Manage legal and ethical compliance CHCLEG003
- Subject Code :
CHCLEG003
CHCLEG003Manage legal and ethical compliance
Contents
Section 2: Monitoring compliance
Section 3: Responding to compliance breaches
Section 4: Other compliance activities
Section 6: Personal reflection
About this document
This document is to be used as a portfolio to collect evidence for the unitCHCLEG003 Manage legal and ethical compliance.
Student details section
Fill in the table below:
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Student name: |
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Name of RTO: |
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Trainer/assessor name: |
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If this portfolio is found, please contact me using the details below: |
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Work placement information
Work placement provides you with an opportunity to learn and be assessed in a hands-on, real-life industry environment. Learning in the classroom is important, and you will engage in lots of classroom discussion, practice and be involved in demonstrations and simulations before you are ready for your work placement but gaining practical experience during your work placement hours provides you with the opportunity to put your new-found knowledge into practice and provides you with an appropriate environment to be assessed in. It also provides you with opportunities to observe qualified and experienced community services workers and allows you to learn while under the close supervision and guidance of a workplace supervisor and mentor.
You will not be paid for your work placement as it forms part of your training and assessment for this qualification.
Responsibilities
You are always expected to comply with all of your work placements policies and procedures for their staff members and follow your supervisors instructions. You will receive the required information about working hours, dress requirements and specific guidelines from your work placement before you begin and will sign a work placement agreement prior to starting. If youre unsure of anything then speak to your trainer/assessor and ask questions when the placement arrangements are being made. You may undertake more than one placement at a different facility this will all be arranged with your trainer/assessor and made clear to you during this time.
Your work placement supervisor will arrange an induction for you where the expectations will be outlined and the limitations of what you are able to do while you are at your work placement.
Evidence collection
In this section, the details of the evidence you need to collect are outlined along with instructions about what you need to do.
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Assessor:this icon indicates that the assessor needs to observe this at the workplace visit or will be asking the student questions directly. |
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Student:this icon indicates that the student needs to complete this section. |
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Supervisor:this icon indicates that the supervisor needs to do something. |
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Attach:this icon indicates that you need to attach something as evidence to support what you have written. |
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There are five parts to this portfolio document:
- Section 1 Summary
- Section 2 Monitoring compliance
- Section 3 Responding to compliance breaches
- Section 4 Other compliance activities
- Section 5 Supervisor report
- Section 6 Personal reflection.
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Note to work placement supervisor: When you see this icon, action is required on your part. Read the students account of events and make a comment to confirm the truthfulness and accuracy as a form of evidence collection for the assessor. Please make sure the student is suitably supervised and that they have permission from everyone involved if they are engaging with a client. This may include the person directly or may require permission from their family member, carer or advocate. |
Section 1: Summary
In this section, you will summarise the legal and ethical compliance issues that you monitored.
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Summary |
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Name of work placement: |
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Name of supervisor: |
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Legal issue Describe the legal issue which you monitored. What are the risks, penalties and consequences of non-compliance? What is the relevant legislation? List the relevant policies and procedures. |
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Ethical issue Describe the ethical issue which you monitored. What are the risks, penalties and consequences of non-compliance? What are the relevant ethical frameworks? List the relevant policies and procedures. |
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Comment on and endorse Section 1. |
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Dont forget to attach your supporting evidence and any additional documentation for your portfolio. Make sure to deidentify these documents. |
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Section 2: Monitoring compliance
In this section, you will describe the strategies which you used and the activities which you undertook to monitor and evaluate legal and ethical compliance in your workplace. Describe each activity and detail what you did and the strategies that you used. You will also be asked to attach evidence and examples have been provided.
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Legal compliance activities |
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Activity |
What happened? Provide detailed information. |
Attach evidence |
Comment and endorse each page. |
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Describe the processes which you used to monitor legal compliance. Describe the monitoring activities which you undertook. How did you apply the organisations policies and procedures? |
For example: Relevant policies and procedures Monitoring records Relevant documentation Error/exception reports Complaints Feedback forms |
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Ethical compliance activities |
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Activity |
What happened? Provide detailed information. |
Attach evidence |
Comment and endorse each page. |
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Describe the processes which you used to monitor ethical compliance. Describe the monitoring activities which you undertook. How did you apply the organisations policies and procedures? |
For example: Relevant policies and procedures Monitoring records Relevant documentation Error/exception reports Complaints Feedback forms |
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Comment and endorse Section 2. |
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Section 3: Responding to compliance breaches
In Section 3 of your Portfolio, you will describe the activities which you undertook to respond to compliance breaches. You will report on three different situations where a legal or ethical requirement has been breached. Describe each activity and detail what you did and the strategies that you used. You will find guiding questions in your Student Assessment Tasks. Attach evidence to support your written entries. Examples of suitable evidence have been included below.
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Breach 1 |
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Activity |
What happened? Provide detailed information. |
Attach evidence |
Comment and endorse each page. |
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Describe the breach.
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A co-worker was sending emails from a work email account to a personal email address |
For example: Relevant policies and procedures Monitoring records Relevant documentation Error/exception reports Complaints Feedback forms |
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How did you report the breach? Who did you report the breach to and why? |
For example: Relevant policies and procedures A copy of the report Organisational chart |
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What modifications did you or others make in response to the breach? For example, was a change made to a policy or procedure? Did a staff member require additional training? |
For example: Relevant policies and procedures A copy of the report Organisational chart Notes Correspondence |
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What steps did you take to develop a strategic response to the breach? How did you respond to the breach in the short, medium and long-term? |
Relevant policies and procedures Rectification reports Notes Correspondence |
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Comment and endorse Section 3. |
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Section 4: Other compliance activities
In this section, you will report on some of the general compliance activities that you undertook. You should describe each activity and detail what you did and the strategies used. Provide evidence where available to support your written responses.
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Compliance activities |
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Activity |
What happened? Provide detailed information. |
Attach evidence |
Comment and endorse each page. |
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Model ethical behaviour in your own work |
For example: Formal feedback Informal feedback Reports/correspondence demonstrating ethical decision-making Self-reporting in relation to conflict of interest etc |
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Ensure monitoring systems protect client information Describe the processes and strategies that you used to ensure that client information was protected |
For example: Formal feedback Informal feedback De-identified documentation Record keeping protocols |
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Maintain and update required accreditations or certifications Describe the certifications and accreditations which you are required to maintain for your role/industry sector. What strategies do you have in place to keep them up to date? How do you ensure that they are kept current? Where do you find information about your requirements? |
For example: Copies of certification (current working with children check) Diary entries Receipts Subscriptions Links to information |
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Maintain and up to date knowledge of current and emerging legal requirements and ethical issues Describe the strategies that you have in place to stay up to date with legal requirements and ethical issues. How do you share this information with your peers and colleagues? |
For example: Professional memberships Subscriptions to journals/newsletters Proof of professional development Correspondence with peers and colleagues |
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Comment and endorse Section 4. |
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The supervisor needs to complete this section once all of the tasks have been completed and relevant sections have been endorsed.
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Supervisor report |
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The information provided by the student in their portfolio is an accurate reflection of their actions. |
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During the activities described in their portfolio, the student: |
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Worked within the organisations policies and procedures |
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Worked to a satisfactory level in line with their assigned roles and responsibilities |
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Used effective oral communication and positive, respectful and inclusive language |
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Worked within appropriate legal and ethical frameworks |
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Modelled ethical behaviours in their own work |
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Developed a strategic response to at least three situations where legal or ethical requirements had been breached |
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Monitored compliance |
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Maintained knowledge of compliance requirements |
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Reported to me when they were unsure of something or if something was beyond their abilities or role |
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Completed, maintained and stored documentation and reports according to the organisations policy and protocols |
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Provide the details of three examples where the student developed a strategic response to the breach of a legal or ethical requirement. |
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Do you have any feedback for the student? |
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The student has permission to submit the information contained within the portfolio for the purposes of assessment. |
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Tick one only: |
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The student has permission to submit workplace documentation to support their portfolio. |
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The studentdoes nothave permission to submit workplace documentation the assessor can view these files on site. |
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Full name: |
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Position: |
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Contact details: |
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Signature: |
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Date: |
Section 6: Personal reflection
In this section, you will reflect on your work placement.
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Personal reflection |
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Describe two things that you feel that you did particularly well when monitoring and managing legal and ethical compliance. |
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Describe two things that you think you could do better next time. How will you apply this learning to your practice in future? |
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Add any other reflections you might have about your experiences in regard to this unit. |
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Dont forget to attach your supporting evidence and any additional documentation for your portfolio. Make sure to deidentify these documents. |
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