CHCLEG003 Manage legal and ethical compliance

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CHCLEG003 Manage legal and ethical compliance


CHCLEG003 Manage legal and ethical compliance

Please fill out the following

DepartmentCommunity ServicesUnitCHCLEG003 Manage legal and ethical complianceStudent number Student name Student email Assessor name Assessment due date Submission date CHCLEG003 Managing legal and ethical compliance


I declare that:

This assessment is my own work, based on my own study and research and no part of it has been copied from any other source, except where due acknowledgement/reference has been made.      

If this assessment was based on teamwork, as authorised by the trainer, I have not submitted the same final version of any assessment material as another student.

I have not previously submitted this assessment or any part of this assessment for this or any other course/unit.

I have kept a copy of my assessment.

I give permission for my assessment to be reproduced, communicated, compared and archived for the purposes of detecting plagiarism or collusion and to fulfil Queensford College’s requirements as an RTO.

Any assessment deemed unsatisfactory will require me to undergo reassessment which may be different to the one originally submitted.

I am aware that in the event that I disagree with the assessment outcome I have the right to appeal that result.  I will follow the complaints and appeals process.

  Student Signature:  Date:      CHCLEG003 Managing legal and ethical compliance



If final overall result not applicable, indicate what is still required.

5 Log Book                      5  Workplace Observations                                 5 Other List:                                                           Trainer/Assessor Signature Date: CHCLEG003 Managing legal and ethical compliance


To be deemed competent students must have a satisfactory result recorded for each assessment activity.  If a result is not satisfactory for any assessment task, the trainer/assessor will determine the training and assessment tasks to be completed.



Feedback to Student          The student has been given feedback and informed of the assessment result and the reasons for the decision.Trainer/Assessor Signature Date CHCLEG003 Managing legal and ethical compliance


Resubmission Date Is this assessment subject to an appeals process5 Yes     5  NoOutcome of appeal     

CHCLEG003 Managing legal and ethical compliance

RTO No. 31736 |CRICOS 03010G

Community Services

Assessment Workbook

CHCLEG003 Manage legal and ethical compliance

Student Name: Student No. Email: Phone No. 


Document nameCHCLEG003 Manage legal and ethical compliance Assessment WorkbookPerson responsibleHead of OperationsIssue date     Version 2.0 December 2016StatusReleasedDocument control management – Uncontrolled when printedCHCLEG003 Managing legal and ethical compliance


Copyright © 2016 Malekhu Investments trading as Queensford College. All rights reserved.

Version control & document history

VersionSummary of modifications madeVersion 2.0 December 2016Version 2.0 Courseware transferred into new templates

Assessment information – Student

General Information

This assessment is suited as a summative assessment in a learning and assessment pathway.  The timeframe and deadlines for the assessment will be negotiated between yourself, the student, and your assessor.  Your assessor could be the same or a different person to your trainer. 

In order to be assessed as competent, you will need to show sufficient evidence which demonstrates that you can perform the required competencies to the required standard.  You also need to show you can demonstrate these skills, attitude and knowledge consistently, confidently and sometimes in a variety of situations.

Gathering evidence

Queensford College Assessors will use a variety of methods for gathering evidence. Assessments will be made up of a combination of the following tasks:

Question and Answer – (written or verbal) – You will have a set of written questions to complete.  Your assessor is likely to ask you to verbally verify some of your answers.

Project – You will need to complete one or several projects that relate to the simulated work environment.  This will allow you to demonstrate the application of your knowledge and skills as required by the unit/s of competency.

Activities – You will need to complete activities that relate to the simulated work environment to demonstrate your understanding of the unit/s. 

Assessor Observation/Demonstration – You will be asked to demonstrate some tasks directly to your assessor.  This may happen, either in the classroom or in a simulated work-environment as you perform your usual tasks/ duties.

Please make sure to write your name on all assessment documents. 

If you do not agree with an assessment decision you have the right to appeal.  See other attachment

Note: Please ensure that all work/evidence provided is your own.  If you are found to have submitted work other than your own, your enrolment may be cancelled and you may be withdrawn from the program.  Your signed Student Declaration forms part of the assessment record.  For further information, please refer to your Student Handbook

Assessment resources

For classroom based assessments, your assessor will provide you with all necessary resources to complete the assessment tasks. For simulated workplace based assessments, Queensford College will ensure that you have access to the resources you require to complete the assessment tasks.

Please note

The practice of plagiarism or collusion is prohibited. Plagiarism is the practice of taking someone else’s work or ideas and passing it off as one’s own work and collusion is the presentation another person’s assessment as one’s own and/or providing your own work to another person to allow them to pass it off as their own. If you are unclear about any of the requirements for this assessment, please discuss this with your assessor.

Task 1: Questions and Answers

INSTRUCTIONS Please write your answers clearly in the space provided.  All questions must be answered, please ask your assessor if you don’t understand any of the questions.  If you require more space attach a page clearly marked with your name, the name of the unit of competency (which can be obtained from the front of this Assessment booklet and the question you are responding to.  Some questions may require you to reference the learning materials provided by Queensford College. Your assessor will ensure that you have been provided with all relevant documentation.CHCLEG003 Managing legal and ethical compliance

What sources would you use to gather information on compliance? List 3.

They are as follows:Government website relevant to the aged care industry      CHCLEG003 Managing legal and ethical compliance

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

In your role or in a role you would like to perform outline the scope of compliance requirements that you would be responsible for. Then identify where you would find this information.

They are as follows:Work health and safety.Documentation and record keeping.Code of conduct and ethics. I would find this information from safety data sheet/legislation. 

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)CHCLEG003 Managing legal and ethical compliance

Based on question 2 outline the risks, penalties and consequences of non-compliance.

Based on question2 the risk, penalties and consequences of non-compliance are:Health and Safety Violations:   Ethical violations:         

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

What types of specialist advice might you need to access?

The type of specialist advice that we may need to access are as follows:AdvocatesAged care commission   CHCLEG003 Managing legal and ethical compliance

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

What is the ethical framework that applies to your work context? Please base this answer on the role you have or would like to have.

The ethical framework that applies in work context on the role I have or would like to have are:Code of conduct/ethics.Continuity of CareJustice and fairness.  

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)CHCLEG003 Managing legal and ethical compliance

What ethical responsibilities might you have as the manager of a community service organisation?

Ethical responsibilities i might have as the manager of a community service organization are as follows:Taking accountability.Promoting good practiceEnsuring equity and fairness.  

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

What formats might you use to document policies and procedures in your workplace?

They are as follows:Written manuals or handbooks in standard template approved by the organisations.Flowcharts and diagram. The flowcharts diagram given below:    CHCLEG003 Managing legal and ethical compliance

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

Why should documentation and reporting be integrated into policies and procedures?

Transparency and accountability: Transparency within an organisation is promoted by including documentation and reporting requirements into policies and procedures. It makes sure that procedures, decisions, and behaviours are recorded, giving an accurate record of what happened. As it makes it possible to observe and evaluate activities made, this transparency helps in establishing responsibility.    

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

T1, Q9.How can you ensure that client information is used and stored correctly?

They are as follows: Obtain insured consent: Before obtaining, using, or revealing a client’s personal information, be sure you have their informed consent. Make sure that clients are aware of the nature and extent of the information gathering and how it will be used and stored. If possible, get approval in writing, and preserve a record of it for reference.Limit Access to Authorized Personnel: Limit who has access to client information and only those who genuinely need it. Put strong access controls in place, such as individual user accounts, secure passwords, and permissions based on roles. Maintaining compliance with current job responsibilities requires regularly reviewing and updating access privileges.     CHCLEG003 Managing legal and ethical compliance

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

What should you do if many people are involved in meeting requirements?

They are as follows:Clearly define roles and responsibilities.Foster collaboration and teamwork.Seek feedback and continuous improvement.         

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

Why is time important in the distribution of policies and procedures?

They are as follows:Timely Implementation.Compliance. Staff training.   

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)CHCLEG003 Managing legal and ethical compliance

What is involved in monitoring compliance?

Monitoring compliance involves a systematic and continuous process of determining if a company, its staff, and its activities comply with appropriate laws, regulations, policies, and procedures. To reduce risks and guarantee adherence to ethical and legal norms, it tries to discover any deviations or non-compliance and take corrective action. The following are important factors in compliance monitoring:    

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

What key statutory and regulatory requirements may impact on community services management?

They are as follows: Health and safety regulations: For service users, employees, and volunteers to remain safe, health and safety regulations must be followed. This includes actions like risk analyses, emergency protocols, and requirements for workplace health and safety.   Employment laws: Employers regulations, such as those regulating minimum pay, working hours, employment contracts, anti-discrimination, and health and safety at work, must be followed by community services organisations.   Quality and outcome standards: Services provided in the community might need to adhere to quality and performance criteria established by financing or regulatory entities. With the help of these standards, service users will receive high-quality services that provide fruitful results. Answer: Key statutory and regulatory requirements that may impact community services management include:   Health and Safety Regulations: Community service organizations are required to comply with health and safety regulations to ensure the well-being and safety of service users, employees, and volunteers. This includes conducting risk assessments, implementing emergency protocols, providing a safe working environment, and addressing any potential hazards or risks.   Employment Laws: Community service organizations must adhere to employment laws and regulations governing various aspects of the employment relationship. This includes minimum wage requirements, working hours restrictions, employment contracts, anti-discrimination laws, and health and safety standards in the workplace.   Funding and Contractual Requirements: Community service organizations often rely on funding from government bodies or contractual agreements with funding agencies. These funding and contractual requirements may include specific compliance obligations, reporting procedures, performance targets, and financial accountability measures that must be met by the organization.   Quality and Outcome Standards: Community service organizations may be subject to quality and outcome standards established by regulatory bodies or funding agencies. These standards ensure that services provided to the community meet specific criteria related to quality, effectiveness, and positive outcomes for service users. Compliance with these standards demonstrates the organization’s commitment to delivering high-quality services and achieving desired outcomes.   Privacy and Data Protection: Community service organizations handle sensitive personal information of service users, and therefore, must comply with privacy and data protection laws and regulations. This includes obtaining informed consent for data collection and use, implementing appropriate security measures to protect personal information, and ensuring compliance with relevant privacy legislation.   Ethical Codes and Standards: Community service organizations often adhere to ethical codes and standards that guide their professional conduct and decision-making. These codes may be established by professional associations or industry bodies and provide guidelines for maintaining integrity, respecting confidentiality, avoiding conflicts of interest, and upholding ethical principles in service delivery.   Accessibility and Inclusion Requirements: Community service organizations are expected to promote accessibility and inclusion for all individuals, including those with disabilities or special needs. Compliance with accessibility standards and anti-discrimination laws ensures that services are provided in a non-discriminatory and inclusive manner, accommodating diverse needs and promoting equal access to services.   By understanding and complying with these statutory and regulatory requirements, community services management can ensure legal compliance, enhance service quality, protect the rights of service users and employees, and maintain the organization’s reputation and credibility.              CHCLEG003 Managing legal and ethical compliance

Assessor Use Only: Correct Written Response Correct Verbal Response (please provide notes)

Further Comments     Assessor Declaration: By signing below, I declare that all of the above activities have been satisfactorily completed and that I have verbally authenticated these if required.Assessor Name     Assessor Signature:     Date     

Task 2: Written activity

Student Instructions

These tasks will need to be completed and submitted in a professional, word processed, format. Each task must be 1000 words minimum in length.

Code of conduct: Regis has a formal Code of Conduct which reflects the Regis’s values of integrity, honesty, and respect. The Code outlines how Regis expects its representatives to behave and conduct business in the workplace and includes legal compliance and guidelines on appropriate ethical standards. All Regis staff (including temporary employees, contractors, Senior Executives) and Directors must comply with the Code of Conduct.

Anti-bribery and corruption policy: The Regis Healthcare Board has adopted the Anti-Bribery and Corruption Policy which supports Regis’ commitment to a high level of integrity and ethical standards in all its business practices. The purpose of the Policy is to set clear standards for how all directors, employees, agents, and contractors should behave, to prevent bribery and corruption in Regis’ business practices.

Feedback and continuous improvement: Regis welcomes feedback from all members of the Regis Community. There are a range of options available for providing feedback to Regis about the quality of our care and services. Avenues include providing feedback directly to our managers, through the Regis Advice Team or through our independently operated feedback line called Regis Share line.

–        Please ensure you allocate a section in your procedures for protecting client information. KEY WORD PRIVACY

–        Then discuss the methods you would use to distribute these policies, procedures and legal information to colleagues and peers and the timelines for delivery.  Sending emails, messages, meeting, regular updates and reminders, training, and orientation,

They are as follows:

Privacy breach: A worker accidentally violates privacy laws by disclosing sensitive personal information about a resident to an unauthorised third party.

Strategic response:

Inform the resident of the breach and offer them immediate assistance.

Neglect to Perform Medication Administration Protocols: A staff member administers medications improperly, potentially endangering the safety of residents and violating rules.

Strategic response:

Assess the situation right away, and deal with any threats to the safety of the residents.

Ethical conduct violation: A resident has been subjected to discriminatory behaviour by a staff member, which is against the organization’s ethical standards.

Strategic response:

Review and update the organization’s code of conduct to emphasise the value of respecting diversity and avoiding biases.

–        How often review will be performed

–        Who will undertake the review

However, Managers working in childcare should consider the legal and ethical frameworks at all levels when designing and overseeing policies and procedures relating to children in the workplace and ensure compliance with these standards. To detect and resolve any potential risks or violations, this includes consulting with relevant regulatory organisations and stakeholders, offering staff training and resources, and conducting routine reviews and audits. For workers to report any concerns or violations without fear of punishment, managers must promote an environment of accountability and transparency. In the end, a thorough and proactive approach to policies and procedures can guarantee the safety, wellbeing, and protection of children at work while also fostering an environment that is both positive and productive for all employees.

–        Universal declaration of human rights

–        Relationship between human needs and human rights

–        Frameworks, approaches and instruments used in the workplace

–        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

Further Comments     Assessor Declaration: By signing below, I declare that all of the above activities have been satisfactorily completed and that I have verbally authenticated these if required.Assessor Name     Assessor Signature:     Date     CHCLEG003 Managing legal and ethical compliance

OFFICE USE ONLYDate Received:     Received by:     Format Received: (Cross)Email USB HardcopyDate Processed:     Processed by:     Initial:     Date Assessed:     Assessed by:     Initial:     Date Approved:     Approved by:     Signature:     Date Archived:     Archived by:     Initial     CHCLEG003 Manage legal and ethical compliance


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