BFA347 Unit Outline Regulatory Compliance

BFA347 Unit Outline Regulatory Compliance
BFA347
Regulatory Compliance
Semester One 2012
School of Accounting and Corporate Governance
Faculty of Business
Unit Outline
Barry Hicks, BA LLB
CRICOS Provider Code: 00586B
Contact details
Unit coordinator/lecturer:
Barry Hicks
Campus:
Hobart
e-mail:
[email protected]
Phone:
62 26 2802
Fax:
62 26 7845
Room number:
424 – Commerce Building
Consultation hours:
By appointment in Hobart or via email with
48 hour turn around during business hours
(Mon - Fri, 9.00am - 5.00pm)
Flexible Education Office
Coordinator
Latha Jeyaraj
Campus:
Launceston
e-mail:
[email protected]
Phone:
1800 449 902 (toll free) or 61 3 6324 3186
Fax:
6324 3369
Room number:
Building D, Room D126
© The University of Tasmania 2012
Contents
Unit description
Learning Outcomes/Assessment/Generic Graduate Attributes
Alterations to the Unit as a Result of Unit Feedback
Learning resources required
MyLO facilities used for this unit
Details of teaching arrangements
Unit Schedule
Learning expectations and teaching strategies/approaches
Specific attendance/performance requirements
Assessment
How your final result is determined
How to submit Assignments
Requests for extensions
Penalties: Faculty Assessment Submission Policy
Review of Assessment and Appeals
Academic referencing
Academic Misconduct
Further information and assistance
If you have a problem
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2 2 4 4 5 8 8 10 13 13 17 17 18 18 19 20 20 21 22 Unit description
The Unit examines government, non-government and self-regulation of businesses in
Australia and compliance with that regulation by using a variety of mechanisms.
Examination of Work Health and Safety Regulation and Compliance provides a case
study for a detailed examination of business regulation and compliance.
The prerequisite for the Unit is BFA 141 Commercial Transactions.
Learning Outcomes/Assessment/Generic Graduate Attributes
See the table on the following page that sets out the Learning Outcomes, Criteria for
Assessment Tasks, Assessment Methods and Graduate Attribute Outcomes for this
unit and the linkages between them.
Generic Graduate Attributes
The University has defined a set of generic graduate attributes (GGAs) that can be
expected of all graduates
http://www.learningsupport.utas.edu.au/generic_attributes.html).
By undertaking this unit you should make progress in attaining those attributes as
described in the table on the following page:
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Learning Outcomes
Assessment Criteria – In assessing this learning outcome we will consider your ability to:
Assessment
Methods
1a.Knowledge of business
regulation
a. Identify, describe and explain the main features of the historical development of business regulation with particular emphasis
on WHS regulation.
Online Discussion
b. Identify, describe and explain the main impacts of the Australian Federal System on government business regulation
including WHS regulation.
As above
c. Identify, describe, explain and compare/contrast the nature and purposes of business regulation with particular emphasis on
WHS regulation and evaluate the manner and extent to which the purposes are achieved.
Assignment 1
Online Discussion
d. Identify, describe and evaluate the most relevant regulatory theories for the three forms of business regulation - (i)
government regulation; (ii) industry self-regulation; and (iii) voluntary regulation of business ("business regulation") with
particular emphasis on WHS regulation.
As above
e. Identify, describe and evaluate the following types of government business regulation (with particular emphasis on WHS):
command and control legislation; quasi-regulation; co-regulation; informal policies and guidelines; and, economic instruments.
Assignment 1
Online Discussion
Capstone
f. Identify, describe and evaluate the main types of industry self-regulation.
Online Discussion
Capstone
As above
g. Identify, describe and evaluate the main types of voluntary regulation.
The ability to transfer knowledge to complex and ambiguous
governance and related situations and transmit that knowledge
to professional peers for critical discussion.
Extensive functioning knowledge of:
•
Corporate governance concepts, techniques and
processes.
•
The legal, regulatory and conceptual framework as they
relate to governance and business practice in both Australian
and international contexts.
Functional lifelong learning for professional and personal career
aspirations.
Communication Skills
Written communication skills in a manner appropriate to the
professional situation.
Thinking skills that enable participation in critical discussions
and the ability to defend a position held both individually and as
part of a culturally and linguistically diverse group.
j. Identify, describe, explain and evaluate the main costs and benefits of business regulation for the main stakeholders (with
particular emphasis on WHS).
As above
a. Describe, explain and evaluate the following methods and systems available to governments for securing compliance with
business regulation (with particular emphasis on WHS) – use of: regulatory design; enforcement by regulators; quasiregulation; co-regulation; informal policies and guidelines; economic instruments; and, education and information strategies.
As above
Logical, critical and creative thinking for solving complex work
related problems. The ability to apply relevant theoretical
knowledge and integrated strategies learnt and employed over
time to problem resolution.
b. Describe, explain and evaluate the following methods available to industry for securing compliance with business regulation
(with particular emphasis on WHS) – use of enforcement provisions contained in: self-regulatory codes of conduct,
professional bodies’ codes, industry service charters, guidelines and standards, industry based accreditation and complaint
handling schemes.
c. Describe, explain and evaluate the following methods available to businesses for securing compliance with business
regulation (with particular emphasis on WHS ) – use of : enforcement provisions contained in voluntary/internal codes of
conduct; corporate governance and risk management practices; management practices including QA and TQM; compliance
with AS3806 2006; and AS/NZS 4804/4801.
Online Discussion
Capstone
a. Describe, explain and evaluate the education, training, skills and experience of compliance professionals and their role in
providing advice to businesses for achieving regulatory compliance (with particular emphasis on WHS).
As above
b. Provide preliminary written advice to business clients in relation to business regulation and the implementation of any one or
more of the strategies referred to above for securing regulatory compliance (with particular emphasis on WHS), using the
knowledge, education, training, skills and experience expected of a compliance professional.
As above
c. Provide written advice to business clients in relation to the engagement of compliance professionals including advice in
relation to the services that they can provide and the manner and extent to which they can provide solutions to regulation and
regulatory compliance problems of the business (with particular emphasis on WHS regulation).
As above
i. Identify, describe, explain and evaluate the regulatory enforcement activities of Government business regulators with
particular emphasis on WHS regulators.
2. Ability to communicate
information and advice to
business about business
regulation and compliance
systems (both national and
international) and provide
them with advice to solve
compliance problems in the
context of their social
responsibility to ensure
regulatory compliance.
Knowledge
Assignment 1
Online Discussion
Capstone
As above
h. Identify, describe, explain and compare/contrast the differing regulatory instruments/tools that are used (for e, f & g) to
achieve the purposes referred to in c. above and evaluate their usage (with particular emphasis on WHS).
1b. Knowledge of methods
and systems used for
securing compliance with
business regulation
Graduate Attribute Outcomes
As above
Problem Solving Skills
The ability to locate, analyse, evaluate and use information and
internationally informed research effectively and in a timely
manner.
Global Perspective
The ability to connect with diverse groups of people on a
professional basis.
An awareness of the global business environment and the
ability to evaluate and incorporate its influence in governance
practices and decisions.
Social Responsibility
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The ability to determine and apply an ethical framework to
simulated governance tasks for situations involving both
Australian and international contexts.
Considering both the Australian and international context, a
demonstrated awareness and understanding of the social
responsibilities of governance practices and the ability to make
decisions that consider sustainability.
Alterations to the Unit as a Result of Unit Feedback
I have updated the Unit Materials, Discussion Questions and Assignment Questions
in various sections to take account of legal and other changes so that they materials
are now up to date and relevant. The quantity of the Unit Readings has been further
reduced. The number of Assignments including the Capstone Assignment has been
reduced from three (3) to two (2). The number of online Assessable Discussions has
been reduced from six (6) to four (4).
Learning resources required
Requisite texts
There is no text for this unit. However, I have used the following book to provide
material for various Modules and Topics (when this occurs, I have included specific
acknowledgement). I have ordered copies for the Library and when received they will
be placed in Closed Reserve at the Morris Miller, Launceston and Cradle Coast
libraries.
Planning Work Health & Safety: A Guide to WHS Risk Management, 9th edn, CCH
Australia Ltd, 2011.
Course Materials
“Course Materials” are provided to you on MyLO. They are in modular format ie:
Modules 1-5 (there are Topics within each Module). The Materials include: “Lecture
Materials”; “PowerPoint slideshows” with audio narrations for each Topic; copies of
slides (in PDF format – 6 per page); ‘Readings’ that I have taken from various
sources (in PDF format) including the WEB (direct links are provided when I do this).
(the ‘Readings’ are intended to be used in conjunction with the Lecture Notes and to
make Unit more practical and useful for you); and, ‘Activities’ which allow you to
apply the knowledge that you have gained in individual topics.
Library
The University library has many resources. The web site for the library is:
http://www.utas.edu.au/library.
Please visit the library web site and make yourself familiar with the many electronic
services available. Some of the library services may require a login name and
password. Check with the library for these details.
MyLO
General
MyLO is an internet service that has been adopted by the University and will be used
in this unit. MyLO may be accessed on computers in computing laboratories at the
University or on your computer at home or at work. Information about accessing and
using this service, about required computer specifications and frequently asked
questions, and about how to get help if you experience difficulties, is available at the
following University website: http://www.utas.edu.au/coursesonline
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You are strongly advised to visit this site and become familiar with the features of
MyLO, especially if you have not used it before. You will probably be using it in other
units that you are studying as well. Here are some important points about accessing
our web site:
Access to MyLO
You can access your MyLO course from the Student Page on the University’s web
site: Current Students > MyLO or go directly to the web address noted above:

Enter your email POP account “Username” (for example, dsmith) and your
“Password”. These are identical to the pop account/email username and
password that you are given with your enrolment confirmation form. If you
forget your pop account username, contact the Help Desk (see below under
‘getting assistance with MyLO). Both MyLO and e-mail passwords must
remain the same. If you are going to change your password, change your
e-mail password first.

When you enter your user name and password, click on OK and choose
“BFA347” from the list of units (subjects) in which you are enrolled. [NOTE:
Another box may periodically appear when using the University network
which asks you to verify your user name and password, this is simply a
security device – enter your password when asked and click OK]. MyLO will
automatically check that your browser is properly configured. If the MyLO
‘browser checker’ window appears – scroll down to make sure you have a tick
in each area shown – then close the window.
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From the Unit’s homepage click on the area you wish to access e.g. “Unit
Information”. A table of contents will appear on the left hand side of your
screen. Scroll through the list until you find what you want and click the
underlined topic.
MyLO facilities used for this unit
1. “Announcements” – MyLO offers an “Announcements” facility, which I will use in
connection with this unit to make announcements to you from time to time. Only I
can use the ‘Announcements facility’. However, you will see below under
‘Communication Tools’ that there is a ‘Discussions’ area with allocated ‘Topics’ that
you can use for personal communication, either with me or, with other students, and
you should make use of these.
2. “Communication Tools” - MyLO offers a “Communication Tools” area within which
are located ‘Discussions’ and ‘E-Mail’, both of which I will use in connection with this
unit.
“Discussion” – this area is provided for on-line Discussion between you and I and
between you and other students. Discussion is arranged under a list of ‘Topics’,
which are as follows.
“Assessable Discussion” – There are four (4) Assessable Discussions that you
MUST participate in (see later in this Outline for details).
I have opened “General Discussion” Topics for each of the five (5) Modules in the
Unit. I have done this so that you can make postings in relation to the particular
Modules. For example, you may have questions to ask me about a Module or
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comments to make to your fellow students or questions to ask of them in terms of
generating discussion that will help you or may be of interest to them. The Questions
for Consideration that are posed in each Topic for a Module may raise issues that
you would like to discuss with other students and they are provided in part for this
reason. By arranging “General Discussion” Topics in this way, it will make it easier for
you later to find postings that relate to one of the five (5) Modules if you wish to read
them. It will also be easier for you to find the best place to put your postings so that
other students will be able to find them easily and read them.
“Assignment 1” - I have opened a Topic in which you can make postings in relation to
the Assignment. You may have queries that you wish to raise with me for example
and you can use this topic for that purpose.
“Capstone Assignment”. This topic has been opened to allow you to ask questions of
me in relation to the requirements for the Capstone Assignment (eg: to explain them).
Because the Capstone takes the place of a final examination in the unit, I cannot
provide guidance in relation to HOW you should undertake the assignment, only
guidance in relation to the requirements eg: what they mean/what you must do.
“Café” - I have opened this Topic so that you can communicate with other students
with a view to getting to know everyone in the unit. I would like you to make postings
to this Topic at the start. You should provide some information about yourself and
what you are doing, what your interests are and what you think about the unit. You
can also use the ‘Café’ to make postings about current issues that are relevant to the
unit that you may have seen on TV or read about in the press recently, etc (if you do
not choose to place them in one of the “General Discussion Topics” mentioned
above). You should do your best to make it into a real café atmosphere. You should
try to create an on-line community with other students. You will enjoy it!
“Feedback” - I have opened this Topic so that you can make comments, suggestions
and criticisms, which are anonymous. This is a VERY important facility so far as I am
concerned for the following reasons. There may be issues that need to be addressed
and a ‘Feedback’ Topic allows these matters to be identified so that I can respond
appropriately and take action where necessary. Secondly, it allows you to make
valuable contributions and to feel that your voice is being heard. Don’t hesitate to use
the facility.
3. “Mail”
If you wish to communicate with me privately, you can use the MyLO (email) facility
to do this OR you can send emails to me at: [email protected]
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Other
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PDF files
Many of the files made available through MyLO (eg: in the ‘Unit Resources’ area) will
be in Portable Document Format (PDF). These files can be viewed from within your
web browser or separately by using a program called Adobe Acrobat Reader. This
software is already installed on the machines in the Faculty Computing Laboratory,
but can be downloaded free of charge from the Adobe site should you want a copy
for another machine. At time of writing the required URL was: http://www.adobe.com.
To print PDF files make sure you use the print option in the PDF window NOT the
print function on the top toolbar of your screen.
Some other points about the use of MyLO:


If using MyLO on a computer in a public place, quit the browser when you have
finished so that other people cannot gain unauthorised access.
Netiquette is a term for standards that govern computer-mediated
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expected to observe the University’s Information Technology Facilities Use
Guidelines. So that all students may feel encouraged to participate, rude
comments that are harassing or discriminatory are not acceptable. Remember
that discussion postings are widely read, and that some people taking the unit
may have very different backgrounds, customs and experiences to your own.
Accessing assistance with MyLO:
If you have difficulty in gaining access to or using MyLO you can contact the Help
Desk Tel: (03) 6226 1818 or send an e-mail message detailing your problem to:
[email protected]
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Details of teaching arrangements
This unit is offered by flexible delivery. NO formal face-to-face classes or meetings
are scheduled.
Occupational health and safety (OH&S)
The University is committed to providing a safe and secure teaching and learning
environment. In addition to specific requirements of this unit you should refer to the
University’s policy at: http://www.admin.utas.edu.au/hr/ohs/pol_proc/ohs.pdf
Unit Schedule
The following Schedule sets out the Modules and Topics that make up this unit.
A suggested target time schedule is set out in the third column for those who wish to
complete the course progressively throughout the semester. The Readings for each
Topic are indicated in the Course Materials on MyLO
Mod
ule
1
Topics
Suggested
Completion Dates
INTRODUCING REGULATORY COMPLIANCE
Introduction to the Unit
1a Background and Unit Overview
1b Business and Regulation
1c Complying with Business Regulation
1d Case Study in Regulatory Compliance – WHS
2
GOVERNMENT BUSINESS REGULATION
2a Business Regulation and the Federal System
2b Regulation by Legislation
2c Quasi Regulation and Co-Regulation
2d Informal Policies and Guidelines
2e Education and Information Strategies
2f Economic Instruments
2g Penalties and Sanctions
2h Regulators and Regulation
2i Corporations
2j Lawyers and Legal Issues
Wednesday
7 March,
Semester Week 2
Sunday 1 April,
Semester Week 5.
Assessable Discussion 1 due date: Sunday 1 April 2012
[Mid-Semester Break – 5-11 April]
3
NON-GOVERNMENT BUSINESS REGULATION
3a Industry Self-Regulation and Codes of Conduct
3b Voluntarism
Friday 13 April,
Semester Week 6.
Assignment 1 due date: Midnight Sunday 15 April 2012
Assessable Discussion 2 due date: Sunday 22 April 2012
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COMPLIANCE WITH BUSINESS REGULATION
4a Compliance, Governance and Management
4b Historical Development of Regulatory Compliance
4c Legislators and Compliance
4d Commonwealth Criminal Code
4e Regulators and Compliance
4f Compliance and the Courts
8
Sunday 6 May,
Semester Week 9
4g The Compliance Industry
Assessable Discussion 3 due date: Sunday 6 May 2012
5
MANAGEMENT OF REGULATORY COMPLIANCE
5a
5b
5c
5d
5e
5f
5g
5h
5i
5j
Compliance Programs and AS3806: 2006
AS3806 - Commitment
AS3806 - Implementation
AS3806 – Monitoring, Measuring and Continual
Improvement
Case Study - OHS Compliance
WHS - Risk Management
WHS – Compliance Policy and Planning
WHS - Compliance Implementation
WHS – Compliance Measurement, Evaluation and Review
Workers Compensation and Injury Management
Sunday 27 May,
Semester Week 12
Assessable Discussion 4 due date: Sunday 27 May 2012
Study Period
Monday 4 June –
Friday 8 June
Capstone Assignment - Monday 11 June 2012
Unit Schedule: Dates for Semester 1, 2012
Week
Commencing
Week 1
27 February
Week 2
5 March
Week 3
12 March
Week 4
19 March
Week 5
26 March
Week 6
2 April
Mid Semester Break Thursday 5 April to Wednesday 11 April
Week 7
16 April
Week 8
23 April
Week 9
30 April
Week 10
7 May
Week 11
14 May
Week 12
21 May
Week 13
28 May
Week 14
4 June - 8 June (Study Period)
Examination Period
9 June – 26 June.
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Learning expectations and teaching strategies/approaches
Expectations
The University is committed to high standards of professional conduct in all activities,
and holds its commitment and responsibilities to its students as being of paramount
importance. Likewise, it holds expectations about the responsibilities students have
as they pursue their studies within the special environment the University offers.
The University’s Code of Conduct for Teaching and Learning states:
Students are expected to participate actively and positively in the
teaching/learning environment. They must attend classes when and
as required, strive to maintain steady progress within the subject or
unit framework, comply with workload expectations, and submit
required work on time.
Teaching and Learning Strategies
As mentioned above, there are five (5) Modules for you to study independently in this
unit, each of which has a number of Topics within it. For each Topic there are
narrated PowerPoint slides that introduce the key concepts for that Topic. There are
also Readings for each of the Topics (and in some cases videos) and some
questions for you to ‘consider’ and ‘activities’ to do in relation to the readings. There
are also questions for four (4) Assessable Discussions located at the end of Modules
2, 3, 4 and 5 (see later in this Outline). There is a requirement for the completion of
these Assessable Discussions by four (4) fixed dates throughout the Semester and
you must comply with this requirement so that you do not lose marks (see under
‘Assessment’)
At the end of each Module there are also ‘Self Review Activities’ for you to undertake
that will allow you to test your knowledge of the material covered in the Module.
There is one (1) assignment that is due during the semester and at the end of the
Unit, there is a Capstone Assignment to undertake and return to me (see later in this
Outline).
From the start of Semester it is important to work consistently through the Course
Materials. If there is any area of work that you do not understand, you should contact
me immediately, and make sure you do not progress to the next Topic/Module
without a thorough understanding of the previous one. Each part of the unit develops
themes from, and assumes an understanding of, the previous Modules/Topics, so it
is important that areas are not to be skipped. I will reply to email requests for
assistance within 48 hours during business hours (Mon – Fri 9.00am -5.00pm). You
are requested to direct emails to me at: [email protected] rather than
using the MyLO email facility. This will ensure that your emails come to my attention
more quickly and as a result they can be answered more quickly by me.
Test your knowledge by undertaking the ‘Self Review Activities’. Make sure that you
complete assessable discussion by the due dates indicated under ‘Assessment”.
Start work on each of the two assignments early so that you will have adequate time
to complete them and every opportunity to be awarded a good mark.
Encouraging you to study and learn independently is an important goal of university
study. It is a feature of a reflective approach to learning in which you reflect on what it
is you are learning and how you plan your learning strategy. It is not the aim of
flexible delivery that you feel you must work through problems alone. Throughout the
unit as mentioned above, there are “questions” and “activities” for you to consider
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and you may choose to discuss these by making postings to the Non-Assessable
Discussion Topics for each of the Modules via the Discussion facility of MyLO. There
are also the questions for Assessable Discussion with other students. The exchange
of information and ideas is a very important part of the learning development. You
will gain most benefit by staying in close contact with other students and with me.
There are also the ‘Self Review Activities’ for you to undertake at the end of each
Module.
All aspects of your work are expected to be of a high standard, both in academic
content and quality of presentation. It is important to contact me immediately should
you experience any difficulties. Do not be reluctant to ask questions or contribute
ideas, even if only partly formed, as these can often form a basis for very
constructive interaction. Remember that the MyLO Discussions (Assessable and
Non-Assessable) will be as interesting and useful as you make them.
The “Double L, Double R, Double D” approach
To get the most from this unit, you should adopt the following approach:






Locate the Topic on MyLO that must be done next.
Listen to the PowerPoint presentation for it.
Read the relevant section of the lecture materials and the other readings
provided for the Topic on MyLO.
Reflect on the concepts and issues that have been encountered using the
questions and activities posed for your consideration.
Discuss the issues raised by any or all of the Modules using the Discussion
Topics that I have created for you.
Do any other activities that are scheduled/provided for the Topic or Module.
Formal Written Feedback from me - Assessable Discussion 1
As mentioned above, if there is any area of work that you do not understand or need
help with, you MUST contact me immediately, and I will assist you in every possible
way. The assistance given may include ‘Informal’ feedback eg: you may ask for
assistance in relation to a plan that you have prepared for Assignment 1 and I will
provide feedback on your plan.
However, I will ALSO provide ‘Formal Written Feedback’ in relation to the Assessable
Discussion for Module 1.
It is intended that by providing Formal Written Feedback on this Assessable
Discussion you will be afforded the opportunity to know how you are performing
against the ‘Criteria’ for Assessable Discussions (see later in this Outline) and you
will be encouraged to work consistently through the Course Materials from the start
of the Semester. If you find as a result of Formal Written Feedback that you are not
performing well, you have the opportunity to know HOW you can improve your
performance with a view to receiving the highest possible mark out of 30% for your
Assessable Discussion.
The condition on which Formal Written Feedback for Module 1 will be provided is that
you complete your discussion postings for Module 1 on or before the ‘Suggested
Date’ in the Unit Schedule for completion of that Module ie: Wednesday Week 2,
7 March 2012.
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Web Documents
You should also obtain (as and when required) copies of “Documents” that are
located on the Internet (you will be told when to do this in particular Modules). The
Documents are referred to and used in many Topics and Modules throughout the
Unit in conjunction with the Course Materials. On MyLO you are provided with the
Internet address and a button that you can click on to access the site where the
Document is located and it may be viewed. Then you can take a copy of the
Document for your personal use in connection with your study of this unit. Typically
the documents are in PDF format.
The Media
Regulatory Compliance developments of one type or another are frequently in the
media. To make this unit more interesting and useful you should try to keep abreast
of these developments by reading newspapers and magazines. You should also
watch current affairs and business programs on TV and listen to such programs on
the radio.
Student Interaction and Discussion
Throughout the semester, your objective should be to gain a broad knowledge and
understanding of the Topics that are covered in the various Modules contained in the
unit. Wherever possible, discuss issues with other students. Make extensive use of
MyLO Discussion, both Assessable and Non-Assessable that I have provided for you
to use. You should make sure that you use the ‘Café’ for example, so that we can all
get to know each other. Use any or all of the Topics in the Discussion area – it can
be very helpful.
Contact with me
If you have a problem that cannot be resolved by communication and interaction with
other students, you should not hesitate to contact me at the earliest opportunity. You
should use MyLO Mail or your personal email or, if necessary telephone me or ask
me to telephone you back (you can do this in your email by providing a return
telephone number).
As NO formal face-to-face classes or meetings are scheduled for this unit, you MUST
maintain regular contact with me in this way so that you can get the necessary
assistance to undertake the unit. If you are geographically close to the Hobart
Campus of the University, you can make an appointment to see me and get the help
you need face-to-face.
Unit Schedule
There is a Unit Schedule provided earlier in the Unit Outline (see earlier) in which you
will find the five (5) Modules covered in this unit together with the separate Topics
covered in each Module. It also contains SUGGESTED target times for the
completion of the five (5) Modules in the unit. This will be helpful for you to complete
the Unit progressively throughout the Semester. The ‘Readings’ for each of the
Modules/Topics are indicated in the Unit Resources on MyLO. You MUST allow
yourself SUFFICIENT TIME to work your way through all of the Modules and the
Topics within them, participate in the Assessable Discussion and, complete the one
(1) Assignment. It would be VERY unwise to leave insufficient time so that you have
to complete a large amount of work in a short period. In particular, you will see under
‘Assessment’ that you are not permitted to undertake the Capstone Assignment in
the unit UNLESS and UNTIL you complete ALL of the requirements for the unit by
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the prescribed DEADLINES ie: four (4) ‘Assessable Discussions’ and one (1)
Assignment.
General
If you are studying this unit you must already have developed skills and strategies
that have helped you to achieve success in previous undergraduate units. However,
the subject matter of this unit will be new to you. In addition to practical problem
solving and application of regulatory compliance practices, the unit requires an ability
for critical and abstract thinking and good communication skills. The emphasis is on
you USING your knowledge of best practice to address real life regulatory
compliance issues that you hear about on TV and radio or read about in the media.
You should do well in this unit if you:
 have a strong interest in regulatory compliance issues;
 keep up-to-date with your coursework, and with daily newspapers, relevant
magazines, journals radio and TV programs;
 consolidate your understanding by making appropriate short notes and
summaries;
 give yourself plenty of time to complete your “Assignments”;
 prepare for and actively participate in Assessable and Non-Assessable
Discussion (this is especially important as a medium for students from many
disciplines to share their particular expertise); and
 take responsibility for your own learning.
Specific attendance/performance requirements
This unit is offered by flexible delivery. NO formal face-to-face classes or meetings
are scheduled and therefore there are no specific attendance requirements.
In order to pass this unit you must complete and submit each item of assessment
listed below AND achieve a final result of at least 50%.
Assessment
Assessment schedule
Assessment task
Date due
Percent
weighting
Assessable Discussions
(4)
Discussions 1 – Sun Wk 5, 1 April 2012
Discussions 2 – Sun Wk 7, 22 April 2012
Discussions 3 – Sun Wk 9, 6 May 2012
Discussions 4 – Mon Wk 12, 27 May 2012
30%
(2 x 15%)
(see later)
Assignment 1
Midnight Sun 15 April 2012
30%
Capstone Assignment
Midnight Mon 11 June 2012
40%
NOTE: midnight is based on Australian Eastern Standard Time (EST)
13
Assessment details
Assessment task 1
Task description
There are four (4) Assessable Discussions and you MUST
participate in each one of them by the four (4) due dates
above. There is one (1) Assessable Discussion for each of
Modules 2 to 5. You will be assessed on the quality on your
contribution in TWO (2) ONLY (NOT FOUR (4)) of the
Discussions. The selected TWO (2) will be determined at
random by me. Any discussion not engaged in will incur a
penalty of 15%.
For ease of management of this task I will allocate you
through MyLO to one of two (2) online Assessable Discussion
Groups. Each group will consist of approximately 50% of the
enrolment in the Unit.
Task length
There is no set length for this task. However, an approximate
word length for your total postings for a Module would be in
the vicinity of 375 words (375 x 4 = 1,500 words) (NOTE: this
compares to the word lengths for Assignment 1 (1,500 words
– 30%) and the Capstone (2,000 words – 40%).
Links to unit’s learning
outcomes
See Table on p. 3
Assessment criteria /
guidelines
See below and on the MyLO homepage at the end of Modules
2, 3, 4 and 5 where the Assessable Discussion Questions are
located.
Dates due (4)
Discussions 1 – Midnight on Sunday Wk 5, 1 April 2012
Discussions 2 – Midnight on Sunday Wk 7, 22 April 2012
Discussions 3 – Midnight on Sunday Wk 9, 6 May 2012
Discussions 4 – Midnight on Sunday Wk 12, 27 May 2012
You are required to engage in the Assessable Discussion/s for each of the four
Modules indicated above as indicated on MyLO. You may move the discussion in
any broad direction that is related to the Question(s) and issues raised by the
Question/s. I will monitor the Assessable Discussion/s regularly (in most cases on a
daily basis in the mornings), but will not interfere, except to correct misconceptions
and errors and to make postings that are designed to elicit further discussion and
interaction where this is seen to be necessary or useful. It is the Assessable
Discussion for you to explore in whatever directions and dimensions that you wish
provided they are at least tangentially related to the Question(s) and the
Module/Topic content. If I can help you to achieve this goal he will make postings
designed to assist you and other students.
You are required to engage in Assessable Discussion at a minimum of three (3)
levels for each one of the four (4) Assessable Discussion topics and preferably at
more levels. If you fail to comply with this requirement for one or more Assessable
Discussion Topics a mark out of 15%% will NOT be awarded for the discussion/s of
which the missed discussion/s forms part.
14
The discussion levels are as follows.

Level 1 Discussion - involves posting answers/comments in response to the
Question(s) that are posed for Discussion in the relevant Topic/Module as
indicated on MyLO. For some Assessable Discussions there may be specific
guidelines that you MUST follow for discussion.

Level 2 Discussion - involves responding to the first posting of at least one other
student in response to the Question(s) that are posed for Discussion. You can
agree or disagree with the first posting of that student and you must give your
reasons. You can also make other comments that are relevant to what they have
stated in their first posting or, which are relevant to the Topic/Module. For some
Assessable Discussions there may be specific guidelines that you MUST follow
for discussion.

Level 3 and Later Levels of Discussion - involve responding to ANY postings at
ANY level.
The more levels of discussion that you engage in, the greater the opportunity that
you will have, to be awarded a high mark for Assessable Discussion. However, the
mark will not only depend on the number of levels of discussion that you engage in, it
will also depend on the manner and extent to which you comply with the
‘Assessment Criteria’ for Discussion provided on MyLO under each of the four (4)
Discussions.
A mark out of 15% will be awarded for each of the two (2) discussions that are chosen
at random by me in accordance with the above ‘Assessment Criteria’. The marks will be
awarded on the basis of ALL of your discussion postings (3 or more). Postings will not
be marked individually. The marks for the two (2) discussions will be added together
and converted to give a mark out of 15% for that Assessable Discussion. The two
marks for Assessable Discussion will be added together to give a mark out of 30% for
Assessable Discussion. Marks for each of the two (2) discussions will be advised via
email sent to you on MyLO.
Student discussion is likely to be more constructive and effective if you participate when
others in the Group are also discussing the Question(s) for Assessable Discussion.
You cannot expect to stimulate or direct the discussion of your group if you leave your
contributions until a date close to one of the four (4) due dates for assessable
discussion. Therefore, you should monitor the discussion board of your group regularly
to see what discussion is taking place during the four (4) periods for discussion.
NOTE: For ALL Topics there are questions posed for student ‘consideration' (and
activities). The questions are NOT the Questions for Assessable Discussion, which
are clearly marked as such on MyLO and are located at the end of each Module. The
questions for ‘consideration’ and the ‘activities’ are made available so that you will
have the opportunity to explore and apply the knowledge and information that you
have gained from doing the relevant Topic and the questions may facilitate your
participation in ‘Non-Assessable Discussion’ for that Module/Topic (use the ‘General
Discussion’ Topics for Modules 1-5 in the ‘Discussions’ area mentioned earlier).
NOTE: If you wish to receive ‘Formal Written Feedback’ (see earlier) on your
Assessable Discussion for Module 1, you Must complete the requirements for the
Discussion by the suggested date for completion set out in the Unit Schedule ie: Wednesday Week 2, 7 March 2012.
15
Assessment task 2
ASSIGNMENT 1
Task description
NOTE: Summary (only). See MyLO under
“Assessment Tasks – Discussion and
Assignment 1” for FULL description.
Written in depth analysis of the regulatory
enforcement policies and activities of Workplace
Standards Tasmania (differentiated from WorkCover
Tasmania). Logically argued and clearly presented.
Task length
1,500 words (see later ‘Overlength Work p.19)
Links to unit’s learning
outcomes
See Table on p. 3
Assessment criteria /
Guidelines / Marking
Sheet
Provided on MyLO under under “Assessment Tasks –
Discussion and Assignment 1”
Date due
Midnight on Sunday 15 April 2012 (EST)
Assessment task 3
Task description
Capstone Assignment
It may require examination of material covered in any
or all Modules. It is a substitute for a final examination
in the Unit.
The objectives of the Capstone Assignment are to
test you and afford you an opportunity to demonstrate
your:






breadth of knowledge and understanding of
regulation and compliance issues;
skills in being able to identify regulation and
compliance issues in given factual situations;
understanding of appropriate measures for
developing and maintaining regulatory
compliance systems and programs;
skills in applying regulatory compliance practices
to factual situations;
competence in using an appropriate discipline
specific academic writing style to present
answers to questions and arguments coherently
and concisely; and
capability in other aspects related to the Learning
Outcomes and the Graduate Attribute Outcomes
listed in the Table on p.
16
Task length
2,000 words (see later ‘Overlength Work p.19)
Links to unit’s learning
outcomes
See table on p. 3
Assessment criteria /
guidelines/marking Sheet
Demonstration of the knowledge, skills, competencies
and capabilities listed above. Assessment Criteria,
Guidelines and Marking Sheet attached to and forms
part of the Capstone Assignment.
Date due
Midnight on Monday 11 June (EST)
When you have worked completely through the Unit Resources, participated in the
four (4) Assessable Discussions and submitted the Assignment by the due dates,
you may send an email request to me to email the Capstone Assignment to you. The
Assignment will be emailed to you by 5.00pm on the next business day following
receipt of your email request. Recall that the FINAL date and time for submission of
all Assessable Discussions is Midnight on Sunday 27 May 2012(ie: Sunday of Week
12 of Semester 1). If you comply with this deadline having submitted your two
assignments and you forward an email request to me on that day, the Capstone
Assignment will be emailed to you by 5.00pm on Monday 28 May 2012.
How your final result is determined
To be able to pass this unit, you MUST satisfactorily participate in EACH one of the
four (4) Assessable Discussions by the due dates AND submit the Assignment by the
due date AND submit the Capstone Assignment by the due date.
The marks for each of the three (3) Assessment Tasks are added together to
determine your final result. You must achieve an overall mark of at least 50% to pass
the unit.
You will be advised by the University of your total mark and grade when results for
Semester 1 Units are formally released by the University to all students.
You will NOT be entitled to receive information in relation to your mark and grade or
work undertaken in connection with the Capstone Assignment until AFTER formal
release of results AND upon receipt by me of a formal request (lodge an Application
with the School for ‘Access to Examination Script’).
How to submit Assignments
Each one of the assignments MUST be submitted to the relevant DROP BOX (there
is a separate Drop Box for each one of the Assignments) at the MyLO site for the
Unit. The boxes are located at the ‘Assessment’ section of the home page for the unit
under ‘Assignment Submissions and Information’ – ‘Assignment 1’ and ‘Capstone
Assignment’. There is information about submission of assignments using the Drop
Box at: ‘How to submit an Assignment (PDF)’.
You are required to make your SUBMISSION and ADD an attachment to the
submission that contains your assignment. Before making the submission you are
required to DECLARE that the assignment is your own work and that you have read
and complied with the University statement on Plagiarism and Academic Integrity.
17
You MUST do this by clicking on the button: ‘I AGREE’ after which you will be able to
proceed to submit your assignment.
The attachment for the assignment MUST be a Microsoft Word file (Version 2007 or
earlier) or a Rich Text File.
You MUST retain an exact electronic copy of each submitted assignment that is not
to be altered until your mark is released to you. Note that this copy may be requested
for viewing at any time during the marking process.
Requirements for Assignments and the Capstone Assignment
The submitted Assignment and Capstone Assignment are to be presented in
accordance with the Guide for Students issued by the Faculty of Business. You can
find a copy of the Guide at the following website:
http://www.utas.edu.au/business/faculty/documents/BusinessFacultyGuide2006.pdf
Your attention is particularly drawn to the University’s rules on Academic
Misconduct and Plagiarism (see later). Whilst you are encouraged to work together
with other students and exchange information in this unit, the submitted Assignment
and the Capstone Assignment must be your own work. The Assignment and
Capstone Assignment scripts containing any plagiarised information will be referred
to the Head of School and will be subject to the disciplinary processes of the
University.
Marking of Assignment 1 and Assessable Discussion Postings
Assignment 1 will be marked as quickly as possible after submission and the mark,
grade and written feedback will be emailed to you personally via MyLO. A marked up
assignment will NOT be posted to you. Assignment 1 and the Capstone Assignment
may be submitted to plagiarism detection software.
Your postings for the Online Assessable Discussion will be marked as quickly as
possible after the due dates for Discussions 2 and 4, and marks and grades will be
emailed to you personally via MyLO.
Requests for extensions
Extensions of time will only be granted in accordance with paragraph 4 of the Faculty
Assessment Submission Policy set out below. The relevant form is available at:
http://www.utas.edu.au/accg/studentres.htm and on MyLO.
Penalties: Faculty Assessment Submission Policy
Late Submission of Coursework - Assessable Discussion Postings and Assignment 1
“In this Policy
1.
(a) ‘day’ or ‘days’ includes weekends and public holidays;
(b) ‘late’ means after the due date and time; and
(c) ‘coursework’ includes all internal non examination based forms of
assessment
2.
This Policy applies to all students enrolled in Units taught by the Faculty of
Business at whatever Campus or location.
18
3.
Students are expected to submit coursework on or before the due date and
time specified in the relevant Unit Outline. The onus is on the student to prove
the date and time of submission.
4.
Students with special circumstances may apply for an extension. Requests for
extensions should be made in writing to the Unit Coordinator on or before the
due date. Students will need to provide independent supporting documentation
to substantiate their claims.
5.
Late submission of coursework will incur a penalty of 10% of the available
marks for each day the coursework is late unless an extension had been
granted on or before the relevant due date.
6.
Coursework submitted more than five (5) days late will not be accepted.
7.
Late work must be submitted to a staff member in the relevant School or
Faculty Office and the time of submission recorded.
8.
Academic staff DO NOT have the discretion to waive a late penalty”.
You are expected to submit coursework electronically - via the MyLO discussion
board for your Assessable Discussion Postings and via the MyLO drop box for
Assignment 1 and the Capstone Assignment.
Late Submission of Capstone Assignment (NOT Coursework)
The Capstone Assignment takes the place of a final examination (it is not regarded
as ‘Coursework’ in accordance with the above Faculty Policy) and for this reason late
submission will NOT be accepted otherwise than in accordance with paragraph 4 of
the above Faculty Policy. Late submission other than in accordance with the Faculty
Policy will result in you being awarded a grade of NN Fail for the Unit.
Over-length Work – Assignments 1 and the Capstone Assignment
The word limit specified on your assessment task is a maximum. If you submit overlength work there will be an automatic 10% penalty of available marks. It will be at my
discretion whether the words beyond the limit will be assessed. Title pages,
reference lists and appendices are not included in word counts.
Review of Assessment and Appeals
1.
It is expected that students will adhere to the following School Policy for a
review of any piece of continuous/internal assessment:
Within 5 days of the release of the assessment result, a student may request a
meeting with the assessor for the purpose of an informal review of the result
(Academic
Assessment
Rule
No
2
Clause
22
http://www.utas.edu.au/university-council/university-governance/rules ).
At the meeting the student should be prepared to discuss specifically the marks
for the section/s of the marking criteria they are disputing and why they
consider their mark/s is/are inappropriate. The assessor shall provide a
response to the request for review at the meeting or within 5 days. If the
student is dissatisfied with the response, he/she may within 5 days of the
response request the Head of School to arrange for a formal review of the
assessment by completing and lodging with the School a ‘Review of
Assessment Form’.
19
2.
Students may also request a review of the final result in a unit. The request and
payment must be made within 10 days from the date of the result notification.
Students are referred to Academic Assessment Rule No 2. Clause 23.
See: http://www.utas.edu.au/university-council/university-governance/rules
Also:
http://www.studentcentre.utas.edu.au/examinations_and_results/results/result_
review_results.htm
Academic referencing
In your written work you will need to support your ideas by referring to scholarly
literature, and other sources of information such as the accounting regulatory bodies.
It is important that you understand how to correctly refer to the work of others and
maintain academic integrity. Failure to appropriately acknowledge the ideas of others
constitutes academic dishonesty (plagiarism), a matter considered by the University
of Tasmania as a serious offence.
The appropriate referencing style for this unit is the Harvard referencing method.
Further information on presentation of assignments, including referencing styles is
available at:
http://www.utas.edu.au/library/assist/gpoa/gpoa.html
You can also access information about the referencing style used in this unit in the
Faculty of Business Guide for Students available via MyLO or from the School’s
website - http://www.utas.edu.au/accg/studentres.htm.
For information on presentation of assignments, including referencing styles:
http://www.utas.edu.au/library/assist/gpoa/gpoa.html
Please read the following statement (next page) on plagiarism. Should you require
clarification please see your unit coordinator or lecturer.
Academic Misconduct
“Academic misconduct” is defined in the University Ordinance of Student Discipline
(Ordinance 9) – Part 3 Academic Misconduct as: “including cheating, plagiarism
and any other conduct by which a student -
(a) seeks to gain, for themselves or for any other person, any academic
advantage or advancement to which they or that other person are not
entitled; or
(b) improperly disadvantages any other student”.
Students engaging in any form of academic misconduct may be dealt with under the
Ordinance, and this can include the imposition of penalties. Details of penalties that
can be imposed are available at:
http://www.utas.edu.au/university-council/university-governance/ordinances
20
Plagiarism
Plagiarism is a form of cheating. It is taking and using someone else's
thoughts, writings or inventions and representing them as your own; for
example, using an author's words without putting them in quotation marks and
citing the source, using an author's ideas without proper acknowledgment and
citation, copying another student's work.
If you have any doubts about how to refer to the work of others in your
assignments, please consult your lecturer or tutor for relevant referencing
guidelines, and the academic integrity resources on the web. See:
http://www.utas.edu.au/plagiarism/
The intentional copying of someone else’s work as one’s own is a serious
offence punishable by penalties that may range from a fine or
deduction/cancellation of marks and, in the most serious of cases, to exclusion
from a unit, a course or the University. Details of penalties that can be imposed
are available in the Ordinance of Student Discipline – Part 3 Academic
Misconduct. See:
http://www.utas.edu.au/universitycouncil/legislation/
The University and any persons authorised by the University may submit your
assessable works to a plagiarism checking service, to obtain a report on
possible instances of plagiarism. Assessable works may also be included in a
reference database. It is a condition of this arrangement that the original
author’s permission is required before a work within the database can be
viewed.
For further information on this statement and general referencing guidelines, see
http://www.utas.edu.au/plagiarism/ or follow the link under ‘Policy, Procedures and
Feedback’ on the Current Students homepage.
Further information and assistance
If you are experiencing difficulties with your studies or assignments, have personal or
life planning issues, disability or illness which may affect your course of study, you
are advised to raise these with your lecturer in the first instance.
There is a range of University-wide support services available to you including
Teaching and Learning, Student Services, International Services. Please refer to the
Current Students homepage at:
http://www.utas.edu.au/students/ Should you require assistance in accessing the Library visit their website for more
information at:
http://www-cms.utas.edu.au/library/
21
If you have a problem of an academic nature, please see your lecturer. For individual
assistance, you are encouraged to see your lecturer/tutor during "consultation hours"
if you have problems using MyLO, contact the service desk at.
http://www.utas.edu.au/servicedesk/student/index.html
Telephone: 62261818 Email: [email protected]
The University also has formal policies, which can be accessed at:
http://www.admin.utas.edu.au/ac_serv/complaints_info.html
If you have a problem
In the first instance you should discuss the matter with me. However, if you do not
feel comfortable approaching me, or if you have a discussion and are not satisfied
with the outcome, then you are encouraged to contact the Major Coordinator:
Corporate Governance Major Coordinator:
Name:
Room:
Ph:
email:
David Kronenberg
428
(03) 6226 2714
[email protected]
Discussions with the major coordinator will be kept in the strictest confidence.
You are always welcome to raise issues with the Head of School, Sue Hrasky, who
you can email for an appointment ([email protected]).
If you are on the Launceston or the Cradle Coast campus and the coordinator is not
located on that campus, you may consult Trevor Wilmshurst (Launceston,
[email protected]) or Steve Allen (Cradle Coast,
[email protected] ) with whom you can also have confidential discussions.
If you wish to pursue the matter further, a student advocate may be able to assist
you. Information about the advocates is available at:
http://acserv.admin.utas.edu.au/Complaintsstudentadvocates.html
Students with Disabilities – University and Faculty Equity Plans
Goal 1 of the University of Tasmania Equity Plan provides for: “An inclusive teaching
and learning environment that values diversity, supports the pursuit of academic
excellence and produces high quality education and employment results for all
students and staff”:
http://www.human-resources.utas.edu.au/strategic-hr-management/equity-anddiversity/equity-and-diversity-policy-and-planning-documents/building-an-inclusivecommunity
The Faculty of Business Equity Plan facilitates the University Plan at an operational
level and has developed an ‘Action Plan’. The Action Plan for Goal 1 lays down
procedures to ensure that all students, including those with disabilities, have equal
access to lecture and course materials. The School of Accounting and Corporate
Governance complies with these procedures
22
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