BFA347 Unit Outline Regulatory Compliance

BFA347 Unit Outline Regulatory Compliance
Regulatory Compliance
Semester One 2010
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
[email protected]
62 26 2802
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)
© The University of Tasmania 2008
Unit description
Intended Learning outcomes
Generic graduate attributes
Alterations to the Unit as a Result of Unit Feedback
Learning Outcomes/Generic Graduate Attributes Matrix
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
How your final result is determined
Submission of assignments
Requests for extensions
Review of results and appeals
Academic referencing
Academic Misconduct
Further information and assistance
Unit description
This unit examines government and non-government business regulation, and compliance
with that regulation, by businesses of different types that operate in various industries and
sectors of the Australian economy. It considers the variety of regulatory mechanisms that are
in use and the consequences of non-compliance. The unit also examines issues in relation to
securing compliance with business regulation including: the role of legislators, regulators,
courts; industry groups and advisers; the roles played by governance and management
systems; and, the mechanisms used for managing regulatory compliance. Occupational Health
and Safety Regulation and Compliance is chosen as a case study for examination in detail.
The prerequisite for the Unit is BFA141 Commercial Transactions. The unit is delivered
flexibly via a unit CD, course materials and MyLO.
Intended Learning outcomes
On completion of this unit, you should be able to:
1. Describe the nature and character of government and non-government business
regulation and its theoretical framework, with particular emphasis on occupational
health and safety regulation (OHS).
2. Describe the changes that have occurred since the 1960s in relation to the
development and use of business regulation, with particular emphasis on OHS.
3. Comment on the nature and extent of the problems faced by government and,
business in securing and maintaining compliance with business regulation, with
particular emphasis on OHS.
4. Explain the costs and benefits for business, government and the community generally
in relation to achieving and maintaining regulatory compliance with particular
emphasis on OHS.
5. Identify and describe some of the methods and systems available to regulated
businesses for securing compliance with business regulation including formal
compliance programs and self-regulatory mechanisms such as voluntary codes of
conduct, with particular emphasis on OHS.
6. Provide advice on regulatory compliance and compliance management to businesses
and know when to recommend the engagement of compliance professionals with
particular emphasis on OHS.
Generic graduate attributes
The University has defined a set of generic graduate attributes (GGAs) that can be expected
of all graduates ( By
undertaking this unit you should make progress in attaining the following attributes:
Knowledge: You will gain knowledge of the requirements of business regulation and the
mechanisms for securing compliance with such regulation through research and the
application of regulatory compliance information.
Communication skills: You will develop your written communication skills by writing
coherently on business regulation and compliance.
Problem-solving skills: You will develop your skills in solving problems through
interpreting scenarios, identifying relevant regulation and compliance issues and using
knowledge of regulatory compliance to justify an answer.
Global Perspective: You will gain a global perspective by comparing and contrasting
developments in relation to regulatory compliance in Australia and the USA and the growth
of a compliance profession in the two countries.
Social responsibility: You will develop your social and ethical awareness by recognising and
acknowledging the social and ethical implications of non compliance with business
Alterations to the Unit as a Result of Unit Feedback
The Unit Materials have been updated in various sections to take account of legal and other
changes so that the materials are now fully up to date. The quantity of the Unit Readings has
been reduced. Self-Review Activities have been provided at the end of each Module.
Assessment Tasks have been revised. A video interview with an expert in the field of OHS
compliance has been included in the materials and incorporated into the Activities for selected
Learning Outcomes/Generic Graduate Attributes Matrix
Assessment task 1
Assessment task 2
Assessment task 3
Assessment task 4
Learning Outcomes:
Participation in MyLO Assessable
Assignment 1
Assignment 2
Capstone Assignment
Learning outcome 1
Learning outcome 2
Learning outcome 3
Learning outcome 4
Learning outcome 5
Learning outcome 6
Communication skills
Problem-solving skills
Global Perspective
Social responsibility
UTas Generic Graduate
Matrix adapted from Unit Outline, Faculty of Business, University of the Sunshine Coast 2003
Learning resources required
Requisite texts
Planning Occupational Health & Safety: A Guide to OHS Risk Management, 8th edn,
CCH Australia Ltd, 2009.
For students in Tasmania, the text may be purchased from branches of the Co-op Bookshop
on the Hobart and Launceston campuses and by arrangement from the North West Centre. If
you live in Tasmania but do not wish to visit branches of the bookshop, or, you do not live in
Tasmania, it is possible for you to order the textbook via the Internet (
Course Materials
Extensive “Course Materials” will be provided to you through an interactive Unit CD and
printed readings. They are in modular format ie: Modules 1-5. The Course Materials include
PowerPoint presentations with audio narrations; copies of presentation slides (in PDF format);
Lecture Materials (in PDF format); and ‘Readings’ taken from books, journals, magazines,
reports and other sources (in PDF and hard copy format) and from websites (web links
provided on the unit CD). The ‘Readings’ are intended to be used in conjunction with the
prescribed textbook.
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:
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 ËQuick Links [email protected] or go directly to the web address noted
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 email 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 &
password, this is simply a security device – enter your password when asked & 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.
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 & click the underlined topic.
MyLO facilities used for this unit
1. “Announcements” – MyLO offers an “Announcements” facility, which the Unit
Coordinator will use in connection with this unit to make announcements to you from time to
time. Only the Unit Coordinator 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 the Unit Coordinator 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 the Unit Coordinator will use in connection
with this unit.
“Discussions” – this area is provided for on-line Discussion between the Unit Coordinator
and you and between you and other students. Discussion is arranged under a list of ‘Topics’,
which are as follows.
“Assessable Discussion” (Modules 1-5) – Assessable Discussions are a part of this unit (see
later in this Outline). The Unit Coordinator has opened six (6) Discussion Topics that create
discussion areas for each Assessable Discussion. The number of Assessable Discussion
Topics is equal to the number of Assessable Discussions that students MUST participate in
(see later in this Outline). There is one (1) Assessable Discussion each for Modules 1 to 4 and
two (2) Assessable Discussions for Module 5, (‘Assessable Discussion A’ and ‘Assessable
Discussion B’).
“General Discussion” (Modules 1-5) – The Unit Coordinator has opened Topics for each of
the five (5) Modules in which you can make postings in relation to the particular Modules
(these are for Non-Assessable Discussion ONLY). For example, you may have questions to
ask of the Unit Coordinator about a Module or 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 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. DO NOT USE THESE GENERAL DISCUSSION
“Assignments” (1 and 2) - The Unit Coordinator has opened two (2) Topics in which you can
make postings in relation to the Assignments. You may have queries that you wish to raise
with the Unit Coordinator for example and can use these topics for that purpose.
“Capstone Assignment”. This topic has been opened to allow you to ask questions of the Unit
Coordinator in relation to the Capstone Assignment.
“Café” - The Unit Coordinator has opened this Topic so that you can communicate with other
students with a view to getting to know everyone in the unit. The UNIT COORDINATOR
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” - The Unit Coordinator has opened this Topic so that you can make comments,
suggestions and criticisms, which are anonymous. This is a VERY important facility so far as
the Unit Coordinator is 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 the Unit
Coordinator 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 the Unit Coordinator privately, you can use the MyLO
(email) facility to do this OR you can send emails to the Unit Coordinator at:
[email protected]
Computer hardware & software
For MyLO
To access MyLO from your own computer you will need the appropriate software, and
hardware to run that software. See Learning Online at for
computer software you will need.
Note: Older computers may not have the hardware to run some of the required software
applications. Contact your local IT support person or the Service Desk on 6226 1818 if you
experience difficulties.
For further information on using MyLO self help sheets can be accessed at:
Details of teaching arrangements
This unit is offered by flexible delivery. NO formal face-to-face classes or meetings are
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:
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 the Unit CD.
Module Topics
Completion Dates
Introduction to the Unit
1a Background and Unit Overview
1b Business and Regulation
1c Complying with Business Regulation
1d Case Study in Regulatory Compliance – OHS
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
Monday 8 March,
Semester Week 3
Thursday 25 March,
Semester Week 5.
2j Lawyers and Legal Issues
3a Industry Self-Regulation and Codes of Conduct
3b Voluntarism
Wednesday 31
March, Semester
Week 6.
Assignment 1 due date: Midnight Thursday 8 April (EST)
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
4g The Compliance Industry
Monday 3 May,
Semester Week 10
Wednesday 26 May,
5a Compliance Programs and AS3806: 2006
Semester Week 13
5b AS3806 - Commitment
5c AS3806 - Implementation
5d AS3806 – Monitoring, Measuring
& Continual Improvement
5e Case Study - OHS Compliance
5f OHS - Risk Management
5g OHS – Compliance Policy and Planning
5h OHS - Compliance Implementation
5i OHS – Compliance Measurement, Evaluation and
5j Workers Compensation and Injury Management
Assignment 2 due date: Midnight Monday 24 May (EST)
Study Period
Monday May 31 - 4
Assessable Discussions and Assignments are to be
completed by Midnight Eastern Standard Time (EST) on the
following dates:
Discussions 1 and 2 – Thursday Week 5, 25 March 2010
Discussions 3 and 4 – Monday Week 10, 3 May 2010
Discussions 5 and 6 – Wednesday Week 13, 26 May 2010
Assignment 1 – Thursday 8 April 2010
Assignment 2 – Monday 24 May 2010
Capstone Assignment - Monday 14 June 2010
Unit Schedule: Dates for Semester 1, 2010
Week 1
Week 2
Week 3
Week 4
Week 5
Week 6
22 February
1 March
8 March
15 March
22 March
29 March
Mid Semester Break
Week 7
Week 8
Week 9
Week 10
Week 11
Week 12
Week 13
Week 14
Thursday 1 April to Wednesday 7 April
12 April
19 April
3 May
10 May
17 May
24 May
31 May - 4 June (Study Period)
Examination Period
5 June – 22 June.
Learning expectations and teaching strategies/approaches
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 six (6) 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 Assessable
Discussion located at the end of each Module (see later in this Outline) and there are two
“Assignments” that you need to complete (see later in this Outline). 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 a requirement for the
completion of Assessable Discussions by three fixed dates throughout the Semester and you
must comply with this requirement so that you do not lose marks (see under ‘Assessment’)
There are two assignments and at the end of the Unit, there is a Capstone Assignment to
undertake and return to the Unit Coordinator (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 the Unit
Coordinator 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. The Unit Coordinator 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 the Unit Coordinator at: [email protected] rather than using the
MyLO email facility. This will ensure that your emails come to the attention of the Unit
Coordinator more quickly and as a result they can be answered more quickly by him.
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. This is especially the case with Assignment 2
which requires you to watch two videos on the Unit CD and provide a report in relation to
your viewing. It will be necessary to watch the videos several times so that you can take notes
in relation to the matters dealt with.
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 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 the Unit Coordinator. 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 the Unit Coordinator 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 the CD that must be done next.
Listen to the PowerPoint presentation.
Read the readings provided on the CD (PDF) or referred to on the internet.
Reflect on the concepts and issues that have been encountered using the questions and
activities posed for your consideration and the ‘Self Review Activities’ (when you have
completed all topics in a Module).
Discuss the issues raised in Assessable Discussion Questions and feel free to participate
in Non-Assessable Discussion for any or all of the Modules.
Do any other activities that are scheduled/provided for the Topic or Module including the
‘Self Review Activities’.
Formal Written Feedback from the Unit Coordinator - 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 the Unit Coordinator immediately, and he 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 the Unit
Coordinator will provide feedback on your plan.
However, the Unit Coordinator 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 20% 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: Monday Week 3, 8 March 2010.
Textbook and other Web Documents
Obviously you need to obtain the prescribed Textbook early. 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 Textbook and the Course Materials. On
the Unit CD 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
Corporate Governance 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 object 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 the Unit Coordinator has 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 the Unit Coordinator
If you have a problem that cannot be resolved by communication and interaction with other
students, you should not hesitate to contact the Unit Coordinator at the earliest opportunity.
You should use MyLO Mail or your personal email or, if necessary telephone the Unit
Coordinator or ask him 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 the Unit Coordinator 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 the Unit Coordinator 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 six (6) 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 six (6) 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 the Unit CD. 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 two (2) Assignments. It would be VERY unwise to leave insufficient time so
that you have to complete a large amount of work in a short period (as mentioned earlier,
make and early start on Assignment 2 in particular because of the need to watch two videos
several times to record information for a report). 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 the prescribed
DEADLINES ie: six (6) ‘Assessable Discussions’ and two (2) Assignments.
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
corporate governance 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 corporate governance 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 corporate governance 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 schedule
Assessment task
Date due
Percent weighting
Assessable Discussions (6)
Discussions 1 & 2 – Thurs Wk 5, 25 March 2010
Discussions 3 & 4 – Mon Wk 10, 3 May 2010
Discussions 5 & 6 – Wed Wk 13, 26 May 2010
Midnight Thur 8 April 2010
Midnight Mon 24 May 2010
Midnight Mon 14 June 2010
(6 x 3.33%)
Assignment 1:
Assignment 2:
Capstone Assignment
NOTE: midnight is based on Australian Eastern Standard Time (EST)
Assessment details
Assessment task 1
Task description
There are six (6) Assessable Discussions and you MUST participate
in each one of them by the due dates above. There is one (1)
Assessable Discussion for each of Modules 1 to 4 and two (2)
Assessable Discussions for Module 5 (‘Assessable Discussion A’
and ‘Assessable Discussion B’).
There is no set length for this task.
Task length
Links to unit’s learning
See below
Assessment criteria / guidelines
Dates due (3)
Discussions 1 & 2 – Thurs Wk 5, 25 March 2010
Discussions 3 & 4 – Mon Wk 10, 3 May 2010
Discussions 5 & 6 – Wed Wk 13, 26 May 2010
You are required to engage in the Assessable Discussion/s for each Module as indicated on
the Unit CD. You may move the discussion in any broad direction that is related to the
Question(s) and issues raised by the Question/s. The Unit Coordinator 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 the Unit Coordinator 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 of the six (6) 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 will NOT
be awarded for the discussion.
The 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 the Unit CD.
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 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
the Unit CD under each of the six (6) Discussions.
A mark out of 100% will be awarded for each of the six (6) discussions 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 six (6)
discussions will be added together and converted to give a mark out of 20% for Assessable
Discussions. Marks for each discussion topic, and the final mark 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 three (3) 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
three (3) 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 the Unit CD 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 1-6 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: Monday Week 3, 8 March
Assessment task 2
Task description
NOTE: Summary (only). See Unit CD under ‘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. For
further information in relation to the Assignment refer to
‘Assignment 1’ on the Unit CD.
2,000 words
Task length
Links to unit’s learning
Provided on the Unit CD under ‘Assignment 1’.
Assessment criteria / Guidelines /
Marking Sheet
Midnight on Thursday 8 April 2010 (EST)
Date due
Assessment task 3
Task description
NOTE: Summary (only). See Unit CD under ‘Assignment 2’ for
full description.
Interpretation of a given scenario including identification of OHS
regulatory requirements and provision of information and advice in
relation to the evaluation and review of a safety management system
designed to ensure compliance with the regulatory requirements.
Logically argued and clearly presented. For further information refer
to ‘Assignment 2’ on the Unit CD.
2,000 words
Task length
1, 3-6
Links to unit’s learning
Provided on the Unit CD under ‘Assignment 2’.
Assessment criteria / Guidelines /
Marking Sheet
Midnight on Monday 24 May 2010 (EST)
Date due
Assessment task 4
Task description
The Capstone Assignment 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;
skills in applying regulatory compliance practices to factual
understanding of the appropriate measures for developing and
maintaining compliance systems and programs
competence in presenting answers and arguments coherently
and concisely; and
capability in other aspects related to the Learning Outcomes
3,000 words
Task length
1, 3-6
Links to unit’s learning
Assessment criteria / guidelines
Demonstration of the knowledge, skills, competencies and
capabilities listed above.
Midnight on Monday 14 June (EST)
Date due
When you have worked completely through the Unit Resources, participated in the six (6)
Assessable Discussions and submitted the two (2) Assignments by the due dates, you may
send an email request to the Unit Coordinator 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 Wednesday 26 May (ie: Wednesday of Week 13 of Semester 1).
If you comply with this deadline having submitted your two assignments and you forward an
email request to the Unit Co-ordinator on that day, the Capstone Assignment will be emailed
to you by 5.00pm on Thursday 27 May.
How your final result is determined
To be able to pass this unit, you MUST satisfactorily participate in EACH one of the six (6)
Assessable Discussions by the due date AND submit EACH of the two (2) Assignments by
the due dates AND submit the Capstone Assignment by the due date.
If you do not satisfy these Assessment requirements for the Unit you will be awarded a grade
of NN (fail).
The marks for each of the four (4) 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 that date. If you satisfy the Assessment requirements earlier,
you may request the Capstone early and it will be emailed to you as above. EARLY
completion of Assessment is RECOMMENDED as it will give you more time to complete the
Capstone without undue interference with your examination preparation for other units.
Submission of assignments
How to submit your Assignments and the Capstone Assignment
Word files containing the two (2) Assignments and the Capstone Assignment MUST be
emailed to the Unit Coordinator: [email protected] Do NOT submit them via the
Mail facility in MyLO. The file names for the Assignments/Capstone Assignment should be
as follows:
Student Surname; Initials; Assignment detail eg: HicksBJAssignment1;
Receipt of files containing the two (2) Assignments and the Capstone Assignment in a
readable form will be acknowledged by email.
Requirements for Assignments and the Capstone Assignment
The submitted Assignments and Capstone Assignment are to be presented in accordance with
the Guide for Students issued by the Faculty of Business. You should look under:
‘Presentation and Submission of Assignments’. You can find a copy of the Guide at the
Faculty website:
Your attention is particularly drawn to the University’s rules on Plagiarism (see later in this
Unit Outline). Whilst you are encouraged to work together with other students and exchange
information in this unit, submitted Assignments and the Capstone Assignment must be your
own work. Assignments 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.
The two Assignments will be marked as quickly as possible after submission and grades will
be emailed to you via MyLO. Feedback will be provided if the requirements for Formal
Written Feedback have been satisfied.
Assignments and the Capstone Assignment may be submitted to plagiarism detection
Requests for extensions
In accordance with Faculty Policy, if you have special circumstances, you may apply for an
extension. ‘Special circumstances’ include medical or compassionate grounds but will not
include work or other commitments. Requests for extensions should be made in writing to
the Unit Coordinator on or before the due date. You will need to provide independent
supporting documentation to substantiate your claims.
Medical certificates or other evidence must be attached and must contain sufficient detail for
the Unit Coordinator to make an informed decision. A statement or certificate from a doctor,
counsellor, health professional or independent member of the community should state:
• the medical condition or other circumstance affected you
• how the condition or circumstance affected your ability to complete the assessment task
Requests for extension must be made to the unit coordinator in writing on the School’s
Application for Late Submission Form available at or on MyLO before the due date of the
assignment. Medical certificates or other evidence, which supports the application, must be
attached and must contain information which justifies the extension sought.
Late Submission of Coursework - Assessable Discussion Postings and Assignments 1 & 2
You are expected to submit coursework electronically (via MyLO for Assessable Discussion
Postings and via email for Assignments 1 & 2) on or before the due date and time specified in
this Unit Outline. The onus is on you to prove the date and time of submission.
Coursework submitted more than five (5) days late will NOT be accepted.
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. (‘day’ excludes weekends and public holidays).
In accordance with the Policy of the Faculty, the Unit Coordinator does NOT have the
discretion to waive a late penalty.
Late Submission of Capstone Assignment (NOT Coursework)
The Capstone Assignment takes the place of a final examination (it is not regarded as
‘coursework’) and for this reason late submission will NOT be accepted otherwise than in
accordance with the Faculty Policy for ‘Requests for Extensions’ detailed above. Late
submission other than in accordance with the Faculty Policy will result in the Assignment
NOT being marked and accordingly, NO marks will be awarded. Marks for the Assessable
Discussion and Assignments 1 and 2 will not be forfeited.
Over-length Work – Assignments 1 & 2 and the Capstone Assignment
If you submit coursework that exceeds the prescribed length you will be invited to resubmit it
within 48 hours. If the resubmission is late there will be an automatic penalty of 10% of the
available marks plus an additional penalty of 10% for each day (‘day’ excludes weekends and
public holidays). As the Capstone Assignment is not regarded as Coursework, this policy does
not apply to the Capstone Assignment and therefore you will NOT be given the opportunity to
resubmit it. If the Capstone exceeds the prescribed length the additional words will NOT be
read and marked.
Review of results and appeals
You may request a formal remark of your original submission (in accordance with Rule of
Academic Assessment 2, Clause 22.1). Under the Rule of Academic Assessment 2, clause 23,
you may also request a review of your final result in a unit. For further information see:
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. In addition
to the Faculty Guide for Students, you are encouraged to read Fleet, W, Summers & Smith, B.
(2006), Communication Skills Handbook for Accounting, which provides detailed information
about using the Harvard referencing system. Further information on presentation of
assignments, including referencing styles is available at:
You can also access information about the referencing style used in this unit in the Faculty of
Business Guide for Students available at
Please read the following statement on Academic Misconduct and Plagiarism. Should you
require clarification please see your unit coordinator or lecturer.
Academic Misconduct
Academic misconduct includes cheating, plagiarism, allowing another student to copy work
for an assignment or an examination and any other conduct by which a student:
seeks to gain, for themselves or for another person, any academic advantage or
advancement to which they or that other person are not entitled; or
(b) improperly advantages any other student.
Students engaging in any form of academic misconduct may be dealt with under the
Ordinance of Student Discipline, and this can include imposition of penalties that range from
a deduction/cancellation of marks to exclusion from a Unit of the University. Details of
penalties that can be imposed are available in the Ordinance of Student Discipline – Part 3
Academic Misconduct, see
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 at:
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.
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 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 &
Learning, Student Services, and International Services. Please refer to the Current Students
homepage at:
Should you require assistance in accessing the Library visit their website for more
information at:
If you have a problem
In the first instance you should discuss the matter with your unit coordinator, lecturer or tutor.
However, if you do not feel comfortable approaching one of these people, or if you have a
discussion and are not satisfied with the outcome, then you are encouraged to contact the
major coordinator:
Simone Bingham
421 (Commerce Building)
(+61 3) 6226 2314
[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
[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:
The University also has formal policies, and the following link gives you advice about the
procedures that you can follow:
Students with Disabilities –University & 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”. 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 & Corporate Governance complies with these
Was this manual useful for you? yes no
Thank you for your participation!

* Your assessment is very important for improving the work of artificial intelligence, which forms the content of this project

Download PDF