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Pro Leaders Academy Pty LtdABN: 69 611 847 351

Phone: 1300-000-PLA (752)Web: proleaders.com.au

Email: [email protected]

Compliance Stream

Procurement & Contract Management Program

Final Activity BookCommonwealth Version 3.3

PARTICIPANT NAME: ________________________________________

Phone: 1300-000-PLA (752)Web: proleaders.com.au

Email: [email protected]

Procurement & Contract Management Program – Compliance Stream – Final Activity Book

About Pro Leaders AcademyPro Leaders Academy Pty Ltd, or PLA for short, is a leader in the field of business education and training with over 30 years of experience in business, management, project management, procurement, contract management, and leadership development within government, private organisations, and not-for-profit organisations.

Our approach to education and training is based on experience and our commitment to comply with the industry standard Australian Quality Training Framework (AQTF) to ensure our qualifications are nationally recognised at the highest recognition level. Our approach to training is highly effective to ensure the best practical use of skills learned and to maximise a student’s competency.

For specific details of the qualifications that we have on our scope, please visit Training.gov.au.

Document RevisionVersion Date Change Details Changes by Approver

1.0 August 2017 Reconstruction of original document into Compliance Stream.

Phil Sealy Jacqui Sealy

2.0 March 2018 Amalgamated Stream 1 for both Certificate IV and Diploma of Procurement and Contracting.

Phil Sealy Jacqui Sealy

3.0 April 2018 Revised assessment questions Scott Monson Jacqui Sealy

3.1 May 2018 Revised to ensure consistency with slide material

Scott Monson Jacqui Sealy

3.2 May 2019 Content review Heather Gosling Jacqui Sealy

3.3 June 2020 Formatting Karen Fischbach Phil Sealy

Any recommendations for amendments should be directed to the document approver.

Copyright © 2018 Pro Leaders Academy Pty Ltd (ABN: 69 611 847 351) All Rights ReservedNo part of this publication may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher, except in the case of brief quotations embodied in critical reviews and certain other non-commercial uses permitted by copyright law. For permission requests, write to the publisher, addressed “Attention: Permissions Coordinator,” at the address below.

Pro Leaders Academy Pty LtdPO Box 372 Wynnum QLD 4178www.proleaders.com.au

Pro Leaders Academy Pty Ltd ~ www.proleaders.com.au of

http://www.proleadersacademy.com.au/

http://www.training.gov.au/


The instructions and procedures described in this training program are provided for training purposes only and in no way replace or take precedence over the procedures or instructions issued by your department or agency.

NOTE: Updates to your address or contact details in the form below are not captured in our student management system. Please forward updates to contact details to [email protected].

Name: ___________________________________________________

Position: _________________________________________________

Address: _________________________________________________

_________________________________________________________

Telephone: _______________________________________________

Email: ___________________________________________________

Facilitator’s Name: _________________________________________

Statement of Authenticity

I certify that the work contained in this activities booklet is my own. I have acknowledged the work of others (such as published authors and internet sites) where it has been included to illustrate points in my work.

For electronic submission from your Government email account or via device transfer during the Final Activity in the classroom will be accepted as your signature.

............................................................................... .................................................................

Signature Printed Name

.......................................................

Date


mailto:[email protected]


Pre-Submission Checklist All activities have been completed to a suitable standard;

Name and address details have been provided on page 3;

Any additional pages have been marked with name and address;

Any documents supplied have been labelled and explained so that the assessor can interpret them; and

Statement of Authenticity has been signed and dated.



About the Final Activity BookWelcome to the Final Activity Book for the Compliance Stream. This stream covers information about the relevant legislation, government policies and guidelines, and government delegations that are aimed at the Certificate IV and Diploma of Procurement and Contracting. This is one of three streams that make up either qualification.

This Final Activity Book has been provided for you to complete the final activities of this stream that will determine your competency. Upon completion of this Final Activity Book, it must be submitted to your assessor for an assessment. Therefore, you should take the time to provide reasonably comprehensive and considered answers to the exercises. While we do not expect that all the pages provided will necessarily be filled, you are expected to provide more than two or three sentences for each of the tasks. You must demonstrate a level of understanding that meets the expectations of an AQF qualification.

If you find that you require more space than has been provided, please attach extra pages to the relevant section. If you find it necessary to attach additional documentation, please label any such additional documentation clearly so that your assessor understands the meaning of the documents supplied and can easily return them to you.

Upon satisfactory completion of this stream, based on the assessment of this Final Activity Book, you may be eligible to receive a Statement of Attainment for the individual Units of Competency that this stream covers. You may be eligible to receive the Certificate IV or Diploma qualification if you satisfactorily complete all stream associated with the qualification.

To be assessed as ‘competent’, you must complete the Final Activity Book individually and be assessed as satisfactorily meeting all requirements of the Units of Competency associated with this stream. You may use the input from any group activities, however the written responses must be your own work.

Electronic copies of the Final Activity Book are available if you wish to type up your answers.

What are my rights and obligations in the final activity process?PLA Assessment Guidelines, including your rights and obligations in the process, are available from our office. Please contact 1300-000-752 to arrange for a printed or digital copy.



What is an acceptable standard for a qualification at this level?The Certificate IV and Diploma qualifications requires the performance of a broad range of skilled applications, including the need to evaluate and analyse current practices, develop new criteria and procedures to meet current practices, and the provision of some leadership and guidance on the application of the skills. Applications involves the responsibility for, and limited organisation of, others.

The competencies or learning outcomes of a qualification at the Certificate IV and Diploma level will enable an individual with this qualification to:

Demonstrate understanding or a broad knowledge base incorporating some theoretical concepts;

Apply solutions to a defined range of unpredictable problems;

Identify and apply skill and knowledge areas to a wide variety of contexts, with depth in some areas;

Identify, analyse and evaluate information from a variety of sources;

Take responsibility for own outputs in relation to specified quality standards; and

Take limited responsibility for the quantity and quality of the output of others.



ActivitiesThe activities in this Final Activity Book covers the following units:

PSPETH003 – Promote the values and ethos of public service;

PSPLEG003 – Promote compliance with legislation in the public sector;

PSPETH002 – Uphold and Support the Values and Principles of Public Service;

PSPGEN043 – Apply Government Processes;

PSPGEN042 – Exercise Delegations;

PSPLEG002 – Encourage Compliance with Legislation in the Public Sector;

PSPPCY004 – Support Policy Implementation; and

PSPGEN076 – Use Public Sector Financial Processes.



FINAL ACTIVITY 1 – Theoretical QuestionsAnswer the following questions by circling True or False:

1. The Freedom of Information Act does not apply to documents relating to Government procurement.

True False

2. Value for Money always means choosing the cheapest tenderer. True False

3. When State and/or Territory legislation and Commonwealth legislation conflict, it is okay to use the State/Territory legislation if you think it better suits your purpose.

True False

Provide short answers to the following questions:

4. Identify 3 pieces of legislation that apply to Government procurement and explain why they apply.

5. Select one of the pieces of Legislation identified in the previous and use it as the basis for answering the following questions.



a)How would you research and analyse the impact that the legislation could have on a new procurement activity you are undertaking?

b)What work practices would you adopt to ensure your own compliance with the legislative requirements?



c)How would you ensure that other staff members and suppliers comply with the legislation?

d)How would you monitor compliance with the legislation?

e)What actions would you take if you discovered any non-compliance against the legislation?



6. What best practice issues should be considered in planning machinery of government changes?

7. The Commonwealth Procurement Rules (CPRs) advise that Value for Money (VFM) is the core principle that applies to all procurement activities. In addition to VFM, what are three other principles outlined in the CPRs that apply to all procurements?



8. According to the CPRs, is there any way a procurement process that reaches or exceeds the relevant thresholds may be conducted via limited tender or be exempt from Division 2?

9. What must be considered when developing cost estimates for new procurement proposals?



10. List 5 ways that accountability and transparency requirements can be met for all procurement activities.

11. What are the requirements for officials in relation to recording approvals related to procurement and contracting?

12. How are contract arrangements publicised by the Government?

13. What are the contract reporting thresholds for a NCCE and Prescribed CCE?



14. What timeframe must contracts and amendments above those thresholds be reported within?

15. What are the requirements for reporting Standing Offers?

FINAL ACTIVITY – Procurement Framework

SCENARIO 1 – CASE STUDY 16. Read the following article and answer the questions at the end.

Manager jailed for card misuse By Natasha Rudra February 16, 2011 7:28AM

A woman who used a Commonwealth credit card to pay for $8500 in personal travel, hotels and bills will spend the next year in weekend jail.

Tracey Anne Jolly, 40, was sentenced in the ACT Supreme Court yesterday.

She had pleaded guilty to six charges of improperly using the Commonwealth Government credit card between December 2006 and April 2008.



At the time, Jolly was a business manager in the Commonwealth Department of Health and Ageing and earned a salary of about $100,000.

She used the credit card to pay for plane tickets, car hire, travel insurance and hotel suites in Brisbane and Sydney. She bought a camera and lenses costing more than $2800 and used the credit card 16 times to pay off her husband's mobile phone bill.

Jolly also made false claims for reimbursement through her work, including $900 for ''software'' which she actually spent on a satellite navigation system for her car. She claimed another $715 in registration fees for a public service conference in Brisbane which she never attended.

Acting Justice John Nield said Jolly had committed a ''gross breach of trust''.

It was difficult to understand why the Ngunnawal woman had committed the offences. Jolly and her husband, an IT consultant, both earned about $100,000 a year and had a comfortable lifestyle.

Acting Justice Nield also found Jolly had failed to tell the truth about her employment during the court case.

a)What controls or processes were potentially lacking that could have prevented fraudulent use of the credit card?



b)Which pieces of legislation and Government policy were breached in this scenario?

SCENARIO 2 – CASE STUDY Read the following article and answer the questions at the end.

Internet and privacy head PS breaches By Markus Mannheim, Public Service Reporter November 26, 2010 9:12 AM

Almost 600 federal bureaucrats breached their professional code of conduct last year.

The latest State of the Service report, issued yesterday, shows misusing the internet and improperly accessing private records remain the most common violations of the Public Service Act.

Government agencies carried out 970 investigations in 2009-10, of which three in five found a breach had taken place.

Public servants must by law adhere to a strict 13-point ethical code, which requires them to behave with honesty and integrity, use public resources properly and treat their colleagues and the public with respect.

Those who violate the code can be sacked if the breach is serious enough.



The report says 77 public servants were dismissed for misconduct in 2009-10, while a further 117 quit before the investigation finished.

However, nine in 10 bureaucrats who were found guilty of misbehaving were either reprimanded, counselled, fined or had their salary lowered.

The most common breaches were misuse of the internet or email (216 staff), improper access to personal information (120), inappropriate behaviour during work hours (85) and harassment or bullying (57).

The Public Service Commission says in the report that while the statistics vary between workplaces, ''the level of reported misconduct in the APS continues to be low, with less than four in every 1000 employees being found to have breached the code''.

It also says its surveys suggest the misconduct ''tended to be in the nature of isolated incidents of poor behaviour and judgment by individual employees rather than being indicative of any underlying systemic issues''.

The report also reveals the first operational details of the bureaucracy's ethical advisory service, which was set up in May last year.

Throughout 2009-10, the service received 1038 inquiries from public servants who wanted confidential advice on how to deal with dilemmas in their workplace.

The most common inquiries related to reporting and managing misconduct (185 inquiries), harassment and bullying (135), recruitment (126) and conflicts of interest (91).



17. Answer the following questions about the article:

a)Given some of the issues highlighted in the article, how would you as an individual promote ethical standards?

b)What methods would you employ to assist staff to:

i. avoid a conflict of interest?

ii. manage a conflict of interest once disclosed?



c)If a staff member came to you and raised concerns about someone in your section who has breached the professional code of conduct, how would you respond?

d)How would you use lessons learned from your investigation to increase awareness of, and decrease the number of breaches against, the code of conduct?



FINAL ACTIVITY – Probity and Ethics

18. How can you personally contribute to an ethical public-sector workplace?

19. During a tender evaluation you receive an email from one of the Minister’s advisers. He says that the Minister is aware of the tender evaluation process and wants to put in a good word for one of the tenderers. She personally knows the CEO of the company and has been impressed with previous work they have done.

How will you deal with this email? Make sure your answer considers the factors of probity and the political context.

20. You are a senior member of a tender evaluation team and one of the members (this is their first experience with tender evaluation) appears to have developed a bias against one of the tenderers. They told you that they are consistently scoring them lower than all the other team members, and in evaluation deliberations and discussion, they are very vocal with negative criticism of the tender response.



How should you deal with the probity and ethics issues in this situation to assist the team to achieve a more consistent and fair evaluation?

FINAL ACTIVITY – Support Policy ImplementationUnder the Commonwealth Procurement Rules, entities are obliged to ensure that officials involved in procurement, particularly those dealing with suppliers:

recognise and deal with actual, potential and perceived conflicts of interest;

deal with potential suppliers, tenderers and suppliers equitably, including by

o seeking appropriate internal or external advice where probity issues arise; and



o not accepting inappropriate gifts or hospitality;

carefully consider the use of Commonwealth resources; and

comply with all duties and obligations including the entity’s AAIs, the information privacy principles of the Privacy Act 1988 and the security provisions of the Crimes Act 1914.

Select one of the above bullet points and:

21. Discuss what practical steps your work area has taken, or could take, to support the implementation of this policy?

22. Following from the scenario at question 21, what are some of the ways in which your work area monitors, or could monitor, and report on the relative success of implementing this policy?



FINAL ACTIVITY – Organisational Questions23. Answer the following questions

1. Provide a brief outline of your organisation’s

a. Structure

b. Core business objectives

c. Core planning documents

d. Key work activities

e. Communication protocols

f. Records management policy



24. Provide a summary of your organisation’s procurement approvals/delegation structure.



25. Which organisational policy or document would you refer to when determining a delegate’s limitations, responsibilities, accountabilities and/or authorities under the delegation structure?

26. What standard templates does your organisation have in place to support procurement and contracting activities?



27. Provide a summary of your organisation’s gifts and hospitality policy. Give an example of a situation in a procurement process where you might have to apply this policy.

-- End of Final Activity Workbook --


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