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CHCLEG003 Manage legal and ethical compliance Assessment Student Name:

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CHCLEG003

Manage legal and ethical compliance

Assessment

Student Name: .............................................................

Table of Contents CHCLEG003 Manage legal and ethical compliance 3 How to work through this assessment 3 Assessment information and scope 4 Assessment tasks 4 Resubmissions 4 Authenticity Requirements 5 Part A – Questions 6 Student Declaration 31 Record of assessment 32

CHCLEG003 Manage legal and ethical compliance

This unit describes the skills and knowledge required to research information about compliance and ethical practice responsibilities, and then develop and monitor policies and procedures to meet those responsibilities. The unit applies to people working in roles with managerial responsibility for legal and ethical compliance in a small to medium sized organisations. There may or may not be a team of workers involved.

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

· current legislation and regulations

· workplace policies and procedures

· modelling of industry operating conditions, including:

· use of real or simulated organization for which the candidate develops policies and procedures

· integration of problem-solving activities

How to work through this assessment

This assessment is designed to assess your performance of competency for the unit CHCLEG003 Manage legal and ethical compliance. Your assessor or workplace supervisor will help you fully understand assessment requirements for this unit. The features of this assessment are detailed in the following table.

Feature of the assessment resource	Explanation
Assessment information and scope	This section provides details of the unit of competency covered, setting out information about the aims of the unit, what areas are covered, how the assessment tasks must be completed and how the assessment is conducted.
Assessment tasks	This section outlines the assessment tasks in detail, including the relevant documentation you need to complete and submit along with your assessment tasks.
Record of assessment	As you progress through the assessment tasks, your assessor will use the record of outcome to confirm your performance and provide relevant advice and feedback.

Before you commence your Assessment tasks, you should review the information provided by your training organisation about assessment. You should not commence your Assessment tasks until you have read and understood this information. Your training organisation must also provide information about assessment while on practical placement, including specific timelines.

Assessment information and scope

Who is the assessment designed for?	The assessment is designed for candidates to demonstrate their competency having completed formal learning experiences in this unit. Assessment may occur in real and/or simulated work environments. Candidates may be undertaking the unit in a range of learning situations, including private study, via a traineeship arrangement or via other workplace-supported means.
What are the aims of the assessment tasks?	This unit describes the skills and knowledge required to maintain knowledge of compliance requirements. This unit applies to people working in roles with managerial responsibility for legal and ethical compliance in small to medium sizes organisations. There may or may not be a team of workers involved. The key outcomes are: Research information required for legal compliance Determine ethical responsibilities Develop and communicate policies and procedures Monitor compliance Maintain knowledge of compliance requirements
Prerequisites and co-requisites	There are no prerequisites or co-requisites for the unit.
Legislative and licensing requirements	The skills in this unit must be applied in accordance with Commonwealth and State/Territory legislation, Australian/New Zealand standards and industry codes of practice.

Assessment tasks

To demonstrate competency for this unit, you must successfully complete the following assessment tasks.

Complete the following task

Part A – Questioning

You will demonstrate a sound knowledge of the unit requirements in your responses.

Resubmissions

If you are marked not yet satisfactory for a task, you will be given the chance to resubmit. You will have up to three opportunities to resubmit each assessment task. If, after the third attempt, the assessment is still not satisfactory your trainer/assessor will make alternative arrangements for assessment. To make an appeal about an assessment decision, refer to the assessment appeals process in the Student Handbook

Authenticity Requirements

Copying or passing off someone’s work as your own is a form plagiarism and may result in a participant’s exclusion from a unit or the entire course.

The following activities will be considered plagiarism:

· Presenting any work by another individual as one's own intentionally or unintentionally

· Handing in work copied from another student.

· Presenting the work of another individual or group as their own work.

· Handing in work without the adequate acknowledgement of sources used, including work taken totally or in part from the internet

Part A – Questions

Purpose	You will demonstrate a sound knowledge of the unit requirements in your responses.
Instructions to the candidate	All questions must be answered satisfactorily for Part A to be completed satisfactorily. There is no restriction on the length of the question responses, or time restriction in completing the assessment. You must complete all questions unassisted by the assessor or other personnel, but may refer to reference material as needed.
Resources required	The question responses section is the only resource required for this questioning assessment to be completed.
Assessment conditions	Skills must have been demonstrated in the workplace or in a simulated environment that reflects workplace conditions. Where simulation is used, it must reflect real working conditions by modelling industry operating conditions and contingencies, as well as, using suitable facilities, equipment and resources. Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.
Reasonable adjustment	If you do not wish to respond to the questions in written form, an interview may be used as an alternative approach if negotiated with your assessor.

Question 1

Describe two pieces of information or advice that local, state/territory or commonwealth government departments can provide on compliance.

Describe two workplace related activities that the WH&S Act 2011 gives legal requirements for compliance advice on.

Describe two ways an industry association can provide information and advice on compliance.

Describe how plain English documentation explaining legislation can assist organisations to understand compliance requirements.

Question 5	Name two regulatory authorities relevant to the health and community sector and identify their scope of responsibility.
Answer
Marking	Satisfactory	Unsatisfactory

Question 6

Explain why it is important for managers and other employees to have a clear understanding of their legal responsibilities and liabilities.

Provide one legal consideration that must be considered when developing a policy on: children at the workplace.

Identify and describe two pieces of legislation relating to discrimination in the workplace.

Describe and provide an example of the law relating to dignity of risk in the workplace.

Describe the law relating to duty of care in the workplace.

Provide one organisational policy that protects a human right as per the Universal Declaration of Human Rights and explain how that policy is relevant to the provision of community service.

Describe the relationship between human needs and human rights.

Explain how a human rights framework impacts on the development of workplace policies and procedures.

Question 14	Describe how a human rights approach to care should be demonstrated in policies within a community services organisation.
Answer
Marking	Satisfactory	Unsatisfactory

Question 15

Provide one example of a human rights instrument that could be used to inform the development of policies and procedures in a community services orgnisation.

Explain two legal responsibilities of community services workers relating to informed consent.

Question 17	Describe two workplace instances that require mandatory reporting.
Answer
Marking	Satisfactory	Unsatisfactory

Question 18

Describe two Australian Privacy Principles required when recording or reporting sensitive information.

Identify and describe one right and one responsibility of workers in the community services sector.

Identify and describe one right and one responsibility of employers in the community services sector.

Identify and describe one right and one responsibility of clients in the community services sector.

Describe how industrial relations legislation and requirements apply to community service organisations.

Describe the law relating to work health and safety in the workplace.

Describe one example of specific statutory reporting requirements relating to an area of the community services sector.

Explain the specific requirements in the area of community services work relating to public liability insurance.

Explain the specific requirements in the area of community services work relating to workers compensation insurance.

Describe two key practices in the community service sector that are prohibited by law in the workplace.

Describe two main consequences of non-compliance.

Provide two individual rights that should be protected in a code of conduct.

Explain the purpose of a code of practice.

Question 31	Describe how complaints could be managed internally by a community services organisation.
Answer
Marking	Satisfactory	Unsatisfactory
Question 32	Identify and describe two practice standards relating to the community services sector.
Answer
Marking	Satisfactory	Unsatisfactory

Question 33

Explain the importance of understanding practitioner–client boundaries in community services work.

Explain how policies and procedures are used to manage compliance and ethical practice in internal work practices.

Explain how policies and procedures are used to manage compliance and ethical practice in external service delivery.

Identify two elements that could be in a policy format and two elements that could be in a procedure format

Describe a policy framework that relates to the community services sector.

Explain why community services organisations are required to develop and implement plans, policies, codes of conduct and incorporate certain workplace practices.

Describe two ways community services organisation should safeguard confidential information and records of service users.

Describe two ways that community service workers could clarify their level of authority.

Describe two techniques for monitoring legal and ethical compliance in the workplace.

Explain the purpose of monitoring inspections.

Explain the purpose of compliance auditing regimes.

Explain the need for community services organisation to apply for licences and associated certifications.

Explain what is meant by ‘mandatory training’ and how it applies to community services organisations.

Describe what an organisation must do to obtain accreditation?

Explain why community service workers should undergo continuing professional education (CPE).

Describe two methods of receiving updated information on compliance requirements.

Student Declaration

CHCLEG003 – Manage legal and ethical compliance

Student Name	First Name	Family name
Course	Code	Title
Assessment declaration	· I declare that no part of this assessment has been copied from another person’s work, except where clearly noted on documents or work submitted. · I declare that no part of this assessment has been written for me by another person. I understand that plagiarism is a serious offence that may lead to disciplinary action by my training organisation.
Student signature
Date submitted
NIET Office to complete
Date received
Received by

Record of assessment

Unit title

CHCLEG003 Manage legal and ethical compliance

Written Knowledge Assessment

1st Attempt

2nd Attempt

3rd Attempt

Date

UnS

Date

UnS

Date

UnS

Part A: Questions

· Satisfactory

· Unsatisfactory

Date:

The written knowledge assessments for this unit must be successfully completed before Part C or the Skills Workbook OR Employer (3rd Party) Verification Form is signed off.

An “Interim - Partially Completed” result is to be entered into aXcelerate for the written knowledge assessments using the internal identifier ‘CA-WRO’.

In completing this assessment, I confirm that the candidate has demonstrated all unit outcomes through consistent and repeated application of skills and knowledge with competent performance demonstrated in multiple instances over a period.

Evidence collected has been confirmed as:

· Valid	· Sufficient
· Current	· Authentic

Final Result

· Competent	· Not Yet Competent
· Withdrawn

Result Date:

Assessor name:

Assessor signature:

Date student notified of result (aX):

Assessment Version 8 CHCCLEG003 2

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CHCLEG003 Manage legal and ethical compliance Assessment Student Name:

CHCLEG003

Manage legal and ethical compliance

Student Name: .............................................................

CHCLEG003 Manage legal and ethical compliance

How to work through this assessment

Assessment information and scope

Resubmissions

Authenticity Requirements

Part A – Questions

Student Declaration

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