CHCLEG003 Manage Legal and Ethical Compliance Assessment 1 – Written Questions


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Assignment Details:-

  • Topic: Manage Legal and Ethical Compliance
  • Code: CHCLEG003
  • Words: 4000


Assessment 1 – Written Questions

Answer the following questions (at least 150 words per Question). You may research the answers from any source available to you.

Question Answer
1 List 2 places where you might find information about legal compliance within the community services sector. Information can be sources from various government bodies and associations. Your place of work may have a list of sources or subscriptions that will help in understanding what legal responsibilities and liabilities your place of work must abide by:

  • Government departments
  • Industry associations
  • Seminars
  • Regulatory authorities
  • Discuss with accreditation operators
  • Networking with colleagues or suppliers
2 List some of the risks and penalties of non–compliance. There are several risk to non – compliance. It can mean that an organisation and yourself may be at risk of prosecution for a start. It can also mean that business may either flounder or fail and the penalties for non – compliance of will depend on the aspect of non – compliance and the legislations. For those who do not comply with the legislation they can be:

  • Fined
  • Have legal action taken against them
  • Have their insurances increased
  • Must pay increased taxes

Source: learner guide page 41-43

3 List one area of legal compliance that you are aware of within your own role. One are of legal compliance that I am aware of in my role is to protect the rights of both people in need of support and the team members and to ensure high – quality and safe services are provided.
4 Outline your understanding of the legal and ethical responsibilities of managers within the community services sector for which you work and where you can find further information in relation to this.
5 Outline your understanding of the liabilities for non-compliance of these legal and ethical responsibilities as above.
6 Outline your understanding of the community sector Code of Conduct and your responsibility in relation to this Code. In my understanding of Code of Conduct is often linked with the Code of Ethics. These are documents that are typically complementary in nature and will inform one another. Many organisations write their own Code of Conduct which are slightly different from others but it reflects on what that organisation believes is the most important to them and it also outlines that the organisation’s expectations are about their staff’s performance and behaviour by providing guidelines for standards of service and professional conduct. This is also to ensure one’s ethical practice and to help one appropriately address such as dilemmas.
7 What is your understanding of the term “informed consent”? My understanding of the term “informed consent” is that we are required by law to ensure that the clients’ information is kept private and confidential. Informed consent is a legal procedure to ensure that a patient/client/participant know all the risks and costs involved in a treatment. This also involves ensuring that the patient/client/participant or their representative understands confidentiality, its limitations and consents to the release of their personal information.

Source: learner’s guide page 20

8 What is your understanding of the term “discrimination” within the legal framework within the organisation you work within and in general? My understanding of the term discrimination is that it  happens when a person or a group of people is treated less positive than another person or group because of their background, race or certain personal characteristics. It is also discrimination when an unreasonable rule, policy or law applies to everyone but has the effect of disadvantage given some people because of a personal characteristic they share.


9 Where can you find more information about discrimination? You can find more information about discrimination in Acts, such as:

  • Age Discrimination Act 2004
  • Disability Discrimination Act 1992
  • Racial Discrimination Act 1975
  • Sex Discrimination Act 1984
  • Australian Human Rights Commission Act 1986
  • Mental Health Act 2007

In addition to Commonwealth laws, each state and territory has anti-discrimination legislation covering discrimination, harassment and bullying. In Queensland it is the Anti-discrimination Commission Queensland.


10 What do you understand by the term “duty of care.” Everyone owes a duty of care to another person. As a worker or as a manager, we have a legal and moral responsibility to keep everyone around us safe from harm whist they are under your care. We have the responsibility to recuse or limit the amount of harm or injury they may experience.
11 What is the relationship between human needs and human rights? The difference between a need and a right is that a need describes the conditions required for a person to thrive. A right is a recognition of a person’s entitlement, by virtue of being, to have that need fulfilled. Everyone is equally entitled to human rights without any discrimination.
12 Outline your understanding of what frameworks, approaches, and instruments there are in the workplace to support the idea of human rights.  
13 Where can you go to find out more information about rights and responsibilities of workers and employers?
14 Where can you go to find out more information about rights and responsibilities of clients?
15 Where can you find more information about industrial relations legislation and requirements relevant to the organisation?
16 Where can you go to find out more information about insurances for community services businesses required including public liability and workers compensation? List at least 2.
17 What government requirements are there to develop and implement plans, policies, and codes of conduct or to incorporate certain workplace practices?
18 Why are these necessary (policies, codes of conduct, procedures, plans)?
19 How could you communicate this information (q18,19)
20 What are your understanding of your responsibility and the monitoring of WHS in the workplace? In my understanding it is within the work role boundary of everyone in the work place to uphold work health and safety principles. WHS Act is designed to create safe working environments and reduce work – relation incidents and illness and their related cost.

To make the workplace safe it is my responsibilityto ensure that everyone has to have reasonable care of their own health and safety at work; to follow any safety guidelines as per training and instructions to take reasonable care tell your case manager about potential hazards and personal physical problems in the workplace

  • Follow any safety guidelines as per training and instructions
  • Take reasonable care not to affect the health and safety of others by your acts or omissions
  • Work with your employer in any action taken to make your workplace safer
  • Work within your scope of knowledge
  • Report any injury right away
  • Do not use any equipment if it is faulty
  • Do not put at risk the health and safety of others


21 Why is it important that any communications to employees regarding legislative requirements and responsibilities is in PLAIN ENGLISH?

Give an example of a document you might need to communicate in plain English.

It is important to communicate in plain english because plainenglish presents information in a way that helps others to understand the message the first time they read or hear it. Plain English can be used in a range of workplace documents including emails, reports, notes, policies and procedures and forms. This will allow people to easily find what they need, understand what they find and use the information. Employees can easily follow workplace policies and procedures when they are written in Plain English.


22 What is your understanding of statutory reporting requirements?
23 What is your understanding of accreditation requirements?
24 What is the role and function of regulatory authorities?

(of particular relevance to the health and community service sectors?)

25 What methods are there for receiving updated information on requirements?



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