AHIC CHCLEG003 Manage Legal & Ethical Compliance Assessment Guide

This document presents a student's assessment submission for CHCLEG003 - Manage Legal and Ethical Compliance. It includes Assessment Task 1 (AT1) with underpinning knowledge questions and Assessment Task 2 (AT2) involving research projects. The submission includes a student declaration, assessor's declaration, table of contents, unit strategy, assessment guide, assessment checklists, and an assessment matrix. The document outlines the purpose of the assessment, target group, assessors, assessment arrangements, methods of assessment, required resources, timeline, and reporting arrangements. It also provides detailed guidelines for achieving satisfactory results in each assessment task, including practical skill observations and third-party reports. The assessment covers performance evidence, knowledge evidence, and assessment conditions related to legal and ethical compliance in the workplace.

STUDENT ASSESSMENT
CHCLEG003 - Manage legal and ethical compliance
ASSESSMENT SUBMISSION
Student Name: Student ID
Assessment Item AT1 Underpinning knowledge questions
Assessment Item AT2 Research Projects using group work; IT research skills and oral presentations
Student Declaration - I declare that I am ready to be assessed for Assessment AT1 and AT2 and that this is my own
work. Any ideas and comments made by other people have been acknowledged and referenced. I understand that if
this statement is found to be false it will be regarded as plagiarism and misconduct under AHIC policy and procedures.
Student Signature: Date:
Submission method
☐Uploaded to Moodle
Due Date:
☐ Emailed to Assessor
Request a read receipt
☐ Hardcopy:
Given to AHIC Trainer/Assessor
Formative Assessment Result AT1 & AT2
Assessor’s Declaration and judgement decision:
I declare that I have conducted a fair, valid, reliable and flexible assessment against industry standards
and I have provided feedback to the student using an assessor’s checklist on their responses to
underpinning knowledge questions.
☐Student has received feedback and been provided with results of the assessments AT1 and AT2 and
made aware of their appeal rights if deemed not yet satisfactory.
Assessment Item
AT1
☐ Student has submitted the required evidence for AT1 that meets their understanding of
performance criteria and knowledge skills for this unit and has been deemed competent.
Assessment Item
AT2
☐ Student has submitted the required evidence for AT2 that meets their understanding of
performance criteria and knowledge skills for this unit and has been deemed competent.
Assessor’s Name: Date:
Assessor’s Signature:

Table of Contents
UNIT STRATEGY............................................................................................................................................ 3
ASSESSMENT GUIDE..................................................................................................................................... 4
CHCLEG003 MANAGE LEGAL AND ETHICAL COMPLIANCE...............................................................................5
ASSESSMENT AT1 UNDERPINNING KNOWLEDGE QUESTIONS........................................................................8
CHCLEG003 AT1 UNDERPINNING KNOWLEDGE QUESTIONS CHECKLIST........................................................15
ASSESSMENT AT2 -RESEARCH WORK/PROJECT WORK.................................................................................18
CHCLEG003 AT2 RESEARCH WORK/PROJECT CHECKLIST...............................................................................28
ASSESSMENT MATRIX FOR UNIT OF COMPETENCY CHCLEG003 MANAGE LEGAL AND ETHICAL COMPLIANCE
................................................................................................................................................................... 29
Modification History
Version Date Changes
4.0 Upgraded using recommendations from internal validation
of assessment guides.
3.0 Upgraded using recommendations from internal validation
of assessment guides. Removed Summative outcome results
to new Assessment Record of Summative Log book.
2.0 New assessment questions and benchmarked answers and
mapping guide
1.0 Converted to an AHIC template
Version 1 October 2015 Author Andrea Kelly
© This resource was updated by Focussed Consulting & Training for use with the CHC43015 CIV In
Ageing Support course program and Diploma of Community Services Course program.
Disclaimer: While every effort has been made to ensure that unit requirements are covered, the
developers do not give any warranty or accept any liability in relation to the assessment tools in this
resource. RTOs are advised to validate assessment instruments and tools before use, after any
customisation or contextualisation, and during their scheduled validation processes to ensure they
meet any requirements set by the standards under which the RTO is registered, current Training
Package requirements, and any RTO requirements.

CHCLEG003 Manage legal and ethical compliance
Unit Strategy
UNIT CHCLEG003 - Manage legal and ethical compliance
Purpose of assessment
The assessments are to address skills and knowledge required to work safely with clients when practicing
direct care work
Target Group
Health and Community Service workers such as:
 Community Service workers in Aged care and Individual support Home care support workers
 Assistants in Allied health work
 Aboriginal Health Work
Assessors
Trainer and Assessor who holds the Unit and vocational competency for direct client care skills
Place for assessment AT1 & AT2 to be loaded onto secure Moodle platform
Training Site Australian Harbour International College campus
Assessment arrangements confirmed with appropriate personnel
Student must sign and date student declaration (Front cover) to confirm they are ready to be assessed for
this unit of competency.
Method of assessment and related planning requirements Assessment tools required
Assessment Task 1 – Complete written questions 1 –9
individually. All questions and scenario must be completed.
Student Assessment Task AT1 Guide
Assessment Matrix
Assessment Task 2 –
Research project 1 Group work
Group discussions and presentations in main group when required
as scheduled on session plan.
Student Assessment Task AT2 Guide
Assessment Matrix
NOT included in this assessment Guide
Assessment Task 3 – Assessor to set up SLE in accordance with
assessment condition and with all equipment
Student Clinical Assessment in
Simulation_Workplace AT3 Logbook
Assessment Matrix
Materials/resources need for assessment
Assessment Matrix for the unit CHCLEG003
Student Assessment Task AT1 Guide
Student Assessment Task AT2 Guide
Training equipment as indicated in resources on Unit session plan.
Access to internet/data bases/computers for information technology Research work
Timeline for assessment
By due date, set by Assessor and listed in Moodle
Evidence required for AT1 & AT2
Individual written work for AT1; class participation in discussions and feedback
Group or individual oral presentations for researched project work for AT2; class participation in
discussions and feedback
Individual written work for research undertaken in AT2
Special arrangements
Clinical Placement Coordinator to email student’s supervisor in the workplace advising of skills covered in
Training and education delivery encouraging professional experience in the workplace as directed by
organisational policy and procedure.
Reporting arrangements for assessment

CHCLEG003 Manage legal and ethical compliance
Feedback on knowledge and performance skills to be provided in assessment guides.
Results of assessment to be reported and returned to students within AHIC specified timeframe.
Assessment guide
Please read your Assessment Guidelines so that you are informed of your responsibilities regarding
undertaking assessments at the Australian Harbour International College (AHIC) before completing
this assessment.
The following table shows you how to achieve a satisfactory result against the criteria for each type
of assessment task.
Assessment Method S= Satisfactory Result NYS= Not Yet -Satisfactory Result
You will receive an overall result of competent or not yet competent for the unit. The assessment
process is made up of a number of assessment methods. You are required to achieve a satisfactory
result in each of these to be deemed competent overall. Your assessment may include the following
assessment types.
Assessment Task 1
Underpinning
Knowledge/Questions
and case studies
All questions answered correctly Incorrect answers for one or more
questions
Answers address the question in full;
referring to appropriate sources from
your workbook and/or workplace
Answers do not address the question
in full. Does not refer to appropriate
or correct sources
All comprehension questions answered
correctly; demonstrating an application
of knowledge of the topic case scenario
Lack of demonstrated comprehension
of the underpinning knowledge
(remove) required to complete the
case study questions correctly. One
or more questions are answered
incorrectly
Answers address the question in full;
referring to appropriate sources from
your workbook and/or workplace
Answers do not address the question
in full; do not refer to appropriate
sources
Assessment Task 2
Written
Activity/Research
Work
The assessor will mark the activity
against the detailed
guidelines/instructions
Does not follow
guidelines/instructions
Attachments if requested are attached Requested supplementary items are
not attached
All requirements of the written activity
are addressed/covered.
Response does not address the
requirements in full; is missing a
response for one or more areas.
Responses must refer to appropriate
sources from your workbook and/or
workplace
One or more of the requirements are
answered incorrectly.
Does not refer to or utilise
appropriate or correct sources of
information
AT3 Located in Simulation and Workplace Logbooks
Assessment Method Satisfactory Result Not Satisfactory Result
Assessment Task 3
Observation of
practical skills
All steps in the demonstration of
practical skills in the workplace whilst
being observed by an assessor, using an
Could not demonstrate satisfactory
completion of all the steps required
of the practical skill as evidenced by

CHCLEG003 Manage legal and ethical compliance
observational checklist, are deemed
satisfactory
Or
All steps in the demonstration of
practical skills in a simulated learning
environment whilst being observed by
an assessor, using an observational
checklist, are deemed satisfactory
observation checklist
This third-party report is only obtained as part of the assessment evidence for a unit of competency
when the AHIC workplace assessor is seeking additional evidence to support a judgement about a
student’s competence in the workplace. As part of the evidence of competence the third-party report
should be completed by an RN who has worked closely with the student.
Workplace
Observation Third
party report
Registered Nurse who observes your
work performance and confirms that
you consistently meet the standards
expected from an experienced enrolled
nurse
Could not demonstrate consistency
in practical skills in the workplace.
Could not demonstrate the ability to
achieve the required standard of an
enrolled nurse
CHCLEG003 Manage legal and ethical compliance
Performance Evidence
The candidate must show evidence of the ability to complete tasks outlined in elements and
performance criteria of this unit, manage tasks and manage contingencies in the context of the job
role. There must be evidence that the candidate has:
 determined the scope of legal and ethical compliance requirements and responsibilities, and
developed policies and procedures for at least 1 workplace or business
 developed a strategic response to at least 3 different situations where legal or ethical
requirements have been breached
Knowledge Evidence
The candidate must be able to demonstrate essential knowledge required to effectively do the task
outlined in elements and performance criteria of this unit, manage the task and manage
contingencies in the context of the identified work role. This includes knowledge of:
 legal responsibilities and liabilities of managers and others in different types of organisation
 legal and ethical frameworks (international, national state/territory, local), how these apply
in the workplace, and the responsibilities of managers in the development and monitoring of
policies and procedures, including those related to:
o children in the workplace
o codes of conduct
o codes of practice
o complaints management
o continuing professional education
o discrimination
o dignity of risk
o duty of care
o human rights:
 Universal declaration of human rights

CHCLEG003 Manage legal and ethical compliance
 relationship between human needs and human rights
 frameworks, approaches and instruments used in the workplace
o informed consent
o mandatory reporting
o practice standards
o practitioner/client boundaries
o privacy, confidentiality and disclosure
o policy frameworks
o records management
o rights and responsibilities of workers, employers and clients
o industrial relations legislation and requirements relevant to organisation
o specific requirements in the area of work, including:
 key practices that are prohibited by law
 auditing and inspection regimes
 main consequences of non-compliance
 need to apply for licences and associated mandatory training and certification
requirements
 statutory reporting requirements
 business insurances required including public liability and workers compensation
 accreditation requirements
 requirements to develop and implement plans, policies, codes of conduct or
incorporate certain workplace practices
o work role boundaries – responsibilities and limitations of different people
o work health and safety
 sources of information and advice on compliance including:
o local, state/territory or commonwealth government departments or regulatory agencies
o industry associations
o plain English documentation that explains legislation
 functions and operating procedures of regulatory authorities of particular relevance to the
health and community service sectors
 methods of receiving updated information on requirements
 use of policies and procedures in managing compliance and ethical practice in both internal
work practice and external service delivery
 formats for policies and procedures and what they should include
 techniques for monitoring compliance
Assessment Conditions
Skills must have been demonstrated in the workplace or in a simulated environment that reflects
workplace conditions. The following conditions must be met for this unit:
 use of suitable facilities, equipment and resources, including:
 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

CHCLEG003 Manage legal and ethical compliance
 integration of problem solving activities
Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF
mandatory competency requirements for assessors.
For all documentation on the performance criteria, and assessment requirements of the unit
CHCLEG003 Manage legal and ethical compliance please refer to the training.gov.au website using
this link. http://training.gov.au/Training/Details/CHCLEG003

CHCLEG003 Manage legal and ethical compliance
Assessment 1 -Underpinning knowledge
questions

CHCLEG003 Manage legal and ethical compliance
Assessment AT1 Underpinning knowledge questions
Instruction to Students:
 Answer the questions below in the spaces text box provided.
 Ensure all references are documented under each individual question.
 Answers are to be typed or for written submissions, use black or blue ink and ensure your name
is attached to the responses.
Case Scenario 1
“When working as support worker in 2 high care units, Jude witnessed multiple, daily examples of
residents who were unable to communicate being abused.
Hoist lifting was always done by one support worker on their own not two as per the organisations
guidelines and this was mainly due to time pressures and meant support workers were often using
considerable physical force to get resistive people into hoists.
A resident not properly secured in a hoist, dropped through the hoist to the ground and broke their arm
and due to complications died soon after. Jude had also witnessed residents being slapped across the
face by a support worker because a resident had swiped them away as they did not want to get out of
the chair.
Jude stated it was not uncommon to see residents forcibly restrained and force-fed or not fed at all.
Residents with no relatives were not regularly moved out of bed, frequently left alone for hours without
attention; belongings being stolen.
Jude once noticed that food brought in by relatives was eaten by a support worker because they could
not be bother to go get their own food for dinner.
Jude took swift action and reported all the negative work culture and practices to the relevant authority
to action immediately.
Jude is now an aged care manager and has just started to work at Middle Ground Aged Care facility.
To ensure that the facility he runs does not fall into the same organizational culture of elder abuse he
had witnessed in his past work life Jude is going to conduct a legal and ethical compliance audit to see if
there are any gaps in compliance and where best practice is applied.
1. What can Jude do to monitor and evaluate work practices for non-compliance on an ongoing
basis, and how can he implement modifications to current practice? (Min 100 words)
There is need to follow the practical guidelines which may include the policy of organization. In this, it is
needed to ensure about the planning and following the procedures. There is also need to ensure about
capturing data and access the client’s feedback which can be effective and allow to monitor effectively.
To evaluate the work practices there is need to assure that training are up-to-date and needed for mock
audits. There is also need to make survey of employees which are associated with their retentions.
Performing risk management evaluation can also help in getting better evaluation of work practices for
noncompliance on an ongoing basis. In this, through ensuring training and through collecting feedback
direct from service user can help to modify the current basis (Stelzenmüller, 2021).

CHCLEG003 Manage legal and ethical compliance
2. List at least 2 examples of responsibilities to each of the following that Jude should be familiar
with to meet legislation compliance for the health care Industry (Min 100 words for the table)
List 2 examples of
Jude’s
responsibilities to
his workers
 To monitor all the work practices procedure to ensure the safe practices.
 To make plan and implement it to improve the service delivery of care
worker.
List 2 examples of
Jude’s
responsibilities to
his clients,
resident or
patients
 Through meet service user needs with using organizational
policy and guidelines.
 To ensure about the work practices which should be taken care
in better way that it should not create risk of neglect or harm to
service user (Otero, 2018).
List 2 examples of
Jude’s
responsibilities to
the broader
community
 To ensure about proper care and safety at the aged care home
without any type of discrimination, harm or neglect.
 To provide quality of care all the time and ensure care worker
should perform their practices ethically with proper measurement.
3. How can Jude maintain and update required accreditations or certifications required for Serious
Incident Reporting Scheme (SIRS) for approved providers of residential aged care? (Min 50
words)
There is need to follow the Aged Care Act 1997 by manager to ensure about following of Serious Incident
Reporting Scheme which include the approved providers of residential aged care. Here, manager need to
maintain report and document them to make record and report to the approved providers of residential
aged care (Laitano, 2019).
4. How can Jude refer issues or breaches of ethical or legal practice to relevant people? (Min 100
words)
After monitoring and evaluation of issues and breaches there is need to make record and document
them properly. These documentations should be referring to relevant people which can help to take in
consideration about taking care of their practices which should be followed by guidelines and policy
(Harriss, 2019).
5. How can Jude identify and use opportunities to maintain knowledge of current and emerging legal
requirements and ethical issues? (Min 50 words)

CHCLEG003 Manage legal and ethical compliance
Jude need to monitor staff member’s practices and collecting feedback through service user and stay up-to-date
legal requirement and ethical issues which can allow to take care about it effectively and help to attain good
practices. There is need to use the authority to implement it effectively with aged care home that can effectively
maintain legal requirement and ethical issues (Dwivedi, 2021).
6. Briefly describe how Jude could share updated compliance knowledge and information with
his peers and colleagues?) (Min 50 words)
There is need to encourage and foster right mindset and creates spaces for sharing to
happen, formalizing process and using of most effective tool and providing up-to-date
training can help to share updated compliance knowledge and information with his
peers along with colleagues (Tzeng, 2018).
7. How can Jude encourage his staff through communication to pro-actively engage in the
process of review and improvement in regards to legal and ethical compliance? (Min 50
words)
Firstly, Jude need to share the information which has been collected through monitoring and
feedback of service user to the staff members. Then, they should be communicated to take care of
their legal practices and should avoid any irresponsible activity which are not good for service user.
Providing them proper training can also help them to improve legal and ethical compliance (Yallop,
2021).
8. What are the compliance requirements in your own area of work such as Aged care? List two
sources where you can find information about compliance requirement. Min 100 Words

CHCLEG003 Manage legal and ethical compliance
There is need to meet government regulation and standards which can help to protect and maintain
health, safety, quality of life and wellbeing of individual within care settings. Compliance includes the
meaning of meeting these recruitments and taking actions when requirements are not meet.
This information should be taken through government policy portal and compliance section of aged
care home (Chee, 2020).
9. Jude wants to ensure that the culture of the organisation reflects acceptable ethical
behaviour towards the clients, list 3 ways that Jude can model ethical behaviour using ethical
frameworks in his management role and list 2 ways that he can incorporate scope of practice
considerations as part of ethical practice. (Min 50 Words)
Ways to ensure about the organizational culture reflect acceptable ethical behavior towards clients.
 Communicating ethical expectations.
 Offering ethical training.
Providing protective mechanisms (Zaal, 2019).
Ways to incorporate scope of practice considerations as part of ethical practices.
 Talking about importance of ethics.
Acknowledge along with rewarding ethical conduct (Navalta, 2019).
10. Jude as a manager needs to comply with following specify requirements. Please answer
following questions? Min 100 words
1. Why is auditing and inspection regimes important
It has the goal to assess the overall compliance with regulation, other compliance drivers and internal
policies (McWha, 2020).
2. What are the licensing and mandatory training and certificate requirements?
It allows to provide the information that individual possess the required skills and knowledge to get
access to learning about the relevant practices and services. It also helps to create trust within
services user about the possessed quality skills that can be applied during services delivery (Slemrod,
2019).
3. What is public liability and worker’s compensation? Why are they required?
Public liability includes the individual protection form any harm or neglect. When individual get hurt
or injured then compensation should be provided to workers through using payments (Elmore, 2021).
11. Who is the main regulatory body of aged care sector in Australia? Explain their function and
operating procedures (KE4) (Min 50 words).
Australian Aged Care Quality Agency (AACQA) and aged care complaints Commissioner are