Compliance
IMPORTANT – READ THIS FIRST
PLAGIARISM: You must compose your answers in your own words. Simply pasting text from the Internet will result in a failing grade. It is better to write your own thoughts in your own words – even if your English is not perfect – rather than copy word-for-word the thoughts of someone else.
SUBMITTING IDENTICAL ANSWERS: You may discuss your assessments with other students, but submitting identical answers to other students will result in a failing grade. Your answers must be yours alone.
TUTORIALS: Tutorials are run every week to help you answer the assessments. The schedule for tutorials will be announced during the first week of term. You are urged to attend the tutorial that pertains to your online subject.
TO PASS THIS COMPETENCY
YOU MUST PROVIDE EVIDENCE THAT YOU CAN
• Determine applicable compliance requirements
Instructional Websites Resources
You should use the following Internet resource to answer the questions.
View the following website and answer the associated questions:
Selected Readings
http://www.ato.gov.au/businesses/content.asp?doc=/content/69534.htm&mnu=42674&mfp=001/001
Assessment 2. Part A. Research
Your Tasks:
Develop a report documenting your planned compliance program/management system. Your compliance program/management system should have the following elements: (10 marks each)
1. Compliance requirements relevant to the organisation (from Assessment 1, Part A)
2. Specification of compliance management functions, accountabilities and responsibilities within the organisation
3. Compliance related management information systems (from Assessment 1, Part B)
4. Record keeping systems required for compliance management (from Assessment 1, Part B)
5. Liaison procedures with relevant internal and external personnel on compliance related matters, for example, workplace safety consultation procedures
6. Breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements
7. Compliance reporting procedures
8. Corporate induction and training processes related to compliance management
9. Processes for the internal and external promulgation and promotion of information on compliance requirements and a compliance program management system
10. Compliance complaints handling systems
11. Continuous improvement processes for compliance including monitoring, evaluation and review
12. Strategies for developing a positive compliance culture within the organisation
13. Techniques and performance indicators for monitoring the operation of a compliance program/management system
14. Reporting processes on compliance management including reports on breaches and rectification action
Your report should also include an action schedule for implementing, reviewing and maintaining the planned compliance program/management system and disseminate to relevant internal and external personnel.
Your action schedule should include:
1. budgets for implementation, review and maintenance
2. internal and external reporting requirements and dates for implementation, review and maintenance
3. key responsibilities and activities for implementation, review and maintenance
4. resource acquisition and maintenance schedules
5. staff assignments including recruitment and training schedules
6. target outcomes, time lines and milestones
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Assessment 2. Part B. Review OHS Policies & Procedures
(20 marks)
1. Review the OHS policies and procedures of any organisation. It can be;
a. The small business you started in assessment 1, or
b. any workplace in which you have been employed, or
c. APC (See the APC website)
2. You must review the existing OHS policies and procedures related specifically to employee consultation regarding workplace safety
3. The policies and procedures must be measured against:
o Sections 13, 16 and 18 of the OHS act 2000.
o See excerpt appendix B attached.
For more information on the OHS act 2000, visit the AUSTLII website on the link below:
http://www.austlii.edu.au/au/legis/nsw/consol_act/ohasa2000273/
You need to develop a checklist (sample shown on the following page) which you may use to assess the existing policies and procedures against legislation. at the end of the checklist, you need to have a section where you will record the outcomes of the review including recommended action to improve and/or rectify (including assigned responsibilities and timeline).
See appendix a (Sample Review Checklist) on the following page.
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(Please ensure all aspects are covered, ensure your report is word processed using 12point font size and Times New Roman font and attach an APC Assignment Cover Sheet (see the APC Reception if you required a copy of the assignment cover sheet) before submitting to your Trainer.)
APPENDIX A
Sample Review Checklist
OHS Review Checklist
ABC Company
Existing procedures Met requirements? (Yes/No) Comments
The OHS Coordinator will organise periodic review of existing OHS policies and procedures with members of the OHS Committee Yes
The Hazard Identification Form meets the recommended format from WorkCover? No
… …
Findings
1. The Hazard Identification form does not meet the recommended format from WorkCover
2. …
3. …
Action plan
Responsibility Assigned personnel Date due
Redesign the Hazard Identification form as per the recommended format from WorkCover Bobby Brown 5/5/20XX
.. .. ..
APPENDIX B
Excerpt from the OHS Act 2000
OCCUPATIONAL HEALTH AND SAFETY ACT 2000 – SECTION 13
Duty of employer to consult
An employer must consult, in accordance with this Division, with the employees of the employer to enable the employees to contribute to the making of decisions affecting their health, safety and welfare at work.
Maximum penalty:
a. in the case of a corporation (being a previous offender)-750 penalty units, or
b. in the case of a corporation (not being a previous offender)-500 penalty units, or
c. in the case of an individual (being a previous offender)-375 penalty units, or
d. in the case of an individual (not being a previous offender)-250 penalty units.
OCCUPATIONAL HEALTH AND SAFETY ACT 2000 – SECT 16
How consultation to be undertaken
Consultation under this Division may be undertaken by any one or more of the following means:
a. consultation may be undertaken with an occupational health and safety committee or committees established by the employer and employees for the place of work or the employer’s undertaking (an ”OHS committee”),
b. consultation may be undertaken with an occupational health and safety representative or representatives elected by the employees to represent them (an ”OHS representative”),
c. consultation may be undertaken in accordance with other arrangements agreed by the employer and the employees.
OCCUPATIONAL HEALTH AND SAFETY ACT 2000 – SECT 18
Functions of OHS committees and OHS representatives
An OHS committee or an OHS representative has the following functions:
a. to keep under review the measures taken to ensure the health, safety and welfare of persons at the place of work,
b. to investigate any matter that may be a risk to health and safety at the place of work,
c. to attempt to resolve the matter but, if unable to do so, to request an investigation by an inspector for that purpose,
d. such other functions as are prescribed by the regulations.
Note: See section 69 for power of employees’ representative to accompany an inspector on an inspection of a place of work. See section 137 for offence of unauthorised disclosure of confidential information by any member of a committee or representative.
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