusses various special needs and how to address such needs | | | | |

| | |Demonstrates reporting processes and forms | | | | |

| | |Refers to team as required | | | | |

| | |Access network to address customer needs | | | | |

| | |Outlines strategies to establish and maintain business networks | | | | |

| | |Demonstrates effective communication techniques | | | | |

| | |Accesses appropriate organisational forms as required | | | | |

| | |Discusses review of customer service strategies and recommendations | | | | |

|BSBINN301A |4 |Analyses information about business relationships |Legislation |      | |      |

|1, 2, 3, 4 | |Compiles information in a format to present to a team meeting |Codes of practice | | | |

|BSBCRT501A | |Plans the meeting |Enterprise policies and procedures | | | |

|1, 2, 3, 4 | |Uses a range of creative thinking techniques such as: |Legal requirements | | | |

|BSBREL402A | |Brainstorming |Management systems | | | |

|1, 2, 3, 4 | |De Bono’s hats | | | | |

|BSBSMB409A | |Alter ego or hero’s | | | | |

|1, 2, 3 | |Mind mapping | | | | |

|BSBREL401A | |Lateral thinking games | | | | |

|2, 3 | |Morphological analysis | | | | |

| | |Sub-culture surfing | | | | |

| | |Vision circles etc. | | | | |

| | |Establishes meeting ground rules | | | | |

| | |Investigates gaps in products, programs, processes and services based | | | | |

| | |on the information supplied | | | | |

| | |Analyses current communication issues in client/ business relationships| | | | |

| | |Introduces new ideas through external people | | | | |

| | |Develops strategies for meeting communication styles and methods in the| | | | |

| | |most appropriate way | | | | |

| | |Develops strategies for establishing rapport and gathering feedback | | | | |

| | |Assists attendees to generate preliminary ideas beyond what is evident | | | | |

| | |and examine factors that impact on ideas | | | | |

| | |Examines products, programs, processes and services offered by the | | | | |

| | |competition | | | | |

| | |Investigates the parameters of the business relationship and ways to | | | | |

| | |clarify roles and responsibilities | | | | |

| | |Develops ways to improve management and maintenance of the | | | | |

| | |client/business relationship | | | | |

| | |Investigates innovative promotional activities around the business | | | | |

| | |relationship | | | | |

| | |Reviews existing relationships for relevance and benefits, roles and | | | | |

| | |responsibilities | | | | |

| | |Examines new ideas / solutions to issues | | | | |

| | |Explores barriers to new ideas | | | | |

| | |Examines the implications in terms of social, ethical and environmental| | | | |

| | |issues | | | | |

| | |Identifies resources | | | | |

| | |Identifies suitability, feasibility and commercial potential | | | | |

| | |Seeks input and feedback on ideas from key stakeholders | | | | |

| | |Seeks technical advice as required | | | | |

| | |Makes adjustments to concepts | | | | |

| | |Develops plans for implementation including funding/resources | | | | |

| | |Reviews concept development process and continual improvement | | | | |

| | |Encourages and supports others to foster change | | | | |

| | |Encourages suggestions on change and improved work practices | | | | |

| | |Communicates ‘change’ in goals and objectives | | | | |

| | |Uses business technology to implement change | | | | |

| | |Provides learning on change – mentoring/coaching | | | | |

| | |Overcomes change problems with team members | | | | |

| | |Maintains relationships and communication during change process | | | | |

| | |Monitors and evaluates effectiveness of change | | | | |

|BSBSMB407A |5 |Analyses the business plan |Legislation |      | |      |

|1, 2, 3, 4, 5, 6 | |Identifies staffing requirements |Codes of practice | | | |

|BSBSMB408A | |Determines skills and knowledge needed |Organisation’s strategic objectives | | | |

|1, 2, 3 | |Develops position descriptions |and plans | | | |

|BSBSMB405A | |Files position descriptions in staff records |Enterprise policies and procedures | | | |

|2 | |Reviews/develops recruitment policy and procedures |Job descriptions | | | |

| | |Develops induction process |Access and equity practices | | | |

| | |Reviews/develops code of conduct |Australian Standards | | | |

| | |Develops guide lines for working with clients and colleagues |Legal requirements | | | |

| | |Develops guide lines for flexible working conditions | | | | |

| | |Develops risk management strategies for staffing requirements | | | | |

| | |Develops guide lines for support and supervision | | | | |

| | |Implements performance planning and review process | | | | |

| | |Identifies individual employee requirements | | | | |

| | |Identifies goals and objectives | | | | |

| | |Identifies professional development needs | | | | |

| | |Manages performance and non-performance | | | | |

| | |Plans team meeting | | | | |

| | |Communicates team goals and objectives | | | | |

| | |Opens the floor for feedback and consultation | | | | |

| | |Examines strengths and weaknesses | | | | |

| | |Discusses taking the time to reflect on professional practice | | | | |

| | |Discusses retention of staff and the benefits of ensuring communication| | | | |

| | |remains open to discuss all relevant issues | | | | |

|BSBSMB404A |6 |Identifies the essential requirements for the business plan | | | | |

|1, 2, 3 | |Develops goals and objectives | | | | |

|BSBSMB405A | |Ensures legal obligations are included | | | | |

|1, 2, 3, 4 | |Develops financial plan as part of the business plan | | | | |

|BSBSMB403A | |Considers market needs, size and potential in marketing plans and | | | | |

|1, 2, 3, 4 | |strategies | | | | |

| | |Ensures marketing plan goals and objectives, business plan and | | | | |

| | |financial plan are linked closely to product, programs, processes, | | | | |

| | |services and clients | | | | |

| | |Develops promotional activities | | | | |

| | |Promotes clear direction at an operational level of goals and | | | | |

| | |objectives | | | | |

| | |Identifies OHS and risk management issues in the business plan | | | | |

| | |Develops OHS and risk management strategies | | | | |

| | |Includes staffing requirements | | | | |

| | |Consults key stakeholders | | | | |

| | |Develops operational procedures | | | | |

| | |Develops contingency plans | | | | |

| | |Establishes quality systems | | | | |

| | |Breaks down the plan to performance measures and/or operational targets| | | | |

| | |Uses innovation strategies to generate ideas | | | | |

| | |Monitors and reviews systems and structure to ensure targets are | | | | |

| | |achievable and in line with goals and objectives | | | | |

| | |Implements changes in operations as required | | | | |

| | |Reviews policy and procedure and makes changes as required | | | | |

| | |Revises and alters the business plan through research, consultation and| | | | |

| | |planning process | | | | |

| | |Keeps clear records and reporting | | | | |

|BSBSMB402A |7 |Identifies the financial requirements of the business | | | | |

|1, 2, 3 | |Identifies costs associated with running the business | | | | |

|BSBSMB406A | |Works out the prices to be charged for products and/or services | | | | |

|1, 2 | |Ascertains viability of the business | | | | |

|BSBFIA402A | |Distinguishes appropriate pricing strategies to suit the market and | | | | |

|1, 2, 3 | |profit targets | | | | |

| | |Projects profit | | | | |

| | |Develops the business plan which includes projected profit, required | | | | |

| | |assets, required capital and capital investment, cash flow projections,| | | | |

| | |legal requirements | | | | |

| | |Produces budgets/projections/estimates | | | | |

| | |Identifies the right type of finance needed for the business and where | | | | |

| | |to find it. | | | | |

| | |Acquires finance to meet the needs of the business | | | | |

| | |Establishes credit policies and procedures | | | | |

| | |Sets key performance indicators | | | | |

| | |Develops and distributes financial policies and procedures | | | | |

| | |Monitors financial performance against financial plan | | | | |

| | |Studies marketing strategies for effectiveness | | | | |

| | |Evaluates the financial ratios for the business/industry | | | | |

| | |Follows taxation requirements, including BAS statements | | | | |

| | |Analyse and recommend changes to the financial plan as required | | | | |

| | |Follows organisations financial policy and procedure | | | | |

| | |Gathers the data to produce financial reports | | | | |

| | |Completes reports in an appropriate format and within required time | | | | |

| | |frames | | | | |

| | |Identifies and claims all obtainable benefits and allowances | | | | |

| | |Submits reports within time frames to relevant authority/people | | | | |

| | |Identifies issues in financial reports | | | | |

| | |Provides recommendations based on informed reports | | | | |

SECTION E

Resources for Practical Tasks

You use this section to access any resources required by the candidate to undertake the practical task/s or scenario/s. They are suggested resources only. You may wish to modify or use other resources for the assessment tasks.

Task 1 resources

TABLE 1

|Item |Particulars |Time |Resources |

|Purpose |Sydney conference |Complete timeframes |Complete resource |

|Scope |Date - x |X |allocation/requirements |

| |Key speakers | |X |

| |x | | |

| |x | | |

| |x | | |

| |Places/seats available - x | | |

|Objectives |To present a successful conference: |X |X |

| |with a 10 percent profit margin | | |

| |which will provide the company with new networks | | |

| |X | | |

| |X | | |

|Stage 1 |Preparation requirements list |X |X |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

|Stage 2 |Monitoring arrangements |X |X |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

|Stage 3 |Completion due before conference |X |X |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

|Stage 4 |Review and reporting on conference |X |X |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

| |x | | |

TABLE 2

|Role |Responsibilities |

|X |X |

|X |X |

|X |X |

|X |X |

|X |X |

TABLE 3

|Categories |Cost items |

|Allocated costs |X |

|Capital expenditure |X |

|Direct costs |X |

|Fixed costs |X |

|Indirect costs |X |

|Labour costs |X |

|Materials and supplies costs |X |

|Overhead costs |X |

|Semi-variable costs |X |

|Vendor costs |X |

TABLE 4

|Questions |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

|X |

SECTION F

Third Party Verification

The preferred approach in gaining third party validation is to take the forms in this section to the candidate’s previous employers or referees to gain confirmation of the candidate’s skills against the required competencies. This would be done during a conversation or interview with these people.

It may be beneficial to make contact with the employers/referees early in the recognition process to make appointments, particularly if you have to travel some distance to visit them. This may be done on the same day as a practical assessment in the workplace if appropriate.

It is recommended that verification be obtained from one or two referees who can confirm the candidate’s industry skills in context over time.

REFEREE TESTIMONIAL

(Date)

To whom it may concern,

RE: skills in/as

(insert candidate name) (insert industry/job title)

I certify that the above named person has:

worked at for a period of years

regularly undertaken the following activities within the workplace since commencing employment with this organisation:

( Initial those skills/ competencies (below) that the candidate has or can successfully perform in the workplace

← A Motivate and encourage team members to generate new ideas on promotion of products, services, processes and service delivery at an operational level.

← B Establish, maintain and improve client and business relationships.

← C Establish and maintain effective networks.

← D Develop the roles and responsibilities and establish relationships with small business stakeholders.

← E Plan the management of and mange staff, has knowledge of industrial relations, staff selection, record keeping, induction, training, team development and careers planning to enhance business operations.

← F Develop and implement strategies to improve business success by examining the impact of personal, family and cultural obligations.

← G Develop, implement, monitor and review operational strategies and procedures.

← H Undertake data analysis, review and update the content of the business website.

← I Implement monitor and review strategies for the ongoing management of a small business’s finance.

← J Report on financial activity for business both in response to client requests and to meet statutory requirements.

← K Research and develop an integrated business plan for achieving business goals and objectives.

← L Develop and implement marketing strategies and monitor and improve market performance.

← M Develop a financial plan to support business viability.

← N Identify and comply with the regulatory, legal, taxation and insurance requirements, and risk management needs of small business.

← O Identify and address specific customer needs and coordinate the implementation of customer services.

← P Promote effective team processes and relationships by encouraging innovation, collaboration and open communication

← Q Plan, implement, review and report on promotional activities to enhance the success of the business.

← R Gather information using appropriate research methodologies and analyse and organise the information and present the findings in the appropriate format.

← S Based on collected market data, plan and implement marketing activities and report on the effectiveness of these activities.

← T Manage a straightforward project or a section of a larger project addressing the management of projects including the development of a project plan, administering and monitoring the project, finalising the project and reviewing the project to identify lessons learnt for application to future projects

If you would like any further information or would like to discuss any of the above, I can be contacted on

Yours sincerely

Signature

Print Name and Position

SECTION G

Assessment Tables

You use these tables as a reference tool to see at a glance which units/elements of competency are within the qualification.

Question numbers refer to those found in SECTION C of this kit.

Practical assessment/scenarios numbers refer to those found in SECTION D of this kit.

It is important to note that this section is used for validation purposes only. Any mapping should be done after questions and tasks have been selected.

|Elements |Performance Criteria |Questions |Practical Tasks |

|BSBSMB401A Establish legal and risk management requirements of small business |

|Identify and implement business |Identify and research possible options for the business legal structure using appropriate sources |1 | |

|legal requirements |Determine legislation and regulatory requirements affecting the operations of the business under its chosen structure |1 | |

| |Develop and implement procedures to ensure full compliance with relevant legislation and regulatory requirements |1 | |

|Comply with legislation, codes |Establish systems to ensure the legal rights and responsibilities of the business are identified and the business is adequately protected, |1 | |

|and regulatory requirements |specifically in relation to occupational health and safety (OHS), business registration and environmental requirements |1 | |

| |Identify taxation principles and requirements relative to the business and follow procedures to ensure compliance |1 | |

| |Identify and carefully maintain legal documents and maintain and update relevant records to ensure their ongoing security and accessibility | | |

| |Monitor the provision of products and services of the business to protect legal rights and to comply with legal responsibilities |1 | |

| |Conduct investigations to identify areas of non-compliance with legal and regulatory requirements and take corrective action where necessary |1 | |

|Negotiate and arrange contracts |Seek legal advice on contractual rights and obligations, if required, to clarify business liabilities |2 | |

| |Investigate and assess potential products/services to determine procurement rights and to ensure protection of business interests where |1 | |

| |applicable | | |

| |Negotiate and secure contractual procurement rights for goods and services including contracts with relevant people, as required, in accordance |2 | |

| |with the business plan | | |

| |Identify insurance requirements and acquire adequate cover |2 | |

| |Identify options for leasing/ownership of business premises and complete contractual arrangements in accordance with the business plan |2 | |

|BSBSMB402A Plan small business finances |

|Identify costs, calculate prices |Identify and document costs associated with the production and delivery of the business products/services |4 |7 |

|and prepare profit statement |Calculate prices based on costs and profit margin, as an hourly charge out rate for labour or unit price for products |4 |7 |

| |Calculate break-even sales point to establish business viability and profit margins |4 |7 |

| |Identify appropriate pricing strategies in relation to market conditions to meet business profit targets |4 |7 |

| |Prepare projected profit statement to supplement the business plan |4 |7 |

|Develop a financial plan |Set profit targets/goals to reflect owner’s desired returns |3 |7 |

| |Identify working capital requirements necessary to attain profit projections |3 |7 |

| |Identify non-current asset requirements and consider alternative asset management strategies |3 |7 |

| |Prepare cash flow projections to enable business operation in accordance with business plan and legal requirements |3 |7 |

| |Identify capital investment requirements accurately for each operational period |3 |7 |

| |Select budget targets to enable ongoing monitoring of financial performance |3 |7 |

|Acquire finance |Identify start-up and ongoing financial requirements according to financial plan/budget |4 |7 |

| |Identify sources of finance, including potential finance backers, to provide required liquidity for the business to complement business goals and|4 |7 |

| |objectives | |7 |

| |Investigate cost of securing finance on optimal terms |4 |7 |

| |Identify strategies to obtain finance as required to ensure financial viability of the business |4 | |

|BSBSMB403A Market the small business |

|Develop marketing strategies |Analyse the business and its key products or services to determine the focus of marketing activities, in accordance with the objectives of the |5 |6 |

| |business plan | | |

| |Evaluate the customer base and target market for the small business as a basis for the marketing objectives and strategies |6 |6 |

| |Determine marketing objectives that are ethically and culturally appropriate, in consultation with relevant people and in accordance with the |5, 6 |6 |

| |business plan | | |

|Determine a marketing mix for the|Balance product mix, volumes and pricing to optimise sales and profit |5 | |

|business |Evaluate the costs and benefits of using different distribution channels and/or providing different levels of customer service and consider the |5 | |

| |results in determining the marketing mix | | |

| |Determine promotional activities to suit the target market |6 |6 |

| |Consider customer needs and preferences in determining the marketing mix |5, 6 |6 |

| |Determine the marketing mix according to market and business needs |5 | |

|Implement marketing strategies |Brief persons involved in the marketing effort on their roles and responsibilities, to ensure the success of marketing strategies |5 | |

| |Plan and implement promotional activities, in accordance with marketing objectives and budgetary requirements |6 |6 |

|Monitor and improve marketing |Monitor marketing activities and evaluate business performance according to objectives and targets of the business plan |6 |6 |

|performance |Analyse performance gaps and take corrective action or set new targets |6 |6 |

| |Encourage all relevant people to propose ways to improve marketing performance |6 |6 |

| |Seek and analyse customer reaction to all aspects of the marketing mix, using culturally appropriate processes, to improve targeting and outcomes|6 | |

| |Conduct ongoing research of customer requirements to identify opportunities for change and improvement | | |

| |Monitor and investigate changes in the market for new opportunities to aid business development |6 |6 |

| | |6 |6 |

|BSBSMB404A Undertake small business planning |

|Identify elements of the business|Identify purpose of the business plan |7 |6 |

|plan |Identify and review the essential components of the business plan |7 |6 |

| |Identify and document business goals and objectives as a basis for measuring business performance |7 |6 |

|Develop a business plan |Research resources, legal and compliance requirements, specifically in relation to occupational health and safety (OHS), in accordance with |7, 9 |6 |

| |business goals and objectives | | |

| |Research market needs, and market size and potential |7 | |

| |Identify sources and costs of finance, from the finance plan, to provide required liquidity and profitability for the business |7 |6 |

| |Identify methods, from the marketing strategies, to promote the market exposure of the business |7 |6 |

| |Identify methods/means of production/operation from the production/operations plan to conform with business goals and objectives |7, 8 |6 |

| |Identify staffing requirements to effectively produce/deliver products/services | | |

| |Identify specialist services and sources of advice, where required, and cost in accordance with resources available |7 |6 |

| | |7, 8 |6 |

|Develop strategies for minimising|Identify specific interests and objectives of relevant people and seek and confirm their support of the planned business direction |7, 8 |6 |

|risks |Identify and develop risk management strategies according to business goals and objectives, and relevant legal requirements |9 |6 |

| |Develop contingency plan to address possible areas of non-conformance with the plan |9 |6 |

|BSBCRT501A originate and develop concepts |

|Evaluate and explore needs and |Research and evaluate existing information that informs new concept development |10 |4 |

|opportunities |Where appropriate, identify and use gaps in current range of products, programs, processes or services as the catalyst for generating new ideas |10 |4 |

| |or concepts | | |

| |Expand the potential of new ideas through exploration of opportunities beyond the obvious |11 |4 |

| |Identify factors that could have an impact on ideas or concepts to be developed, including potential for commercialisation |10 | |

| |Determine whether other players are filling identified gaps or investigating similar opportunities |10 |4 |

| |Develop preliminary ideas on innovative and different ways to address needs and opportunities |11 |4 |

| |In consultation with relevant stakeholders, agree on broad parameters for developing ideas and concepts to meet market requirements |11 |4 |

|Develop a range of creative |Use a range of creative thinking techniques to generate innovative and creative concepts to address identified needs |11 |4 |

|approaches |Challenge, test and experiment with different concepts and ideas as part of a collaborative process |11 |4 |

| |Evaluate concepts in terms of their suitability for the target audience or purpose, their feasibility and their commercial potential |11 |4 |

| |Take account of social, ethical and environmental issues as concepts and ideas are generated and discussed |11 |4 |

| |Identify resources required to achieve desired creative and innovative outcomes |11 |4 |

| |Evaluate the effectiveness of different strategies for achieving desired outcomes |11 | |

| |Select concepts or approaches that achieve required outcomes in an innovative and feasible way |11 | |

| |Present proposed concepts or approaches in an appropriate format |11 | |

|Refine concepts |Ensure concept development process is open to ongoing refinement and testing |11, 12 |4 |

| |Seek input and feedback on concepts from relevant stakeholders |11 |4 |

| |Seek specialist advice on creative and technical aspects of proposals as required |12 |4 |

| |Compare concepts with best practice examples of similar products, programs, processes or services |12 | |

| |Use a range of creative and practical criteria to determine the advantages and disadvantages of different concepts |11, 12 | |

| |Evaluate constraints on the realisation of concepts or ideas |12 | |

| |Refine proposals based on analysis and feedback |12 | |

|Develop concepts to an |Use refined concepts as the basis for developing detailed implementation specifications |12 |4 |

|operational level |Present specifications to relevant parties for approval, funding or endorsement |12 |4 |

| |Reflect on methodology used to generate concepts and ideas and note ways of improving the in the future |12 |4 |

|BSBCUS401A Coordinate the implementation of customer service strategies |

|Advise on customer service needs |Clarify and accurately assess customer needs using appropriate communication techniques |13 |3 |

| |Diagnose problems matching service delivery to customers and develop options for improved service within organisational requirements |14 |3 |

| |Provide relevant and constructive advice to promote the improvement of customer service delivery |14, 15 | |

| |Use business technology and/or online service to structure and present information on customer service needs |14, 15 | |

|Support implementation of |Ensure customer service strategies and opportunities are promoted to designated individuals and groups |14, 15 |3 |

|customer service strategies |Identify and allocate available budget resources to fulfil customer service objectives |14 | |

| |Promptly action procedures to resolve customer difficulties and complaints within organisational requirements |14 |3 |

| |Ensure that decisions to implement strategies are taken in consultation with designated individuals and groups |14, 15 |3 |

|Evaluate and report on customer |Review client satisfaction with service delivery using verifiable data in accordance with organisational requirements |14 |3 |

|service |Identify and report changes necessary to maintain service standards to designated individuals and groups |14 |3 |

| |Prepare conclusions and recommendations from verifiable evidence and provide constructive advice on future directions of client service |14 |3 |

| |strategies | | |

| |Maintain systems, records and reporting procedures to compare changes in customer satisfaction |14 |3 |

|BSBCUS402A Address customer needs |

|Assist customer to articulate |Ensure customer needs are fully explored, understood and agreed |16 |3 |

|needs |Explain and match available services and products to customer needs |16 |3 |

| |Identify and communicate the rights and responsibilities of customers to the customer as appropriate |16 |3 |

|Satisfy complex customer needs |Explain possibilities for meeting customer needs |16 | |

| |Assist customers to evaluate service and/or product options to satisfy their needs |16 |3 |

| |Determine and prioritise preferred actions |16 |3 |

| |Identify potential areas of difficulty in customer service delivery and take appropriate actions in a positive manner |16 |3 |

|Manage networks to ensure |Establish effective regular communication with customers |17 |3 |

|customer needs are addressed |Establish, maintain and expand relevant networks to ensure appropriate referral of customers to products and services from within and outside the|17 |3 |

| |organisation | | |

| |Ensure procedures are in place to ensure that decisions about targeting of customer services are based on up-to-date information about the |17 | |

| |customer and the products and services available | | |

| |Ensure procedures are put in place to ensure that referrals are based on the matching of the assessment of customer needs and availability of |17 |3 |

| |products and services |17 |3 |

| |Maintain records of customer interaction in accordance with organisational procedures | | |

|BSBEBU401A Review and maintain a website |

|Review website content and use |Monitor and analyse customer and user feedback in accordance with organisations timelines |18 | |

| |Analyse automatically collected website data and identify trends |18 | |

| |Make recommendations on changes to the website and its content in response to feedback and data analysis and approve changes scheduled for |18 | |

| |implementation | | |

| |Review cost implications of the recommended changes to determine their viability |18 | |

|Update website |Replace superseded and inaccurate information with current information and add additional material in accordance with organisational requirements|19 | |

| |Follow protocols for ensuring the accuracy and authenticity of information |19 | |

| |Remove services no longer available or required and add new ones in accordance with organisational requirements |19 | |

| |Check off-line information against that posted on the website and rectify discrepancies in accordance with organisational timelines |19 | |

| |Follow security procedures for updating the website |19 | |

|Carry out non technical site |Analyse user feedback to confirm that faults have resulted from the site and are not user problems |19 | |

|maintenance |Rectify faults and make improvements to the site in response to user feedback approved by the organisation |19 | |

| |Add new web pages and/or active links and remove redundant pages and links in accordance with organisational requirements |19 | |

| |Make site changes in response to changes in marketing strategy in accordance with organisational requirements and consideration of cost benefits |19 | |

|BSBFIA402A Report on financial activity |

|Compile financial information and|Collect, evaluate and code current financial data to ensure consistency, quality and accuracy in accordance with organisational requirements |20, 21 |7 |

|data |Use conversion and consolidation procedures to compile analysis in accordance with organisational requirements | | |

| |Make, record and disclose asset and liability valuations in accordance with organisational requirements |21 |7 |

| |Ensure that discrepancies, unusual feature or queries are identified, resolved or referred to the appropriate authority |20, 21, 22 |7 |

| | |21 |7 |

|Prepare statutory requirement |Correctly record income and expenditure to ensure compliance with statutory requirements |21, 22 |7 |

|reports |Calculate liabilities for tax in accordance with current legislation and revenue gathering practices |21, 22 |7 |

| |Correctly identify relevant receipts, revenue documentation and payments |20, 21, 22 |7 |

| |Ensure that statements and claims take full advantage of available benefits and allowances in accordance with statutory requirements |21, 22 |7 |

| |Submit statutory requirement reports to appropriate authorities within stated deadlines | | |

| | |21, 22 |7 |

|Provide financial business |Ensure that recommendations are logically derived and supported by evidence in report |21 |7 |

|recommendations |Provide recommendations to propose constructive actions to enhance the effectiveness and efficacy of functions and services |21 |7 |

| |Ensure recommendations are concise and facilitate direction and control of organisation’s operations |21 |7 |

| |Identify and prioritise significant issues in statements including comparative financial performances for review and decision making |21 |7 |

| |Ensure structure and format of reports are clear and conform to organisational and statutory requirements | | |

| | |21 |7 |

|BSBINN301A Promote innovation in a team environment | |

|Create opportunities to maximise |Evaluate and reflect on what the team needs and wants to achieve |23 | |

|innovation within the team |Check out information about current or potential team members’ work in the context of developing a more innovative team |23 | |

| |Bring people into the team or make suggestions for team members based on what needs to be achieved and the potential for cross-fertilising ideas |23 |4 |

| |Acknowledge, respect and discuss the different ways that different people may contribute to building or enhancing the team | | |

| | |23, 24, 25 |4 |

|Organise and agree effective ways|Jointly establish ground rules for how the team will operate |25 |4 |

|of working |Agree and communicate responsibilities in ways that encourage and reinforce team-based innovation |23, 24, 25 |4 |

| |Agree and share tasks and activities to ensure the best use of skills and abilities within the team |23 | |

| |Plan and schedule activities to allow time for thinking, challenging and collaboration |23 | |

| |Establish personal reward and stimulation as an integral part of the team’s way of working |23 | |

|Support and guide colleagues |Model behaviour that supports innovation |23 |4 |

| |Seek external stimuli and ideas to feed into team activities |23 |4 |

| |Pro-actively share information, knowledge and experiences with other team members |23 |4 |

| |Challenge and test ideas within the team in a positive and collaborative way |23 |4 |

| |Pro-actively discuss and explore ideas with other team members on an ongoing basis |23 |4 |

|Reflect on how the team is |Debrief and reflect on activities and on opportunities for improvement and innovation |25 | |

|working |Gather and use feedback from within and outside the team to generate discussion and debate |25 |4 |

| |Discuss the challenges of being innovative in a constructive and open way |25 | |

| |Take ideas for improvement, build them into future activities and communicate key issues to relevant colleagues |25 |4 |

| |Identify, promote and celebrate successes and examples of successful innovation |25 |4 |

|BSBMKG413A Promote products and services |

|Plan promotional activities |Identify and assess promotional activities to ensure compatibility with organisational requirements |26, 27 |1a |

| |Plan and schedule promotional activities according to the marketing needs of the organisation |27 |1a |

| |Determine overall promotional objectives in consultation with designated individuals and groups |27 |1a |

| |Ensure that time lines and costs for promotion of activities are realistic and consistent with budget resources |27 |1a, 1b |

| |Develop action plans to provide details of product and services being promoted |26, 27 |1a |

|Coordinate promotional activities|Ensure personnel and resources to support promotional activities are identified and prepared to facilitate the achievement of promotional goals |26, 27 |1a |

| |Identify and agree roles and responsibilities for delivery of promotional services and allocate to relevant personnel | | |

| |Establish and conduct relationships with targeted groups in a manner which enhances the positive image of the organisation |27 | |

| |Use networks to assist in the implementation of promotional activities |27 | |

| | |27 |1a |

|Review and report on promotional |Analyse audience feedback and data to determine the impact of the promotional activity on the delivery of products and services |28, 29 |1c |

|activities |Assess effectiveness of planning processes to identify possible improvements in future activities |28, 29 | |

| |Collect feedback and provide to personnel and agencies involved in promotional activity |28, 29 |1c |

| |Analyse costs and time lines to evaluate the benefits accruing from the promotional activities |28, 29 |1c, 1b |

| |Prepare conclusions and recommendations from verifiable evidence and provide constructive advice on future directions of promotional activities |29 |1a, 1c |

|BSBMKG414A Undertake marketing activities |

|Plan marketing activities |Need for marketing activities is identified |30 |1a |

| |Investigate previous marketing activities for relevant information |30, 31 |1a |

| |Identify and analyse relevant policies and procedures |30, 31 |1a |

| |Identify outcomes expected from marketing activities |30 |1a |

| |Undertake analysis of collected basic market information |30 |1a |

| |Develop and document work activity plans for marketing activities |30 | |

| |Obtain approval of plans from relevant enterprise personnel |30 | |

|Implement and manage marketing |Determine and assess resources required for work activities |30 |1a, 1b |

|activities |Undertake marketing activities |30 |1a |

| |Assign responsibilities and functions to relevant personnel performing specific marketing functions |30 |1a |

| |Monitor marketing activities, reviewing and amending activity plans as required |30 | |

|Review marketing activities |Measure and document outcomes of marketing activities |30 |1c |

| |Review marketing activities against expected outcomes and document identified improvements |30 |1c |

| |Prepare reports of marketing activities and communicate to relevant enterprise personnel |30 |1c |

|BSBRES401A Analyse and present research information |

|Gather and organise information |Gather and organise Information in a format suitable for analysis, interpretation and dissemination in accordance with organisational |32 |2 |

| |requirements | | |

| |Access information held by the organisation ensuring accuracy and relevance in line with established organisational requirements |32 |2 |

| |Ensure that methods of collecting information are reliable and make efficient use of resources in accordance with organisational requirements |32 |2 |

| |Identify research requirements for combining online research with non-electronic sources of information | | |

| |Use business technology to access, organise and monitor information in accordance with organisational requirements |32 |2 |

| |Update, modify, maintain and store information, in accordance with organisational requirements |32 |2 |

| | |32 |2 |

|Research and analyse information |Clearly define objectives of research ensuring consistency with organisational requirements |33 |2 |

| |Ensure that data and research strategies used are valid and relevant to the requirements of the research and make efficient use of available |33 |2 |

| |resources | | |

| |Identify key words and phrases for use as part of any online search strategy, including the use of Boolean operators and other search tools |33 | |

| |Use reliable methods of data analysis that are suitable to research purposes | | |

| |Ensure that assumptions and conclusions used in analyses are clear, justified, supported by evidence and consistent with research and business |32, 33 |2 |

| |objectives |32, 33 | |

|Present information |Present recommendations and issues in an appropriate format, style and structure using suitable business technology |32 |2 |

| |Structure and format reports in a clear manner that conforms to organisational requirements |33 |2 |

| |Report and distribute research findings in accordance with organisational requirements |32, 33 | |

| |Obtain feedback and comments on suitability and sufficiency of findings in accordance with organisational requirements |32 |2 |

|BSBPMG510A Manage projects |

|Define project |Access project scope and other relevant documentation |34 |1a |

| |Define project stakeholders |34 |1a |

| |Seek clarification from delegating authority of any issues related to project and project parameters |34 | |

| |Identify limits of own responsibility and reporting requirements |34 | |

| |Clarify relationship of project to other projects and to the organisation’s objectives |34 | |

| |Determine and access available resources to undertake project |34 |1a |

|Develop project plan |Develop project plan including timelines, work breakdown structure, role and responsibilities and other details of how the project will be |34 |1a |

| |managed in relation to the project parameters | | |

| |Identify and access appropriate project management tools |34 |1a |

| |Formulate risk management plan for project, including occupational health and safety (OHS) |34 |1a |

| |Develop and approve project budget |34 |1a, 1c |

| |Consult team members and take their views into account in planning the project |34 |1a |

| |Finalise project plan and gain any necessary approvals to commence project according to documented plan |34 | |

|Administer and monitor project |Take action to ensure project team members are clear about their responsibilities and the project requirements |35 |1b |

| |Provide support for project team members, especially with regard to special needs, to ensure that the quality of the expected outcomes of the |35 |1c |

| |project and documented time lines are met | | |

| |Establish and maintain required record keeping systems throughout the project |35 |1a |

| |Implement and monitor plans for managing project finances, resources (human, physical and technical) and quality |35 | |

| |Complete and forward project reports as required to stakeholders |35 |1a, 1c |

| |Undertake risk management as required to ensure project outcomes are met |35 |1a |

| |Achieve project deliverables |35 | |

|Finalise project |Complete financial record keeping associated with project and check for accuracy |36 |1b |

| |Assign staff involved in project to new roles or reassign to previous roles |36 |1c |

| |Complete project documentation and obtain any necessary sign offs for concluding project |36 |1a, 1c |

|Review project |Review project outcomes and processes against the project scope and plan |36 |1c |

| |Involve team members in the project review |36 |1c |

| |Document lessons learnt from the project and report within the organisation |36 |1c |

|BSBREL401A Establish networks |

|Develop and maintain business |Use appropriate network strategies to establish and maintain relationships that promote the development of business opportunities |37 | |

|networks |Identify and pursue network opportunities to maximise a range of contacts | | |

| |Communicate information regarding new networks to inform individuals, colleagues and clients of potential benefits |37 | |

| |Participate in professional networks and associations to obtain and maintain personal knowledge and skills |37 | |

| | |37 | |

|Establish and maintain business |Develop and maintain relationships to promote benefits consistent with organisational/client requirements |37 |4 |

|relationships |Gain and maintain trust and confidence of contacts through demonstration of high standards of business practices |37 | |

| |Use a high level of negotiation skills to encourage positive outcomes |37 |4 |

| |Identify difficult situations and negotiate solutions using collaborative problem-solving techniques |37 |4 |

| |Seek specialist advice in the development of contacts where appropriate |37 |4 |

|Promote the relationship |Develop strategies to represent and promote the interests and requirements of the relationship |37 |4 |

| |Use appropriate presentation skills to communicate the goals and objectives of the relationship |37 |4 |

| |Effectively communicate issues, policies and practices of the relationship to a range of audiences, in writing and verbally |37 | |

| |Obtain feedback to identify and develop ways to improve promotional activities within available opportunities |37 |4 |

|BSBREL402A Build client relationships and business networks |

|Initiate interpersonal |Identify and use preferred client communication styles and methods |38 |4 |

|communication with clients |Establish rapport with clients using verbal and non-verbal communication processes |38 | |

| |Investigate and act upon opportunities to offer positive feedback to clients |38 | |

| |Use open questions to promote two-way communication |38 | |

| |Identify and act upon potential barriers to effective communication with clients |38 | |

| |Initiate communication processes which relate to client needs, preferences and expectations |38 | |

|Establish client relationship |Develop client loyalty objectives focussing on the development of long term business partnerships |38 |4 |

|management strategies |Assess client profile information to determine approach |38 | |

| |Develop client loyalty strategies to attract and retain clients in accordance with the business strategy |38 |4 |

| |Identify and apply client care and client service standards |38 | |

|Maintain and improve ongoing |Develop strategies to obtain ongoing feedback from clients to monitor satisfaction levels |38 |4 |

|relationships with clients |Develop strategies to elicit feedback which provide information in a form that can be used to improve relationships with clients |38 |4 |

| |Obtain feedback to develop and implement strategies which maintain and improve relationships with clients |38 | |

|Build and maintain networks |Allocate time to establish and maintain business contacts |39 | |

| |Participate in business associations and/or professional development activities to establish and maintain a network of support for the business |39 | |

| |and to enhance personal knowledge of the market | | |

| |Establish communication channels to exchange information and ideas |39 | |

| |Provide, seek and verify information to the network |39 |4 |

|BSBSMB405A Monitor and manage small business operations |

|Develop operational strategies |Develop an action plan to provide a clear and coherent direction, in accordance with the business goals and objectives |40 |6 |

|and procedures |Identify occupational health and safety (OHS) and environmental issues and implement strategies to minimise risk factors |40, 41, 42 |6 |

| |Develop a quality system for the business in line with industry standards, compliance requirements and cultural criteria |40 |6 |

| |Develop performance measures and operational targets to conform with the business plan |40 |6 |

| |Develop strategies for innovation, including the utilisation of existing, new or emerging technologies, where practicable, to optimise business |40 |6 |

| |performance | | |

|Implement operational strategies |Implement systems and key performance indicators/targets to monitor business performance and customer satisfaction |41 |6 |

|and procedures |Implement systems to control stock, expenditure/cost, wastage/shrinkage and risks to health and safety in accordance with the business plan |41 | |

| |Maintain staffing requirements, where applicable, within budget to maximise productivity | | |

| |Carry out the provision of goods/services in accordance with established legal, ethical cultural and technical standards |41 |5, 6 |

| |Provide goods/services in accordance with time, cost and quality specifications, and customer requirements |41 | |

| |Apply quality procedures to address product/service and customer requirements |41 | |

| | |41 |6 |

|Monitor business performance |Regularly monitor/review the achievement of operational targets to ensure optimum business performance, in accordance with the business plan |41, 42 |6 |

| |goals and objectives | | |

| |Review systems and structures, with a view to more effectively supporting business performance |42 |6 |

| |Investigate and analyse operating problems to establish causes and implement changes as required as part of the business quality system |42 |6 |

| |Amend operational policies and procedures to incorporate corrective action | | |

| | |42 |6 |

|Review business operations |Review and adjust business plan, as required, to maintain business viability, in accordance with business goals and objectives |42 |6 |

| |Clearly record proposed changes to aid future planning and evaluation |42 |6 |

| |Undertake ongoing research into new business opportunities and adjust business goals and objectives as new business opportunities arise |42 | |

|BSBSMB406A Manage small business finances |

|Implement financial plan |Identify financial information requirements and obtain specialist services, as required, to profitable operate and extend the business in |43 |7 |

| |accordance with the business plan | | |

| |Produce financial budgets/projections, including cash flow estimates, as required for each forward period, and distribute to relevant people in |43 |7 |

| |accordance with legal requirements | | |

| |Negotiate, secure and manage business capital to best enable implementation of the business plan and to meet the requirements of financial |43 |7 |

| |backers |43 |7 |

| |Develop and maintain strategies to enable adequate financial provision for taxation in accordance with legal requirements |43 |7 |

| |Develop, monitor and maintain client credit policies, including contingencies for debtors in default, to maximise cash flow |43 |7 |

| |Select key performance indicators to enable ongoing monitoring of financial performance |43 |7 |

| |Record and communicate financial procedures to relevant people to facilitate implementation of the business plan | | |

|Monitor financial performance |Regularly monitor and report on financial performance targets and analyse data to establish the extent to which the financial plan has been met |43 |7 |

| |Monitor marketing and operational strategies for their effects on the financial plan | | |

| |Calculate and evaluate financial ratios according to own industry benchmarks |44 | |

| |Assess financial plan to determine whether variations or alternative plans are needed, and change as required |44 |7 |

| | |44 |7 |

|BSBSMB407A Manage a small team |

|Develop staffing plan |Staffing requirements to allow the business to run effectively are determined in accordance with business requirements as outlined in the |45 |5 |

| |business plan. | | |

| |Existing skills/competencies of self and staff are identified and compared with business requirements to identify any gaps. |45 |5 |

| |Policies and procedures are developed to address recruitment, performance measures, induction, training and professional development needs of |45 |5 |

| |owner/s and staff in accordance with the business plan. | | |

|Recruit, induct and train the |Job description and competencies required, clearly identified in accordance with business requirements , and employment vacancies advertised. |45 |5 |

|team |Information obtained from each candidate judged against specified selection criteria and selection decided in accordance with business and legal | | |

| |requirements. |45 | |

| |New staff members inducted. | | |

| |Team members made aware of their responsibilities and performance requirements as soon as practicable and opportunities taken to coach team |45 |5 |

| |members who are unfamiliar with business procedures. |45 |5 |

| |Systematic approach to training is taken, including demonstration and explanation, as appropriate to the skill or job being taught. |45 |5 |

|Address industrial relations |Workplace rights and obligations of employers are clarified in accordance with legal requirements. |46 | |

|issues |Staff counselled if required, in a positive and constructive manner, and outcomes recorded accurately. |48 |5 |

|Maintain staff records |Staff records system developed to provide timely and accurate information in accordance with confidentiality and legal requirements. |46 |5 |

| |System for recording and retrieving personnel and payroll information monitored, accurately maintained and specialist advice sought where | | |

| |required. |46 |5 |

|Manage staffing issues |Contribution and skills of self and other team members are regularly reviewed to ensure performance is in line with agreed performance measures. |45, 47 |5 |

| |Staffing requirements are noted, monitored and adjusted especially in regards to the balance between operational and support personnel according | | |

| |to changing business requirements. |47 |5 |

| |Allocation of staff to particular tasks/functions is continually monitored and reviewed in the light of business requirements and corrective | | |

| |action taken promptly as required. |47 | |

| |Opportunities for staff to discuss work related issues regularly provided. |47 |5 |

| |Contingency plan developed to cope with unexpected or extreme situations and appropriate corrective action taken as required. |47 |5 |

|Review team performance |Positive and constructive relationships developed with and between team members. |48 | |

| |Team objectives in support of business goals are reviewed and updated on a regular basis in consultation with team members |48 |5 |

| |Strengths and weaknesses of team identified against current and expected work requirements. |48 |5 |

| |Time is scheduled on regular basis, for team members to review work operations to maintain and improve operational efficiency. |48 |5 |

| |Team members are encouraged to monitor their own performance, suggest improvements and to identify professional development needs in accordance |48 |5 |

| |with personal and business requirements. | | |

|BSBSMB408A Manage personal, family, cultural and business obligations |

|Identify personal and business |Identify the personal, family, cultural and/or community contexts in which the business operates |50 |5 |

|commitments/ obligations within |Identify the personal, family, cultural and/or community commitments/obligations that impact on the business |49 |5 |

|family, cultural and community |Consider strategies to address and minimise the negative impact these commitments/obligations may have on the business |51 |5 |

|contexts |Prepare workable plans to address and minimise the impact of these issues |51 |5 |

|Develop ethical work practices |Develop a culturally appropriate work ethic in terms of personal, family and community obligations, and cultural requirements |52 |5 |

|within family, cultural and |Identify and implement strategies to reinforce a culturally appropriate work ethic in the business |51 |5 |

|community contexts |Prepare contingency plans for when alternative action is required due to changes within the business, family, cultural and/or community |52 |5 |

| |environments | | |

|Review work practices within |Monitor personal, family, cultural and/or community commitments/obligations to identify any changes that might impact on the business |52 |5 |

|family, cultural and community |Review plans and strategies to ensure that negative impacts of any commitments/obligations are being addressed and implement any necessary | | |

|contexts |changes |52 |5 |

| |Monitor implementation of the culturally appropriate work ethic to ensure that it is supported and maintained in the business | | |

| | |52 |5 |

|BSBSMB409A Build and maintain relationships with small business stakeholders |

|Establish and develop |Establish specific practices for communication with key stakeholders, in accordance with codes of practice, cultural protocols and agreed roles |53 | |

|communication and appropriate |and responsibilities | | |

|relationships with key |Maintain specific ways of dealing with issues in communication with key stakeholders that adhere to codes of practice, cultural protocols and |53 | |

|stakeholders |agreed roles and responsibilities | | |

| |Identify and implement methods of working in culturally appropriate ways |53 |4 |

| |Identify and implement plans to deal with changes in circumstances and behaviours, as required |53 |4 |

|Establish and develop roles and |Clearly and accurately clarify roles and responsibilities in the business in accordance with organisational structure and lines of authority, |53 |4 |

|responsibilities in the small |codes of practice and job documentation | | |

|business |Identify and apply specific practices and behaviours from the codes of practice, that contribute to successful working relationships |53 |4 |

| |Clearly communicate responsibilities and practices to key stakeholders |53 | |

|Review relationships with key |Review communication practices used with key stakeholders and implement any necessary improvement strategies |54 |4 |

|stakeholders |Monitor and evaluate relationships with key stakeholders and develop action plan/s needed to enhance relationships |54 |4 |

| |Evaluate roles and responsibilities in the business and undertake any revision necessary to improve successful working relationships |54 |4 |

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issue QUALIFICATION- RTO

INTERVIEW and DOCUMENT REVIEW

COMPETENCY CONVERSATION

Practical Assessment

APPLICATION

gap training (only IF REQUIRED)

Step 1:

Analyse the application.

Identify links between any documents applicant provides and competency units.

Identify any key questions for competency conversation.

Step 5:

Identify any practical activities required to confirm competency

Observe practical activity

Step 7:

Identify areas where 3rd party verification is needed and inform candidate.

Confirm / Verify 3rd party reports

Step 3:

Conduct competency conversation

Step 2:

Record results of analysis in table at end of application

Step 4:

Complete the Record of Conversation sheets during the competency conversation

Step 6:

Complete Practical Assessment Tasks Observation Sheets

Step 8:

Receive completed Third party reports

* Remember RPL assessment is an accumulative process of collecting evidence.

Complete assessment sign off & file documentation.

Issue qualification / advise of gap training as appropriate

Assessment Activity

Record keeping Activity

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