ES93F-15 Compliance Management
Introductory description
ES93F-15 Compliance Management
Module aims
This module will enable participants to identify potential threats, hazards and risks, using appropriate tools, and to equip them with an understanding of the tools and methodologies to allow compliance to be a part of normal operations. Thus, this module provides a comprehensive framework for Compliance Management, expressed with clarity, rigour and simplicity. The concepts, models and frameworks enable participants to understand and critically evaluate the issues concerning compliance and how the appropriate actions may be implemented. These can then be used to help those in manufacturing to understand and derive appropriate approaches for identifying and adopting key compliance strategies which will align with and support the strategic objectives and direction of the organisation as a whole. The module addresses areas of the nature of compliance and the consequences of failure, identifying areas for improvement methodologies for managing stakeholders, implementing, maintaining and managing compliance regulation.
The module is followed by an assessed assignment whereby the participants are required to demonstrate the achievement of specific learning outcomes. This requires the participants to apply the knowledge and techniques acquired during the module to a specific problem or issue in the workplace.
Outline syllabus
This is an indicative module outline only to give an indication of the sort of topics that may be covered. Actual sessions held may differ.
The breadth and complexity of the compliance panorama covering Regulatory; Stakeholders &
Markets
Alignment of compliance Values, Principles, Philosophies, Culture & Systems across Global
company operations.
Obstacles to dependable compliance, focusing on the role of human behaviour and personal
responsibility
Approaches, tools and techniques for making compliance achievable and desirable
Change Management (Planning for, implementing and sustaining) applied to compliance
Learning outcomes
By the end of the module, students should be able to:
- Understand and critically discuss the scope and strategic importance of compliance to both the Company and its stakeholders.
- Discuss how compliance fits within their Company’s value system.
- Understand and critically discuss the relationship between behaviour and compliance. Understand and analyse the impact of cultural diversity on the implementation of compliance strategy.
- Identify and position individual personal responsibilities within the Company’s corporate accountability for compliance management
- Identify issues, threats and opportunities.
- Identify and use appropriate planning, measuring and behavioural tools and techniques.
Indicative reading list
- Cultures and Organizations: Software of the Mind, Third Edition by Geert Hofstede, Gert
Jan Hofstede and Michael Minkov - Publisher: McGraw-Hill; 3 edition (May 3, 2010) - ISBN-
10: 0071664181 - ISBN-13: 978-0071664189 - When Cultures Collide, 3rd Edition: Leading Across Cultures - Richard D. Lewis - October
13, 2005 - ISBN-10: 1904838022 - ISBN-13: 978-1904838029 - Hofstede, G., Cultures and Organisations - Intercultural Cooperation and its Importance
for Survival - Software of the Mind. 1994. Harper Collins.0-00-637740-8. - GUIDELINES FOR HAZARD EVALUATION PROCEDURES – 3RD edition, CENTRE FOR
CHEMICAL PROCESS SAFETY (AIChe) 978 – 0 – 471- 97815-2, 2008 - A PRACTICAL GUIDE TO HUMAN RELIABILITY ASSESSMENT, KIRWAN BARRY, ISBN O-7484-0111-3, TAYLOR AND FRANCIS, 1994
- ABSENT MINDED? THE PSYCHOLOGY OF MENTAL LAPSES AND EVERYDAY ERRORS, REASON J & MYCIELSKA K, PRENTICE-HALL, 1982
- RISK ASSESSMENT: THE HUMAN DIMENSION, HURST N W, ISBN 0-85404-554-6, THE ROYAL SOCIETY OF CHEMISTRY, 1998
- PSYCHOLOGY AT WORK, PETER WARR, ISBN 0-14-100010-4, 5th edition, PENGIUN, 2002
- THE PSYCHOLOGY OF INTERPERSONAL BEHAVIOUR; 5th edition, ISBN 0-14-017274-2, 1994
- THE FIELD GUIDE TO UNDERSTANDING HUMAN ERROR, DEKKER SIDNEY, ISBN-10-0754648265, ASHGATE PUBLISHING, 2006
- Chapter 5 from Part Two of: International Business; Prof. Alan Rugman and Simon Collinson - Publication Date: 10 May 2012 - ISBN-10: 0273760971 - ISBN-13: 978-0273760979 - Edition: 6
Subject specific skills
No subject specific skills defined for this module.
Transferable skills
No transferable skills defined for this module.
Study time
| Type | Required |
|---|---|
| Lectures | 41 sessions of 30 minutes (13%) |
| Seminars | 20 sessions of 1 hour (13%) |
| Work-based learning | 39 sessions of 30 minutes (13%) |
| Private study | 90 hours (60%) |
| Total | 150 hours |
Private study description
90 hours self-study leading to post module assignment
Costs
No further costs have been identified for this module.
You do not need to pass all assessment components to pass the module.
Assessment group A1
| Weighting | Study time | Eligible for self-certification | |
|---|---|---|---|
Assessment component |
|||
| Assignment | 100% | Yes (extension) | |
|
6,000 word post module assignment |
|||
Reassessment component is the same |
|||
Feedback on assessment
Immediate oral feedback will be provided after case studies / practical workshops, which will be
focussed upon the learning targets of each session. Feedback will also be provided to any
questions which arise from students with the lecture session.
Written feedback of approximately 150-250 words will be provided for the Post-Module
Assignment within a four week period after the date of submission. This feedback will be focussed
upon the strengths and weaknesses of the work with regard to the module learning objectives
and the post-module assignment marking guidelines. Suggestions for improvement will also be
provided.
Courses
This module is Core option list C for:
- Year 1 of TWMS-H7BG Postgraduate Supply Chain and Logistics Management (awarded jointly with Hong Kong Polytechnic University)
- Year 1 of TESS-H7PE Postgraduate Taught Supply Chain and Logistics Management (Overseas and Self-Financing)
This module is Option list C for:
- Year 1 of TESA-H7PD Postgraduate Taught Supply Chain and Logistics Management (Home Fees)