Students Name:
Assessors Name:
Qualification Code and Name:
CHC52015 Diploma of Community Services
Unit of Competency Code and Name:
CHCLEG003 - Manage legal and ethical compliance
Date Given:
Date Due:
Date Received:
Student Declaration
I acknowledge as a student the following:
· I have received my copy of the Student Vocational Assessment Guide.
· The assessment process has been explained to me and I am ready to commence the assessment.
· I have been advised of the assessment requirements, my rights and responsibilities as a student and I am ready to be assessed.
· I understand the evidence I need to provide and how to complete this assessment.
· I understand my right of appeal.
· I have discussed with my trainer any special needs that should be considered when undertaking this assessment task
Declaration:
· I declare that the details included in this assessment and all supporting documents are a true and accurate record of my abilities in relation to this unit
· I have made a copy of this assessment.
· This assessment contains no material written by another person except where reference is made.
· I am aware that a false declaration may lead to the withdrawal of a qualification or statement of attainment.
· No part of this assessment has been plagiarised
Student Signature:
Date:
Task
Method of Assessment
Satisfactory
Not Satisfactory
Re-Assessment Required
One
Question and Answe
Two
Written Task
Three
Case Studies
Fou
Portfolio
Assessors Feedback To The Student:
Student Feedback:
Assessors Signature:
Date:
Students Signature:
Date:
Unit of Competency
Elements:
1. Research information required for legal compliance
2. Determine ethical responsibilities
3. Develop and communicate policies and procedures
4. Monitor compliance
5. Maintain knowledge of compliance requirements
Performance Criteria:
1.1 Identify sources of information about compliance requirements
1.2 Evaluate own area of work and determine scope of compliance requirements
1.3 Access and interpret information relevant to area of work
1.4 1dentify risks, penalties and consequences of non compliance
1.5 Assess and act on need for specialist legal advice
2.1 Identify the ethical framework that applies to the work context
2.2 Incorporate scope of practice considerations as part of ethical practice
2.3 Evaluate responsibilities to workers, clients and the
oader community
2.4 Model ethical behaviour in own work
3.1 Clearly articulate and document policies and procedures to support legal and ethical practice in readily accessible formats
3.2 Integrate documentation and record keeping requirements into policies and procedures
3.3 Ensure systems protect client information
3.4 Nominate the roles and responsibilities of different people in meeting requirements where multiple people are involved
3.5 Distribute policies, procedures and legal information to colleagues and peers in a timely fashion
4.1 Evaluate work practices for non-compliance on an ongoing basis, and implement modifications
4.2 Maintain and update required accreditations or certifications
4.3 Refer issues or
eaches of ethical or legal practice to relevant people
5.1 Identify and use opportunities to maintain knowledge of cu
ent and emerging legal requirements and ethical issues
5.2 Share updated knowledge and information with peers and colleagues.
5.3 Pro-actively engage in process of review and improvement
Performance Evidence:
The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be evidence that the candidate has:
determined the scope of legal and ethical compliance requirements and responsibilities, and developed policies and procedures for at least 1 workplace or business
developed a strategic response to at least 3 different situations where legal or ethical requirements have been
eached
Knowledge Evidence:
The candidate must be able to demonstrate essential knowledge required to effectively do the task outlined in elements and performance criteria of this unit, manage the task and manage contingencies in the context of the identified work role. This includes knowledge of:
legal responsibilities and liabilities of managers and others in different types of organisation
legal and ethical frameworks (international, national state/te
itory, local), how these apply in the workplace, and the responsibilities of managers in the development and monitoring of policies and procedures, including those related to:
children in the workplace
codes of conduct
codes of practice
complaints management
continuing professional education
discrimination
dignity of risk
duty of care
human rights:
Universal declaration of human rights
elationship between human needs and human rights
frameworks, approaches and instruments used in the workplace
informed consent
mandatory reporting
practice standards
practitione
client boundaries
privacy, confidentiality and disclosure
policy frameworks
ecords management
ights and responsibilities of workers, employers and clients
industrial relations legislation and requirements relevant to organisation
specific requirements in the area of work, including:
key practices that are prohibited by law
auditing and inspection regimes
main consequences of non-compliance
need to apply for licences and associated mandatory training and certification requirements
statutory reporting requirements
usiness insurances required including public liability and workers compensation
accreditation requirements
equirements to develop and implement plans, policies, codes of conduct or incorporate certain workplace practices
work role boundaries – responsibilities and limitations of different people
work health and safety
sources of information and advice on compliance including:
local, state/te
itory or commonwealth government departments or regulatory agencies
industry associations
plain English documentation that explains legislation
functions and operating procedures of regulatory authorities of particular relevance to the health and community service sectors
methods of receiving updated information on requirements
use of policies and procedures in managing compliance and ethical practice in both internal work practice and external service delivery
formats for policies and procedures and what they should include
techniques for monitoring compliance
Assessment Conditions:
Skills must have been demonstrated in the workplace or in a simulated environment that reflects workplace conditions. The following conditions must be met for this unit:
use of suitable facilities, equipment and resources, including:
cu
ent legislation and regulations
workplace policies and procedures
modelling of industry operating conditions, including:
use of real or simulated organisation for which the candidate develops policies and procedures
integration of problem solving activities
Foundation Skills:
The Foundation Skills describe those required skills (language, literacy, numeracy and employment skills) that are essential to performance.
Foundation skills essential to performance are explicit in the performance criteria of this unit of competency.
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Student Assessment
F:\Workskills\Courses\2020\Assessments\CHC52015 Diploma of Community\CHCLEG003 Manage legal and ethical compliance\Student Assessment V3.docx
Created on 21/03/2017 9:43:00 AM 18/3/2020
Created by MBarnes Updated Irene Henderson LHe
ick
Page 6 of 26
V3
Assessment outline
This assessment contains four parts. You are required to answer all questions. Each response requires a minimum of one paragraph. You are being assessed on the learning you have already undertaken as listed below.
The first task is questions and answers. You must complete each of the questions, ensuring that the response co
esponds with the question number.
A minimum of a one paragraph response per question is required.
Task two is a written task and has two sections.
In Section 1: You are required to create two workplace policies from the list provided.
In Section 2: You are required to research the remaining topics and answer all the related questions with a minimum of one paragraph, using the template provided.
Task three is based on case studies. You must read the case studies and then complete each of the questions, ensuring that the response co
esponds with the question number.
Task four is a portfolio task. You are required to research and add the required documentation to your portfolio.
Task 1: Questions and Answers
You must complete each of the questions, ensuring that the response co
esponds with the question number. A minimum of one paragraph per response per point is required.
1. Research and identify where you can obtain information on compliance requirements?
2. Reflect on your work role, identify what compliance requirements do you have? (Identify at least three).
3. Research the Australian Community Workers Association (ACWA) Code of Ethics. Identify and discuss 5 of the responsibilities and expected behaviour from the Code of Ethics in regard to workers clients and the
oader community.
4. Discuss how you can monitor your own work and the work of others and evaluate non-compliances.
5. If you discovered that one of the legal standards or codes was unintentionally being
eached by several people in your organisation, what would you do? How would you identify it, who would you report it to, and how would you discuss the problem and implement modifications?
6. What accreditation and/or certificates do you need for your job? How do you ensure that your accreditation / certification / knowledge are cu
ent?
7. Discuss how would you ensure that your legal and ethical knowledge is cu
ent and maintained? How often would you do this?
8. If you discovered new legal or ethical information (eg. A new law or updated standards / codes), how would you inform your colleagues and dispense the information?
9. Discuss how policies and procedures can help manage compliance and ethical practice.
10. Where can you get plain English documentation that explains legislation? Identify at least two sources.
11. Briefly discuss the relationship between human needs and human rights.
12. Identify three work practices, approaches or instruments used in your workplace that relate to human rights.
13. Identify three work practices that could occur at your workplace that are actually prohibited by law.
14. Explain the process of how a community service organisation gets audited and inspected. Include information on who might undertake the audit.
15. Explain the consequences of non-compliance and discuss what you would do, as a manager, in a non-compliance situation?
16.
Explain the financial statutory reporting requirements.
17. Explain the following types of business insurance and when you would need it:
a. Public Liability
. Workers compensation
18. Explain how you would distribute your policies and procedures to ensure all staff have cu
ent knowledge and maintain cu
ent practices.
Task 2: Written Tasks
Section 1: Create a policy and procedure for two of the following topics:
1. Children in the workplace
2. Codes of conduct
3. Codes of practice
4. Complaints management
5. Continuing professional education
6. Discrimination
7. Dignity of risk
8. Duty of care
9. Informed consent
10. Mandatory reporting
11. Practice standards
12. Practitione
client boundaries
13. Privacy, confidentiality and disclosure
14. Policy frameworks
15. Records management
16. Rights and responsibilities of workers, employers and clients
17. Industrial relations legislation and requirements relevant to organisation
18. Work health and safety
The policy and procedure should be developed for your cu
ent workplace or a workplace within the community services industry