Unit Title
CHCLEG003 – Manage Legal and Ethical Compliance
Unit Purpose
This unit describes the knowledge and skills required to research information about compliance and ethical practice responsibilities, and then develop and monitor policies and procedures to meet those responsibilities.
Prerequisites
There are no prerequisites for this unit.
Content
Section 1: Practice Management and Legal Frameworks
Section 2: Ethical Responsibilities
Section 3: Policies and Procedures
Section 4: Monitor and Maintain Compliance
Resources/Readings
Readings A – H are located in the associated CHCLEG003 Readings section of this module.
Suggested Hours
Although everyone will work at their own pace, we suggest you allow approximately 80 hours to complete this unit competently, including seminars, tutorials, assignments and any work placement activities.
Time Frame
The recommended time frame this unit is 4 weeks.
Assessment
This unit will be assessed by completing the CHCLEG003 Assessment.
How to Use This Module
This module contains all of the information that you need to complete the assessment tasks associated with this unit. You must read through all of the information provided (both the module and associated readings) before attempting the assessment tasks.
Throughout this module there are a few icons used to help you. These include:
Tip
This is used to indicate the presence of tips or additional instructions that may assist you as you work through this module. They are designed to help you expand you knowledge and kills and deepen your understanding of how concepts and practices are applied in workplaces.
Reading
You will find these throughout the module. They indicate that a particular Reading contains additional information on the topic is being discussed at that point.
Self Reflection
This indicated a self-reflection question. You are not required to submit answers to these questions. They are designed to get you thinking more about the topic and to consider key points in order to aid your understanding.
Upon completion of this unit, you should be able to:
| Element | Performance Criteria |
|---|---|
| 1. Research information required for legal compliance | 1.1 Identify sources of information about compliance requirements 1.2 Evaluate own area of work and determine scope of compliance requirements 1.3 Access and interpret information relevant to area of work 1.4 Identify risks, penalties and consequences of non-compliance 1.5 Assess and act on need for specialist legal advice |
| 2. Determine ethical responsibilities | 2.1 Identify the ethical framework that applies to the work context 2.2 Incorporate scope of practice considerations as part of ethical practice 2.3 Evaluate responsibilities to workers, clients and the broader community 2.4 Model ethical behaviour in own work |
| 3. Develop and communicate policies and procedures | 3.1 Clearly articulate and document policies and procedures to support legal and ethical practice in readily accessible formats 3.2 Integrate documentation and record keeping requirements into policies and procedures 3.3 Ensure systems protect client information 3.4 Nominate the roles and responsibilities of different people in meeting requirements where multiple people are involved 3.5 Distribute policies, procedures and legal information to colleagues and peers in a timely fashion |
| 4. Monitor compliance | 4.1 Evaluate work practices for non-compliance on an ongoing basis, and implement modifications 4.2 Maintain and update required accreditations or certifications 4.3 Refer issues or breaches of ethical or legal practice to relevant people |
| 5. Maintain knowledge of compliance requirements | 5.1 Identify and use opportunities to maintain knowledge of current and emerging legal requirements and ethical issues 5.2 Share updated knowledge and information with peers and colleagues. 5.3 Pro-actively engage in process of review and improvement |
Knowledge Evidence
The candidate must be able to demonstrate essential knowledge required to effectively do the task outlined in elements and performance criteria of this unit, manage the task and manage contingencies in the context of the work role. This includes knowledge of:
- legal responsibilities and liabilities of managers and others in different types of organisation
- legal and ethical frameworks (international, national state/territory, local), how these apply in the workplace, and the responsibilities of managers in the development and monitoring of policies and procedures, including those related to:
- children in the workplace
- codes of conduct
- codes of practice
- complaints management
- continuing professional education
- discrimination
- dignity of risk
- duty of care
- human rights:
- Universal declaration of human rights
- relationship between human needs and human rights
- frameworks, approaches and instruments used in the workplace
- informed consent
- mandatory reporting
- practice standards
- practitioner/client boundaries
- privacy, confidentiality and disclosure
- policy frameworks
- records management
- rights and responsibilities of workers, employers and clients
- industrial relations legislation and requirements relevant to organisation
- specific requirements in the area of work, including:
- 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
- work role boundaries – responsibilities and limitations of different people
- work health and safety
- sources of information and advice on compliance including:
- local, state/territory or commonwealth government departments or regulatory agencies
- industry associations
- plain English documentation that explains legislation
- functions and operating procedures of regulatory authorities of particular relevance to the health and community service sectors
- methods of receiving updated information on requirements
- use of policies and procedures in managing compliance and ethical practice in both internal work practice and external service delivery
- formats for policies and procedures and what they should include
- techniques for monitoring compliance
Performance Evidence
The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be evidence that the candidate has:
- determined the scope of legal and ethical compliance requirements and responsibilities, and developed policies and procedures for at least 1 workplace or business
- developed a strategic response to at least 3 different situations where legal or ethical requirements have been breached
This unit is designed to provide you with an introduction to managing legal and ethical compliance within the organisation that you work for. You will learn about the legal and ethical frameworks that practice managers and allied health organisations work from.
Overview of Sections
Section 1: Practice Management and Legal Frameworks
In the first section of this module you will be introduced to the legal foundations of practice management. You will learn about some of the key legislation and legal considerations relevant to practice management. This information will provide you with a foundational framework for understanding the legal responsibilities of an allied health organisation which includes monitoring compliance with these legal requirements.
Section 2: Ethical Responsibilities
This section of the module explores the ethical framework surrounding practice management, including ethical responsibilities of practice managers and some key considerations for ethical practice. You will also learn about ways to determine your ethical responsibilities in your own work.
Section 3: Policies and Procedures
This section of the module will introduce you to some of the common policies and procedures relevant to practice management. Particularly, you will learn about how these policies and procedures are developed, as well as how they help to monitor legal and ethical compliance in practice management.
Section 4: Monitor and Maintain Compliance
This section of the module will focus on compliance from a management perspective. You will learn about the standards and requirements for demonstrating compliance in practice management, as well as accreditation and certification responsibilities. You will also learn about the process of monitoring compliance and how to go about rectifying issues of non-compliance.
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