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COMPLETE ASSESSMENT DOCUMENT BSB60407 Advanced Diploma of Management BSBMGT605B Provide leadership across the organisation The following assessments are to be (a) completed and (b) submitted in accordance with the associated STANDARD INSTRUCTIONS ASSESSMENT COVER SHEET To obtain the qualification of Provide Leadership across the organisation – BSBMGT605B, the skills and knowledge required are summed as; Required skills • interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support • networking skills to ensure support from key groups and individuals for concepts/ideas/products/services • risk management skills to analyse, identify and develop mitigation strategies for identified risks. Required knowledge • business ethics and their application • leadership styles and their application • legislation, codes and by-laws relevant to the organisation’s operations • organisation mission, purpose and values • organisation objectives, plans and strategies • organisational change processes. Assessments Tasks to be completed There are five assessment tasks to be completed for this unit. Assessment Part A. Communicate organisational mission and goals (written plan & power point presentation) Using the workplace scenario information provided, you will address expectations of an organisation to investigate incidents in accordance with legal and organisational requirements. You will also address expectations to communicate organisational mission and goals to internal stakeholders. You must: • plan and deliver a presentation to managers • submit: ? incident report, risk analysis and updated risk register ? presentation notes, PowerPoint slides, etc. Assessment Part B. Influence groups and individuals (written plan & power point presentation) Using the workplace scenario information provided, you will plan the implementation and resourcing of an organisational change strategy, consult with various stakeholders, and implement a key part of the change strategy. At all stages, you will build support for the implementation. You must: ? meet with CEO (your assessor) to approve change strategy ? plan and deliver a presentation to managers ? submit: ? action plan for implementation, budget, communication plan ? drafts of evolving planning documents ? Presentation notes, PowerPoint slides, etc. Assessment Part C. Build and support teams (Business document) Using the workplace scenario information provided, and following on from work completed in Assessment Task 2, you will lead and support a team of managers to implement a change strategy. You must: ? meet with managers to workshop training of agents ? submit: ? agenda ? team roles and responsibilities document ? team budget ? Workshop notes. Assessment Part D. Demonstrate personal and professional competence (Written plan) In this Assessment Task, you will set out personal and professional goals in a professional development (PD) plan. Then, you will obtain third party verification of participation in networking or professional development to achieve goals set out in your PD plan. You must: ? plan professional activities in PD plan and perform three activities. ? submit: ? professional development plan ? three third party reports Assessment Part E. Written Test You must: ? submit: ? responses to the questions as per the written test. Assessment Part A. Communicate organisational mission and goals (written plan & power point presentation) Performance objective Candidates will demonstrate knowledge and skills required to communicate organisational mission and goals. Specifications You must: ? plan and deliver a presentation to managers ? submit: incident report, risk analysis and updated risk register, presentation notes, PowerPoint slides, etc. Your assessor will be looking for: ? interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support ? risk management skills to analyse, identify and develop mitigation strategies for identified risks ? knowledge of business ethics and their application ? knowledge of leadership styles and their application ? knowledge of legislation, codes and by laws relevant to the organisation’s operations ? knowledge of organisation mission, purpose and values ? knowledge of organisation objectives, plans and strategies ? knowledge of organisational change processes. Adjustment for distance-based learners ? No variation of the task is required. ? A follow-up interview may be required (at the discretion of the assessor). ? Meetings/presentations may be conducted and observed live or via an appropriate teleconferencing tool. Assessment description Using the workplace scenario information provided, you will address expectations of an organisation to investigate incidents in accordance with legal and organisational requirements. You will also address expectations to communicate organisational mission and goals to internal stakeholders. Procedure 1. Review the simulated business documentation, including policies and procedures, in the Appendix 1‘Max Lionel Realty’. Review templates contained in Appendix 2 ‘Templates’ for possible use or adaptation in completing assessment task requirements. 2. Review the information in Appendix 3 and fill out an incident report on the WHS incident. Complete a risk assessment based on the information provided by the HR Manager. Update the organisational risk register. 3. Review the information in Appendix 4 and prepare a presentation on the managers’ WHS responsibilities. Ensure you: ? explain the organisation’s mission, values and strategic directions ? explain the link between the organisation’s objectives, standards, relevant legislation and the responsibilities of managers and agents for a safe workplace ? state expectations of managers in a way designed to build commitment and support by managers; use persuasive language and deploy an appropriate leadership style ? use appropriate media to achieve objectives of presentation. 4. Deliver presentation. 5. Submit relevant documentation. Part B. Influence groups and individuals Candidates will demonstrate knowledge and skills required to influence groups and individuals. Specifications You must: ? plan and deliver a presentation to managers ? submit: ? action plan for implementation, budget, communication plan ? drafts of evolving planning documents ? presentation notes, PowerPoint slides, etc. Your assessor will be looking for: ? interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support ? risk management skills to analyse, identify and develop mitigation strategies for identified risks ? knowledge of business ethics and their application ? knowledge of leadership styles and their application ? knowledge of legislation, codes and by laws relevant to the organisation’s operations ? knowledge of organisation mission, purpose and values ? knowledge of organisation objectives, plans and strategies ? knowledge of organisational change processes. Adjustment for distance-based learners ? No variation of the task is required. ? A follow-up interview may be required (at the discretion of the assessor). ? Documentation can be submitted electronically or posted in the mail. ? Meetings/presentations may be conducted and observed live or via an appropriate teleconferencing tool. Assessment description Using the Appendices information provided, you will plan the implementation and resourcing of an organisational change strategy, consult with various stakeholders, and implement a key part of the change strategy. At all stages, you will build support for the implementation. Note: You will need to keep copies of the work you undergo in this Assessment Task for further use in Assessment Part C. Procedure 1. Review the simulated business documentation, including policies and procedures, in Appendix 1‘Max Lionel Realty’. Review templates contained in Appendix 2 ‘Templates’ for possible use or adaptation in completing assessment task requirements. 2. Review the scenario information below. 3. Develop action plan for implementation of the change strategy. 4. Develop a budget for the strategy. 5. Develop a communication plan for the change strategy. 6. Arrange a time to meet with CEO (your assessor) to discuss planning. Prepare to: ? employ appropriate leadership style ? discuss plans and budget and gain support ? explain how plans meet organisational, legal requirements, etc. ? explain how communication plan accounts for needs of internal and external groups ? discuss modes of communication (e.g. presentations, flyers, posters, training notes, etc.) in implementation plans ? explain how plans align to organisational risk management plans, for example, explain how the change strategy mitigates certain risks outlined in the risk register ? discuss/consult with managers (key part of implementation). 7. Revise plans/budget based on consultation with CEO. Keep drafts of plans to provide evidence of consultation and continuous improvement. 8. Consult with managers (individuals chosen by your assessor to play the roles of managers) to implement part of change management strategy (inform managers, gain support, seek feedback and suggestions for improvement). Ensure you: ? employ an appropriate leadership style ? model and encourage ethical behaviour. 9. Revise plans/budget based on consultation with managers. Keep drafts of plans to provide evidence of consultation and continuous improvement. 10. Submit documentation as per specifications below. Part C. Build and Support Teams Candidates will demonstrate knowledge and skills required to build and support teams. Specifications You must: ? submit: ? agenda ? team roles and responsibilities document ? team budget ? workshop notes. Your assessor will be looking for: ? interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support ? networking skills to ensure support from key groups and individuals for concepts/ideas/products/services ? knowledge of business ethics and their application ? knowledge of leadership styles and their application ? knowledge of legislation, codes and by laws relevant to the organisation’s operations ? knowledge of organisation mission, purpose and values ? knowledge of organisation objectives, plans and strategies ? knowledge of organisational change processes. Adjustment for distance-based learners ? No variation of the task is required. ? A follow-up interview may be required (at the discretion of the assessor). ? Documentation can be submitted electronically or posted in the mail. ? Meetings/presentations may be conducted and observed live or via an appropriate teleconferencing tool. Assessment description Using the workplace scenario information provided, and following on from work completed in Assessment Part B, you will lead and support a team of managers to implement a change strategy. Procedure 1. Review the simulated business documentation, including policies and procedures, in Appendix 1‘Max Lionel Realty’. Review templates contained in Appendix 2‘Templates’ for possible use or adaptation in completing assessment task requirements. 2. Review completed work from Assessment Part B. 3. Review the scenario information below. 4. Develop agenda for workshop and arrange time to meet with managers to workshop implementation of agent training. Arrange for the assessor to observe workshop. 5. Lead team workshop with managers. Ensure you: ? set and complete objectives for work shop; determine how to ensure effective training of agents ? assign roles for each manager ? model ethical behaviour and encourage ethical behaviour in team ? use an appropriate leadership style to achieve objectives ? discuss organisational requirements such as legislation ? provide support for team as team generates ideas for how to produce effective training ? model innovative methods to generate ideas for training agents and achieving training objectives, for example, brainstorming, fishbone diagrams, 8Ps, flowcharting ? discuss, suggest, demonstrate and encourage innovative approaches ? provide constructive criticism, advice ? discuss leadership styles to be employed by managers in training ? discuss budget for training ? take notes from workshop to evidence participation. 6. Submit documentation as per specifications below. Training objectives for agents WHS: ? Identify relevant legislation, standards codes, etc. ? Fill out incident reports. ? Perform risk assessment. ? Fill in risk register. Ethics: ? Identify relevant legislation, standards codes, etc. ? Use ethics charter: ensure clients, tenants etc are aware of charter (Revised customer service procedures mandate agents must ensure awareness). ? Follow REIV code of conduct: ensure honesty. ? Act in non-discriminatory manner with clients tenants. Managers will be accountable for planning and delivering training, assessing individual competence, periodically reviewing effectiveness of training, and considering ethical and WHS performance as part of periodic agent performance management in accordance with company policy. In addition to preferred suppliers, the following costs are associated with resources: Resource Cost Managers $120/hr Training rooms $100/hr Paper $0.50/sheet Projector $100/day All other training resources will be at your discretion and obtained in accordance with the MLR procurement policy. You will need to: ? meet with managerial team to discuss training and develop training/information sessions for agents according to agent needs ? assign roles for training ? demonstrate encouragement and support for team and create positive work environment ? demonstrate innovative approaches ? encourage innovative approaches to training. ? prepare budget for team based on stated needs. Part D. Demonstrate personal and professional Competence Candidates will demonstrate knowledge and skills required to demonstrate personal and professional competence. Specifications You must: ? submit: ? professional development plan ? third party reports Your assessor will be looking for: ? interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support ? networking skills to ensure support from key groups and individuals for concepts/ideas/products/services ? knowledge of business ethics and their application. Adjustment for distance-based learners ? No variation of the task is required except that ? A follow-up interview may be required (at the discretion of the assessor). ? Documentation can be submitted electronically or posted in the mail. ? Meetings/presentations may be conducted and observed live or via an appropriate teleconferencing tool. Assessment description In this Assessment Task, you will set out personal and professional goals in a professional development (PD) plan. Then, you will obtain third party verification of participation in networking or professional development to achieve goals set out in your PD plan. Procedure 1. Review templates contained in Appendix 2 ‘Templates’ for possible use or adaptation in completing assessment task requirements. 2. Reflect on your leadership skills in the context of your work or profession. Complete a professional development plan. Use template provided. 3. Complete three professional development activities identified in your PD plan (for example, training, networking, or professional development) designed to achieve goals and overcome weaknesses set out in your PD plan. Note: Ensure you gather third party verification of participation and performance in at least three activities, including at least two activities involving networking. Use template provided. Use reports from three different third parties. Acceptable third parties include: Your managers, superiors, trainers and assessors (for additional training undertaken), industry peers (for networking undertaken). 4. Submit documentation as per specifications below. Assessment Part E. Knowledge test Performance objective Candidates will demonstrate knowledge and skills required to demonstrate personal and professional competence. Assessment description In this Assessment Task, you will need to provide responses as indicated. Sections have been provided to group certain similar topics. Please read the instructions completel. Answer the following questions: Section 1: Communicate organisational mission and goals 1. Explain the meaning of each of the following terms: • Organisational mission • Strategic Direction 2. Why is it important to establish links between organisational goals and the activities and responsibilities of staff within the organisation? 3. Describe how you would build commitment to organisational goals? 4. What are some of the expectations that an organisation might have about their operations? List at least 5. 5. What types of incidents might impact on the success of an organisation in achieving its goals? Section 2: Influence groups and individuals Answer the question below by providing the missing words. The Word List (role, feedback, flexible, consulted, adaptable, practices, model, external, communication, trust, diversity, confidence, skills, decisions) contains all of the words you will need. 6. When you are leading people within an organisation, you must build ___, ______ and respect. One of the most effective ways to do this is to become a positive _____. 7. It is important to be __ and __ when implementing change across the organisation. It is also important to provide opportunities for staff to be _____ especially when making___ about work ___. ___ groups should also be consulted when making decisions. 8. Building a team that it trustworthy and focussed on achieving organisational goals is to develop clear __ strategies, train team members how to give and receive effective ___ and appreciate the ___ of __ that exists within the team. 9. Why should an organisation have risk management plans? Why should they be referred to when making decisions about organisational activities? 10. Why is it important for an organisation to develop a good relationship with the media and the community? Section 3: Build and support teams 11. What does it mean to assign accountabilities and responsibilities to a team? 12. How would you determine whether or not a team is empowered to complete a task or project? 13. Describe how you would create and maintain a positive work environment in an unhappy workplace that has been led by a person who does not consult, maintains tight control over all tasks performed and never delegates. 14. Give some examples of flexible workplace practices that allow creativity and innovation in the workplace. 15. Answer this question by writing either True or False about the following statements. • Staff who feel supported in their workplace are generally highly motivated towards achieving organisational goals. True or False • Teams that are constructed from like-minded people are more likely to be innovative than diverse teams because diverse teams argue all the time. True or False Section 4: Demonstrate personal and professional competence 16. What does it mean to adopt business ethics in the workplace? 17. List at least 3 different leadership styles and describe each one briefly. 18. Explain why it is important to be able to adapt your leadership style under different circumstances. 19. Give several examples of professional development activities that could help you develop and maintain your leadership competencies. 20. Outline several benefits in participating in industry/professional networks and groups. Appendix 1 Simulated Business Max Lionel Realty Table of Contents Chapter 1 – Business plan (excerpt) ............................................................... 3 Chapter 2 – Organisational chart and management profiles ............................ 4 Chapter 3 – Management responsibilities ....................................................... 5 Chapter 4 – Budget summary ......................................................................... 6 Chapter 5 – Operational plan .......................................................................... 7 Chapter 6 – Operational risk register ............................................................... 9 Chapter 7 – Work Health and Safety (WHS) Policy ....................................... 10 Chapter 8 – Anti-discrimination policy ........................................................... 12 Chapter 9 – Procurement policy and procedures .......................................... 13 Chapter 10 – Max Lionel Realty current tenants list ...................................... 18 Chapter 11 – List of pre-approved suppliers .................................................. 19 BSB60407 Advanced Diploma of Management Queensford College Chapter 1 – Business plan (excerpt) BSBMGT605B Provide leadership across the organisation Page 13 BSBMGT605B Provide leadership across the organisation Queensford College Chapter 2 – Organisational chart and management profiles © 2012 Innovation and Business Industry Skills Council Ltd 1st edition version: 2 Page 14 of 19 Management responsibilities Max Lionel, CEO Max is responsible for working with the Board of Directors to oversee the business, set overall strategic directions, manage risk, and authorise large financial transactions. Riz Mehra, Chief Financial Officer Riz is responsible for preparing quarterly financial statements and overall budgeting. Riz Is also responsible for overseeing budgets for cost centres and individual projects. At the completion of financial quarters and at the end of projects, Riz is responsible for viewing budget variation reports and incorporating information into financial statements and financial projections. Kim Sweeney, Operations General Manager Kim is responsible for the day-to-day running of the company. Kim oversees the coordination, as well as the structural separation, of the Residential, Commercial, and Investments centres. Kim is responsible for sponsoring projects which affect operations of the organisation as a whole. Kim works with the Human Resources Manager to coordinate systems and projects in order to achieve company-wide synergy. Les Goodale, Human Resources Manager Les is responsible for the productive capacity and welfare of people at MLR. With the Operations General Manager, Kim works to coordinate projects and management systems such as performance management, recruitment, and induction. Kim will need to ensure aspects of the recently launched WHS management system, such as risk assessment, management, consulting, reporting and continuous improvement, are coordinated with all subsequent activities. Sam Lee, Manager Residential Realty Sam is responsible for the management of all aspects of residential realty. Sam manages the activities of residential agents. Pat Misfud, Manager Commercial Realty Pat is responsible for the management of all aspects commercial realty. Pat manages the activities of commercial agents. Peter Mitchell, Manager Investments Peter is responsible for the management of all aspects investment realty. Peter manages the activities of investment agents. Peter works with the Operations General Manager to ensure separation of investment from obligations to residential and commercial clients. BSBMGT605B Provide leadership across the organisation Page | 15 Budget summary Max Lionel Realty 2012–13 budget by activities to be undertaken Income: Commissions, fees from clients $2,566,000 Commissions and agents’ fees for the period. Investment income $1,567,000 Real estate investment income. COGS $150,413 Cost of provision of services. Expenses: Wages, salaries and on costs $1,567,890 Wages, salaries, superannuation, work cover insurance, payroll tax. Consultancy fees $50,000 Project management: WHS management system; AD awareness program. Communication expenses $42,000 Telephone, ISP costs, IT support. Staff travel, transport and accommodation. $55,500 Cost of staff travel and associated costs for sales, etc. Premises expenses $250,000 Rent, electricity, maintenance, cleaning. Capital expenditure $120,000 Purchase of new office equipment (90%), vehicles; purchase of properties, land. Depreciation and amortisation $177,569 Computers and capital equipment that is depreciated. Office supplies $65,068 Printing and stationery, postage, amenities. Professional fees (consultants, legal and audit), insurances, taxes and charges, subscriptions and memberships. $62,187 Audit fees, external accounting costs, bank charges, insurance except workers compensation. Total Income $3,982,587 Gross profit. Total Expenses $2,390,214 Surplus $1,592,373 Net income before tax. BSBMGT605B Provide leadership across the organisation Page | 16 Operational plan Max Lionel Realty operational plan (summary) FY 2012/2013 Objectives: Performance measures Tasks: 1 Engage with customers/build ethical profile: raise organisational profile by 20% improve client satisfaction performance by 25%. Percentage of brand recognition in sought-after categories in periodic customer surveys. Percentage of customers with positive view of organisational responsiveness, innovation, quality. Number of client/tenant complaints. Project to raise awareness of antidiscrimination, WHS and other legislation/codes of conduct among agents, clients, tenants. Conduct of quarterly surveys: clients and tenants. Training needs analysis and training of agents. Ensure agents disclose potential conflict of interest to clients, tenants. Development of ethical charter, including principles all agents must follow. 2 Increase revenues by 20% within the third quarter. Total income. Agent income. Investment income. Investigate resourcing needs: number of agents; personnel; office equipment, cars, etc. Fulfil resourcing needs in accordance with policies and procedures. 3 Reduce direct and indirect costs of operations by 10%. General ledger accounts; financial statements: wages cost of agent services consultancy fees wastage and associated expenses. Renegotiate with suppliers. Research potential new suppliers. Management engagement with employees to achieve greater employee support of organisational goals. Include explanation of how activities work with organisational strategic goals in all communications to internal personnel. Greater use by managers of budgets to encourage restraint. Greater focus on budget restraint in management of projects. 4 Engage workers with strategic goals of business and support professional development in line with strategic goals. (Targets to be set by individual managers.) Percentage completion of performance plans and performance management process. Numbers of coaching sessions completed. Numbers of operational – related training programs completed. Management engagement with employees to achieve greater buy in of organisational goals. Include explanation of how activities work with organisational strategic goals in all communications to internal personnel. Regular coaching. Training needs analysis and training. Strategic goals included in induction program for estate agents. Employee incentives for performance in all areas relevant to operational and strategic goals. 5 Improve health of employees (range of specific areas). Numbers of injuries (Target = 0). Numbers of absentees (Target = 3% of total hours). Training needs analysis and training on WHS and implementation of recently launched MLR WHS management system. Research incentives for: safe work achievement and healthy lifestyle. BSBMGT605B Provide leadership across the organisation Page | 17 Operational risk register Max Lionel Realty risk register FY 2012/2013 Identified risk Probability Impact Current controls Future actions Failure to recruit qualified real estate agents due to increased competition. Medium High All office equipment regularly reviewed and updated as required; IT security monitored and maintained. Appropriate insurances held and coverage reviewed annually. Managers encouraged and incentivised to follow performance management policy. Employee performance plans align with business plan and sixmonthly review process in place. Project to raise awareness of anti-discrimination, WHS and other legislation/codes of conduct among agents, clients, tenants Appropriate HR policies and procedures in place. WHS management system in place. Industry benchmarking in all areas of organisational performance Conduct periodic reviews of agent performance to ensure professional conduct Staff trained in use of technology as needed. Keep abreast of changes in potential liabilities. Review and develop HR related policies where required. Development of ethical charter, including principles all agents must follow. Failure to realise revenue gains due to recent slump in real estate prices. High High Inadequate insurance cover. Low High Non-compliance on antidiscrimination. Medium High Perception of discriminatory practice reducing client and tenant base. Medium High Poor organisational culture; low level of staff engagement and morale. Medium Medium Loss of knowledge and capability through departing staff. Low High Failure to meet occupational health and safety requirements. Low High BSBMGT605B Provide leadership across the organisation Page | 18 Chapter 7 Work Health and Safety (WHS) Policy Max Lionel Realty WHS policy Max Lionel Realty recognises its responsibility to provide a healthy and safe working environment for employees, contractors, clients and visitors. Max Lionel Realty is committed to the continued wellbeing of its employees and to ensuring that all employees are safe from injury and health risks whilst undertaking work-related duties, including home-based work. Purpose The purpose of this policy is to ensure the acquisition of resources is carried out consistently, fairly and transparently and in accordance with organisational requirements. In order to ensure a healthy and safe working environment, Max Lionel Realty will (in accordance with the WHS management system): undertake risk assessments and implement procedures to adequately manage any risks in the working environment provide written procedures and instructions for safe working practices ensure compliance with all relevant legislation maintain safe systems of work including the work premises and environment provide appropriate support, instruction, training and supervision to employees to ensure safe working practices. Scope The scope of this policy covers employees and contractors of Max Lionel Realty (MLR). Resources Specific procedures for the implementation of this policy are available below and on the company intranet. Responsibility Max Lionel Realty management and employees are ultimately responsible for ensuring that safe systems of work are established, implemented and maintained. Management is responsible for: the effective implementation and regular review of WHS procedures consultation with employees regarding health and safety issues and changes to legislation and/or working practices which may affect the health, safety or welfare of employee providing and maintaining a safe system of working practices providing support, training, and supervision to employees to ensure safe and healthy workplace practices are carried out, including relevant first aid training where appropriate the provision of adequate resources for employees to meet the WHS commitment, including an up-to-date first aid kit. Individual employees are responsible for: following all WHS policies and procedures ensuring they report all potential and actual risks to partners or managers/supervisors taking care to protect their own health and safety and that of their colleagues at work ensuring their own or others health and safety is not adversely affected by the consumption of drugs or alcohol encouraging others to follow healthy and safe working practices in the workplace. Policy Implementation and Review This policy has been established and implemented through the human resource functions of the organisation and will be reviewed regularly in consultation with MLR management and employees to ensure compliance with legislation, industry standards and organisational changes. Relevant legislation, etc. Privacy Act 1998 (Cwlth) Estate Agents Act 1980 Equal Opportunity Act 2010 (Vic) Occupational Health and Safety Act 2004 Dangerous Goods Act 1985 AS/NZS 4804:2001 Occupational health and safety management systems – General guidelines on principles, systems and supporting techniques Updated/ 10/2012 – Riz Mehra, CFO authorised Chapter 8 Anti-discrimination policy Max Lionel Realty Anti-discrimination Policy Purpose The purpose of this policy is to ensure transactions with clients, tenants and other employees is handled fairly and transparently and in accordance with organisational and legal requirements. Generally it is unlawful to discriminate on the basis of the following 16 characteristics: sex political belief or activity relationship status trade union activity pregnancy lawful sexual activity parental status gender identity breastfeeding sexuality age family responsibilities race association with, or relation to, a impairment person identified on the basis of religious belief or religious the above. activity Scope The scope of this policy covers all employees and contractors of Max Lionel Realty (MLR). Resources Specific procedures for the implementation of this policy are available below and on the company intranet. Responsibility Responsibility for the implementation of this policy rests with all employees, contractors and management of Max Lionel Realty. Relevant legislation, etc. Privacy Act 1998 (Cwlth) Equal Opportunity Act 2010 (Vic) Age Discrimination Act 2004 Australian Human Rights Commission Act 1986 Disability Discrimination Act 1992 Racial Discrimination Act 1975 Sex Discrimination Act 1984. Estate Agents Act 1980 Updated/ authorised 10/2012 – Riz Mehra, CFO Chapter 9 Procurement policy and procedures Max Lionel Realty procurement policy Purpose The purpose of this policy is to ensure the acquisition of resources is carried out consistently, fairly and transparently and in accordance with organisational requirements. Scope The scope of this policy covers the purchasing and acquisition of resources by employees and contractors of Max Lionel Realty (MLR). Resources Specific procedures for the implementation of this policy are available below and on the company intranet. Responsibility Responsibility for the implementation of this policy rests with employees and management of Max Lionel Realty with responsibility for purchasing resources. Relevant legislation etc. Privacy Act 1998 (Cwlth) Estate Agents Act 1980 Equal Opportunity Act 2010 (Vic) Australian Securities and Investments Commission Act 2001 (Cwlth) Corporations Act 2001 (Cwlth) A New Tax System (Goods and Services Tax Administration) Act 1999 (Cwlth) A New Tax System (Goods and Services Tax) Act 1999 (Cwlth) Income Tax Assessment Act 1997 (Cwlth) Fair Work Act 2009 (Cwlth) Occupational Health and Safety Act 2004 (Vic) Updated/ authorised 10/2012 – Riz Mehra, CFO 14 Principles governing the Max Lionel Realty procurement process 1. Probity and ethical behaviour The principle of probity and ethical behaviour governs the conduct of all procurement activities. Employees who have authority to procure goods and services must comply with the standards of integrity, probity, professional conduct and ethical behaviour. Employees or directors must not seek to benefit from supplier practices that may be dishonest or unethical. 2. Value for money Value for money is the core principle underpinning procurement. Contracted organisations must be cost effective and efficient in the use of resources whilst upholding the highest standards of probity and integrity. In general, a competitive process carried out in an open, objective and transparent manner can achieve the best value for money in procurement. 3. Non-discrimination This procurement policy is non-discriminatory. All potential contracted suppliers should have the same opportunities to compete for business and must be treated equitably based on their suitability for the intended purpose. 4. Risk management Risk management involves the systematic identification, analysis, treatment and, where possible, the implementation of appropriate risk-mitigation strategies. It is integral to efficiency and effectiveness to proactively identify, evaluate, and manage risks arising out of procurement related activities. The risks associated with procurement activity must be managed in accordance with the organisation’s risk management policy. 5. Responsible financial management The principle of responsible financial management must be applied to all procurement activities. Factors that must be considered include: the availability of funds within an existing approved budget staff approving the expenditure of funds strictly within their delegations measures to contain costs of the procurement without compromising any procurement principles. 6. Procurement planning In order to achieve value for money, each procurement process must be well planned and conducted in accordance with the principles contained in this document and comply with all of the organisation’s policies and relevant legal and regulatory requirements. When planning appropriate procurement processes consideration should be given to adopting an approach that: encourages competition ensures that rules do not operate to limit competition by discriminating against particular suppliers recognises any industry regulation and licensing requirements secures and maintains contractual and related documentation for the procurement which best protects the organisation complies with the organisation’s delegations policy. 7. Buy Australian Made/support for Australian industry Employees who are involved in procurement activities must make a conscious effort to maximise opportunities for Australian manufacturers and suppliers to provide products where there is practicable and economic value. In making a value for money judgement between locally-made and overseas-sourced goods, employees are to take into account: whole-of-life costs associated with the good or service that the initial purchase price may not be a reliable indicator of value the quality of locally made products the record of performance and delivery of local suppliers the flexibility, convenience and capacity of local suppliers for follow on orders the scope for improvements to the goods and ‘add-ons’ from local industry. 8. Pre-registered list of preferred suppliers Max Lionel Realty shall maintain a pre-registered list of preferred suppliers, following a request for expressions of interest and an evaluation of the submissions. Suppliers can request to be evaluated for inclusion on the existing pre-register list at any time. All purchases under $5,000 may be made from preferred suppliers without undertaking a competitive process. Purchases above $5,000 where a preferred supplier exists should include a competitive process if practicable. This list is reviewed at regular intervals with admission of interested parties on a rolling basis. Care should be taken to ensure that such lists are used in an open and non-discriminatory manner. Max Lionel Realty encourages new contractors to provide information on their experience, expertise, capabilities, pricing, fees, and current availability. It is in the interest of the organisation that the pool of potential suppliers is actively maintained and updated. Employees should be encouraged to provide reports of their experiences in working with each contractor/consultant to assist future decisions concerning commissioning suitable contractors and consultants. 9. Avoid conflict of interest Employees and directors are required to be free of interests or relationships in all aspects of the procurement process. Employees and directors are not permitted to personally gain from any aspect of a procurement process. Employees and directors shall ensure that to the best of their knowledge, information and belief, that at the date of engaging a contractor no conflict of interest exists or is likely to arise in the performance of the contractor’s obligations under their contract. Should employees or directors become aware of potential conflicts of interest during the contract period, they must advise the CEO and the Board of Directors immediately. Prior to any situation arising with potential for a conflict of interest, complete disclosure shall be made to the CEO and the Board of Directors to allow sufficient time for a review. 10. Report collusive tendering Employees should be aware of anti-competitive practices such as collusive tendering. Any evidence of suspected collusion in tendering should be brought to the attention of the CEO and the Board of Directors. 11. Competitive process It is a basic principle of procurement that a competitive process should be used unless there are justifiable circumstances. For purchases under $5,000, the list of preferred suppliers may be used. The type of competitive process can vary depending on the size and characteristics of the contract to be awarded. 12. Direct invitation (selective or restricted tendering) A process of direct sourcing to tender may be used. This may involve: an invitation to organisations deemed appropriately qualified for a particular product or service (this may be appropriate for specialised requirements in markets where there is a limited number of suppliers or service providers) an invitation to tender to organisations on MLR’s pre-registered list of preferred suppliers if applicable. 13. Evaluation and contract award For projects being awarded, consideration will be given not only to the most economically advantageous tender, but also to the track record of the tender respondent and the degree of confidence that the panel has in the quality if the bid. It will be the normal practice to have the evaluation of tenders carried out by a team with the requisite competency. 14. Results of tendering process All tender respondents should be informed in writing of the result of a tendering process immediately after a contract has been awarded. Summary of procurement policy delegations Authority Purchase amount Required number of quotes Comment CEO and one Director Authority to sign contracts for products and services over $75,000. Two or more competitive quotes for contracts over $75,000. Detailed services contract required. CEO Authority to sign contracts for products and services up to $75,000. Two or more competitive quotes. Detailed services contract required for contracts over $20,000. General Managers Delegated authority only through CEO Authority to sign contracts for products and services under $30,000. One or more competitive quotes preferred. Provided they are within the approved budget and consistent with business/operational and strategic planning. Managers Authority to sign contracts for products and services under $10,000. One or more competitive quotes preferred. Follow MLR purchasing procedures. Agents Authority to sign contracts for products and services under $5,000. Must use preferred suppliers list. Follow MLR purchasing procedures. Contractors and external consultants No authority. One or more competitive quotes preferred. Must use preferred suppliers list. Contractors and external consultants must follow MLR purchasing procedures and must seek approval for purchases from person holding relevant authority. Chapter 10 – Max Lionel Realty current tenants list BSBMGT605B Provide leadership across the organisation Page | 25 BSBMGT605B Provide Leadership across the organization Page 26 of 21 Appendix 2 Templates Incident report 1. DETAILS OF PERSON MAKING REPORT Name: Position: Job Title: 2. DETAILS OF INCIDENT Date: Time: Location: SUGGEST CORRECTIVE ACTIONS ______________ 3. DETAILS OF WITNESSES Name: Job title: Name: Job title: Name: Job title: Sign: Date: BSBMGT605B Provide Leadership across the organization Page 27 of 21 Status: ? Employee ? Contractor ? Other Outcome: ? Near miss ? Injury 1. DETAILS OF INJURED PERSON Name: Phone: (H) (W) Address: Sex: ? M ? F Date of birth: Job Title: Start time: ? am ? pm Work arrangement: ? Casual ? Full-time ? Part-time ? Other 2. DETAILS OF INCIDENT Date: Time: Location: Describe what happened and how: 3. DETAILS OF WITNESSES Name: Phone: (H) (W) Address: 4. DETAILS OF INJURY Nature of injury (e.g. burn, cut, sprain) Cause of injury (e.g. fall, grabbed by person) Location on body (e.g. back, left forearm) 5. TREATMENT ADMINISTERED First aid given ? Yes ? No First aider name: Treatment: Referred to: SECTIONS 6–9 MUST BE COMPLETED BY EMPLOYER 6. DID THE INJURED PERSON STOP WORK? ? Yes ? No If yes, state date: Time: Outcome: ? Treated by doctor ? Hospitalised ? Workers compensation claim ? Returned to normal work ? Alternative duties ? Rehabilitation 7. INCIDENT INVESTIGATION (comments to include causal factors): 8. RISK ASSESSMENT Likelihood of recurrence: Severity of outcome: Level of risk: 9. ACTIONS TO PREVENT RECURRENCE Action By whom By when Date completed 10. ACTIONS COMPLETED Signed (Manager): Title: Date: ? Feedback to person involved Date: 11. REVIEW COMMENTS WHS committee / staff meeting: Reviewed by site Manager (signed): Date: Reviewed by Health & Safety Rep.(signed): Date: Risk assessment form Details Name: Position: Risk details Risk ID: Number allocated to this risk. Raised by: Name of person who has raised the risk. Date raised: Date of completion of this form. Description of risk: Briefly describe the identified risk and its possible impact. Likelihood of risk: Describe and rank the likelihood of the risk occurring (i.e. low, medium or high). Impact of risk: Describe and rank the impact if the risk occurs (i.e. low, medium or high). Risk mitigation Preventative actions recommended: Briefly describe any action that should be taken to prevent the risk from occurring. Contingency actions recommended: Briefly describe any action that should be taken, should the risk occur, to minimise its impact. Approval details Supporting documentation: Details of any supporting documentation used to substantiate this risk. Signature: ________________________________________ Date: _____/_____/______ Risk register This template is used to record identified risks associated with your project, analyse the impact and determine resultant action to be taken. Risk Likelihood (H/M/L) Impact (H/M/L) Risk response (contingency strategies) Responsible Action/implementation plan Item Milestone date Responsibility Budget Project Name: Income Incl. GST Excl. GST Total income Expense Incl. GST Excl. GST Subtotal Contingency (+10%) TOTAL Signature: ________________________________________ Date: _____/_____/______ Communication plan (example) What Who Purpose When/frequency Type/methods Initiation meeting All stakeholders. Gather information for initiation plan. FIRST Before project start date. Meeting. Distribute project initiation plan All stakeholders. Distribute plan to alert stakeholders of project scope and to gain support. Before kick-off meeting. Before project start date. Project snapshot distributed via hard copy or electronically. May be posted on project website. Project kickoff All stakeholders. Communicate plans and stakeholder roles/ responsibilities. Encourage communication among stakeholders. At or near project start date. Meeting. Status reports All stakeholders and project officer. Update stakeholders on progress of the project. Regularly scheduled. Weekly is recommended for small-medium projects. Distribute status report electronically and post via website. Team meetings Entire project team. Individual meetings for subteams as appropriate. To review detailed plans (tasks, assignments, and action items). Regularly scheduled. Weekly is recommended for entire team. Weekly or biweekly for sub-teams as needed. Meeting: detailed plan. Sponsor meetings Sponsor/s and Project Manager. Update sponsor/s on status and discuss critical issues. Seek approval for changes to project plan. Regularly scheduled. Recommended bi-weekly or monthly and also as needed when issues cannot be resolved or changes need to be made to project plan. Meeting. Media and community promotion Marketing team. Promote benefits of the project to community. As determined by marketing team. Internet Magazine Radio. Roles and responsibilities Role Name/s Responsibilities Signature/s (if required) Budget Project Name: Income Incl. GST Excl. GST Total income Expense Incl. GST Excl. GST Subtotal Contingency (+10%) TOTAL Signature: ________________________________________ Date: _____/_____/______ Professional development plan Name Date of development Date to be reviewed ? Discussed with mentor/colleague Name: ________________________ ? Discussed with manager Name: ____________________ Goals Timeframe My personal goals are: These should relate to or support professional goals My professional goals are: These should relate to objectives to maintain current competence in the job role or future career paths. Next 12 months This will depend on type of activity priority/ importance of undertaking it Next 5 years This will depend on type of activity priority/ importance of undertaking it Strengths and Weaknesses Timeframe Personal Professional Required knowledge/ skills Consider: required competencies job description service plans and frameworks. Strengths Consider: your views recent tests/appraisals other people’s views. Gaps/barriers/obstacles and solutions gaps in knowledge/ skills changes to systems/ services requiring new skills what will help you to progress in your role, profession? Professional Development and Networking Activities Identified gap Development activity Details (provider, location, etc.) Objective of development/ networking activity Timeframe Cost 1. 2. 3. 4. 5. Third party report Name of observer: Position: Contact details: Skill Description of how candidate demonstrated skill/knowledge. Provide example Demonstrates interpersonal skills to communicate and inspire trust and confidence of others and to ensure their cooperation and support. Demonstrates networking skills to ensure support from key groups and individuals for concepts/ideas/ products/services. Applies business ethics. Ensure performance is continuously improved through participation in professional development, networking, etc. Signature: ________________________________________ Date: _____/_____/______ Appendix 3 You are the Operations General Manager at Max Lionel Realty (MLR). You are responsible for the day-to-day running of the company. You oversee the coordination of activities that occur within the Residential, Commercial, and Investments branches of the company. You are responsible for overseeing projects which affect operations of the organisation as a whole. You work with the HR manager to coordinate systems and projects to achieve cooperation and coordination across the company. WHS Incident A WHS incident recently occurred at the Commercial office of Max Lionel Realty. Although it is the Commercial Manager’s responsibility to investigate WHS incidents, they have not done so. You decide to step in. In accordance with the recently implemented WHS management system you must: investigate incidents complete an incident report perform risk assessment update risk register. The records you create of the incident need to be submitted to the HR Manager (assessor) for storage as per records management policy. Details of the incident Last Wednesday, a client, who was running late decided to leave through the emergency exit and stairwell, falling and breaking her wrist. The exit door was blocked by boxes of paper. One of the agents heard calls for help, managed to open the exit and help the client. Not realising what had happened, or the seriousness of the accident, the agent criticised the client’s high heels, implying that such a thing would never happen to a man. ‘Any sensible woman would take the lift’. The client was humiliated. The client was taken to the Royal Women’s Hospital by ambulance. She is threatening to sue MLR for injuries, loss of income and mental trauma. Another agent noticed a strange odour and an oily substance on the stairwell. This agent reported the incident verbally to the Commercial Realty Manager. This incident has only just become known to the HR manager, who has been contacted by both the client’s lawyer and the Office of the Human Rights Ombudsman. Several incidents in which managers have failed to undertake WHS management system responsibilities have occurred recently. For example, record-keeping has been incomplete. Consultation with agents, WHS committee meetings not occurred. The organisation’s original target was to reduce the number of WHS incidents by 25%; however, after initial success, enthusiasm for the system has worn off and incident rates are only just lower than they were when the system was initiated. Appendix 4 You are the Operations General Manager at Max Lionel Realty. You have recently investigated a serious WHS incident. You have determined that the incident may represent a systemic breakdown in compliance with the organisation’s WHS management system. This system has only recently been implemented and clearly the requisite practices have not been embedded. Your legal and ethical responsibility is clear. You have a legal and ethical responsibility as a manager to minimise workplace hazards. Moreover, in accordance with organisational change management processes, you need to ensure organisational support by regularly reviewing compliance and acting immediately to intervene to ensure organisational objectives and minimise risk. You need to ensure managers are aware of and comply with the following responsibilities under the WHS management system and WHS legislation: consult with agents on WHS issues to continually identify any potential risks regularly conduct WHS committee meetings to address risk across the organisation regularly assess potential workplace hazards act proactively to reduce risk update the risk register. You have decided to prepare a presentation to managers to ensure compliance. Your objective is to ensure a smooth implementation of the WHS management system. Accordingly, you don’t want to single out or embarrass any one manager. Rather, you want to ensure enthusiastic support by underscoring the importance of implementation of the WHS management system with respect to Max Lionel’s mission and organisational goals. You will need to ensure you demonstrate and support ethical attitudes and practices. Appendix 5 You are the Operations General Manager at Max Lionel Realty (MLR). The CEO, Max Lionel has asked you to initiate and implement a change strategy to improve organisational culture and ensure ethical and legal compliance of agents. Key outcomes of the strategy will be: development of an ethics charter for the business based on WHS responsibilities and Real Estate Institute of Victoria (REIV) Code of Conduct revisions made to existing policies and procedures to incorporate use of charter by agents training for managers and agents on use of charter, WHS responsibilities and legal/ethical responsibilities. Previous needs analysis for this strategy has uncovered characteristics and requirements of various groups and stakeholders: Agents (40) Clients Tenants/wider community under stress; time poor highly trained and competent in selling and managing real estate unaware of legal, ethical requirement; just want to please clients even if aware, have no idea how to apply to daily client practice unclear on overall strategic aims of MLR culturally diverse. cynical: e.g. ‘why do I have to pay attention to MLR’s internal business? I just want them to manage my property.’ time poor not sure of MLR obligations and commitment to best-ofbreed client service and ethical practice, REIV Code of Conduct feel that it’s the agent’s obligation to fill rental/lease properties according to client wishes: e.g. ‘I choose who lives in/leases my property’ culturally diverse. sometimes feel discriminated against on basis of: lifestyle family status cultural background income, etc. residential agents have been rude or insensitive on occasion: e.g. ‘you wouldn’t treat your rich clients or investment partners this way’ do not feel they are adequately consulted residential/commercial agents/clients have let themselves in without consultation inspections are sometimes unannounced feel that the real estate business is crooked culturally diverse. The following resources are available from preferred suppliers Ace Consultants: Human resourcing Cost Developer/writer $120/hr Advertising and promotions consultant $150/hr Quality assurance person/editor $120/hr WHS trainer/facilitator $120/hr Anti-discrimination trainer/facilitator $120/hr Mary Stewart (WHS consultant) $150/hr John Ng (CPA) $150/hr Pat Lee (Lawyer: anti-discrimination expert) $150/hr Other resourcing Off-site training room (catered ) with space for ten people $400/hr Promotions package: email, social media, trade magazine placements, local newspaper copy. $4000 The total budget for the change strategy: $12,000 You will need to: • develop a draft action/implementation plan for the implementation of the strategy, including all activities to be undertaken • develop a draft communications plan for internal and external stakeholders • consider resourcing requirements and develop a draft budget • consider modes of communication • include in action/implementation plan (and communication plan) a meeting with managers as a key part of building support for change strategy and gaining input • meet CEO to approve draft planning documents • meet with managers to present draft strategy and gain input.

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