CHCLEG003 Manage legal and ethical compliance

CHCLEG003
Manage legal and ethical compliance
Release 1
Total Training Solutions Adelaide Assessments

Final assessment tasks

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. 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 organisation for which the candidate develops policies and procedures integration of problem solving activities 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	q Satisfactory	q Unsatisfactory

Question 2	Describe two areas that work health and safety regulators can provide information or advice on compliance.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 3	Describe two ways an industry association can provide information and advice on compliance.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 4	Describe how plain English documentation explaining legislation can assist organisations to understand compliance requirements.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 5	Describe two functions and operating procedures of two regulatory authorities relevant to the health and community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 6	Explain why it is important for managers and other employees to have a clear understanding of their legal responsibilities and liabilities.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 7	Explain how the law applies to children in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 8	Identify and describe two pieces of legislation relating to discrimination in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 9	Describe and provide an example of the law relating to dignity of risk in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 10	Describe the law relating to duty of care in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 11	Explain how the Universal Declaration of Human Rights applies to the delivery of community services.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 12	Describe the relationship between human needs and human rights.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 13	Explain what is meant by a ‘human rights framework’ in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 14	Explain what is meant by a ‘human rights approach’ in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 15	Identify two human rights instruments applicable in the community service sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 16	Describe the law relating to informed consent in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

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

Question 18	Describe two Australian Privacy Principles required when recording or reporting sensitive information.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 19	Identify and describe one right and one responsibility of workers in the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 20	Identify and describe one right and one responsibility of employers in the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 21	Identify and describe one right and one responsibility of clients in the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 22	Describe how industrial relations legislation and requirements apply to community service organisations.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 23	Describe the law relating to work health and safety in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 24	Describe one example of specific statutory reporting requirements relating to an area of the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 25	Explain the specific requirements in the area of community services work relating to public liability insurance.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 26	Explain the specific requirements in the area of community services work relating to workers compensation insurance.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 27	Describe two key practices that are prohibited by law in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 28	Describe two main consequences of non-compliance.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 29	Provide two individual rights that should be protected in a code of conduct.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 30	Explain the purpose of a code of practice.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 31	Describe how complaints could be managed internally by a community services organisation.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 32	Identify and describe two practice standards relating to the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 33	Explain the importance of understanding practitioner–client boundaries in community services work.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 34	Explain how policies and procedures are used to manage compliance and ethical practice in internal work practices.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 35	Explain how policies and procedures are used to manage compliance and ethical practice in external service delivery.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 36	Identify two elements that could be in a policy format and two elements that could be in a procedure format.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 37	Describe a policy framework that relates to the community services sector.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 38	Explain why community services organisations are required to develop and implement plans, policies, codes of conduct and incorporate certain workplace practices.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 39	Describe two ways community services organisation should safeguard confidential information and records of service users.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 40	Describe two ways that community service workers could clarify their level of authority.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 41	Describe two techniques for monitoring legal and ethical compliance in the workplace.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 42	Explain the purpose of monitoring inspections.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 43	Explain the purpose of compliance auditing regimes.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 44	Explain the need for community services organisation to apply for licences and associated certifications.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 45	Explain what is meant by ‘mandatory training’ and how it applies to community services organisations.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 46	Describe what an organisation must to do to be accredited.
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 47	Explain why community service workers should undergo continuing professional education (CPE).
Answer
Marking	q Satisfactory	q Unsatisfactory

Question 48	Describe two methods of receiving updated information on compliance requirements.
Answer
Marking	q Satisfactory	q Unsatisfactory

Assessor to complete

Feedback	All questions must be satisfactorily answered by the candidate as per the marking guide in the Trainer’s and assessor’s guide. The questioning assessment has been confirmed:
	q Satisfactory	q Unsatisfactory
	Please include recommendations for future training / action in cases where the candidate has not satisfactorily achieved all criteria:
Declaration	I declare that this questioning assessment has been conducted as per the training organisation’s assessment procedures and the instructions provided for this assessment task, and that I have provided appropriate feedback to the candidate.
Assessor name
Assessor signature
Date marked

Part B – Case study 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 B 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 section to be completed.
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: current 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 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.

Read the case study, then answer the questions that follow.

Case study (questions 1–21)

Liam is the facility manager at a residential aged care facility. The service provides independent living units, community nursing and home care packages, day centre visits, respite care, palliative care, and dementia specific care, to older people. Liam is responsible for managing legal and ethical compliance within the organisation, ensuring the facility’s AHPRA registration and accreditation are up to date, and maintaining collaborative and effective relationships with all multidisciplinary team members.

Lucy, a casual nurse, comes to work with symptoms of gastroenteritis. She knows that she should have stayed home but she knew the service was going to be short staffed. After carrying out her duties for three hours, Lucy talks to her manager, Janice, in the tea room. She explains her symptoms and that she is feeling weak and unsteady.

Janice tells her to go home immediately as gastroenteritis is highly contagious and could pose a severe health risk to residents and other staff members.

That evening, four residents develop gastroenteritis. Liam has left work for the day but receives a phone call from the night nursing unit manager alerting him to the spread of virus (herein called ‘the incident’). Liam responds immediately by ordering the service into lock down. One of the residents who contracted the virus is taken to hospital for treatment and is in a critical condition.

Liam organises refresher training for all staff with regard to duty of care. Liam receives an incident report form from Janice regarding Lucy’s illness.

He thinks that because of Lucy’s failure to comply with organisational work health and safety procedures relating to infection control, the organisation has breached its duty of care to provide residents with a safe and healthy care environment.

CS Question 1	List and describe two information sources that Liam could regularly access for more information about his organisation’s legal and ethical compliance requirements regarding infection control.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 2	Explain how Liam could evaluate his responsibility as a service delivery manager.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 3	How could Liam determine the organisation’s scope of compliance requirements relating to the health and safety of workers and people receiving support services?
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 4	List two places where Liam could access and interpret legal information relating to the incident.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 5	Aside from an infection control risk, what other aspect of WHS was at risk if Lucy stayed at work?
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 6	Describe the consequences or penalties Liam’s organisation might face as a result of breaching its duty of care to residents.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 7	Identify the specialist legal experts Liam could contact to obtain advice on the rights and responsibilities of the organisation, workers and the residents involved in the incident.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 8	Describe how Lucy may have breached the organisation’s code of practice.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 9	Explain how it is within Liam’s scope of practice to manage the incident.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 10	Explain why it is important for Liam to evaluate the ethical responsibilities of the organisation to workers, service users, and the broader community.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 11	Describe how Janice could model ethical behaviour in her own work to ensure all nursing staff understand their ethical and legal responsibilities to report potential workplace hazards.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 12	Identify and describe four policies and procedures Liam should use to support legal and ethical compliance when managing the incident.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 13	Explain why it is important, in the context of the incident, for Liam to integrate documentation and record keeping requirements into the organisation’s policies and procedures.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 14	List two ways Liam could ensure the records regarding the incident are adequately protected.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 15	Describe how Janice could clarify the roles and responsibilities of team members in the nursing unit to ensure they understand their obligations relating to work health and safety.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 16	Describe how Liam could re-distribute the organisation’s work health and safety procedures to ensure an issue like this does not happen again.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 17	Describe how Liam could evaluate work practices for non-compliance on an ongoing basis.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 18	Describe a modification Liam could implement to ensure all team members understand the risks of coming to work with a contagious disease.
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 19	Who could Liam refer to for advice on managing Lucy’s non-compliant behaviour?
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 20	How could Liam share updated knowledge and information about compliance requirements with his peers and colleagues?
Answer
Marking	q Satisfactory	q Unsatisfactory

CS Question 21	Explain how Liam could use the plan-do-check-act methodology to provide a process-oriented approach to reviewing and improving the organisation’s quality management.
Answer
Marking	q Satisfactory	q Unsatisfactory

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CHCLEG003 Manage legal and ethical compliance

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Year 11 - 12 Certification Course