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Version Control & Document History

Date Summary of Modifications Version

29 April 2022 Version 1.0 released for publishing 1.0

Table of Contents TOC o "1-3" h z u

Table of Contents PAGEREF _Toc173411562 h 3Introduction PAGEREF _Toc173411563 h 4The Unit of Competency PAGEREF _Toc173411564 h 4Resources Required for Assessment PAGEREF _Toc173411565 h 6Accessing External Links PAGEREF _Toc173411566 h 7Assessment Workbook Cover Sheet PAGEREF _Toc173411567 h 8Your Area of Work PAGEREF _Toc173411568 h 9Practical Assignment Part 1 PAGEREF _Toc173411569 h 10Overview PAGEREF _Toc173411570 h 10Case Study 1 Breach of Legal Requirement PAGEREF _Toc173411571 h 11Task 1.1 Identify the Risks, Penalties and Consequences of Non-Compliance PAGEREF _Toc173411572 h 12Task 1.2 Refer Breach of Legal Practice to Relevant People PAGEREF _Toc173411573 h 14Task 1.3 Develop a Response Plan PAGEREF _Toc173411574 h 15Case Study 2 Breach of Ethical Requirement PAGEREF _Toc173411575 h 16Task 2.1 Refer Issues of Ethical Practice to Relevant People PAGEREF _Toc173411576 h 17Task 2.2 Develop a Response Plan PAGEREF _Toc173411577 h 18Case Study 3 Breach of Ethical Requirement PAGEREF _Toc173411578 h 20Task 3.1 Develop a Response Plan PAGEREF _Toc173411579 h 20Practical Assignment Part 2 PAGEREF _Toc173411580 h 22Overview PAGEREF _Toc173411581 h 22Task 1 Responsibilities and Liabilities of Different Work Roles PAGEREF _Toc173411582 h 23Task 2 Responsibilities of Managers in Developing and Monitoring Policies and Procedures PAGEREF _Toc173411583 h 25Task 3 Formats for Policies and Procedures PAGEREF _Toc173411584 h 29Task 4 Ethical Framework in the Workplace PAGEREF _Toc173411585 h 30Task 5 Apply Ethical Framework to the Workplace PAGEREF _Toc173411586 h 31IntroductionThe Practical Assessment is made up of the Practical Assignment Part 1 and Part 2. This assessment tests your practical skills with respect to the requirements of the relevant unit of competency.

The Practical Assessment requires you to complete and submit workplace documents and other documentation relevant to the unit of competency.

When completing the assessments included in this workbook:

Read the instructions provided in each task carefully before attempting to complete the task. The instructions will guide you on how to answer the question or complete the task satisfactorily.

Follow the steps provided in each task.

If the question instructs you to describe, provide a description as your response. If the question instructs you to list, provide a list as your response.

Where there is a number of required responses, provide the required number of responses. For example, if you are asked to list three responses, provide three responses.

Ensure that all your submissions for this assessment indicate your first and last name and that these submissions have been named according to the file naming convention prescribed in each task.

The Unit of CompetencyThe units of competency specify the standards of performance required in the workplace.

This assessment addresses the following unit of competency:

CHCLEG003 - Manage legal and ethical compliance (Release 1)

Research information required for legal compliance

Determine ethical responsibilities

Develop and communicate policies and procedures

Monitor compliance

Maintain knowledge of compliance requirements

A complete copy of the above unit of competency can be downloaded from the TGA website:

https://training.gov.au/Training/Details/CHCLEG003Resources Required for AssessmentThe Training Organisation to provide the candidate with access to/organise the following for the candidate:

Assessor to supervise and observe the candidate as they complete assessments, where required.

Workplace, or a similar environment, where the candidate can complete the assessments, and that will allow them access to:

suitable facilities, equipment and resources, including:

current legislation and regulations

workplace policies and procedures

guidelines

documents relevant to ethical practice

modelling of industry operating conditions, including:

use of real or simulated organisation for which the candidate develops policies and procedures

integration of problem solving activities

organisational workplace documents relevant to:

legal responsibilities and liabilities of different work roles

responsibilities of managers in developing and managing policies and procedures

organisational policies and procedures relevant to the area of work

documents relevant to the tasks, including:

legal and ethical frameworks relevant to identifying compliance requirements

legal information relevant to developing policies and procedures

documents used in evaluating work practices for non-compliance, including:

reviews from audit

risk assessments

inspection documents

reports

workplace templates, including:

Evaluation Form

Policies and Procedures template

Meeting Minutes template

Response Plan template

Accreditation Form

The candidate will need access to:

Computer with Internet, email access, and a working web browser

Installed software: MS Word, Adobe Acrobat Reader

Accessing External LinksThroughout this workbook, you will sometimes be required to access certain websites. Links to these websites are formatted in Blue Underlined Text.

To access these, hold the Ctrl key and click the link for Windows users, or simply click on these blue links for Mac users.

Assessment Workbook Cover SheetTo the candidate: Print this cover sheet and complete it by filling in all the required information and signing in the space provided. Your signature must be handwritten. Scan the completed cover sheet and submit it along with your evidence submissions. Use the filename: CHCLEG003 Cover Sheet

Workbook CHCLEG003

Title Manage legal and ethical compliance (Release 1)

First and Last Name FORMTEXT Kathlyn Mosquera

Phone FORMTEXT 0455943909

Email FORMTEXT kathlynmosquera29@gmail.com

-16440801144805

Please read the Candidate Declaration below, and if you agree to the terms of the declaration, sign and indicate the date in the spaces 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 Workbook.

I have organised and named the files I am submitting according to the instructions provided. I am aware that my assessor will not assess work that cannot be 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 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. I give my consent to contact these parties for verification purposes.

Name: FORMTEXT Kathlyn Mosquera 80678579875Signature: FORMTEXT Date signed: FORMTEXT 21/08/24

Your Area of WorkPreliminary Task

All tasks in this Practical Assessment require you to refer to the industry or work area you are currently a part of.

For your assessors reference, indicate below which industry or work area you are currently a part of by entering it on the field provided.

When completing these tasks, you must refer to the industry or work area you are currently a part of that you entered below.

The industry or area of work where you are currently a part of:

FORMTEXT (e.g. Education and care services)

Practical Assignment Part 1OverviewThe goal of these case studies is to assess your practical knowledge and skills in:

Researching information required for legal compliance

Monitoring compliance

This assessment is divided into 6 tasks:

Case Study 1 Breach of Legal Requirement

Task 1.1 Identify the Risks, Penalties and Consequences of Non-Compliance

Task 1.2 Refer Breaches of Legal Practice to Relevant People

Task 1.3 Develop a Response Plan - Response Plan 1

Case Study 2 Breach of Ethical Requirement

Task 2.1 Refer Issues of Ethical Practice to Relevant People

Task 2.2 Develop a Response Plan Response Plan 2

Case Study 3 - Breach of Ethical Requirement

Task 3.1 Develop a Response Plan - Response Plan 3

Each task comes with a set of instructions. You must follow and perform these instructions while being observed by the assessor.

You are required to:

Complete the tasks within the time allowed, as scheduled in-class roll.

Research information required for legal compliance

Monitor compliance

Resources required for assessment:

To complete this assessment, you will need access to the following:

relevant legislation (e.g. Education and Care Services National Law Act 2010)

documents relevant to ethical practice (e.g. Convention on the Rights of the Persons with Disabilities)

Case Study 1 Breach of Legal Requirement

SCENARIO

Richard is known to be a very naughty and troubled child. He has been breaking and damaging materials and equipment in the education and care service where he is currently enrolled in.

During a school event, Richard broke an expensive equipment. Because of this, one staff became extremely angry and spanked Richard using a yardstick, leaving a bruise on Richards arms.

A day after the incident, Richards parents came to school to report what happened to their son. They say what the staff did to their son is a form of corporal punishment which is against the law. They are also filing a complaint, not just for the staff, but for the whole service.

The staff who received the complaint immediately reported it to the supervisor and manager of the service.

Task 1.1 Identify the Risks, Penalties and Consequences of Non-Compliance

Answer the following questions relevant to the scenario provided.

What is the breach of legal practice made by the staff in the scenario?

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Provide two risks that lead to the offence.

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Complete the table below by:

Identifying the legislation relevant to the scenario provided above

Providing two sections in the legislation that have provisions relevant to the offence made

Describing the specific provisions of the sections relevant to the offence made

Providing the penalties for each of the provisions identified

Legislation: FORMTEXT

Section Number: FORMTEXT

Section: FORMTEXT

Penalty: FORMTEXT

Section Number: FORMTEXT

Section: FORMTEXT

Penalty: FORMTEXT

List down three consequences of non-compliance relevant to the scenario provided above.

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Is there a need for a specialist legal advice in the scenario? Explain why.

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Task 1.2 Refer Breach of Legal Practice to Relevant People

While being observed by your assessor, meet with the Compliance Officer (your Trainer) to refer breach of legal practice and act on need for specialist legal advice.

You will be assessed on:

Practical skills relevant to identifying risks, penalties and consequences of the non-compliance

Practical skills relevant to referring the breach to relevant people and acting on need for specialist legal advice

Use the Meeting Minutes template provided below.

Your assessor will also:

Provide you with the following, for your reference, and discuss these with you:

Copy of legislation relevant to practices in the workplace (e.g. Education and Care Services National Law Act 2010)

Meeting Minutes template (or similar workplace document)

Organise workplace resources required for you to complete this assessment.

After completing this task, submit the following to your assessor:

Meeting Minutes

Case Study 1 Task 1.2 Observation Form

Copy of legislation relevant to practices in the workplace (e.g. Education and Care Services National Law Act 2010)

Meeting Minutes Template

Meeting Details

Meeting called

Date of meeting

Time of meeting

Location of meeting

Meeting Participants

Facilitator

Note-taker

Attendees

Agenda Item 1:

Discussion point 1

Discussion point 2

Discussion point 3

Agenda Item 2:

Discussion point 1

Discussion point 2

Discussion point 3

Action Item Assigned Due Date

Case Study 1 Task 1.2 Observation Form

(This form is for the assessors use only)

This form is to be completed by the candidates assessor to document their observations on the candidates performance in Case Study 1 Task 1.2.

In this task, the candidate will be assessed on:

Their practical skills relevant to identifying risks, penalties and consequences of the non-compliance

Their practical skills relevant to referring the breach to relevant people and acting on need for specialist legal advice

Before the assessment, the criteria listed below must be contextualised further to reflect the following:

the details of the contextualised case study based on the candidates area of work

the legislation relevant to the breach

The sets of criteria below are based on Education and Care Services. Update, adapt or add more criteria below to ensure they reflect the elements mentioned above.

Refer Breach of Legal Practice to the Supervisor and Compliance Officer

During the meeting with the supervisor and compliance officer: YES/NO Date observed Assessors comments

The candidate communicates the breach of legal practice. This involves: Discussing to them the details of the breach, including: The person/s involved YES NO

The breach YES NO

The relevant legislation YES NO

The relevant penalties YES NO

The consequences YES NO

Explaining to them how it may affect the following: The clients YES NO

The service YES NO

The broader community YES NO

Discussing to them what needs to be done based on legal information YES NO

During this workplace task: YES/NO Date observed Assessors comments

The candidate asks regarding the actions that need to be done.

This involves: Asking the steps that need to be taken YES NO

Asking them for relevant people who can provide specialist legal advice (e.g. lawyers, specialists, etc.) YES NO

Asking them for other bodies who may help in addressing the breach YES NO

Assessor Declaration

By signing here, I confirm that I have observed the candidate, whose name appears above, meet with the supervisor and compliance officer to refer breach of legal practice.

I confirm that the information recorded on this Observation Form is true and accurately reflects the candidates performance during their completion of the workplace task.

Assessors signature

Assessors name

Date signed

Task 1.3 Develop a Response Plan

Develop a response plan to address the breach of legal requirement.

To complete this task:

Identify the legal requirement breached

List the work practices involved in the breach

Identify the people involved in the breach

List the proposed steps to address non-compliance

Identify the work practices that must be changed

Confirm the legal requirements exist within workplace policies and procedures. Use Trinity International Healthcare Pty Ltd Organisational Governance and Compliance Policy.

Identify the person/s responsible for implementing changes

Use the Response Plan 1 provided along with this workbook.

You will be assessed on:

Practical knowledge of the details of the breach

Practical knowledge and skills relevant to developing a response plan relevant to breach of legal requirement

After completing this task, submit the following to your assessor:

Response Plan

Copies of legal documents relevant to practices in the workplace (e.g. legislations, regulations, etc)

Case Study 2 Breach of Ethical Requirement

SCENARIO

Charles is a person with a disability and works as an employee in an education and care service. He has the skills and ability to design instructional materials for the children.

During a meeting with the HR department, the HR Manager announced that Charles has a high chance of advancing to a higher position. However, some of the employees disagreed and raised their concern about Charles disability.

One day, Charles approached you and asked you if you were free to discuss something important. You agreed and invited Charles to the office. Charles was hesitant at first, but after a few minutes, he started saying that one of his colleagues had been harassing him and forcing him not to take the promotion. His colleague had been telling him that he is not fit for the role because of his disability. He mentioned that this has been happened twice and it is starting to affect his self-confidence.

According to the Convention on the Rights of Persons with Disabilities, Article 27, the rights of the persons with disabilities to work must be on an equal basis with others. In relation to this, they must also be protected from harassment or other forms of bullying. As the manager, you must ensure that discrimination and harassment are prohibited in the organisation. You must initiate the process of making a complaint and resolving the dispute. This includes warning the employee and requiring them to have counselling. Since the incident happened twice, you decided to contact a specialist legal advisor to address the breach of ethical requirement.

Task 2.1 Refer Issues of Ethical Practice to Relevant People

Email the Compliance Officer (your Trainer) (or someone in the organisation who is assigned to monitor employee behaviours) to refer issues of ethical practice and act on the need for specialist legal advice.

You will be assessed on:

Practical knowledge of ethical requirements in the service

Practical skills relevant to referring the breach to relevant people and acting on the need for specialist legal advice

Use the Meeting Minutes template provided below.

After completing this task, submit the following to your assessor:

Email to Compliance Officer

Meeting Minutes to document the response from the specialist

Copy of documents relevant to ethical practices in the workplace (e.g. Convention on the Rights of the Persons with Disabilities)

Email Template

To: Subject: From: Send Attach Meeting Minutes Template

Meeting Details

Meeting called

Date of meeting

Time of meeting

Location of meeting

Meeting Participants

Facilitator

Note-taker

Attendees

Agenda Item 1:

Discussion point 1

Discussion point 2

Discussion point 3

Agenda Item 2:

Discussion point 1

Discussion point 2

Discussion point 3

Action Item Assigned Due Date

Task 2.2 Develop a Response Plan

Develop a response plan to address the breach of ethical requirement.

To complete this task:

Identify the ethical requirement breached

List the work practices involved in the breach

List the workplace policies and procedures which cover this ethical requirement and where the policies can be found

Identify the people involved in the breach

List the proposed steps to address the non-compliance

Identify the work practices that must be changed

Identify the person/s responsible for implementing changes

Use the Response Plan 2 provided along with this workbook.

You will be assessed on:

Practical knowledge of the details of the breach

Practical knowledge and skills relevant to developing a response plan relevant to breach of legal requirement

Your assessor will also:

Provide you with the following, for your reference, and discuss these with you:

Relevant documents for identifying the ethical breach, penalties, consequences, etc (e.g. codes of ethics, codes of conduct, etc)

Response Plan

Organise workplace resources required for you to complete this assessment. Use Trinity International Healthcare Pty Ltd Organisational Governance and Compliance Policy

Discuss with you the requirements listed in the Assessors Checklist prior to the assessment.

Address your queries and concerns regarding this task.

After completing this task, submit the following to your assessor:

Completed Response Plan 2

Copies of relevant documents for identifying the ethical breach, penalties, consequences, etc. (e.g. codes of ethics, codes of conduct, etc.)

Case Study 3 Breach of Ethical Requirement

SCENARIO

Organisation: A small, non-profit community mental health service in a regional NSW town.

A senior caseworker, Emily, has been employed for 15 years and is well-regarded in the community. She is assigned a new client, James, a young Aboriginal man struggling with substance abuse and homelessness. Emily, overwhelmed with her caseload, decides to prioritise other clients with more complex needs. She reduces the frequency of her visits to James and provides minimal support.

Task 3.1 Develop a Response Plan

Develop a response plan to address the breach of ethical requirement.

To complete this task:

Identify the ethical requirement breached

List the work practices involved in the breach

List the workplace policies and procedures which cover this ethical requirement and where the policies can be found

Identify the people involved in the breach

List the proposed steps to address the non-compliance

Identify the work practices that must be changed

Identify the person/s responsible for implementing changes

Use the Response Plan 3 provided along with this workbook.

You will be assessed on:

Practical knowledge of the details of the breach

Practical knowledge and skills relevant to developing a response plan relevant to breach of legal requirement

Your assessor will also:

Provide you with the following, for your reference, and discuss these with you:

Response Plan 3 (or similar workplace document)

Organise workplace resources required for you to complete this assessment. Use Trinity International Healthcare Pty Ltd Organisational Governance and Compliance Policy

After completing this task, submit the following to your assessor:

Completed Response Plan 3

Copies of relevant documents for identifying the ethical breach, penalties, consequences, etc. (e.g. codes of ethics, codes of conduct, etc.)

Practical Assignment Part 2OverviewThe goal of this practical assignment is to assess your practical knowledge and skills:

Identify the different responsibilities and liabilities of different work roles in your area of work

Identify the different responsibilities of managers in developing and managing policies and procedures in your area of work

Describe the formats for policies and procedures in your area of work

Identify the sources of information about compliance requirements

Identify and apply the ethical framework to the work context

This assessment is divided into five tasks:

Task 1 Responsibilities and Liabilities of Different Work Roles

Task 2 Responsibilities of Managers in Developing and Managing Policies and Procedures

Task 3 Formats for Policies and Procedures

Task 4 Ethical Framework in the Workplace

Task 5 Apply Ethical Framework to the Work Context

For these tasks, assume that you are a manager in your workplace.

Resources required for assessment:

organisations workplace document relevant to:

legal responsibilities and liabilities of different work roles

responsibilities of managers in developing and managing policies and procedures. Use Trinity International Healthcare Pty Ltd Organisational Governance and Compliance Policy or other workplace policies.

Contact your Assessor/Training Provider to get some assistance in researching the resources required for the assessment.

Task 1 Responsibilities and Liabilities of Different Work Roles Research workplace documents relevant to legal responsibilities and liabilities of different work roles in Community Services sector. Complete the table below:

Identify legal responsibilities of managers

Identify legal liabilities of managers

Identify legal responsibilities of supervisors

Identify legal liabilities of supervisors

Identify legal responsibilities of directors

Identify legal liabilities of directors

Provide the link to the workplace document you referred to when answering this question for your assessors reference.

Work Role Legal Responsibilities

Link Legal Liabilities

Managers FORMTEXT

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Work Role Legal Responsibilities

Link Legal Liabilities

Supervisors FORMTEXT

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Work Role Legal Responsibilities

Link Legal Liabilities

Directors FORMTEXT

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Task 2 Responsibilities of Managers in Developing and Monitoring Policies and Procedures1. Access and review your organisations workplace document relevant to the responsibilities of managers in developing and monitoring policies and procedures.

Complete the table below:

identify one responsibility of managers in developing policies and procedures relevant to the areas provided below

identify one responsibility of managers in monitoring policies and procedures relevant to the areas provided below

List any workplace document you referred to when answering this question for your assessors reference.

Area Responsibility of Managers in Developing Policies and Procedures Responsibility of Managers in Monitoring Policies and Procedures

Codes of Practice FORMTEXT

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Complaints management FORMTEXT

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Continuing Professional Education FORMTEXT

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Discrimination FORMTEXT

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Duty of Care FORMTEXT

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Universal declaration of human rights FORMTEXT

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Informed consent FORMTEXT

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Mandatory reporting FORMTEXT

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Privacy FORMTEXT

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Confidentiality FORMTEXT

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Rights and responsibilities of clients FORMTEXT

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Key practices that are prohibited by law FORMTEXT

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Auditing regimes FORMTEXT

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Need to apply for licences FORMTEXT

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Statutory reporting requirements FORMTEXT

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Business insurances required FORMTEXT

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Public liability FORMTEXT

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Requirements to implement policies and codes of conduct FORMTEXT

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Work role boundaries responsibilities and limitations of different people FORMTEXT

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Work health and safety FORMTEXT

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Documents referred to 2. 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 the site via the link provided above and identify at least one policy template organisations can use for each of the standards in the HSQF.

The six (6) standards in the HSQF One or two policy templates

Standard 1: Governance and management

Standard 2: Service Access

Standard 3: Responding to individual need

Standard 4: Safety, well-being, and rights

Standard 5: Feedback, complaints, and appeals

Standard 6: Human resources

3. Complete the table below:

Identify three sources of information about compliance requirements that your workplace/organisation refers to in NSW.

Provide the link to each source

Source of Information about Compliance Requirements Link

FORMTEXT

FORMTEXT

Task 3 Formats for Policies and Procedures Access and review your organisations policies and procedures. Answer the following questions about formats for policies and procedures in your area of work.

What is considered good formatting for policies and procedures in your area of work?

FORMTEXT

Complete the table below :List the parts that must be included in an organisations policies and procedures

Describe what must be discussed in each part.

Inclusions of Policies and Procedures Description

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Task 4 Ethical Framework in the Workplace 1. Access and review one document relevant to the ethical framework that your workplace/organisation adheres to.

Answer the following questions about ethical framework in your workplace/organisation.

Identify the title of the ethical framework that your workplace/organisation adheres to.

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List three ethical requirements contained in the ethical framework you provided in item i.

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Task 5 Apply Ethical Framework to the Workplace Use the Case Study 3 from the previous task and assume the small organisation did not have an adequate policy to cover the breach of ethical standards nor adequate procedures for providing directions for dealing with the non-compliance.

Use the templates and advice from The Queensland Council of Social Service (QCOSS) policy templates and guidelines to assist community services organisations and create a compliant policy and procedure for the NSW non-profit organisation. As the breach may cover a number of compliance aspects, choose one policy area to develop the policy. Remember, this is a NSW organisation.

Policy: Title

Policy Statement:

Scope:

Standards/ Legislation:

Definitions:

Procedure:

Supporting Documents:

Review: