CHCLEG003 Manage Legal and Ethical Compliance RPL Kit

This RPL Kit is for CHCLEG003 Manage Legal and Ethical Compliance, a unit of competency for Diploma in Community Services specialising in Case Management. It includes a knowledge assessment workbook covering legal and ethical compliance requirements, relevant government departments and regulatory agencies, and industry associations in Australia. The workbook also includes workplace evidence, third party report and supervisor testimonial, and an evidence submission guide checklist.

CHC52015 Diploma in
Community Services
Specialising in Case Management
Recognition of Prior Learning (RPL Kit)
CHCLEG003 – Manage Legal and
Ethical Compliance
ASSESSMENT
WORKBOOK
Assessment Workbook V1.0 Produced 15 August 2017
Copyright © 2017 Inspire Education Pty Ltd. All rights reserved. No part of this publication may
be reproduced or distributed in any form or by any means, or stored in a database or retrieval
system other than pursuant to the terms of the Copyright Act 1968 (Commonwealth), without the
prior written permission of Inspire Education Pty Ltd.

Date Summary of modifications
made
Version
15 August 2017 Version 1 developed 1.0
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TABLE OF CONTENTS
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TABLE OF CONTENTS...........................................................................3
RPL KIT COVER SHEET.......................................................................4
IMPORTANT! PLEASE READ..................................................................5
CHCLEG003 – MANAGE LEGAL AND ETHICAL COMPLIANCE.....................6
I. Knowledge Assessment..........................................................................................6
KNOWLEDGE ASSESSMENT...................................................................7
Part 1 – Managing legal and ethical compliance...................................................7
II. Workplace Evidence................................................................................................46
III. Third Party Report & Supervisor Testimonial..................................................51
IV. Evidence Submission Guide Checklist..............................................................58
RPL KIT CHECKLIST.........................................................................61
FEEDBACK........................................................................................ 62
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RPL KITCOVER SHEET
COURSE CODE AND TITLE:
CHC52015
Diploma of Community Services
specialising in Case Management
UNIT OF COMPETENCY: CHCLEG003
Manage legal and ethical compliance
FIRST AND SURNAME:
PHONE:
EMAIL:
Please read the Candidate Declaration below and if you
agree to the terms of the declaration sign and date in
the space provided.
By submitting this work, I declare that:
 I have been advised of the assessment requirements, have
been made aware of my rights and responsibilities as an
assessment candidate, and choose to be assessed at this
time.
 I am aware that there is a limit to the number of
submissions that I can make for each assessment, and I am
submitting all documents required to complete this
assessment kit.
 I have organised and named the files I am submitting
according to the instructions provided and I am aware that
my assessor will not assess work that cannot be clearly
identified and may request the work be resubmitted
according to the correct process.
 This work is my own and contains no material written by
another person except where due reference is made. I am
aware that a false declaration may lead to the withdrawal of
a qualification or statement of attainment.
 I am aware that there is a policy of checking the validity of
qualifications that I submit as evidence as well as the
qualifications/evidence of parties who verify my
performance or observable skills (where applicable). I give
my consent to contact these parties for verification
purposes.
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Name : Signature: Date:
IMPORTANT! PLEASE READ
Before proceeding with the RPL assessments included in this kit,
ensure that you:
Have spoken to your Assessor through initial consultation.
Have been provided feedback from your Assessor that you
are eligible for Recognition of Prior Learning for the
following unit of competency:
 CHCLEG003 – Manage legal and ethical
compliance
Have submitted the Authority to Release Information
duly completed and signed by your workplace supervisor/
representative to your assessor.
Important: If you have not completed any of the above,
contact your Assessor now for further guidance on
how to proceed with your application for Recognition
of Prior Learning (RPL) Kit.
IMPORTANT: If you have already completed the unit
CHCLEG003 – Manage legal and ethical compliance
through a registered training organisation – please
upload a certified copy of the statement of attainment
for this unit / copy of qualification which includes this
unit.
The code and name of the unit must exactly match the
one named above – if it does not, please proceed with
completion of this booklet or contact the
trainer/assessor for further advice.
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CHCLEG003 – MANAGE LEGAL AND ETHICAL COMPLIANCE
I. Knowledge Assessment
The questions in this part of the booklet cover the generic
underpinning knowledge in the following relevant unit of competency:
CHCLEG003 – Manage legal and ethical compliance
You must answer all questions using your own words. Some
questions cover processes you would have likely encountered in your
previous or current workplace. Ideally, you should be able to answer
these questions based on the processes in place at the workplace.
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KNOWLEDGE ASSESSMENT
Part 1 – Managing legal and ethical compliance
1. Crucial to your work role in case management in community services
is a solid understanding of legal and ethical compliance
requirements.
Which of the following are reliable sources of information about
compliance requirements. From the options below, select only six
(6).
☐ a. Federal Register of Legislation
(www.legislation.gov.au)
☐ b. Legal specialists (e.g. lawyers)
☐ c. Relevant legislation and regulations
☐ d. Newspapers, tabloids, and magazines
☐ e. Peak bodies and industry associations
☐ f. Local, state/territory, national government
bodies
☐ g. Social media platforms (e.g. Facebook and
Twitter)
☐ h. Relevant supervisors, managers, or other
industry personnel
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2. Provide one (1) local government department or regulatory agency
in your state or territory relevant to the delivery of community
services and provide a description of the department of the agency,
including their function and how they operate.
Guidance: Indicate your state or territory for your assessor’s
reference.
Your state or territory Sydney, New South Wales, Australia
One (1) local
government
department or
regulatory agency in
your state or territory
Department of Family and Community
Services (New South Wales)
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Description of its
function and how they
operate
The Department was established as a
cluster agency from the governmental
Department of community services,
Department of housing and the NSW
Department of Ageing.
Some of the functions and the operations
of the department include supporting the
vulnerable group of people so that they
can smoothly participate in their
economic and social life which in turn will
result in building stronger communities.
The department provides proper funding
to the non government organizations. The
agency furthermore enables protection of
the young people and the children from
the potential risks or threats or harm. The
agency furthermore aims towards
improving the lives of the people in the
state by making them realize their
potential.
Some of the values, vision and objectives
of the agency include the following:
 To protect the children and the old
people from neglect and abuse
 To support the people with
disabilities
 To enable support to the individuals
experiencing domestic violence and
family issues
 To guide people towards
participation of economic and social
life.
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3. Listed below are some of the national government departments and
regulatory agencies relevant to the delivery of community services in
Australia. Describe their function and how they operate.
Guidance: Include a reference to where the information was sourced
(i.e. a web address)
National government
departments and
regulatory agencies
Functions and Operations
Aged and Community
Services Australia
The department of Aged & Community Services
Australia represents leads and supports the members
of the country and the state to achieve excellence for
the provision of affordable and quality housing and
community care services together with residential
care services for the elderly people.
The department serves as one national body and one
voice
Secretariat of
National Aboriginal
and Islander Child
Care (SNAICC)
The Secretariat of National Aboriginal and Islander
Child Care (SNAICC) is committed towards pursuing
8 main priorities that includes
 Support to the families to care for the children.
 Value and respect towards the Aboriginal and
the Torres Strait Islander Culture
 Healing and reparations for the stolen
generations
 Self-determination in the protection of the
child
 Thrive by the five with the live culture
Department of Social
Services Australia
The Department of Social services of Australia is
responsible for the programs and the policies, which
helps to develop a fair and strong society for the
Australians. The department implements and
develops social policies for carrying out their
responsibilities like communities and vulnerable
people, disability and cares, children and families,
support of the housing, mental health etc.
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Mental Health
Australia
The Mental Health Australia targets to promote
communities with mental health, promote education
on the issues related to mental health of the
Australians, conduct relevant researches and
influence mental health reforms for the
representation of relevant interests on member’s
partners and communities (Government of Western
Australia Department of Health, 2018). The
department provides leadership and proper direction
towards the promotion of benefits and importance of
the mental health of the community.
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4. Listed below are some industry associations relevant to the delivery
of community services in Australia. In your own words, describe
their function and how they operate.
Guidance: Include a reference to where the information was sourced
(i.e. a web address)
Industry association Their function and how they operate
Australian Institute of
Welfare and
Community Workers
Inc. (National Office)
The national governmental body has been a hard
working community in the country of Australia. The
role of Australian Institute of Welfare and Community
Workers Inc. Is to ensure support to the workers of
the community in every sphere of their working
schedule. The organization advances the profession
of the work of the community people education,
ethical and professional enabling promotion and
strengthens of the community work practises
(Australian Community Workers Association, 2012).
The department furthermore encourages old and
young people for the consideration of the essentiality
of their career. The main function of this community
service in the country of Australia is to ensure the
fact that no matter what designation and job title the
workers are engaged to, each and every individual
deserves the support for the professional association
for their desires and interests.
Case Management
Society of Australia
and New Zealand
Case Management Society of Australia and New
Zealand is the most affluent and recognised national
regulatory body for the individuals that are employed
in the roles such as theoretical, managerial, practical
roles within the field like health, academia,
education, research, social and human service
settings in the country of Australia (Case
Management Society of Australia & New Zealand &
Affiliates, 2018). It is one of the sole peak bodies in
the country that is connected with other societies in
the field of case management. The functions of the
society are to promote minimum practise standards
for all the agencies and the practitioners within the
country of Australia.
Australian Association
Of Social Workers Ltd
One of the renowned professional representative
body of the social workers in the country of Australia,
Australian Association Of Social Workers Ltd created
the ethics code which includes the conduct of the
social workers and furthermore promotes the interest
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and the desires of the social workers in the country
(Australian Association of Social Workers, 2018).
Three main codes of ethics as prescribe and
introduced by the community service of the
Australian government includes respect for persons,
social justice and the professional integrity. The main
function of the community services in the country is
to act collaboratively, collectively towards the
effective contribution to the society for the
achievement of the wellbeing, inclusion and social
justice.
5. In your own words, describe the purpose and relevance of having
plain English documentation for explaining legislation in the delivery
of community services.
Plain English language document is mostly legally accurate and precise in
nature. While describing and enabling documentation for the explanation of
the legislation regarding the community services, plain English language is the
best sine it is concerned with the communication. It furthermore enables the
documents to be written clearly and designed well for the ease of the
communication of the community members so that they can easily understand
the obligations and the rights (Loughran & McDonald, 2014). Furthermore
plain English language has lower tendency to distort or change the effect of
the original. It furthermore ensures the explanation and the description of the
law is relevant and clear with obscurity and convoluted languages.
6. From the options below, select the two (2) correct sources where
you can access plain English documentation to help explain
legislation in the community services industry.
☐ a. Cultural interpreter
☐
b. Guiding documents officially published by the
relevant government departments or regulatory
agencies
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☐ c. TGA (www.training.gov.au)
☐
d. Official or organizational websites of relevant
government departments, regulatory agencies, and
industry associations
☐ e. Federal Register of Legislation
(www.legislation.gov.au)
7. The Aged Care Act 1997 is one of the many pieces of legislation
relevant to the community services industry. From the options
below, select the one (1) correct source of plain English
documentation used to help explain this legislation.
☐ a. Residential Care Manual
☐ b. Educators’ Guide to the Early Years Learning
Framework (EYLF)
☐ c. Guide to Aged Care Law
☐ d. Quality of Care Principles 2014
☐ e. The Guide to the Model WHS Act
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8. Listed below are legal and ethical frameworks to which delivery of
community services must adhere. In your own words, discuss how
each framework applies to the community services industry.
Legal and ethical
framework Application in the community services industry
Children in the
workplace
Child Care Quality assurance standards and the
measures. The legislations and the regulations on
the framework for the children at the workplace
include the following.
 Occupational health and safety
 The protection of the child and the relevant
mandatory needs or the requirements
(Jacob, Decker & Lugg, 2016)
 The privacy policy
 Anti discrimination
The regulations as supported and prescribed by the
community services relates to medications and
administrations, safe physical environments,
emergency procedures, communication, preparation
and handling of food and hygiene.
Codes of conduct
Code of conduct is an explicit document which
explains the expectations of the professional working
in the field. It is basically the requirement for all the
members and the professions for adhering to the
professional and ethical practise guidelines (Green &
Workman, 2015). In the context of the community
service management, the code of conduct is the
fundamental since the community workers tend to
work with some of the vulnerable and the
discriminated groups of the people in the society.
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Codes of practice
The code of practise provides proper practical
guidance to the individual who are performing duties
or functions under the Mental Health Act of 2014 for
the promotion of the best practises. It furthermore
provides a high level of guidance and detailing which
are generally included in the regulations and the
legislations (Sclater & Bailey, 2015).
Complaints
management
The complaint management unit is a separate and a
independent unit. The main duty of them is to receive
feedback from the clients of services (Thierry &
Priyambodo, 2017). Some of the possible decisions
include clear explanations, fair, accessible and timely
decisions.
Complaints are dissatisfaction and the expressions
with the provided services.
Continuing
professional
education
Continuing professional educations are some of the
essential tools that helps individual employed in the
community service industry to maintain and develop
their knowledge and the related skills of the social
work in their professional lives (Clark, Draper &
Rogers, 2015). The approach of the continuing
education in the community services enables
professional development.
Discrimination
It is against the law for an individual to discriminate
against any of the social or economic or gender
related parameters. The community service workers
are entitled to follow the rules and the regulations of
the discrimination law. One of the major community
services is the protest against the discrimination. It is
thus important for each and every workers of the
community service to keep in mind the propagation of
their community services without any discriminatory
measures.
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Dignity of risk
It is a belief that each and every person in the society
is entitled to learn and experience from life situations
and on situations that threat their wellbeing (Clark,
Draper & Rogers, 2015). It is the right of each and
every person in the society to thus receive support by
the community services in their critical situation.
Duty of care
It is the main obligation to take reasonable care and
measures to avoid issues or injury of the person by the
community service professional. The community
services workers are entitled to support the
vulnerable group of people like the old people, women
and the children and it is the duty of care of the
community workers to take care of them.
Universal declaration
of human rights
The Universal Declaration of human rights is not a
treaty. It generally does not create any sort of legal
obligations for the countries in the world (Hakim,
2015). The declaration is basically the expressions of
the basic fundamental values that are shared by all
the members and the individual of the international
community. There lie various laws and regulations for
the profound influences on the development of the
international human rights law.
Informed consent
The informed consent includes the capacity to give
information regarding any of the treatments or
services of the targeted client by that particular
individual to the community service workers regarding
any of the community services. It is the duty of the
community service workers to take and inform
consent regarding any of the social services they are
about to serve to the vulnerable individuals in the
country.
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Mandatory reporting
It is one of the kinds of legislative requirements for
the report of the critical cases like the neglect of the
elderly people, child abuse cases, domestic violence
against women and abuse towards the children and
the women at the community in the country (Kossek
& Thompson, 2016). It is the duty of the community
service workers to regularly contact with these kind of
vulnerable groups of people in the community and
ensure legal support to them.
Practice standards
Practise standards represents the continuous guide
for the improvement of the community services for a
good practise standards that needs or requires to be
developed by the community individuals with proper
support and inputs from the agencies of the
government
Practitioner/client
boundaries
The strength and the barriers or the boundaries relies
on the relationship among the clients and the
community service workers in Australia. It is
important for the community service workers to
ensure that the client is feeling ease with them and
happy with the services they are receiving.
Furthermore emotional and psychological barriers
need to be addressed.
Privacy,
confidentiality and
closure
The community service workers must ensure
confidentiality and privacy of the data of the
individuals they are serving. The terms of
confidentiality and closure of the personal data of the
vulnerable group of people should be ensured while
providing social services and remedial measures to
them.
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Policy frameworks
The community service providers needs to understand
and abide by the directions of the frameworks of the
policy that relevant to the health status of the people
during the community treatments. Policy frameworks
includes legal and ethical factors that highlights the
set of goals and the procedures the community service
workers needs to follow that have been developed in
response to the organization’s legal obligations.
Records management
Data or information regarding the clients or the
vulnerable group of the people the community service
providers helps towards the evaluation of the plan and
the services (Sclater & Bailey, 2015). Record
management is important in assessment of the system
acquisition, maintenance of the system and the
implementation of the measures required.
Work role boundaries
There lies several a work role barrier or boundaries in
the social service programs. To ensure support,
building, communication and friendly attitude are
some of the basic duties and responsibilities of the
service workers.
Work health and
safety
Work place safety and work health and safety are one
of the major components contributing to the
employment pattern of the social service workers in
Australia (Straker et al., 2016). The disabled, abused
and discriminated group of people are given care for
the betterment of life by social services.
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9. The case workers, case managers, other staff, clients, and employers
(community services providers) are all stakeholders in the
community services industry. Each stakeholder has rights and
responsibilities recognised and required, respectively, in accordance
with relevant legislation, standards, and regulations.
For each stakeholder, provide two (2) rights they have and (2)
responsibilities they must fulfil in accordance with relevant
legislation, standards, and regulations.
Write your answers in the spaces provided. The first answer has
already been provided for your reference.
Client
Rights Responsibilities
Sample answer:
The right to be treated with respect
and courtesy.
Sample answer:
Treat staff and volunteers with
respect and courtesy.
The right to be treated without any
discrimination
The clients should be given services
irrespective of any barriers or
discrimination
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Case manager, case workers, and other staff or the Employee)
Rights Responsibilities
The right to provide proofs of
innocence in case of any workplace
discrepancies
The right of workplace health and
safety
Each and every employee should be
given a chance to justify themselves
before considering them guilty
Each and every employee, managers
and the case workers have the right to
a safe, hygienic and healthy work
environment
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Community services provider (Employer)
Rights Responsibilities
The right to charge the employees
regarding any service complaints or
issues
The right to participate in employee
and employer associations
The employer can charge their
employees regarding any complaints
and can even penalize them in case of
severe issue in their services (Martin,
2014)
Both the employees and the employers
can form association and a unit to work
together to work uniformly and
balance the working environment.
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10. Human rights sit at the core of all legal and ethical frameworks
especially in the health and community services.
Explain how human rights are related to human needs, and provide
an example of how this is applied in the community services
industry.
Your response must be between 60 – 100 words in length.
Human rights are the basic rights and the freedoms of each and every person of
the world. These are the inalienable rights of the human which are the human
requirements for efficient survival in the world (Sen,2017). These basic rights
include fairness, dignity, equality, respect and independence. One of the basic
human rights approach in the community service industry includes the
confidentiality and the right to privacy of the data or the information of the
clients and the vulnerable group of people the community workers serve.
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11. Listed below are some of the basic principles underlying the
human rights framework and approaches used to continuously
recognise, uphold, and protect these rights.
Explain how each principle is applied in your case management
practice in the community services industry.
Principle underlying
human rights
frameworks and
approaches
How this is applied in your case management
practice in the community services industry
Universality
Each and every person in the group of people who are
being served must be treated and served equally by the
community service providers.
Indivisibility
Human rights are not divisible. They are
interdependent and born free in nature (Tomuschat,
2014). Hence the social service providers should not
compromise on the right of their clients during their
services.
Participation Freedom of expression, speech and thoughts are some
of the basic participation rights in this context.
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12. From the options below, select six (6) instruments or tools used in
the workplace in meeting legal and ethical requirements for human
rights.
☐ a. Certification and qualification requirements for case
workers
☐ b. Financial assessment to determine whether a client
can pay for services
☐ c. Charter of clients’ rights and responsibilities
☐ d. Organisational policies and procedures relevant to
client complaints.
☐ e. Plain English documentation that help explain
legislation
☐ f. Continuous improvement policy and procedures
☐ g. Person-centred approach to service delivery
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13. The Fair Work Act 2009 is the legislation governing industrial
relations in all organisations in Australia, including organisations
providing community services and case management services. The
Act sets the National Employment Standards outlining minimum
employment entitlements, including maximum weekly hours, flexible
working arrangements, leaves, and more.
There are specific requirements for maximum weekly hours that
apply to organisations in the following sub-industries in the social,
community, disability and home care services industry.
Complete the table below by supplying the required information
about these requirements.
Guidance: Access
www.fairwork.gov.au/employee-entitlements/hours-of-work-breaks-
and-rosters to help you complete this part of the assessment.
Sub-industry Requirements for maximum weekly hours
Children’s
services
Maximum
number of
work hours
for full time
6 hours
Maximum
number of
work hours
for part-
time
4 hours
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Minimum
hours
2 hours
Social and
community
services
Maximum
number of
work hours
for full time
24X7 service, work hours 10-12
Maximum
number of
work hours
for part-
time
6 hours
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14. Fair Work Australia provides up to date information on the social
and community service industry pay rates. Navigate around the
website: www.fairwork.gov.au/pay/minimum-wages/social-and-
community-services-industry-pay-rates and determine the hourly
rates for the following work role classifications in their respective
industries and states/territories.
Complete the table below.
Guidance: The first answer has already been provided for your
reference.

Pay guide Classification State or territory Hourly pay rate
Social and
Community Services
Employees (State)
Award [AN120505]
Pay Guide
Level 2 - pay point 1
Community services
worker grade 1 -
Year 1
- $25.76
Social and
Community Services
(Queensland) Award
2001 [AP808848]
Pay Guide
Level 7 - pay point 2
Community Services
Worker, Level 7, Pay
point 2
Queensland $43.47
Social and
Community Services
Industry -
Community Services
Workers - Northern
Territory Award
2002 [AP817216]
Pay Guide
Level 4 - pay point 1
Community services
worker grade 4, Pay
point 1
Northern Territory $32.68
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15. The table below lists specific requirements in the community
services area. For each area mentioned, provide one (1) example of
a work practice that would be prohibited by law and the associated
consequence that may occur as a result of this practice.
Guidance: Your responses must be relevant to the community
services industry. The first response has been provided for your
reference.
Practice prohibited by law
Provide one (1) example Consequence
a. Discriminatio
n
Sample answer:
Case manager or case
worker refusing to take a
case from a client from a
different cultural
background.
Sample answer:
The case manager or worker
who refused to provide the
service can be reported to
the organisation or to the
Australian Human Rights
Commission or may be
reported to Federal Court of
Australia or the Federal
Magistrates Court and face
legal consequences
b. Privacy and
confidentiality
The case managers and the
case workers discussing the
personal data of the
customers and the clients
and disclosing their personal
information to the public
The manger and the
workers can be reported to
the Human Rights
Commission of Australia
and will surely be subjected
to strict law in the field of
violating the right to
privacy and confidentiality
of the client’s information
(Martin, J. F. (2014).
c. Work health
and safety
The managers are
instructing the employees to
work in an unhealthy
environment, pushing the
employees extra load and in
extra hours compromising
their health status
The mangers be reported to
the Human Rights
Commission of Australia for
violating the norms of
organizational health and
safety policies (Straker et
al., 2016).
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16. The following are areas in Community Services where workers
require specific licenses, mandatory training or
certification/qualifications.
Explain how they apply to the community servicesindustry.
Blue Card (Queensland) Contribution to the creation of the safe and the
supportive environment for the young for their
development.
First Aid Certificate Red Cross provide this certificate for ensuring
wellbeing of all individual
Australian Community
Workers Association
Membership
It helps in encouraging an individual towards
the consideration of their growth and
establishment in their career and occupation.
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17. Different industry sectors have different statutory reporting
requirements in place. Below are examples of situations across
industry sectors that need to be reported.Describe the reporting
requirements for each situation that applies in your state or
territory.
Guidance: Indicate your state/territory. Provide the link to the
webpage containing the information you used as reference.
Your state or territory Sydney, New South Wales
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Industry
sector Scenario Reporting requirements Link to webpage containing
information
Aged Care
Suspected
financial abuse of
a client
 Contact the adult protective
services
 Taking help of the local law
enforcement
 Taking suggestion of the legal
institutions and advice of the
attorney
National Center on Elder Abuse. (2018).
National Center on Elder Abuse, Suspect
Abuse? Get Help. Retrieved from
https://ncea.acl.gov/suspectabuse/gethelp-
index.html
Youth Homeless
fourteen year-old
 Protection of Child
 Ensuring Child safety and
child primary education
 Taking the child to a
nongovernmental organization
and an orphanage
Hillsides Youth Moving On. (2018). Resources
and Links | Youth Moving On. Retrieved from
http://www.youthmovingon.org/resources-
and-links
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Disability
Suspected abuse
of a person with a
disability
 Call helpline
 Take the help of
nongovernmental
organization
 Take legal actions
Australian Government. (2016, July 1). Do you
need to report abuse or neglect of people with
disability | Job Access. Retrieved from
https://www.jobaccess.gov.au/people-with-
disability/do-you-need-report-abuse-or-
neglect-people-with-disability
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18. Listed below are three (3) business insurances required for
community service organisations. In your own words, discuss the
purpose of each.
Each discussion must be between 60 – 100 words in length.
Public liability
The part of the law or the legislations that
generally focuses on the civil wrongs. An
applicant generally sues the respondents under
common law and regulations. The insurance
saves the clients in case of public sufferings and
damages
Workers
compensation
insurance
It is a form of replacement of the wages that
furthermore provides benefits like medical
insurance to the injured employees in the
duration of the employment (Farrington &
Judson, 2016). These are formed in exchange of
the right of the employees towards the tort of
negligence.
Personal accident
insurance
These serves as the emergency support or
assistance in case of financial crunch in case of
fatal accidents. Personal accident insurance re-
emburses the amount in case of accidental
injuries and the hospital charges.
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19. When an organisation is undertaking accreditation they are
required to meet a number of standards. Identify and explain two
(2) of the service areas that would be considered or assessed.
Each discussion must be between 80 – 100 words in length.
Human Resource-development and administration of the programs for
increasing the effectiveness of the business. It deals with the issues or
the problems that are directly related to the performance, compensation,
organizational management, development, wellness, safety, motivation of
the employees of the organization and other facilities. The role of human
resource of an organization is to play a strategic role towards the proper
management of the people and the culture of the workplace of the
organization and the related environment (Bertram, Blase & Fixsen,
2015). Furthermore human resource development supports towards the
achievement of the objective and the goals of the organization while
analyzing the current position of the organization and its current profit
margin and targets.
Marketing strategy – The long term approach for the planning for the
achievement of the fundamental goal and the sustainable competitive
advantages. It is essential for the development of the promotional
strategies that finally helps the business towards proper identification of
the targets of the competitive market and develops and set the
measurable goals and targets (Farrington & Judson, 2016). Marketing
strategies are very much vital for the organization to achieve the
epitome of success that furthermore aims for the positive changes and
growth in the bottom line of the long term growth.
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20. Listed below are the five (5) steps that organisations, including
community services, are typically required to follow in developing
their plans, policies, and codes of conduct for service delivery.
Explain each step. Do not exceed 100 words for each step.
Guidance: Ensure that your responses are within the context of the
community services industry.
1) Planning and consultation
Development and documentation of the goals and the objectives for the
achievement in the critical stage. The stage of planning and
consultation generally means documentation and development of the
objectives of the organization that needs to be achieved by the changes
and the procedure that can be undertaken for the achievement
(Theaker, 2017). Strategic planning is an important tool for an
organization since it provides the basic sense for the direction and
develops and outlines the goals of the organization that are measurable.
2) Research and defining policy terms
Assisting for the proper understanding of the policy and the terms after
proper research in the particular field. The terms of the policies are
some of the important and essential measures or components of the
organization. Researches and policies define or address the essential
and the critical issues like the constitution factors defining the
employee behaviour, consistent decision making and more.
3) Drafting the policy
Simplified creation of the policies and procedures using simple English
languages which will be easier to understand and categorize. It is the
economic necessity to use plain English language since poorly written
languages leads to inefficiencies and errors in the administration
(Straker et al., 2016). The demand for the plain English language for the
documentation of the legislations thus comes from the judiciary and the
legal profession.
4) Implementing the policy
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Establish of the policy needs, drafting of the policy, review of the
policies by the key parties, carrying out, execution and practise of the
methods of the design and specification of the policy. The process of
implementation is a very essential factor since it turns the plans or the
actions and the strategies in further action in order to accomplish goals
and strategic objectives of the organization.
5) Monitoring compliance
These are the critical elements of the compliance programs and effective
ethics. It is furthermore an essential part of the component of program in
certain industries like community services. It is basically a formal system
that generally helps the organization towards the maintenance of the
compliance throughout all the areas of operation. Monitoring of the
compliances focuses on the upholding the policies and the procedures
and targets to prevent the organization and the employees from breaking
any of the laws or the regulations.
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21. In your own words, discuss the role and responsibilities of case
managers in the development, implementation, and review of
organisational policies and procedures in line with the legal and
ethical requirements identified in Part 1 – Written Question 8.
Your discussion must be between 50 – 100 words in length.
The role or the function of the case manager is to asses, monitor, and
plan and link the customer requirements with the support and the
rehabilitation services. The manager accomplishes the care of the client’s
by the proper assessing of the requirement of the treatment with proper
development and facilitation of the interdisciplinary approaches and
finally monitoring of the performances of the staff.
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22. Provide two (2) ways that a community service organisation can
ensure they remain up-to-date with compliance requirements.
Upgrade the technological tool used in the community service industry
Training of the staff members of the community service
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23. How would the implementation of workplace policies and
procedures assist a community services organisation to ensure that
their internal work practices and external service delivery comply
with legal and ethical requirements?
Your discussion must be 50 – 200 words in length and must cover
both internal work practice and external service delivery.
The implementation of the workplace policies and the procedures will
ensure to fulfill the legal and the ethical boundaries of the community
service organization. This is because the purpose of the implementation
is to raise the standards and to ensure proper guidance towards
continuous improvement in the social services with support and input
from the governmental agencies. The process of implementation is a
very essential factor since it turns the plans or the actions and the
strategies in further action in order to accomplish goals and strategic
objectives of the organization.
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24. The Queensland Council of Social Service (QCOSS) has developed
policy templates and guidelines to assist community services
organisations in implementing the standards set in the Human
Services Quality Framework (HSQF).
Access www.communitydoor.org.au and provide two (2) policy
templates organisations can use for each of the standard in the
HSQF.
A sample answer has been provided for your reference.
The six (6) standards
in the HSQF Two (2) policy templates
Standard 1:
Governance and
management
Sample answer: Election of governing body
template
Election, implementation and maintenance of the
sound management and governance system.
Standard 2: Service
Access
Availability of the services to the targeted group
Transparent and non discriminatory ways the
people access to the services
Standard 3:
Responding to
individual need
Provision of appropriate services which are
assessed, planned, monitored, reviewed and
delivered in the collaboration of the services.
Usage of referrals and pathways and the
partnership for the promotion of the integrated
service position.
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Standard 4: Safety,
wellbeing, and rights
Legal and the human rights of the people using
te services.
The right of the people to receive services for the
protection and the promotion of safety,
wellbeing, choice and participation.
Standard 5:
Feedback, complaints,
and appeals
Feedback of the ideas regarding the
improvement of the services and the other
activities.
Responding to the complaints from people using
the services and their rights towards fair assess
of acts.
Standard 6: Human
resources
Ensuring that the service workers are
appropriately recruited and are suitable for their
organizational roles.
Access towards the support, supervision, training
opportunities and the process of development.
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25. Access and review the vision, values, planning policy guidelines
and template from www.communitydoor.org.a/standard-1-governance-
and-management.
In your own words, discuss what information is included in each of the
sections found in this policy. The first answer has already been
provided for your reference.
Section in this policy What information is included in this section
Purpose
Sample response: A written statement of the
organisation’s vision and values that will provide
the guide to everyone how they approach the work.
This will also provide an overview or a picture to
other stakeholders on what the organisation is all
about, its goals as an organisation, and its
philosophies.
Scope
To determine the organizational activities and
the services
Ensuring different services or activities
towards the values and the core visions. The
scope of the policy is furthermore to guide the
development of the policy and provide the
respective summary of the proposed policy for
the ensuring that each of the individual can
get access to it.
Policy statement: Our
commitment
Development of the statement of the vision of
the organization towards the guidance of the
activities and plans of the organization
Strategic planning process at the intervals and
the gathering and integration of the
information. Policy statements are essential in
an organization for the benefit of both the
employee and the employers of the
organization
Procedures
The procedure includes the Development and
review of the statement together with the
promotion and the vision of the statement of
the policy. Furthermore, the Strategic
planning procedure is an essential tool in this
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scenario for the proper embedding of the
strategic priorities.
Other related policies
and procedures
Some of the other related and relevant policies
in this context are the organizational authority
policy, the budget policy and the Performance
monitoring policies. These policies are some of
the external parameters of the organization
towards the effective regulation and
monitoring of the place.
Review processes
The process of review of the proper
implementation and policy enforcement in the
organization includes the review of the
frequency, the responsibility of the review and
lastly the communication and documentation.
The process of review helps the organization
towards proper identification and modification
of the process.
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26. Identify three (3) techniques for monitoring compliance in a
community service organisation. In your own words, discuss each
technique.
Interpretation- It is the act of the refraining, explaining and expression
of understanding. The process or technique of interpretation includes
understanding, analyzing and finally expressing of the techniques for
the effective monitoring of the compliances in the community service
organization.
Specification – It is the act of the identification of something precisely
and specially. In case of organizational management, the act of
specification means targeting the issues within the environment of the
organization or the specific problems the employees are facing. With
the help of specification, the organization can target or identify the
specific issue that needs to be improved.
Process Execution – The process execution is mainly the act for the
enacting of the procedure according to the definition of process with
the use of certain software and tools or workflow engine in the
organization. It is basically execution of a procedure that ahs been pre
planned in the organization.
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Reference list
Aged & Community Services Australia. (2016). ACSA - About us.
Retrieved from https://www.acsa.asn.au/About-us
Australian Association of Social Workers. (2018). About AASW - AASW -
Australian Association of Social Workers. Retrieved from
https://www.aasw.asn.au/about-aasw/about-aasw
Australian Community Workers Association. (2012). About ACWA-
Australian Community Workers Association | ACWA. Retrieved
from http://www.acwa.org.au/about
Bertram, R. M., Blase, K. A., & Fixsen, D. L. (2015). Improving programs
and outcomes: Implementation frameworks and organization
change. Research on Social Work Practice, 25(4), 477-487.
Case Management Society of Australia & New Zealand & Affiliates.
(2018). Our Society - Case Management Society of Australia & New
Zealand & Affiliates (CMSA). Retrieved from
https://www.cmsa.org.au/about-us/our-society
Clark, E., Draper, J., & Rogers, J. (2015). Illuminating the process:
enhancing the impact of continuing professional education on
practice. Nurse Education Today, 35(2), 388-394.
Farrington, J. F., & Judson, D. R. (2016). Filing of the Workers'
Compensation Rating and Inspection Bureau For Revisions to the
Massachusetts Workers' Compensation and Employers Liability
Insurance Manual.
Government of Western Australia Department of Health. (2018). Mental
Health. Retrieved from
https://ww2.health.wa.gov.au/About-us/Mental-Health
Green, S., & Workman, K. (2015). Code of conduct. Policy Statement.
Hakim, F. Y. (2015). Universal declaration of human rights. Indonesian
Journal of International Law, 4(1).
Jacob, S., Decker, D. M., & Lugg, E. T. (2016). Ethics and law for school
psychologists. John Wiley & Sons.
Kossek, E. E., & Thompson, R. J. (2016). Workplace flexibility:
Integrating employer and employee perspectives to close the
research-practice implementation gap. The Oxford handbook of
work and family, 255.
Loughran, T., & McDonald, B. (2014). Regulation and financial
disclosure: The impact of plain English. Journal of Regulatory
Economics, 45(1), 94-113.
Martin, J. F. (2014). Privacy and confidentiality. In Handbook of global
bioethics (pp. 119-137). Springer, Dordrecht.
Sclater, N., & Bailey, P. (2015). Code of practice for learning
analytics. Joint Information Systems Committee (JISC).
Sen, A. (2017). Elements of a theory of human rights. In Justice and the
Capabilities Approach (pp. 221-262). Routledge.
SNAICC - National Voice for our Children. (2018). Eight Priorities -
SNAICC. Retrieved from https://www.snaicc.org.au/about/vision-
and-purpose/eight-priorities/
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Straker, L., Dunstan, D., Gilson, N., & Healy, G. (2016). Sedentary work.
Evidence on an emergent work health and safety issue.
Theaker, A. (2017). What is public relations?. In The Public Relations
Strategic Toolkit (pp. 17-27). Routledge.
Thierry, M., & Priyambodo, T. K. (2017). SMS and Web-Based e-
Government Model Case Study: Citizens Complaints Management
System at District of Gihosha–Burundi. IJCCS (Indonesian Journal
of Computing and Cybernetics Systems), 11(1), 67-76.
Tomuschat, C. (2014). Human rights: between idealism and realism. OUP
Oxford.
What We Do | Department of Social Services, Australian Government.
(2014, November 7). Retrieved from https://www.dss.gov.au/about-
the-department/overview/what-we-do
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II.Workplace Evidence
This part of the RPL Kit requires you to provide evidence from the
workplace. The evidence could be from your current workplace or one
that you have recently been involved in however it must be in the
community services sector whilst performing the role of a case manager.
You may need to obtain permission from your workplace supervisor to be
able to submit the documents requested. Please also ensure that you
maintain confidentiality and remove or cross out any identifying names
etc. on the documentation.
This documentation is to demonstrate that you contribute research
information about compliance and ethical practice responsibilities and
then develop and monitor policies and procedures to meet those
responsibilities.
This unit of competency requires you to provide evidence of completing
the following:
1. Contributing to managing legal and ethical compliance
2. Developing policies and procedures for a workplace/business
3. Demonstrating your problem solving abilities in legal and ethical
situations
A. Evidence to be Submitted
1. Contributing to managing legal and ethical compliance
(a) Researching information required for legal compliance
Provide details of a time when you have been required to research and
provide information to someone in the workplace in regards to legal
compliance. For example, perhaps you have trained a new employee in
their job responsibilities relating to legislation or workplace policies and
procedures where you have needed to research the details and then
shared the information either individually or in a meeting. Your report
must include full details including the legislation and areas of
compliance. Please ask your workplace supervisor to sign your report
stating that you were involved in researching information for legal
compliance.
Please save and submit the document to your assessor using the
filename: Subject 2-1aCompliance
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[Last Name, First Name]_Subject 2 – 1aCompliance
(b)Accessing and interpreting information relevant to area of
work
Provide evidence of how you access and interpret information relevant to
your area of work. This evidence may include: - your signed job
description/contract, a copy of the index page of the organisations
policies and procedures, minutes of meetings where information about
the job role has been discussed or a website or article where you access
information relevant to your work. Provide at least three (3) different
pieces of evidence.
Please save and submit the document to your assessor using the
filename: Subject 2-1bCompliance
[Last Name, First Name]_Subject 2 – 1bCompliance
(c) Determining ethical responsibilities
Collect workplace evidence/documents in regards to a time when you
needed to make a decision based on ethical grounds. This could be a
written report, minutes of a meeting, detailed letter signed by your
workplace supervisor or any other suitable evidence. The information
needs to explain the decision to be made, why it involved an ethical
decision, the steps taken in determining your ethical responsibilities and
the outcome of the decision made.
Please save and submit the document to your assessor using the
filename: Subject 2-1cCompliance
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[Last Name, First Name]_Subject 2 – 1cCompliance
(d) Monitoring compliance
The evidence for this section could include a report from an
internal/external audit that showed that you were involved in the audit.
Meeting agenda and minutes where you facilitated a discussion about
compliance in the workplace could also be used. Any other evidence that
shows how you monitor compliance (internal/external requirements)
within the workplace can be submitted. Please provide at least two (2)
types of evidence as to how you monitor compliance.
Please save and submit the document to your assessor using the
filename: Subject 2-1dCompliance
[Last Name, First Name]_Subject 2 – 1dCompliance
(e) Maintaining knowledge of compliance requirements
Submit a copy of a meeting agenda and meeting minutes from within
your organisation where compliance requirements were discussed. Make
sure your name is on the attendee list and discussions are documented.
Another form of evidence for this point would be to provide a
flyer/information from an external training session/meeting that you
attended in regards to compliance requirements. This is to demonstrate
how you maintain your knowledge of compliance requirements.
Please save and submit the document to your assessor using the
filename: Subject 2-1eCompliance
[Last Name, First Name]_Subject 2 – 1eCompliance
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2. Developing policies and procedures for a workplace/business
 Development of at least one policy and procedure for at least 1
workplace or business
This unit requires you to have developed at least one policy and
procedure. Please provide evidence of this development including
information about – the planning, draft of the policy/procedure,
finalised and approved policy/procedure, minutes of meetings held. It
is acceptable to have been part of a group who developed the
policy/procedure but evidence must confirm that you were involved in
every aspect of the development.
Please save and submit the documents to your assessor using the
filename: Subject 2- 2Developing P&P
[Last Name, First Name]_Subject 2 – 2Developing P&P
3. Demonstrating your problem solving abilities in legal and
ethical situations
 Evidence of development of a strategic response to at least 3
different situations where legal or ethical requirements have been
breached
The training package requires participants to provide full
evidence/details of the above.
It is recognised that each of the three (3) situations may have required a
different response. Therefore, please supply the required documentation
and evidence relating to each situation. This evidence must provide
details of the situation faced, how a legal or ethical breach was
identified, the steps used to develop a response, the strategic response
implemented and the outcome of that response or further action
required. Please save the evidence for each situation separately as
indicated below.
You may use the situation in 1(c) above but please ensure the
documentation is also uploaded here with any additional information
required.
Please save and submit the documents to your assessor using the
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filename: Subject2 – 3aLegal & Ethical
[Last Name, First Name]_Subject 2 – 3aLegal & Ethical
Please save and submit the documents to your assessor using the
filename: Subject2 –3bLegal & Ethical
[Last Name, First Name]_Subject 2 – 3bLegal & Ethical
Please save and submit the documents to your assessor using the
filename: Subject2 –3c Legal & Ethical
[Last Name, First Name]_Subject 2 – 3cLegal & Ethical
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III. Third Party Report & Supervisor Testimonial
Third Party Report -Instruction for Supervisors
Dear Supervisor,
Thank you for agreeing to verify the evidence provided for this
Recognition of Prior Learning (RPL) application. Kindly read through the
instructions below to guide you in fulfilling your role.
NOTE: You MUST have the necessary experience and
qualification/s in the area of Community Services Case
Management (e.g., you are/were the designated workplace
supervisor for the candidate, or you have the relevant VET
qualification/s, Diploma of Community Services (Case
Management) or higher
Your role
You are asked to testify that the candidate has completed the tasks
outlined below according to the quality standards set by the workplace,
and in compliance with the industry standards relevant to the candidate’s
work role in the Community Services Case Management area by
completing the form that begins on the next page.
Before you complete this form, please:
- Read through the Form
- Discuss any queries about this form with the candidate. If the
candidate cannot answer your questions about the observation
form, you may contact the candidate’s RPL assessor.
You are asked to review each criteria item in this Third Party Report
Form and rate the candidate’s performance against each criteria item by
providing a rating of one (1) – five (5). When providing the rating for the
candidate’s performance, refer to the Rating Matrix found on the next
page. You are also required to provide specific written comments about
the candidate’s performance against each criteria item.
Please complete all parts of the form, including the Observer’s
Declaration and the Workplace Supervisor Details found in this form.
Once done, please return this form to the candidate.
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RATING MATRIX
Note to the supervisor:
Use this RATING MATRIX to guide you in evaluating the candidate’s
performance against each criteria item provided in this Third Party Report
Form.
In instances where a criteria item has not been demonstrated or has not been
performed yet by the candidate in the workplace, tick the box that corresponds
to N/A.
The N/A mark or rating for a criteria item means: The criteria item does not
apply to the candidate’s work role in the organisation; the criteria item does
not apply in the organisation’s service operations; or for other reasons. When
ticking the N/A box, please ensure that you include specific written comments
explaining the reasons.
Rating Knowledge Standard of
Work Autonomy
Coping
with
Complexity
Perception
of Context
1
Novice
Minimal or
'textbook'
knowledge
without
connecting it
to practice
unlikely to be
satisfactory
unless closely
supervised
Needs
supervision or
instruction
Little or no
conception of
dealing with
complexity
Tends to see
actions in
isolation
2
Beginner
Working
knowledge of
key aspects of
practice
Straightforwa
rd tasks likely
to be
completed to
an acceptable
standard
Able to
achieve some
steps using
own
judgement,
but
supervision
needed for
overall task
Appreciates
complex
situations but
only able to
achieve
partial
resolution
Sees actions
as a series of
steps
3
Compete
nt
Good working
and
background
knowledge of
area of
practice
Fit for
purpose,
though may
lack
refinement
Able to
achieve most
tasks using
own judgment
Copes with
complex
situations
through
deliberate
analysis and
planning
Sees actions
at least partly
in terms of
longer goals
4
Proficient
Depth of
understandin
g of discipline
and area of
practice
Fully
acceptable
standard
achieved
routinely
Able to take
full
responsibility
for own work
(and that of
others where
applicable)
Deals with
complex
situations
holistically,
decision
making more
confident
Sees overall
'picture' and
how
individual
actions fit
within it
5
Expert
Authoritative
knowledge of
discipline and
deep tacit
understandin
g across area
of practice
Excellence
achieved with
relative ease
Able to take
responsibility
for going
beyond
existing
standards and
creating own
interpretation
s
Holistic grasp
of complex
situations,
moves
between
intuitive and
analytical
approaches
with ease
Sees overall
'picture' and
alternative
approaches;
vision of what
may be
possible
RPL Kit CHCLEG003 Version No.1.0 Produced 15 August 2017
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N/A
The criteria item does not apply to the candidate’s work role in the
organisation; the criteria item does not apply in the organisation’s
service operations; or for other reasons.
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© Compliant Learning Resources Page 59

THIRD PARTY REPORT FORM
CHCLEG003 – Manage legal and ethical compliance
Important reminders for the supervisor:
 Make specific, written comments about the candidate’s
performance. These comments are valuable evidence of the
candidate’s competency.
 Tick the boxes corresponding your rating for the candidate’s
performance for this criteria item. Tick only one rating for each
criteria item.
 Complete all parts of the form, including signing the Declaration
and the Supervisor’s Details.
 You may discuss any queries about the forms with the candidate.
If the candidate cannot answer your questions, you may contact
Inspire Education at 1800-506-509. We’ll be happy to help
 The assessor may need clarification and or further verification
regarding the information you provide here. In these instances,
then he/she may contact you directly to get more information
about the candidate’s performance.
CANDIDATE’S INFORMATION
Full Name
(Last Name, First
Name)
CRITERIA ITEM 1 2 3 4 5 N/
A
1. The candidate has researched information
required for legal compliance in the
organisation
Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
2. The candidate accesses and interprets
information in the workplace in relation to
job/organisational requirements
RPL Kit CHCLEG003 Version No.1.0 Produced 15 August 2017
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Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
3. The candidate is aware of their ethical
responsibilities and demonstrates compliance
within their job role.
Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
4. The candidate monitors their work to ensure
ongoing compliance to – legislation and
workplace policies and procedures
Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
5. The candidate participates in
meetings/training/reading of updates etc. to
ensure that they maintain a current
knowledge of compliance requirements in
their field of work
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Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
6. The candidate has participated in the
development of at least one policy or
procedure within the workplace/business.
Supervisor’s comments / feedback:
CRITERIA ITEM 1 2 3 4 5 N/
A
7. The candidate consistently develops strategic
responses to any legal or ethical requirements
in the workplace/business.
Supervisor’s comments / feedback:
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Supervisor Testimonial
I hereby certify that the documents submitted by
(student name) , and described in this RPL Kit for CHCLEG003 –
Manage legal and ethical compliance, have been created by the
candidate as part of his/her role as a
(job title)
within(name of organisation) .
I confirm that I have completed the Third Party Report included in this kit and
added comments where applicable.
I understand that I may be contacted by an Inspire Education Assessor and
agree to verify or elaborate on the information supplied in this report.
I do solemnly swear that the declaration made on this report is true and I am in
the position to make this statement.
Additional comments (if required):
Supervisor Details
Name:
Qualifications:
Organisation: Signature:
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Job Title: Date:
Contact
Number:
Best Time to
Contact:
Please save and submit these documents to your assessor using the
filename: Subject2 – Legal & Ethical-Third Party & Supervisor
Testimonial
[Last Name, First Name]_Subject 2 – Legal & Ethical-Third
Party & Supervisor Testimonial
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IV. Evidence Submission Guide Checklist
The Evidence Submission Guide is provided to guide you in collating all your
evidence submissions for the unit of competency: CHCLEG003 – Manage legal and
ethical compliance.
This Guide contains an outline of all the evidence you are required to submit.
Guidelines for submission:
1. Ensure the information enclosed in the evidence you submit is true and
accurate. In instances when the assessor needs to verify something in your
evidence submission, he/she will contact your supervisor.
2. Where applicable, your evidence submissions must always be signed off by
relevant personnel. For example, when submitting meeting minutes, ensure
this document has all the signatures of the meeting attendees.
3. Where applicable, your evidence submissions must clearly state that this has
been completed by you, and has been signed off by relevant personnel. For
example, when submitting incident reports, ensure that your name appears in
the relevant fields of the report.
4. Remember to maintain the privacy and confidentiality of the staff and clients
in your organisation. Avoid providing their real names in your RPL
submissions and use aliases instead.
To guide you in collating your evidence submissions, the checklist found in the
next page is provided for you. Complete this checklist by providing the type of
document you submitted for each evidence requirement and the filename of
your evidence submission (only when you are submitting these online)
A sample is provided below:
01 Communication with families about
child’s health needs (Instance 1) Meeting minutes
Smith_John –
Meeting
Minutes 1
5. Do note that one evidence submission may meet more than one requirement.
You may submit the same document for these requirements, as seen below:
01 Communication with families about
child’s health needs. (Instance 1) Meeting minutes
Smith_John –
Meeting
Minutes 1
02
Communication with colleagues
about children’s health needs.
(Instance 1)
Meeting minutes
Smith_John –
Meeting
Minutes 1
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Evidence Submission Guide Checklist
CHCLEG003 – Manage legal and ethical compliance
Document submission
Complete the table below to guide you in collating evidence that you will be submitting
along with your RPL Kit submission (e.g. Job Description, Curriculum Vitae, Certificate
of Employment, and others).
Type of document submitted:
Check if
included
in
submissio
n
Filename(s)
1
Part I – KNOWLEDGE ASSESSMENT
Completed Knowledge assessment
questions
[Last Name, First
Name]_Subject 2 –
Knowledge Questions
2 Part II – WORKPLACE EVIDENCE
(a) Researching information required
for legal compliance
 Report signed by supervisor
[Last Name, First
Name]_Subject 2 –
1aCompliance
(b) Accessing and interpreting
information relevant to area of
work
 Signed job description/contract
 Index page of policies &
procedures
 Minutes of meetings
 Website or article
Three (3) required
[Last Name, First
Name]_Subject 2 –
1bCompliance
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(c) Determining ethical
responsibilities
 Written report
 Minutes of meetings
 Letter signed by supervisor
 Other suitable evidence
(d) Monitoring compliance
 Audit report
 Meeting agenda & minutes
 Other suitable evidence
Two (2) required
(e) Maintaining knowledge of
compliance requirements
 Meeting agenda & minutes
 Flyer/information
 Other suitable evidence
[Last Name, First
Name]_Subject 2 –
1cCompliance
[Last Name, First
Name]_Subject 2 –
1dCompliance
[Last Name, First
Name]_Subject 2 –
1eCompliance
3
Developing policies and procedures for
a workplace/business
Documentation
 Planning
 Draft policy & procedure
 Finalised and approved policy
& procedure
 Minutes of meetings held
[Last Name, First
Name]_Subject2 –
2Developing P&P
Demonstrating problem solving abilities in
legal and ethical situations.
Evidence of development of strategic
response to three (3) different situations
where legal or ethical requirements have
been breached
Documentation for each response must
include –
 Details of situation
 How legal or ethical breach was
identified
 Steps used to develop a response
 Strategic response implemented
 Outcome of response
 Further action required
[Last Name, First
Name]_Subject 2 – 3aLegal
& Ethical
[Last Name, First
Name]_Subject 2 – 3bLegal
& Ethical
[Last Name, First
Name]_Subject 2 – 3cLegal
& Ethical
4 Part III CHCLEG003 Third Party Report&
Supervisor Testimonial
[Last Name, First
Name]_Subject2-Third
Party & Supervisor
Testimonial
5 Part IV Completed Evidence Submission
Guide Checklist [Last Name, First
Name]_Subject2-Third
Party & Supervisor
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Testimonial
RPL Kit CHCLEG003 Version No.1.0 Produced 15 August 2017
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RPL KIT CHECKLIST
Before submitting this RPL Kit for assessment, ensure that you have:
Completed and included the RPL Kit Cover Sheet
Completed all requirements
Ensure that you have completed all assessments relevant to this unit
of competency:
Knowledge Assessment
Workplace Evidence
Third Party Report& Supervisor Testimonial
Evidence Submission Checklist
IMPORTANT REMINDER
Candidates must achieve a satisfactory result in ALL RPL
assessment tasks to be awarded COMPETENT for theunit
relevant in this Assessment Workbook.
To award the candidate competent in the units relevant to this subject, the
candidate must successfully complete all the requirements listed above according to
the prescribed benchmarks.
End of CHCLEG003 – Manage legal and ethical compliance
CHCLEG003 RPL Assessor Guide Version No. 1.0 Produced 14 August 2017
© Compliant Learning Resources Page 69

FEEDBACK
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assessment experience using our resources has been a seamless
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RPL Kit CHCLEG003 Version No.1.0 Produced 15 August 2017
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