MANAGE LEGAL AND ETHICAL COMPLIANCE ASSIGNMENT

Performance Evidence

You must show evidence of the ability to complete tasks outlined in elements and performance criteria, manage tasks and manage contingencies in the context of the job role.

Task 1 - Compliance Requirements 

This task is to be undertaken during your practical placement or in your workplace.  The assessor is looking for your understanding about the importance of compliance in the workforce. Based on your practical placement or your workplace, this assessment requires you to write a report on the following:

1. Scope of legal and ethical compliance requirements 

2. Scope of legal and ethical compliance responsibilities (referrals and specialists may be included in this response)

3. Policies and procedures linked to compliance

a. Format 

b. What policy encompasses.

c. Compliance management and practices

i. Sources of information (legislation, HR)

ii. Currency of information 

iii. Are documents clear and easily understood?

d. Ethical practice

e. Internal work practices

f. External service delivery

Task 2 - Strategic Responses 

Please read each scenario of the three (3) scenarios and answer the questions. This assessment is looking to how you would respond to each scenario in a strategic manner.

Scenario 1 -

Mariann has been working at your service for the past three (3) years.  She has always demonstrated a professional attitude and manner at all times. Josef Staark is currently a client of Mariann's. Josef has been referred to the service as he has an alcohol problem and needs guidance and support.  You are at a party with some friends and Mariann and Josef walk in together holding a case of beer and two bottles of wine.  It is obvious that their relationship has become more than a professional one.

1. Identify the ethical problems

2. Discuss the scope of practice 

3. Discuss your responsibility to the service

4. Discuss the appropriate strategy to manage this issue 

Scenario 2 -

Jorg is 16 years of age.  He is homeless and looking for accommodation. Jorg has scars up his arm and on his thighs from self-harm.  He is distressed and beginning to become agitated.  You sit and talk to him and he calms.  During the conversation, he tells you that 3 months ago, he had informed Pedro (case worker) of the sexual abuse he had suffered in a foster home.  He had trusted Pedro and felt comfortable disclosing his abuse story. He really wanted to move forward and take action against the foster parent.  Pedro was concerned and said that he would assist him in informing the relevant authorities to ensure that there will be action. Jorg has not heard from Pedro for the last 3 months. 

1. Identify the legal issue

2. Discuss the scope of practice

3. Discuss your responsibility to the service and the client 

4. List the appropriate strategy to manage this issue 

Scenario 3 -

You are working at a service that supports people with disabilities find work. You have been working there for about 4 months and feel like you are learning a great deal and beginning to understand the organisation and the processes.  You walk into the staff room and overhear a staff member talking on his mobile phone discussing a client's personal situation and laughing.  It is obvious that this is not the individual concerned and they are sharing information with a family member.  There is no disclosure agreement in place with this individual. 

1. Identify the legal issue

2. Discuss the scope of practice

3. Discuss your responsibility to the service and the client 

4. List the appropriate strategy to manage this issue

Assessment 1 - Industrial Relations 

1) Compare the legal responsibilities and liabilities of managers in a community service organisation versus a retail shop.

2) Discuss the importance of work health and safety with regard to employees and employers.

3) List the award that you would work under.

4) Discuss the types of conditions that are listed in the award.

5) How do the conditions affect your work role and conditions?

6) Give an overview of the responsibilities and limitations of the following roles:

a. Manager

b. Case Worker (if you wish to select a different role due to the nature of your organisation, please discuss with trainer)

Assessment 2 - Legal and Ethical Frameworks

Your role may include the application of frameworks and legislation which are incorporated within the policy and procedures of an organisation.  You may be required to monitor and develop these policies and procedures.

You are to take the role of a manager to discuss how you would apply and guide others in the following areas:

1. Children in the workplace

2. Code of Conduct

3. Code of Practice

4. Complaints Procedure

5. Discrimination

6. Duty of care 

7. Professional development

8. Informed consent

9. Mandatory reporting

10. Practice standards

11. Setting boundaries 

12. Records management 

Assessment 3 - Organisational work requirements

In the workplace, you need to be aware of the requirements of the service and the job role. You may use either your current workplace, or your practical placement to answer the following questions.  Your assessor is looking for your understanding of the specific requirements of a particular workplace. 

Give descriptions of the following processes.  If any of these processes are not relevant to your workplace, then please discuss with your trainer. 

1. Auditing and inspection regimes

2. Main consequences of non-compliance 

3. Application for licenses or associated mandatory training and certification requirements

4. Statutory reporting requirements 

5. Business insurances - Public Liability and Workers' Compensation

6. Accreditation requirements

7. Requirements to develop and implement plans, policies, codes of conduct or incorporated certain workplace practices.