TAFE Queensland CHCLEG003: Legal and Ethical Compliance Assessment

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Assessment Task
- Written
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Student Name Student Number
Unit Code/s &
Name/s CHCLEG003 Maintain legal and ethical compliance
Assessment Type Written
Assessment Name Summative assessments Assessment Task
No. AT3
Assessment Due
Date Date submitted
Assessor Name
Student Declaration: I declare that this assessment is my own work. Any ideas and comments
made by other people have been acknowledged as references. I understand that if this statement
is found to be false, it will be regarded as misconduct and will be subject to disciplinary action as
outlined in the TAFE Queensland Student Rules. I understand that by emailing or submitting this
assessment electronically, I agree to this Declaration in lieu of a written signature.
Student Signature Date
PRIVACY DISCLAIMER: TAFE Queensland is collecting your personal information for assessment purposes. The information will only be accessed by
authorised employees of TAFE Queensland. Some of this information may be given to the Australian Skills Quality Authority (ASQA) or its successor and/or
TAFE Queensland for audit and/or reporting purposes. Your information will not be given to any other person or agency unless you have given us written
permission or we are required by law.
Instructions to
Student
General Instructions:
The following tasks test your knowledge of key concepts in this unit and
also skills required to demonstrate competency in the unit.
Please answer each question comprehensively and ensure you include the
key points requested in the questions and assessment criteria.
Information / Materials provided:
Skills and knowledge questions are provided below - Section 3A refers to
knowledge related questions while Section 3B focuses more closely on
skills to be demonstrated.
A PowerPoint presentation has been provided in the Supplementary
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resources section in your Connect unit to assist you with the revision of the
content of the Learner Guide.
Assessment Criteria:
To achieve a satisfactory result, your assessor will be looking for your
ability to demonstrate the following key skills/tasks/knowledge to an
acceptable industry standard:
Section 3A
The answers to the following questions will enable you to demonstrate your
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
 sources of information and advice on compliance
 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.
Section 3B
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.
Number of Attempts:
You will receive up to two (2) attempts at this assessment task. Should your
1st attempt be unsatisfactory (U), your teacher will provide feedback and
discuss the relevant sections / questions with you and will arrange a due
date for the submission of your 2nd attempt. If your 2nd submission is
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unsatisfactory (U), or you fail to submit a 2nd attempt, you will receive an
overall unsatisfactory result for this assessment task. Only one re-
assessment attempt may be granted for each assessment task. For more
information, refer to the Student Rules.
Submission details Insert your details on page 1 and sign the Student Declaration. Include this
template with your submission.
Once you have completed all documents and saved them to your
computer, you will need to upload them to the Assessment Task 3 Dropbox
in your Connect unit for marking. To do this, follow these instructions:
1. In the section named 'Submissions', you have three options; “Upload'
button”, “Choose Existing” or “Record Audio”. (“Record Audio” should
only be used if agreed upon with your teacher.)
2. Browse for your file if using either of the first two methods.
3. Upload your file.
4. Repeat steps 1-3 to upload other files.
5. Enter any comments in the box provided, if necessary.
6. Click the 'Submit to Dropbox' button.
7.
Assessmentto be submitted via
 TAFE Queensland Learning Management System: Connect url:
https://connect.tafeqld.edu.au/d2l/login
 Username; 9 digit student number
 For Password: Reset password go to
https://passwordreset.tafeqld.edu.au/default.aspx
Instructions for the
Assessor
Benchmarked responses are provided for this task. Teachers should
ensure that students complete all sections of this task.
Section 3B - This is a major activity – you should let the learners know
whether they will complete it during class or in their own time. Students
must work individually to answer the following questions in full to show their
competency of each element:
1. Research information required for legal compliance
2. Determine ethical responsibilities
3. Develop and communicate policies and procedures
4. Monitor compliance
5. Maintain knowledge of compliance requirements.
Note to Student An overview of all Assessment Tasks relevant to this unit is located in the
Unit Study Guide.
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Summative assessments
Objective: To provide you with an opportunity to show you have the required knowledge for this unit.
Activity: The answers to the following questions will enable you to demonstrate your 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
 sources of information and advice on compliance
 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.
Answer each question in detail, taking into consideration a community services organisational
requirements for each one.
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Section 3A: Knowledge Activity (Q & A)
1. List seven (7) areas of work which may be governed by specific policies and procedures that
managers have to enforce and oversee.
Following are the areas of work which are very necessary to be governed by the effective policies &
procedures or otherwise certain essential points or thoughts can get missed out in the audit:-
a) Writing all the ponts of feedback or complaints.
b) Ensuring complete privacy & confidentiality.
c) Fees charged from the person
d) Effective remedies given to the person.
e) Giving & checing the medicines within the regular time intervals.
f) Eliminating the factors of emotional as well as financial abuse, if any.
g) Enhancign clean & monitored environment in the complete home & room, where the disabled
person is living.
2. List five (5) areas of work that would be subject to ethical frameworks and codes of conduct.
The five effective areas of work whch are been subject to the ethical framework & code of conduct are
been described as follows:-
a) The professional standards must be set in the ethical manner.
b) All the relevant documents of the residential house must be maintained very effectively.
c) All the services & required resources must be provided by following up the ethical code of
conduct.
d) All the defined roles & responsibilities must be enhanced fundamentally in theprofessional
manner (Rezaee, 2016),
e) Any criminal frauds or acts either noticed, they all must be informed to the police on the
immediate basis.
3. List five (5) sources of information on compliance requirements.
The effective act of following or implementing all the rules in an effective & efficient manner is called as
the “compliance”. There are various online an doffline sources through which information on compliance
requirements can be sought. These sources include websites of
a) Australian Securities and Investment Commission
b) Australian Trade and Investment Commission
c) Standards Australia
d) Governance Institute of Australia
e) Australian Government
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4.
5. List three (3) responsibilities of regulatory authorities.
Following are the three effective roles & responsibilities which are being performed by the big regulatory
authorities:-
a) The regulatiry authorities performs their responsibility of reviewing & analysing all the necessary
documents before giving the permission in relation to any specific or particular concept. They
possess the statutory obligations.
b) They effectively promote, enhance, ensure & monitor compliance with the help of huge
committees in the country along with the legal regulations & legislations. These regulatory bodies
are sometimes been termed as the competent authorities.
c) All the big regulatory authorities’ effective responsibility is to enhance & implement the regulatory
system in an effective manner. They also have the authority to close down the business
organization in case of any inefficiency or ineffectiveness found.
6. List five (5) means of sharing updated knowledge and information.
In different ways or thorugh different means, the updatd knowledge or the relevant information can be
shared. The more the useful information will get shared,the more it will get increase according to the
level of sharing. Following are the effective means which can be used for knowledge & information
sharing:-
a) On the different innovative & unique social application, the necessary information can be shared
on the large scale. Almost all the people of the World, nowadays, use the social media on their
vast level (Rezaee, 2016),.
b) The effective software can also be developed or purchased by the business organization with the
help of which the useful information & deep knowledge can be shared in the proper manner.
c) The business organizations must conduct or develop the effective conferences & motivational
programs during which also the required information or data can be transferred to each &
everyone inn the business.
7. List ‘the seven C’s’ in accordance with which you should write organisational policies and
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procedures.
For the effective implementation of policies & procedures, the determined seven Cs are “context,
consistency, completeness, control, compliance, correctness and clarity”. All these seven Cs are very
essential to be considered while writing down the effective policies & organizational procedures.
8. List three (3) formatting requirements for policies and procedures.
The formatting of policies & procedures is very essential to be done for each & every business
organization. This formatting is been used by the employees of the business rganization on the basis of
regular time interval. Following are the three formatting requirements:-
a) To accomplish the defined long-term as well as the short-term goals of the business organization
b) To coordinate all the activities & the overall organizational working in accordance to the internal
as well as external changes (Mian, et.al. 2016).
c) Implmentign the new business template in the business organization.
9. Identify three (3) means of monitoring compliance.
The effective monitoring of compliance is the key concept which is very essential for regulating the
different communities so that they must follow up & implement all legal alws, regulations, legislations &
related environmental conditions or policies. Following are the three determined means for monitoring
compliance:-
a) Forming or implementing the effective strategies for monitoring the complaice.
b) Effectively evaluating, insptecting or evaluating the compliance, or it can be said the “on-site
compliance monitoring”.
c) Effective collection of relevant data, reviewing, coordinating, reporting & enhancing support are
being enhanced, or in other words it can be said as “off-site monitoring compliance” (Betancourt,
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2016).
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Section 3B: Performance Activity
1. Carry out a review of the legal standards and ethical responsibilities that apply to a community
services organisation. Demonstrate your ability to use the relevant information sources and
interpret information relevant to a community services area of work.
Write down all of the legal and ethical requirements that you identify – you may like to reference or
attach any relevant documents.
All the legal laws & ethics are very essential to be required as they provide the complete security to each
&every person & all the business organizations, all of them are protected in the complete effective
manner. The various effective laws ar ebene set for enahncign the high level of confidentiality related to
all the agreements being made & enforced. All the effective rights of employees working in the business
organization are seured & enhanced with the help of legal & ethical cbusines practices.to protect the
trademark, intellectual property & patents can be legally protected (Sánchez-Carrillo, et.al. 2016).
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2. Read the scenario and answer questions a and b.
Scenario:
You are employed by a Community Service organisation that is funded under the Department of Social
Services (Disability and Carers). The organisation needs to meet the National Standards for Disability
Services to maintain their accreditation.
Department of Social Services - Disability and Carers1
Since working for the organisation you have not had any training apart from a one-day induction. There
was an incident in the workplace and you were unable to find the policies and procedures that explained
what to do and the ones that you did find have not been updated for several years. You have not been
able to attend team meetings as you are either rostered on shift or they are held on your days off. You
are not provided the minutes of the meetings as there are none taken.
One of the people that you provide support to, who is over the age of 18 years old, is being put in their
room with the door shut (the person is unable to open the door). You were asked by your team manager
to do an audit on the residential house that you work in, you are aware that it is the person’s home
foremost. When doing the walk around and completing the audit documentation you identify that there
are several things that need fixing and that the emergency fire equipment has not been tested for some
time. You submit the audit and it has taken over 6 months for the things to be fixed and you are still
waiting for the fire extinguishers to be checked. You have talked to the team manager on several
occasions about the audit.
Using the information in the scenario, access the National Standards for Disability Services and
Restrictive Practice guidelines and complete questions a and b.
a) Provide details of any areas of non-compliance and suggest modifications.
The areas of non-compliance include the equipments which are not tested for the long time like the
“emergency fire equipment”. According to the audit, they have been waiting for so long for the equipment
of fire extinguisher to be checked, but now the necessary action must be taken & implemented so that
the residential house may not face any kind of problem. Also it must be ensured that the complete
effective support must be provided to the person who has been locked in the room.
1https://www.dss.gov.au/our-responsibilities/disability-and-carers/standards-and-quality-assurance/national-standards-for-
disability-services
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b) Specify who should be contacted about the breaches and detail the means of review and
improvement.
The effective regulatory authorities must be get informed about all the breaches as because these are
the only legal authorities which can effectively understand the cuases & can take the necessary action
on an urgent basis. In order to measure the level of effectiveness & efficiency in the business
organization, monitoring or reviewing the organizational progress is very essential. Planning the
complete process of review is very necessary before the implementation of action plan in the effective &
efficient manner. According to thescenario, all the necessary required equipments must be get fixed on
the urgent basis & the conditions must be get improved in the complete residential house.
3. Identify the regulatory bodies that have responsibility for assessing the legal and ethical
compliance of community services organisations. Provide details of the functions and operating
procedures that they follow. Include information on the types of accreditations and certifications
that they offer.
The regulatory authorities which are responisbile in accessing the complete effective compliance in the
legal & ethical form include “Therapeutic Goods Administration (TGA), Central Drug Standard Control
Organization (CDSCO), World Intellectual Property Organization (WIPO) and many more. The core
functions of these authorities is to ensure & enhance the safety & high level of security along with the
proper implementation of legal rules & procedures.
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End of Assessment
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