CHCLEG003 Manage legal and ethical compliance

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.

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.

Complete the following task

Part A – Questioning

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

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.

Answer

Marking

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Question 2

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

Answer

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Question 3

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

Answer

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Question 4

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

Answer

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Question 5

Name two regulatory authorities relevant to the health and community sector and identify their scope of responsibility.

Answer

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Question 6

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

Answer

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Question 7

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

Answer

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Question 8

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

Answer

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Question 9

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

Answer

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Question 10

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

Answer

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Question 11

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.

Answer

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Question 12

Describe the relationship between human needs and human rights.

Answer

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Question 13

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

Answer

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Question 14

Describe how a human rights approach to care should be demonstrated in policies within a community services organisation.

Answer

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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.

Answer

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Question 16

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

Answer

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Question 17

Describe two workplace instances that require mandatory reporting.

Answer

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Question 18

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

Answer

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Question 19

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

Answer

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Question 20

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

Answer

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Question 21

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

Answer

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Question 22

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

Answer

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Question 23

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

Answer

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Question 24

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

Answer

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Question 25

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

Answer

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Question 26

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

Answer

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Question 27

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

Answer

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Question 28

Describe two main consequences of non-compliance.

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Question 29

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

Answer

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Question 30

Explain the purpose of a code of practice.

Answer

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Question 31

Describe how complaints could be managed internally by a community services organisation.

Answer

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Question 32

Identify and describe two practice standards relating to the community services sector.

Answer

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Question 33

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

Answer

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Question 34

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

Answer

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Question 35

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

Answer

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Question 36

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

Answer

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Question 37

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

Answer

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Question 38

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

Answer

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Question 39

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

Answer

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Question 40

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

Answer

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Question 41

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

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Question 42

Explain the purpose of monitoring inspections.

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Question 43

Explain the purpose of compliance auditing regimes.

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Question 44

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

Answer

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Question 45

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

Answer

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Question 46

Describe what an organisation must do to obtain accreditation?

Answer

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Question 47

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

Answer

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Question 48

Describe two methods of receiving updated information on compliance requirements.

Answer

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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.

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Unit title

CHCLEG003 Manage legal and ethical compliance

Written Knowledge Assessment

1st Attempt

2nd Attempt

3rd Attempt

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Part A: Questions

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:

Final Result

Result Date:

Assessor name:

Assessor signature:

Date student notified of result (aX):