Information for Student:

• All work is to be entirely of the student.

General Information for this assessment:

• Read the instructions for each question very carefully.

• Be sure to PRINT your FIRST name & LAST name in every place that is provided.

• Short questions must be answered in the spaces provided.

• For those activities requesting extra evidence such as: research reports, essay reports, etc. The student must attach its own work formatted in double space, Arial 12 pts. 

• All activities must be addressed correctly in order to obtain a competence for the unit of competency.

• If the student doesn’t understand the assessment, they can request help from the assessor to interpret the assessment. 

• Re-submission of assessment after the term will incur additional fees.

Re-assessment of Result & Academic Appeal procedures:

If a student is not happy with his/ her results, that student may appeal against their grade via a written letter, clearly stating the grounds of appeal to the Chief Executive Officer. This should be submitted after completion of the subject and within fourteen days of commencement of the new term.

Re-assessment Process:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 

• An appeal in writing is made to the Academic Manager providing reasons for re-assessment /appeal.                                                                               

• Academic Manager will delegate another faculty member to review the assessment.

• The student will be advised of the review result done by another assessor.

• If the student is still not satisfied and further challenges the decision, then a review panel is formed comprising the lecturer/trainer in charge and the  Academic Manager if need be an external assessor.

• The Institute will advise the student within 14 days from the submission date of the appeal. The decision of the panel will be deemed to be final.

• If the student is still not satisfied with the result, the he / she has the right to seek independent advice or follow external mediation option with nominated mediation agency.

• Any student who fails a compulsory subject or appeals unsuccessfully will be required to re-enrol in that subject. 

The cost of reassessment will be borne by the Institute. The external assessor will base his/her judgement based on principles of assessment. These principles require assessment to be reliable, fair, practical and valid.

Academic Appeals:

• If you are dissatisfied with the outcome of the re-evaluation process, you have a right to appeal through academic appeals handling protocol.
  
  

• To appeal a decision, the person is required to complete the WSC- Request for Appeal of a Decision form with all other supporting documents, if any.  This form is available via our website. The completed Request for Appeal form is to be submitted to the Student Support Officer either in hard copy or electronically via the following contact details:

Student Support Officer, Western Sydney College (WSC), 55 High St, Parramatta NSW 2150, Email: support@wsc.nsw.edu.au

• The notice of appeal should be in writing addressed to the Chief Executive Officer and submitted within seven days of notification of the outcome of the re-evaluation process. 

• If the appeal is not lodged in the specified time, the result will stand and you must re-enrol in the unit. 

• In emergency circumstances, such as in cases of serious illness or injury, you must forward a medical certificate in support of a deferred appeal. The notice of appeal must be made within three working days of the concluding date shown on the medical certificate. 

• The decision of Chief Executive Officer will be final.

• Student would then have the right to pursue the claim through an independent external body as detailed in the students’ complaint / grievance policy.

Scenario: Internal approval

You are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation.

The CEO, or relevant internal approval authority, has now asked you to prepare an implementation plan for your compliance management system. Your plan will need to include:

• specifications

• action schedule

• budget, with a breakdown of costs for each component of the system.

To fulfil organisational requirements, your plan must be in the following format:

1. COMPLIANCE MANAGEMENT SYSTEM

For the proposed compliance management system:

1. describe the management information system requirements

2. identify all components of the compliance management system, including any documentation required to be developed

3. document the specifications of each component.

2. PERSONNEL

For the proposed compliance management system:

1. determine personnel requirements for staffing

2. select suitable personnel from those available within the case study

3. assign key responsibilities to each position.

3. TRAINING

Identify and describe:

1. the results of the training needs analysis to determine the level of required learning for the company’s employees

2. the training requirements for implementing the proposed compliance management system

3. suitable training options for staff. 

• PROCESSES

Identify and describe:

1. a complaints management system

2. a strategy for developing a compliance management culture 

3. processes and procedures for identifying and managing compliance breaches, including integration with existing policies and procedures

4. processes and procedures for meeting compliance reporting requirements

5. processes and procedures for internal and external liaison processes

6. performance indicators to be measured by the system so that it can be objectively evaluated, for example:

1. individual compliance/non-compliance

2. training numbers

3. numbers of complaints

4. numbers of breaches

5. ratio of payroll errors/breaches to number of transactions.

5. ADMINISTRATION

Include:

1. the budget required to resource implementation (including human resources for developing, implementing, reviewing and maintaining the proposed compliance management system)

2. an action schedule outlining target milestones for all aspects of        implementation, including training, review and maintenance.

You will need to meet with your CEO, or relevant internal approval authority, to present and defend your implementation plan, particularly on the basis of:

• adherence to budget

• the ability of the plan to contribute to a culture of compliance in the organisation.

Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor in place of the CEO.

Scenario: External approval

As in the above scenario, you are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation.

The CEO, or relevant internal approval authority, has now approved your implementation plan for your compliance management system. 

In order to build credibility for the organisation among clients, customers, and suppliers, as well as government and regulatory authorities, you have been asked to meet with an external auditor (representing an accredited certification body). This external auditor will help you take the first steps towards certifying the organisation with respect to, for example, AS/NZS 3806:2006 Compliance programmes, AS ISO 10002:2006 Guidelines for complaints handling, AS/NZS ISO 31000:2009 Risk Management – Principles and guidelines or AS ISO 15489:2004 Records management.

You will need to satisfy the auditor that the planned implementation will be compliant with the principles set out in the relevant standards. Example questions that an auditor could ask with respect to AS/NZS 3806:2006 Compliance programmes, for instance, could include:

• How does the planned implementation of the compliance management system:

• ensure commitment by top management to effective compliance throughout the organisation?

• ensure the compliance policy aligns with business goals?

• ensure appropriate resources are allocated to the compliance program?

• ensure endorsement by top management?

• ensure compliance obligations are identified and assessed?

• ensure responsibilities for compliance are set?

• ensure training needs are met?

• ensure appropriate behaviours are encouraged?

• ensure controls are put in place to achieve desired behaviours and outcomes?

• ensure performance of the compliance program is monitored, measured and reported?

• ensure that the organisation can demonstrate compliance through documentation?

• ensure the program is continuously reviewed and improved?

You will need to answer the auditor’s questions with specific reference to the implementation plan for the compliance management system as you have developed it.

Note: You will need to meet with your assessor (as the external assessor) or a person assigned to role-play an external auditor.

Name: (name of employee)

Position: (their title)

Assessor: (Who is assessing this?)

Responsibilities
(Insert tasks)

Required knowledge
(Insert knowledge required to use KMS)

Identified gaps
(What training will be required to cover gaps?)

When?
(When will this training take place? Over what timeframe?)

Training provider?
(Who will be undertaking this training?)

What will be the expected benefit for the employee of this training?

How will the success of the training be monitored?

Did the candidate:

Satisfactory

Yes

No

Submit a written report?

Present report to assessor (as CEO and/or external auditor)?

Submit a written implementation plan, including specifications, budget and action schedule?

Submit all materials within the agreed timeframe?

Did the candidate:

Satisfactory

Yes

No

Present the implementation plan for approval by the CEO (assessor) and:

• demonstrate interpersonal skills designed to positively influence authorities

• defend plans on basis of:

• adherence to budget

• ability to build culture of compliance

• use relevant interpersonal skills to gain approval. For example:

• communication

• listening

• demonstrating respect

• using appropriate tone and physical demeanor?

Present the implementation plan for approval by the external auditor (assessor) and:

• defend plans on basis of compliance with at least one relevant standard, for example:

• AS/NZS 3806:2006 Compliance programmes 

• AS ISO 10002:2006 Guidelines for complaints handling

• AS/NZS ISO 31000:2009 Risk Management - Principles and guidelines

• AS ISO 15489:2004 Records management

• use relevant interpersonal skills to gain approval?

1. Compliance management system

For the proposed compliance management system:

1. describe the management information systems requirements, including, for example:

1. payroll system

2. accounting information system?

2. identify all components of the compliance management system, including:

1. internal – policy and procedures

2. external – laws and requirements of associations?

3. document the specifications of each of the above components?

2. Personnel

For the proposed compliance management system:

1. determine personnel requirements for staffing, covering:

1. working with existing staff

2. extensions to job descriptions?

2. select the following suitable personnel from those available within the case study:

1. Warehouse Manager – Jack O’Toole

2. Retail Manager – Mary Taylor

3. Woolloongabba Comm, Centre Mgr – Judith Moore

4. Spring Hill Community Centre Manager – Helen Ng

5. Bookkeeper – Jenny Aviel?

3. assign key responsibilities to each position, such as:

1. Warehouse Manager – Jack O’Toole – asset management and asset security

2. Retail Manager – Mary Taylor – asset security, accounting information

3. Woolloongabba Community Centre Manager – Judith Moore – duty of care, cash handling

4. Spring Hill Community Centre Manager – Helen Ng – asset management

5. Bookkeeper – Jenny Aviel – reconciliations

6. Payroll clerk – Tom Brown – authorisations

7. Accounts Receivable Clerk – Maggie Saldais – financial records

8. Accounts Payable Clerk – John Tomlin – fin. records

9. Receptionist Spring Hill – Julie Jones – privacy

10. Receptionist Woolloongabba – Peggy White – privacy?

3. Training

Identify and describe:

1. the following the training requirements for implementing the proposed compliance management system:

1. company policy compliance

2. computerised financial accounting system?

2. training options for staff, such as:

1. Warehouse Manager – Jack O’Toole – company policy compliance

2. Retail Manager – Mary Taylor – emergency systems

3. Payroll Clerk – Tom Brown – computerised payroll system

4. Accounts Receivable Clerk – Maggie Saldais – computerised accounting system

5. Accounts Payable Clerk – John Tomlin – computerised accounting system

6. Bookkeeper – Jenny Aviel – personal development – computerised accounting system?

4. Processes

Identify and describe:

1. a complaints management system that:

1. adheres to AS ISO 10002:2006 Guidelines for complaints handling

2. creates a customer-focused culture 

3. establishes an open and responsive complaints-handling process 

4. resolves complaints in a consistent, systematic and responsive manner; identifies trends; eliminates causes of complaints; and improves the organisation’s operations

5. includes continual review and analysis of the complaints-handling process, the resolution of complaints, and process improvements?

2. the following strategies for developing a compliance management culture (strategies must use both internal and external personnel), for example:

1. better communication (e.g. effective standard of compliance is published); training (may involve external providers)

2. senior management focus on the communication of the value of compliance and demonstration of management’s commitment to compliance?

3. the following processes and procedures for identifying and managing compliance breaches:

1. customer complaints procedures

2. notifications procedures?

4. the following processes and procedures for meeting compliance reporting requirements

1. internal controls

2. policy and procedures?

5. performance indicators to be measured by the system so that it can be objectively evaluated, for example:

1. individual compliance/non-compliance

2. training numbers

3. numbers of complaints

4. numbers of breaches

5. ratio of payroll errors/breaches to number of transactions?

5. Administration

Identify and describe:

1. the budget required to resource implementation, including:

1. human resources for developing, implementing, reviewing and maintaining the proposed compliance management system

2. a timeline outlining target milestones for all aspects of implementation, training, review and maintenance, including:

1. dates

2. times

3. targets?

Outcome:

Successful

Unsuccessful

Assessor name:

Assessor signature: