Assessment Event 2 Case Study (2 of 2)

Criteria

Unit code, name and release number

BSBMGT623 Monitor Corporate governance activities (Release 1)

Qualification/Course code, name and release number

BSB61015 Advanced Diploma of Leadership and Management (Release 3)

Student details

Student number

293659281

Student name

Adam Castro

The following information only needs to be completed if you are not submitting your assessment online.

Assessment Declaration

Student name and date

Adam Castro 1/10/2021

Assessment instructions

Table 1 Assessment instructions

Assessment details	Instructions
Assessment overview	The objective of this assessment is to assess your knowledge and skills to review compliance with corporate governance obligations and take corrective action for non-compliances.
Assessment Event number	2 of 2
Instructions for this assessment	This is a written assessment and it will be assessing you on your skills and knowledge of the unit. This assessment has one part: Part 1 Case study This assessment also contains: Assessment feedback
Submission instructions	On completion of this assessment, you are required to upload it Moodle for marking. Ensure you have typed your name on page 1 of this document. It is important that you keep a copy of all assessments submitted to TAFE and complete the assessment declaration when submitting the assessment.
What do I need to do to achieve a satisfactory result?	To achieve a satisfactory result for this assessment all questions must be answered correctly. Tips to avoid plagiarism are located on the TAFE NSW Library Services page (https://tafensw.libguides.com/copyright/plagiarism). This may involve your assessor, allowing you to resubmit some of your answers. Alternatively, your teacher/assessor may ask you additional questions to confirm your understanding and knowledge of the topic area.
Student must provide	Access to: business technology including a computer with relevant software and internetlearner guide, training materials and other research you have completed.
Assessor must provide	Access to: learning materials, learner guides and online learning platforms, where applicable, with information and links to:relevant legislation, regulations, standards and codesworkplace documentation and resources including governance reports and returnscase studies and, where possible, real situationsTAFE NSW library resources.
Supervision	This is an unsupervised assessment. Your assessor may ask for additional evidence to verify the authenticity of your submission and confirm that the assessment task was completed by you. This may include oral questioning, comparison with in-class work samples, or observation.
Due date/time allowed	The assessment must be submitted by the due date noted on the Unit Assessment Guide. Students should allow a minimum of eight hours to complete this assessment. Students may need additional time for preparation, research and revision to ensure they have responded to each question satisfactorily.
Assessment feedback, review or appeals	In accordance with the TAFE NSW policy Manage Assessment Appeals, all students have the right to appeal an assessment decision in relation to how the assessment was conducted and the outcome of the assessment. Appeals must be lodged within 14 working days of the formal notification of the result of the assessment. If you would like to request a review of your results or if you have any concerns about your results, contact your Teacher or Head Teacher.  If they are unavailable, contact the Student Administration Officer. Contact your Head Teacher for the assessment appeals procedures at your college/campus.

Specific task instructions

The instructions and the criteria in the tasks and activities below will be used by the assessor to determine whether the tasks and activities have been satisfactorily completed. Use these instructions and criteria to ensure you demonstrate the required skills and knowledge.

Your answers should be written in the text boxes or the tables provided, and the word count is indicated in the questions below.

Answers must include Harvard in-text referencing where appropriate, as well as a reference list at the end of the document. Information on using Harvard referencing can be found in the TAFE NSW Harvard Referencing Guide (https://share.tafensw.edu.au/share/file/316a6f1b-57d3-4a83-bfdd-4e82851e14b2/1/Harvard_Referencing_Guide.pdf).

To complete:

Submission requirements for this assessment event

Submit the following to your teacher/assessor for marking by the due date:

Part 1: Case study

In this assessment you will be reviewing a case from a regulatory authority regarding corporate governance failure/s and preparing a briefing paper for management of the organisation in the case study who have asked you to review the case to draw conclusions for corporate governance practice.

A briefing paper provides a summary of facts about a particular issue, and typically includes a suggested course of action. Briefing papers may be prepared for boards, executives or governance committees, and as such, should be written in easily understood, professional language. You may include headings.

Task 1 Briefing paper

Locate, analyse and review a non-compliance case and query and investigation from an Australian regulatory authority. You may a case from either:

Select a case for which there is enough information for you to complete each component of the assessment below and provide the link. Your response should be a minimum of 1000 words.

Write a briefing paper to the board of directors. The briefing paper must include the following:

• An evaluation and description of legislation, regulations and organisational policies and procedures relevant to the case.
• Identification of three widely agreed performance indicators/benchmarks to evaluate governance compliance against.
• Monitoring and reviewing organisational performance including the following:
• corporate governance failures
• internal control procedures that were used/not used in the case study
• performance against performance indicators.
• Analysis of the cause/s of non-compliances including personnel and IT.

You can submit the Briefing Paper as an appendix to this document or as a separate document to Moodle, labelled: Your surname_BSBMGT623_AE2_Task1.

Task 2 Internal control process

Implement corrective action recommended in Task 1 by establishing a high level Internal Control Process to ensure adherence to legal and statutory requirements for the organisation in the case study.  Your response should be approximately 400 words.

Your process must include:

You can submit the Internal Control Process as an appendix to this document or as a separate document to Moodle, labelled: Your surname_BSBMGT623_AE2_Task2.

Task 3 Reporting plan

Write a Reporting Plan to ensure the organisation meets future compliance and reporting deadlines. Your response should be approximately 250 words. The plan must include:

You can submit the Reporting Plan as an appendix to this document or as a separate document to Moodle, labelled: Your surname_BSBMGT623_AE2_Task3.

References

Insert references to information sources you used in preparing Event 2. Format your reference list using Harvard Referencing.

Assessment Feedback

This section is to be completed by the assessor. Once feedback has been provided by the assessor, you will be given the opportunity to respond. When the UOC’s are being assessed by multiple assessment activities, each activity will be reported as Satisfactory (S) or Not Satisfactory (NS). The final result will be reported as C (Competent) or NC (Not yet competent).

Specific task feedback

Table 2 Specific task feedback

Task	Criteria (Y=Yes; P= Partial; N=No)	Y	P	N
1	Writes a briefing paper to the board of directors in appropriate format and language
1.1	Located an appropriate non-compliance case from an Australian regulatory authority, identifies the regulator and provided a link to case
1.2	Analysed and described the parties, incidents and processes to date
1.3	Evaluated and described the legislation, regulations or standards and organisational policies and procedures that apply to the case
1.4	Identified three widely agreed performance indicators/benchmarks to evaluate compliance against
1.5	Monitored and reviewed organisational performance including:
1.6	Analyses the cause/s of non-compliances including personnel and IT
1.7	Makes recommendations for senior management to support adherence to legal and statutory requirements including: a.   specific strategic corrective actions b.   new or modified systems and internal control procedures c.   new or modified organisational policies d.   new Key Performance Indicators to ensure future compliance
1.8	Provides a reference list with sources of information and advice in Harvard Referencing
2	Establishes a high level internal control process to ensure adherence to legal and statutory requirements relevant to organisation in Task 1.  Control process includes: 1.   Purpose statement. 2.   Roles and responsibilities of personnel. 3.   A governance process or procedure. 4.   Consequences for breaches. 5.   A plan to report compliance to senior management with deadlines.
2.4	Writes a reporting plan to ensure the organisation meets future compliance and reporting deadlines. Plan includes the following: 1.   Name of the regulator the organisation will report to. 2.   Timing for how often the organisation will report and deadlines for reporting. 3.   Required content in the reporting plan (key content headings). 4.   Personnel responsible for writing and approving the reporting plan.
Foundation skills	Y	P	N
Sources and researches textual information in the context of organisational strategy and compliance requirements to support plans, monitoring and reporting
Develops complex texts using specialised and detailed language to convey information, requirements and recommendations in accordance with legal and organisational requirements
Correctly applies Harvard referencing to in-text citations and reference list
Assessor’s recommendation on areas done well and how to improve the performance

 

Additional evidence for verification of assessments

Additional questions asked by the assessor

Assessors may ask additional questions to clarify student understanding. List additional questions.

Student responses to additional questions

Record the student responses to any additional questions asked during this assessment event.

Overall Assessment Event Feedback

Assessment outcome

☐ Satisfactory

☐ Unsatisfactory

☐ Resubmission

Assessor Feedback

Choose an item. Has the Assessment Declaration on page 1 or on Moodle been completed?

Choose an item. Are you assured that the evidence presented for assessment is the student’s own work?

Choose an item. Was the assessment event successfully completed?

Choose an item. If no, was the resubmission/re-assessment successfully completed?

Choose an item. Was reasonable adjustment in place for this assessment event?
If yes, ensure it is detailed on the assessment document.

Assessor name and date:

Student acknowledgement of assessment outcome

Please submit Receipt of Assessment statement on the Moodle.

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