CHC52015 Legal and Ethical Compliance Assignment Answers

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Knowledge Assessment and Case Study Assignment
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Assignment Details:-
Topic: Legal and Ethical Compliance
Words: 4500 words
INTRODUCTION TO THIS WORKBOOK
The units of competency specify the standards of performance required in the workplace. This assessment addresses the following unit of competency:What is this workbook about?
CHCLEG003 – Manage legal and ethical compliance
Research information required for legal compliance
Determine ethical responsibilities
Develop and communicate policies and procedures
Monitor compliance
Maintain knowledge of co mpliance requirements
HLTWHS004 – Manage work health and safety
Establish work health and safety practices
Facilitate consultation, cooperation and communication
Monitor compliance with risk control processes
Evaluate and maintain WHS
Context for Assessment
To complete the assessments in this workbook, students need to have access to their learning materials and the Internet. The Knowledge Assessment and Case Study may be completed wholly at the student’s home or chosen place of study.
The tasks within the Assessor Observation Form must be completed in a workplace.
Assessment Requirements
The assessment requirements specify the evidence  and  required conditions for assessment.
Each unit of competency can be unbundled to reveal three (3) key assessment components:
1.       Performance Evidence
describes the subtasks that make up the element of the un it
2.       Knowledge Evidence
describes the knowledge that must   be applied      to understanding the tasks described in the elements
3.       Assessment Condition
describes the environment and conditions that assessments must be conducted under
The associated assessment method in this kit covers all of these components as detailed in the matrix to follow:
Units of Competency
 
Assessment Activities
 
CHCLEG003
 
HLTWHS004
Knowledge Assessment
Case Study
ABOUT THE ASSESSMENTS
Assessment MethodsThis workbook uses the following assessment methods:
Knowledge Assessment- A set of generic and workplace question testing the student’s general knowledge and understanding of the general theory behind the unit.
Case Study – Detailed scenarios and simulated environments providing all necessary information required to complete relevant tasks and activities.
Resources Required for Assessment
Assessor to provide:
Case studies and simulations
Information about work activities
You will need access to:
A video recording device (e.g. handheld cameras, mobile phones, )
Computer with access to Internet and email
Installed software: MS Office Word (or equivalent), Adobe Acrobat Reader
Access to legislation relevant to the community services industry, including codes of conduct, WHS legislation, practice standards,
At least two (2) persons who will volunteer in the roleplay activity
At least five (5) people who have email accounts
Printer to print policies and procedures in the Case Study Assessment
KNOWLEDGE  ASSESSMENT
Part 1 – Managing legal and ethical compliance
1. Crucial to your work role in case management in community services is    a solid understanding of legal and ethical compliance requirements.
Which of the following are reliable sources of information about compliance requirements. From the options below, select only six (6).

a. Federal Register of Legislation (www.legislation.gov.au)

b. Legal specialists (e.g. lawyers)

c. Relevant legislation and regulations

d. Newspapers, tabloids, and magazines

e. Peak bodies and industry associations

f.    Local, state/territory, national government bodies

g. Social media platforms (e.g. Facebook and Twitter)

h. Relevant supervisors, managers, or other industry personnel
2. Provide one (1) local government department or regulatory agency in your state or territory relevant to the delivery of community services and provide a description of the department of the agency, including their function and how they operate.
Your state or territory
One (1) local government department or regulatory agency in your state or territory
Description of its function an d how they operate
3. Listed below are some of the national government departments and regulatory agencies relevant  to  the delivery  of  community services in Australia. Describe their function and how they operate.
National government departments and regulatory agencies
 
Their function and how they operate
Aged and Community Services Australia
Secretariat of National Aboriginal and Islander Child Care (SNAICC)
Department of Social Services Australia
Mental Health Australia
4.  Listed  below  are  some  industry associations relevant  to  the delivery   of community services in Australia. In your own words, describe their function and how they operate.
Industry association
Their function and how they operate
Australian Community Workers Association
Case Management Society of Australia and New Zealand
Australian Association Of Social Workers Ltd
In your  own words, describe the purpose and  relevance of  having plain  English  documentation  for  explaining  legislation   in   the  delivery of community services.
6. From the options below, select the two (2) correct sources where you can access  plain  English  documentation  to  help explain  legislation  in the community services industry.

 
a. Cultural interpreter

b.
Guiding documents officially published by the relevant government departments or regulatory agencies

 
c.
 
TGA (www.training.gov.au)

d.
Official or organizational websites of relevant government departments, regulatory agencies, and industry associations

 
e.
 
Federal Register of Legislation (www.legislation.gov.au)
7. The Aged Care Act 1997 is one of the many pieces of legislation releva the community services industry. From the options below, select the on correct source of plain English documentation used to help explain legislation.
nt to e (1)
this

a. Residential Care Manual

b.
 
(EYLF)

c.
My Aged Care website, factsheets, guides and policy

d.
Quality of Care Principles 2014

e.
The Guide to the Model WHS Act
8.  Listed   below   are   legal   and   ethical   frameworks to  which         delivery of community services must adhere to. In your own words, discuss how each framework applies to the community services industry.
Legal and ethical framework
How this applies in the community services industry
Children in the workplace
Codes of conduct
Codes of practice
Complaints management
Continuing professional education
Discrimination
Dignity of risk
Duty of care
Universal declaration of human rights
Informed consent
Mandatory reporting
Practice standards
Practitioner/client boundaries
Privacy, confidentiality and closure
Policy frameworks
Records management
Work role boundaries
Work health and safety
9. The case workers, case managers, other staff, clients, and employers (community services provider) are all stakeholders in the community services   industry. Each  stakeholder                       have  rights  and    responsibilities recognised   and   required,   respectively,   in   accordan ce  with      relevant                         legislation, standards, and regulations.
For    each   stakeholder,    provide    two    (2)    rights    they    have   and   (2) responsibilities they must fulfil in accordance with relevant legislation, standards, and regulations.
Write your answers in the spac es provided. The first answer has already been provided for your reference.
Client
Rights
Responsibilities
Sample answer:
The right to be treated with respect and courtesy.
Sample answer:
Treat staff and volunteers with respect and courtesy.
Case manager, case workers, and other staff (Employee)
Rights
Responsibilities
Community services provider (Employer)
Rights
Responsibilities
10. Human rights sits at the core of all legal and ethical frameworks especially in the health and community services.
Explain  how  human  rights is  related  to  human needs, and      provide an example how this is applied in the community services industry.
Your response must be between 60      100 words in length.
11. Listed below are some of the basic principles underlying the human rights framework and approaches used to continuously recognise, uphold, and protect these rights.
Explain how each principle is applied in your case management practice in the community services industry.
Principle underlying human rights frameworks and approaches
 
How this is applied in your case management practice in the community services industry
Universality
Indivisibility
Participation
12. From  the  options below, select  six  (6) instruments  or  tools used  in the workplace in meeting legal and ethical requirements for human  rights.

a.  Certification    and     qualification    requirements    for    case workers

b. Financial assessment to determine whether a client can pay for services

c. Charter of clients’ right and responsibilities

d. Organisational policies and procedures relevant to client  complaints.

e. Plain English documentation that help explain legislation

f.    Continuous improvement policy and procedures

g. Person- centred approach to service delivery
13. The Fair Work Act 2009 is the legislation governing industrial relations in all organisations in Australia, including organisations providing community services and case management services. The Act sets the National Employment Standards outlining minimum employment entitlements, including maximum weekly hours, flexible working arrangements, leaves, and more.
There are specific requirements for maximum weekly hours that apply to organisations in the following sub – industries in the social, community, disability and home care services industry.
Complete the table below by supplying the required information about these requirements.
Guidance: Access www.fairwork.gov.au/employee – entitlements/hours – of- work- breaks- and- rosters to help you complete this part of the assessment.
Sub- industry
Requirements for maximum weekly hours
 
services
Maximum number of work hours for full time
Maximum number of work hours for part time
Minimum hours
Maximum number of work hours for full time
Social and
community services
Maximum number of work hours for part time
14. Fair Work Australia provides up to date information on the social and community service industry pay rates. Navigate around the website: www.fair work.gov.au/pay/minimum – wages/social – and- community – services- industry – pay- rates and determine the hourly rates for the  following  work  role  classifications  in  their  respective  industries and states/territories.
Complete the table below.
Guidance: The first answer has already been provided for your reference.
 
Pay guide
 
Classification
 
State or territory
 
Hourly pay rate
Social and Community Services Employees (State) Award [AN120505] Pay Guide
 
Level 2 – pay point 1 Fulltime and Part – time
 
Community services worker grade 1 – Year 1
 

 
$25.42
Social and Community Services (Queensland) Award 2001 [AP808848] Pay Guide
 
Level 7 – pay point 2 Fulltime and Part – time
 
Community Services Worker, Level 7, Pay point 2
 
Queensland
Social and Community Services Industry – Community Services Workers – Northern Territory Award 2002 [AP817216] Pay Guide
 
Level 4 – pay point 1 Fulltime and Part – time
 
Community services worker grade 4, Pay point 1
 
Northern Territory
15. The table below lists specific requirements in the community services area. For each area mentioned, provide one (1) example of a work practice   that would be prohibited by  law  and  the associated  consequence that   may occur as a result of this practice.
Guidance: Your responses must be relevant to the community services industry. The first response has been provided for your reference.
Practice prohibited by law
Provide one (1) example
 
Consequence
a. Discrimination
Sample answer:
Case manager or case worker refusing to take a case from a client from a different cultural background.
Sample answer:
The case manager or worker who refused to p rovide the service can be reported to the organisation or to the Australian Human Rights Commission or may be
reported to Federal Court of Australia or the Federal Magistrates Court and face legal consequences
b.  Privacy and confidentiality
c. Work health and safety
16. There following are areas in Community Services where workers require specific licenses, mandatory training or certification/qualifications.
Explain how they apply to the community services industry.
Blue Card (Queensland)
First Aid Certificate
Australian Community Workers Association Membership
17. Different industry sectors have different statutory reporting requirements in place. Below are examples of situations across industry sectors that need to be reported.     Describe the  reporting requirements for each situation that applies  in your state or territory.
Guidance: Indicate your state/territory. Provide the link to the webpage containing the information you used as reference.
Your state or territory
Industry sector
 
Scenario
 
Reporting requirements
 
Link to webpage containing information
 
Aged Care
 
Suspected financial abuse of a client
 
Youth
 
Homeless fourteen year- old
 
Disability
 
Suspected abuse of a person with
18. Listed below are three (3) business insurances required for community service organisations. In your own words, discuss the purpose of each.
Each discussion must be between 60      100 words in length.
Public liability
Workers compensation insurance
Personal accident insurance
19. When  an  organisation  is undertaking accreditation     they are required to meet a number of standards. Identify and explain two (2) of the service areas that would be considered or assessed.
Each discussion must be between 80 – 100 words in length.
20.Listed below are the five (5) steps that organisations, including community services, they are  typically  required to      follow in developing their plans, policies, and codes of conduct for service delivery.
Explain each step. Do not exceed 100 words for eac h step.
Guidance: Ensure that your responses are within the context of the community services industry.
1) Planning and consultation
2) Research and defining policy terms
3) Drafting the policy
4) Implementing the policy
5) Monitoring compliance
21. In your own words, discuss the role and responsibilities of case managers in the development, implementation, and review of organisational policies and procedures in line with the legal and ethical requirements identified  in Part 1 Written Question 8.
Your discussion must be between 60 – 100 words in length.
22. Provide two (2) ways that a community service organisation can ensure they remain up – to- date with compliance requirements.
23. How would the implementation of workplace policies and procedures assist a community services organisation  ensure that their internal work practice s and external service delivery comply with legal and ethical requirements?
Your discussion must be 50 – 200 words in length and must cover both internal work practice and external service delivery.
24. 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  HSQF  Resources  through this link      and provide one (1) policy template that organisations can use for each of the standard s:
https://www.qcoss.org.au/our  – work/our – work – in- summary/human -services- quality- framework – resources/
HSQF Standards
Templates
 
Standard 1: Governance and management
Standard 2: Service Access
Standard 3: Responding to individual need
Standard 4: Safety, wellbeing, and rights
Standard 5: Feedback, complaints, and appeals
Standard 6: Human resources
25.  Based on the templates and guidelines developed by QCOSS:
a.       What  kinds  of  information  should  be  included  in  the  policies  and procedures in general?
b.      Some templates contain unique information. Id entify at least two (2)and indicate the template and the standard .
a.
b.
26. Identify three (3) techniques for monitoring compliance in the community service organisation. In your own words, discuss each technique.
Part 2 Managing work health and safety
1. State/territory WHS authorities regulate and enforce work health and safety legislation in their jurisdiction.
procedures, regulations, codes  of  practice and industry      standards? Select only five (5) from the options below.

a. Monitoring attrition rate of employees

b.
Compliance with work and health and safety laws

c.
Funding community services

d.
Reporting requirements for workplace incidents

e.
Implementation of anti – discrimination policies

f.    Injuries and workers’ compensation claims

g.  Handling clients’ complaints

h.
Health and safety representative training

i.
Work health and safety training and assessment
2. Persons conducting a business or undertaking (PCBUs), workers, and officers (e.g. supervisors or WHS officer) all have legal rights and responsibilities as set in the relevant WHS legislation.
In your own words, discuss how these legal rights and responsibilities
codes of practice, and industry standards.
Each discussion must be between 60 100 words in length.
Stakeholder
How do these legal rights and responsibilities impact
regulations, codes of practice and industry standards?
PCBU
Workers
Officers
3. Discuss how the current legislative requirements for record – keeping and reporting                    impact    your      regulations.
Each discussion must be between 60      100 words in length.
Legislative requirement
procedures and regulations
Record- keeping
Reporting
4. In your own words, discuss how due diligence and general duty regulations.
Your discussion must be between  60 – 100 words in length.
5. Work health and safety legislation have in place regulatory requirements forall types of industry setting or work site, including the work settings in the community services industry.
In  your  own  words,  discuss how  these  WHS requirements impact the
Your discussion must be between 60 – 100 words in length.
6. Work health and safety legislation have in place regulatory requirements for  all organisations to conduct WHS consultation with stakeholders.
In   your    own   words,  discuss  how    these   requirements   impact     the
Your discussion must be between  60     100 words in length.
7. Work health and safety legislation have in place regulatory requirements for hazardous manual tasks and infection control.
In your own words, discuss how these legislative requirements impact the
Each discussion must be between 60 – 100 words in length.
Hazardous manual tasks
Infection control
8. Identify three (3) hazards common in the community services work setting. List one (1) associated risk for each hazard you identify and provide one (1) strategy how to    minimise this risk from happening.
Write your answers in the spaces provided.
Guidance: Ensure that your responses are relevant to the community services industry.
Common hazards in working in the community services industry
Guidance: List three (3).
Associated risk
Guidance: List only (1) for each hazard you identify.
Strategy for minimising associated risk
Guidance: List only (1) for each hazard you identify.
9. Work health and safety legislation have in place specific requirements for
of these
requirements.
In your own words, discuss how each of these requirements apply to your
Guidance: You may refer to the provisions in the WHS legislation relevant to your home state/territory.
WHS Requirement
How this requirement apply in organisational policies and procedures
Human resources policies and procedures
Consultation and participation
Incident investigation and record – keeping
Quality system documentation
Designated person/s for raising issues
Workplace support services
Use of personal protective equipment (PPE)
Emergency procedures
Hazard identification
Risk assessment and control
10. From the options below, select the three (3) statements that are accurate about the principles of risk assessment.

a. Risk assessment is a complex process that only licensed specialists are authorised to conduct it.

b. Risk assessment involves considering what could happen if someone is exposed to a hazard and the likelihood of it happening.

c. Risk assessment is not required and is an optional third – party service that organisations may avail.

d. Risk assessment helps determine the severity of a risk and whether any existing control measures are effective.

e. Risk assessment determines what action should be taken to the control the risk and how urgently the action needs to be.
11. In your own words, discuss what risk analysis is and the principle underlying this process.
Your response must be between 60 – 100 words in length.
12. Hazard    identification   is    an   important    process  in    hazard   and   risk to identify hazards.
13. From the options below, select the three (3) statements that are accurate about the principles of hierarchy of control.

a. Hierarchy of control follows a ranking system to control risk  from the highest level of protection and reliability to the lowest.

b. The primary aim in the hierarchy of control is to eliminate the risk by removing the hazard.

c. Risks are minimised by randomly selecting from the controls available.

d.  The   primary  aim   in   the  hierarchy  of   control  is   to administer personal protective equipment (PPE).
 

e. Risks are minimised by working through the other alternatives in the hierarchy of control, for example if the risk cannot  be  removed,  then  substitute/replace the hazard, etc.
14. Listed below are two (2) hazards common in working in community services and their associated risks.
Provide at least one (1) way how to minimise the associated risk based on the                                                                                                                                               recommended control to be used. The first response has already been provided for your reference.
Hazard
Associated risk
Recommended control
How to minimise the risk
Tripping hazard from electrical cords
Physical injury from slips and falls
Engineering control
Sample answer: Cover electrical cords with cord cover.
Distressed and angry client
Psychological and emotional stress on the case worker
Administrative control
15. From the list below, select the four (4) examples or sources for work health and safety benchmarks.

a. Work health and safety legislation

b. Codes of practice

c. Work health and safety compliance codes

d. Work health and safety standards set internally within the organisation

e.  Articles about work health and safety published online by dubious websites
16. Listed below are the five (5) principles or key elements of safe design outlined in the Guidance on the Principles of Safe Design for Work.
In your own words, discuss each principle. Each discussion must be between 60     100 words in length.
Principle
Discussion
Principle 1: Persons with control
Principle 2: Product lifecycle
Principle 3: Systematic risk management
Principle 4: Safe design knowledge and capability
Principle 5: Information transfer
17. When might a community services provider consider engaging a person to provide advice on WHS?
Guidance: Identify at least two (2) examples.
CASE STUDIES
Case Study 1 – Alex
SCENARIO
You  are  working  as a volunteer        in a government – funded community services organisation     catering     for     homeless persons.
You are working with Alex who is also a volunteer. He has been assigned in an outreach service that assists clients to secure  permanent  housing.    Since the community is far from the main office of the organisation, Alex often has to make
out- of- pocket expenditures for activities involved in the community pr        ograms.
procedures,  to  report  a  ny  reimbursements  for  expenses  i  n  behalf  of the organisation. Reporting these expenses  for  reimbursements  are  done viaan online portal every week.
One day, you overhear d Alex speaking with a new volunteer about how he makes extra money from his work. Alex said that he would increase the values of the expenses incurred in his reports for reimbursements . He said that he has never been questioned because they submit  digital copies of receipts as part of the reporting process. He also told the new  volunteer  that  people he knew would assist him with dockets that he would  report  as his own. He further asked the new volunteer not to tell anyone about this.
 
1. Identify and explain two (2) legal and ethical responsibilities that were breached in the scenario.
a.
b.
2.      Write an email to your supervisor and report about the scenario.            In your email, provide the following information:
details of the situation
your assessment of the situation and explain why there is a need for specialist legal advice
the risks, consequences
Guidance: There is no need to send an actual email. Write your email in the spaces provided below. Ensure to maintain privacy and confidentiality when writing your email.
Case Study 2 – Skylar
SCENARIO
Skylar  is  a  teenager  referred to Happy Backpacks,  a community services organisation catering to homeless juveniles. He ran away from home three years ago and he is now living in the streets. He stays in one area for at least a week and then moves to another. You learned from your referral networks    that    Skylar    would    often be involved in street fights, so stay long in one place. He has also been involved with other homeless adults who influenced him into drinking. You learned that his father was an alcoholic and would hit You speak with Skylar one day during his assessment and you mentioned his
he walks away from you and as he walk past other juveniles in the centre, he started verbally abusing them. Two male youth workers r ushed to his side to stop him but he started throwing things across the room. He even hit one of the youth work ers when they tried to restrain him.
The WHS policies and procedures in Happy Backpacks have been reviewed two years ago and it does not state what to d o when clients show aggressive behaviour inside t he centre as this rarely happens.
1. What are your legal responsibilities as a youth worker based from the scenario? Explain why you say so.
Guidance: There are two (2) responses. Include any hazards involved in your responses.
a.
b.
2.      This task requires you to develop a WHS policies and procedures relevant to
Case Study 2: Skylar which must be communicated to the organisation.
In the template provided, write a policy tha t must be included in thestaff handbook regarding the incident. Your policy must specifically cover the following:
a.       Roles and responsibilities of different workers towards the aggressive behaviour of clients
Guidance: Refer also to the legal responsibilities you have specified in Case Study 2, Question 1.
b.      Emergency procedures on instances when a client shows aggressive behaviour
c.       Reporting and  documentation procedures, including a policy  in protecting client information
To guide you in draftin g the policy, research on relevant legislation, practice standards, or source documentation (e.g. workplace handbooks, policies and procedures similar to this incident), and include any legal information in the template.
Specifically, your policy must con tain the following:
a.       Policy name
b.      Version no. and creation date
Guidance: For the purpose of this assessment, use the current date
c.       Purpose statement, including definition of terms where possible
d.      Specific sections of the policy, as specified above
e.      Procedures, including consequences if policy is breached Guidance: Include legal information to support the procedures you are developing.
f.        Review date
Happy Backpacks
Policy:
Policy Developer:
Version no.
Date:
Purpose:
Definition of Terms:
Procedures:
Guidance: Include legal information as necessary.
Next Review Date:
Case Study 3 – Eliza
SCENARIO
Community workers in Happy Backpacks are also sent to local communities to teach and disseminate information to teenage mothers about proper care for babies and young children. Most of these  communities are in remote    towns    and people    from    these communities go distances when they need to access health services.
One of the new case workers, Eliza, reports that two children in the community where her tea m have been assigned were diagnosed with chickenpox. Some other clients in that community catch illnesses but are unable see health specialists. The community where she works have also homeless animals around.
Eliza is still under training and the manager of Happy Backpacks suggests that new case workers be placed in communities requiring health service delivery. Before Eliza and her team can return to the community, they must undergo training regarding infectious diseases.
To address this, your supervisor has assigned you write a new policy for risk management for community workers in health service delivery in remote areas.
1. What are the hazards involved in this situation? List two (2).
a.
b.
2. What are the two (2) most recommended control measures that Eliza and her team must implement when they return to the community? Explain why.
a.
b.
3.      This task requires you to develop a WHS policies and procedures relevant to
Case Study 3: Eliza which must be communicated to the organisation.
In the template provided, write a policy that must be included in the staff handbook relevant to  risk  management  for  community  workers  in health service delivery. Your policy must specif ically cover the following:
a.       Roles and responsibilities of different  workers  who  are assignedin health services
b.      Procedures for ongoing hazard identification and risk assessment
c.       Risk controls and measures to be implemented
Guidance: These must be specific with the scenario.
d.      Reporting and documentation procedures, including a policy in protecting client information
To  guide you  in  drafting  the policy, research on relevant           and current legislation, practice standards, or source documentation (e.g. workplace handbooks, policies and procedures similar to this incident), and include any legal information in the template.
Specifically, your policy must contain the following:
a.       Policy name
b.      Version no. and creation date
Guidance: For the purpose of this assessment, use the current date
c.       Purpose statement, including definition of terms where possible
d.      Specific sections of the policy, as specified above
e.      Procedures, including consequences if policy is breached Guidance: Include legal information to support the procedures you are developing.
f.        Review date
Happy Backpacks
Policy:
Policy Developer:
Version no.
Date:
Purpose:
Definition of Terms:
Procedures:
Guidance: Include legal information as necessary.
Next Review Date:
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