BSB51918 Diploma of Leadership and Management | Assessment Submission Sheet

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Assessment Submission Sheet
Course BSB51918 Diploma of Leadership and Management
Unit Code BSBMGT502
Unit Name Manage people performance
Assessor
Name
Student
Name
Student ID
Date Due
Please read and sign this assessment coversheet and submit it together with your assessment to
your Assessor by the due date.
Student Declaration
 I declare that the work submitted is my own, and has not been copied or plagiarised from any
person or source.
 I have read the Plagiarism Policy and Assessment Appeal and Reassessment Policy in the
Student Handbook and I understand all the rules and guidelines for undertaking assessments.
 I understand that by typing my full name in the student field this is equivalent to a hand-written
signature.
 I give permission for my assessment material to be used for continuous improvement
purposes.
Student
Signature
Date
Submitted
Assessor Use Only
Assessment Items Result
Task 1 Case Study
Task 2 Assignment
Task 3 Report
Final Result for this unit
Student Declaration: I declare that I have been
assessed in this unit, and I have been advised of
my result. I am also aware of my appeal rights.
Assessor Declaration: I declare that I have
conducted a fair, valid, reliable and flexible
assessment with this student, and I have
provided appropriate feedback
Signature Signatur
e
Date
AIC-UP- BSBMGT502 –V3.0 Page 1 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
AIC-UP- BSBMGT502 –V3.0 Page 2 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Assessor’s Final Comments
AIC-UP- BSBMGT502 –V3.0 Page 3 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Task 1
Assessment Instructions
You will be assigned to a performance team of 2 people to plan, monitor and review the performance
of members of a team. You are to work with your performance teams to complete this assessment,
but must submit individual assessment. You are required to answer all of the questions below and
include examples where appropriate. Please ensure that you have answered each question with an
appropriate level of detail.
You are required to develop operational plan, a management role, worker profiles and performance
management plan for Fixmycar Pty Ltd.
You are also required to conduct two coaching role-plays (one with you as the Manager, one as your
team member’s Employee). Your role plays will be based on the employee profiles and performance
issues you have created for Fixmycar Pty Ltd. The Assessor will observe the role-play and examine
the documentation (the completed Appendices) that you will submit for assessment on completion.
During the role play sessions you will need to demonstrate effective communication skills to articulate
expected standards of performance, to provide effective feedback and to coach staff who need
development.
Read the case study, then complete all of the following questions as directed.
Case study
Fixmycar Pty Ltd is a roadside service company that has been operating in Australia for the last 3
year. Key services include:
 Towing Assistance
 Flat battery assistance
 Flat Tire Assistance
 Emergency key service
 Collision Assistance
 Water/Fuel/Oil/Fluid Delivery Services
The company has three main departments: sales, call centre and roadside service.
Company mission:
 To build and operate a nationally recognised brand in the roadside service industry by utilising
a partnership within the automotive industry and affiliate companies with a focus on providing
premium service.
 To offer the premiere 24/7 roadside assistance program in Australia that is affordable to all
and exceeds customers’ expectations.
AIC-UP- BSBMGT502 –V3.0 Page 4 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Strategic plan
The organisation has the strategic objective to grow the services component of the business in the
next twelve months. Their objective is to improve profitability by 20% by 30 June 201X.
Questions
1. As a team, complete the departmental goals of the operational plan (Apendix 1).
2. As a team, create profiles for 2 different ‘workers’ in the company to be ‘managed’ by you and
your team member (Identify job roles and departments for your workers). Have your facilitator
approve your team’s worker profiles.
3. Individually develop goals, KPIs and tasks for your worker and document these in the worker’s
performance management plan.
4. Create three reasons why your worker is not achieving their KPIs (performance issues). You
can select the reasons from the list below or develop your own:
 high levels of absenteeism at performance team meetings
 missing deadlines for task deliverables
 poor team work
 poor communication skills
5. Complete performance management plan for your worker (Apendix 2).
6. Prepare a role-play note to plan the topics you will discuss and outcomes you hope to achieve.
These will assist you to keep the role-play meeting on track. Submit these with your
documentation.
7. Conduct two one-on-one coaching role-plays. Brief your team member on the required
performance (KPIs) and performance issues you have identified for your worker, then coach
your worker (your team member) on the identified performance issues while being observed.
8. Following the role-play, complete the Coaching Session – Coach’s Self-Reflection Sheet
(Appendix 3).
9. Complete a performance development plan on the basis of the outcome of coaching session
(Appendix 4).
10. Undertake a performance appraisal meeting with your worker (with the same team member
playing the role) and complete the meeting notes (Appendix 5).
To be deemed competent you will need to successfully demonstrate the following:
You must submit:
 A completed Operational Plan (Appendix 1)
 A developed Performance Management Plan (Appendix 2)
 Role-play note
 A completed Coaching Session – Coach’s Self-Reflection sheet (Appendix 3)
 A completed Performance Development Plan (Appendix 4)
 Performance Appraisal Meeting Notes (Appendix 5)
1.
Employee profile
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Employee-1
Job Pofile- Staffing Administors
Duties and Responsibilities
Administors staffing, manages the call entres employees.
Responsible for adjusting the work schedule.
Ensure the work process are effectively handled.
Evalutes the working realtions among the dispatchers.
The customer compakints are resolved.
Qualification Background
Bachelor in Management
Master Degree in Business Management
2.
Golas KPIs Task
To manage the employee and
their effectiveness.
Performance of the employees
should be maintained with
average of 70%
Dashbaods should be reviewed
every week of the employees.
To foster training for the
employees
85% of the employee must be
trained
Training progrms for all the
employees periodically.
Employee-2
Job Profile- Technicians
Duties and Responsibilities
They are responsible for emergence road technicians
Basic diagonistic procedure and repairs.
They are responsible to solve queries of clients on calls.
Exceptional driving records and must be able to know to operate a tow truck.
Mechnical repairs
Qulaification:
Certification from National Insitute of Automotive Service Excellence
Bachelor in Automotive Service
Goals KPIs Task
The customers hould be
satisfied wth the service
provided.
About 90% of the customers
should be acknowledged each
day.
To provide effective service to
all the customers
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Minimise the error Minimise the error by 90%. Escalated service should be
avoided.
The three reasosn why the employees are unable to achieve their KPIs because:
Incompetency in doing the task.
Poor communication slills.
Unable to perform team work.
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Appendix 1
Operational Plan
Operational Goals Department Goals Progress
Goal Focus KPI Reason/
Barriers
Department Deliverable KPI Due 1 2 3 4 5 6
Improve
profitability by
20% by 30
June 201X
Reduce
costs
Depart-
mental
Costs
Waiting times
are too long.
Customer
issues are not
being resolved.
Roadside Service
Provide Service
within thirty
minute after
receiving the
enquiring to more
than 80% of the
customers.
To cater
80% of the
customers
End of
second
quarter

Sales
The organization
aims making less
erorrs so that the
customer
comlaints will be
minimum.
The errors
will br
reduced by
10%.
End of
fourth
quarter

Call centre
80% of call must
be answered
within 7 sec after
it starts
To enure
80% calls
are
answered
with 7 sec.
End of
first
quarter

Increase
sales
Annual
Sales
Sales
techniques are
Roadside Service Enhancing the
sales technique
Increased
competenc
End of
third


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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
poor.
Leads are not
followed up.
through
y of
emplyees
by 85%.
quarter
Sales
To increase the
sles by more than
85% by the end
of year.
Increment
all sales.
Starting
of fih
quarter

Call centre
Attractibg new
clients from
effectively
delivering the
advamtages and
service provided
in the
organization.
Retaining
exisiting
cliens by
70%.
End of
first
quarter


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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Appendix 2
Performance Management Plan
Name/Position: Manager: Review Period:
Reference from Operational Plan Key result area Indicator of Success/Performance By When Status Report
Increase sales
Revenue Profit margin and profit gained by the
company, reputation gained by the
company
October Revenue generated,
annual reports of the
company
Clients Complaints
Feedback from clients Positive feedback from the clients and
rating given to the company.
October Through periodic
meetings, review from
the clients
New referrals
Numbers of membership signed Incremental memebership October Statustics of the clients
and relevant sources.
Manager’s comments Signature
Date
Staff member’s comments Signature
Date
Appendix 3

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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Coaching Session – Coach’s Self Reflection Sheet
Coach’s Name Signature
Assesor’s Name Signature
Assessment Site
Coaching Date/s Time/s
Employee’s Name Signature
Respond to these questions with your feelings and thoughts about coaching.
What was your initial reaction to the coaching exercise?
What was your overall assessment of your performance as a coach? Give reasons for this assessment.
What do you think were some of your strengths during the exercise?
What do you think were areas where there was room for improvement?
What kind of strategies can you think of to help improve your coaching skills?
What do you think will be the cost of not implementing new strategies into your role as a manager?
What are some valuable skills that you have learned today to help you in your role as manager/coach?
I was excited for the coaching sessions because there are so many skills I want to reflect during the
coahing sessions.
As a coach I was able to provide the knowledge I have within me and make the employees skilled and
competent enough to work in the company. I received good feedback from the employees as well.
Some of the strengths were I was able to coonect with the employees and ws able to understand their
query. I maintain a medium level of strictness and exhibit friendly behaviour with the employees. I have
good knowledge on the provided topic so that I can better explain to the students.
The improvement could be visual displays. The tendency of understanding increases when there are

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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
visual displays and real-life examples.
Good coaching skills could be improved through demonstarteing good listening skills, being non-
judgmental, being challenging and supportive.
If I do not implement the startegies which has been marked above then I wont be able to handle the
employees and I might lose control over the employees. This might lack in motivation and the urge to
work effectively within the organiation.
The valuable skills which is emotional intelligence, beng calm and a good listener. I have learnt as a
coach is always try to understand the problems of the employees.
Comments/feedback from Employee (your team member)
The coaching was highly effective which enhanced my skill and competency area. The coach was highly
knowledge and was able to resolve all the queries we had. The coach as respectful and calm but
however, the coach needs to build confidence level.
Appendix 4
Performance Development Plan
Name/Position: Manager: Review Period:
Skills to be developed: How skills are to be developed: Priority (H,M,L) By When? Skills gained(Y/N)
Good Listener Making eye contact, being attentive and relaxed, keeping
broad and open mind
Medium November Yes
Questioning the inner critic, making motive clear and High November Yes

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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Build confidence transparent, boosting knowledge and picking up new skills.
Providing feedback
Building good communication skills, understanding others,
building emotional intelligence
Low November Yes
Manager’s comments Signature
Date
Staff member’s comments Signature
Date
Appendix 5
Performance Appraisal Meeting Notes
Present: Manager <insert NAME>, Title
Employee <insert NAME>, Title
Date:
Time:
Purpose of meeting:
<insert NAME> opened the meeting and outlined the process to be followed, including the method of taking the notes during the meeting.
<insert DETAILS OF MEETING>

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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Signed and dated:
/ /
<insert NAME>, Title

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Task 2
Assessment Instructions
You are required to answer a series of questions regarding performance management systems,
procedures and legislation.
Complete the questions below. If you need help understanding any questions, ask your assessor to
explain.
To be deemed competent you will need to successfully demonstrate the following:
 You must complete and successfully answer all questions.
Question 1: KPIs
You are a manager of a new call centre team. Design three Key Performance Indicators (KPIs) that the
team must meet or exceed on a monthly basis.
The call centre has 30 full time and 30 part time call centre consultants. The consultants are there to
take calls from motorists whose vehicles have broken down. Consultants are the first voice that
motorists hear before their request is passed on to roadside patrol can travel out to solve the problem of
a broken down car.
Consultants must answer any phone call within 4 seconds of the phone ringing. Consultants must
correctly identify the caller (Name, address, date of birth and password) before they can respond to any
requests. Length of calls must be no longer than 3 minutes. Consultants must clarify any information
given before proceeding to sent customer request to Roadside Operators.
Question 2: You have designed three Key Performance Indicators (KPIs) that the new team must meet
or exceed on a monthly basis. Why is it important to inform your team of these KPIs prior to
commencement of work?
Question 3: What are the three stages of Performance Management?
Question 4: What is the main goal of a Performance Management System?
Question 5: List the four groups who are involved in Performance Management?
Question 6: List at least two pieces of NSW legislation with brief explanation that are related to
performance management?
Question 7: What is the difference between an Award and Australian Workplace Agreement?
Question 8: Define GROW and provide two possible questions for each stage of the process?
Question 9: Case Study 1
You are managing ‘Mike’ who was recently promoted to the role of team supervisor. Absenteeism has
been a serious issue for Mike’s new team and you encouraged him to conduct weekly meetings to keep
on top of this difficult situation. In your third monthly review of Mike’s team performance you are pleased
to see that staff absenteeism has dropped by approximately 14%.
Your manager calls you into his office and indicates that you have done a great job with the team. You
need to call Mike in and give him some positive feedback on his performance.
What steps would you take to provide positive feedback to Mike?
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Question 10: Case study 2
Louise and David are working together on an important project on time management. Louise missed a
project deadline and the whole project now is behind schedule by a week. This is the third time in a
month that Louise has missed a deadline.
Louise is a new graduate and has been working on the project for the past two years as part of her post
graduate study. Louise has had problems with time keeping in the past and has received one written
warning already.
As her manager, you have been monitoring Louise’s performance over the past month and having lots of
informal chats with her about the project and her progress. She has made several improvements
regarding her time keeping skills and communicating with project managers regarding her progress in
line with your coaching.
However by pushing the project out further, product testing has been delayed by a further month
because the project Louise is working on is vital to product testing
The company made the commitment to its client that product testing would be started two weeks ago.
Your client has just contacted you regarding the status of product testing. You had to inform the client
that the testing had not started but had identified the critical factor.
You email Louise to set up a meeting for later this afternoon to talk about the project she is working on.
Louise arrives to the meeting on time.
What steps would you use to give constructive feedback?
Question 11: What are the legal consequences for managers and organisations for not keeping records
of any activity surrounding performance management?
Question 12: How would you provide assistance to an employee who:
a) has problems doing their job?
b) needs to develop skills to be considered for a promotion?
Question 13: Nick and Tony have been fighting at work. List all the steps you would
follow to discipline both employees.
Key Performance Indicators
Key result area Indicator of
Success/Performance
By When Status Report
Revenue Profit margin and profit gained
by the company, reputation
gained by the company
October Revenue
generated, annual
reports of the
company
Feedback from clients Positive feedback from the
clients and rating given to the
company.
October Through periodic
meetings, review
from the clients
Numbers of membership signed Incremental memebership October Statustics of the
clients and relevant
sources.
Three stages of perfoemance management sysem
Coaching, training and encouraging employees.
The four groups who are involved in Performance Management
 Consulatnt
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
 Operator
 Human resource manager
 Trainer
The legislations are:
Anti-discrimination act 1977.
Fair work act 2009.
The main difference between an Award and Australian work agreement:
An award is not standardized and non-negotiable whereas Australian work agreement is an formal
agreement which is negotiated between employee and employer.
GROW Model:
Grow model is the an approach which helps the coach to formulate appropriate coaching plan
by asking question to oneself.
It stands for goal, realty, options and will.
Goal: State the relevant gaols which the employees need sto follow?
Option: What are the performance gap?
Mike Feedback
 Purpose of meeting
 Describe the meeting
 Reason of their success
 Thank the employee for confidence.
Case Study-2
11.The legal consequnces are penalty, misconduct, serious- misconduct, misappropriation of funds.
12. Traning to the employee, motivation, employee enagement and campagings.
 Leadership skills
 Communication skills
 Influensive
 Dedication
13.
 Call them for a meeting
 Discuss their problems and conflicts
 Compromise
 Review the situation
 Take appropriate decision
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Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
AIC-UP- BSBMGT502 –V3.0 Page 18 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Task 3
Assessment Instructions
This is an individual assessment. You are required to answer all of the questions below, and include
examples where appropriate. Please ensure that you have answered each question with an appropriate
level of detail.
Read the following case study that relates to the discipline and termination of an employee, you are
required to develop a clear argument to support the decision of Fair Work Australia, conduct a risk
analysis and consider relevant policies and procedures, legislation and performance management issues
to support your argument. You are required to produce a written report for your manager as to why your
organisation lost the case.
Case Study
Sam is a programmer at a small security company. She has recently missed a couple of deadlines on a
project. Sam has been pretty upset about this. She is a diligent worker, however the organisation has
started working on a new programming language and Sam is not familiar with it.
You are Sam’s manager and are familiar with your predecessor’s methods for dealing with her. She
would come out and yell at Sam and then go back to her office. Sam has a staff files show that there
have been no verbal or written warnings recorded against her.
As Sam’s manager you have been managing her more effectively. You have been spending time to try
and understand Sam’s issues and have reallocated resources in order to give Sam some extra time until
she is confident and competent in using the new programming language. You have not specified any
timelines for a performance review to discuss progress in meeting the required standard of performance
or taken notes. You have also offered extra training to her.
However in a meeting about her inability to meet her latest deadline, Sam physically struck you and
walked out of the office. She has not returned.
Sam contacted her doctor after the meeting and was given a medical certificate claiming stress as the
reason for her absence and given 7 days leave. This was sent to and received by the organisation on
the day following your meeting with Sam. Sam called and verified with the Human Resources
department that the certificate had been filed within the organisation’s systems.
Three days after your meeting with Sam you advised your supervisor that she had struck you and has
since reported in ill; this advice being received from the Human Resources department. A meeting
between you, your supervisor and the Human Resources department is convened and a decision is
made to dismiss Sam on the basis of serious misconduct. A letter was sent by registered mail to Sam’s
personal mail address.
Two days later Sam filed an unfair dismissal claim with Fair Work Australia (FWA). The organisation
received a letter from FWA to attend a hearing.
Sam wins the hearing as no evidence was provided by the company to support its case of dismissal on
the grounds of misconduct or serious misconduct.
The hearing went in Sam’s favour for the following reasons:
 The employer failed to follow a formal disciplinary process.
 There was no impartial investigation carried out.
 There were no records of any notes provided by the employer to back the claims that there had
been meetings and reviews. The only written evidence produced was the termination letter.
 The original version of the medical certificate was not produced in the hearing by the company.
 Sam produced a verified copy of her medical certificate in the hearing along with email evidence
AIC-UP- BSBMGT502 –V3.0 Page 19 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
from the Human Resources department confirming that the medical certificate had been received
by the organisation and entered into its files.
 No documented evidence of any meetings, coaching sessions had been kept by the employer.
 No performance management review or development plans were presented by the employer.
 There were no copies of signed agreements reviewing Sam’s progress (performance reviews and
development plans) submitted by the employer.
 No written documents outlining timelines were given for monitoring or reviewing Sam’s progress
were submitted by the employer.
 No formal disciplinary hearings had taken place prior to Sam’s dismissal.
 Sam was not formally stood down while an investigation was carried out.
 There was no physical evidence to support the serious misconduct claim that the manager has
been struck as no witnesses were called to verify whether an attack had taken place.
 No senior managers or Human Resource department specialists were present in any meeting
where Sam was being warned of poor performance.
 There was no evidence to support the claim of misconduct by Sam. The manager had not
documented any written warnings in Sam’s file. The only agreements that had been reached
between Sam and the manager were verbal.
Sam was awarded costs of approximately $5, 000 for lost salary and wages and a further $5,000 for
emotional distress.
After the decision was handed down, Rob, the Senior Human Resources Manager approaches you to
discuss the reasons behind the decision going in favour of Sam. Rob wants a written report on his desk
by the end of the week giving the background and reasons why the decision went in Sam’s favour
against the organisation.
As part of your brief from Rob, he would like to see a completed risk assessment identifying areas that
the organisation needs to address and implement in order to prevent this type of situation occurring
again. The information in the report will guide whether the organisation will pursue an appeal on Fair
Work Australia’s ruling.
Based on the findings of your report, Rob decides not to proceed with an appeal but to develop and
implement a new Performance Management System.
Rob recommends that the organisation follow the two processes as outlined below to handle:
a) Performance Reviews for all staff
b) Disciplinary Hearings
AIC-UP- BSBMGT502 –V3.0 Page 20 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Questions
Prepare a report that outlines and discusses the following:
1. Critically analyse the case and discuss the reasons why the organisation lost its unfair dismissal
case with Fair Work Australia.
2. Outline a risk analysis of the case and strategies to mitigate future risks should similar situations
arise.
3. Using examples from Sam’s case, describe the conditions under which misconduct and serious
misconduct may be deemed to exist
4. List any legislation that applies and any internal policies and procedures that may have applied in
situations similar to Sam’s case
5. Develop policies and procedures that an organisation would need to implement to avoid a similar
situation occurring and to ensure that disciplinary hearings and terminations are considered to be
fair and reasonable
6. Outline what documents would have to be developed for the organisation to evidence that it has
implemented a process to support non-performing employees?
7. Using Sam’s case as an example, describe how all steps of the performance review process and
disciplinary hearing process (given to you by Rob) should have been performed as per legal
requirements and the organisational policies you have developed. Include:
o What should have been done at each stage
o when and where assistance from HR specialists would have been appropriate
o What support services could have been deployed in Sam’s case
o What documentation would have been appropriate at each stage
To be deemed competent you will need to successfully demonstrate the following:
 You must complete and successfully answer all questions.
 You must apply the necessary knowledge to monitor, review and document the outcomes of a
disciplinary hearing, using a case study.
 You must show evidence of due process by following the disciplinary hearing process to
substantiate the claim to dismiss an employee.
 You must carry out a risk analysis of the case study and strategies to mitigate the effect of any
identified issue in the future.
1.
The organziatiion lost its unfair dismissal case with Fiar Work Australia because according to the case
study provided, there was no evidence which could support the serious conduct occurred by Sam. The
company was unable to provide any kind of legal document or evidence that can show that Sam struck
on the manager durig a meeting. Moreover, there was no such evidence that there was any meeting
conducted by the managers because of the poor performance of Sam.
AIC-UP- BSBMGT502 –V3.0 Page 21 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
2.
The risk which could be drawn from the case are:
Suspension or Termination of the innocent managers.
Degradation of reputation of company.
High Employee turnover
Repetion of same case by other employees.
Loss the the company
Risk management startegies
Planning a effective communication plan.
Contigency plan to assss the upcoming risk.
Legal documentation shoukd practiced in the organization.
Performance management systm should be practiced.
Wriiten documents and mails should be the mode of communication.
3.
The coditions in which serious misconducts and misconducts can exist are:
Where there are no legal obligations for rules and regulation.
Code of ehics are not maintained and obeyed properly.
Legal communications and wriiten documentation are not practiced.
Strict environment is not followed and the human resource approaches are not taken seriously.
4. According to case, the company could opt for defamation act 2005, according to which if a personnel
or company is filed against false accusation. The law coud help the company to gor for deep
investigation and bring right to the company.
The organzition could adhere strong internal policies such as
Strong communication policies
Use of technology such as cameras and legal documentations.
5.
The polices and procedures to avoid misconduct are:
Clearly notifying the ethical expectation to the employees and the allegation if any misconduct is
witnessed.
Eduacting the employees on the impact of their misconduct.
Weekly monitoring process should be practiced in the organization.
Appropriate training must be provided by the organization the employees.
Effectve recruitment and selection process should be adgered and employee data must be reviwed
before hiring.
For termination, when the misconduct occurs, termination should be done as soon as possible.
Wriiten document should be practiced by the organizations.
Performance review should be done periodically by the management.
6.
The documents such as the employees performance reports, salary deductions report, dashboard report
of the employee and the document which was offered for extra training. This documents could have
helped the manager to show the performance of Sam in fornt of judges.
7.
Performance Reviews for all staff
At initial step the management could have taken a performance report of Sam.
The meeting organized should have a legal document or mail.
The meeting should be conducted with all the executives.
Each step should have a legal document raised and this should be reported to the top maangment.
AIC-UP- BSBMGT502 –V3.0 Page 22 of 23

Australian Ideal College
RTO No.: 91679 CRICOS Provider Code: 03053G ABN: 15 126 592 756
Sydney Campus: Level 7 & 8, 75 King St, Sydney NSW 2000
Adelaide Campus: Level 3, 21-23 Rundle Mall, Adelaide SA 5000
Hobart Campus: Ground Floor, 116 Murray St, Hobart TAS 7000
Tel: [phone] Fax: [phone]
Email: [e-mail] Website: www.aic.edu.auEducating for Excellence
Disciplinary Hearings
Meeting should be conduct with all the executives and legal advisors.
When there was misconduct the management should have informed to the high authority and police.
Legal reports should be documented after the misconduct.
A termination letter with reason sould be sent to the employee who has done the misconduct.
During the initial stage while councelling HR asstance is necessary.
Legal advisors could have been support service for the company.
Performance report
Mails and written documents for conducting meeting
Appraisal Report
Post-peformance report after appraisal
Disciplinary report
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