CHCLEG003 Manage legal and ethical compliance Summative Assessments Assessment Coversheet Student DetailsFirst Name:Jose PaulLast Name:KodiyilStudent ID:Mobile:Email ID:Unit and Course DetailsUnit Code: CHCLEG003Unit Name: Manage legal and ethical complianceCourse Code: CHC43115Course Name: Certificate IV in DisabilityDue Date:ExtensionGranted:YesNo (please attach approval for extension)Granted Until:Trainer Name: Ms. Shireen LataDeclarationI hereby declare that this assessment is my own work unless otherwise referenced and acknowledged. I did not copy this assessment or any part of this assessment from other student’s work or from any other source unless referenced or acknowledged. I did not submit this assessment or any part of this assessment before in any award or any course to ACM College or to any other college/university. I hold a copy of this assessment and will present if required. I declare that I have acknowledged all materials and resources used in the preparation of this assignment/assessment whether they are books, articles, reports, lecture notes and any other kind of document, electronic or personal communication.Student Signature:Date:Assessor’s use onlyResult:SatisfactoryNot Yet Satisfactory Re-submission Required: Yes No Feedback to Student:Assessor Name:Reassessment Assessor’s Name (if required):Signature:Signature:Date:Date:Reassessment Result:Satisfactory Not Yet SatisfactoryReassessment Feedback to Student: Summative Assessments The summative assessments are the major activities designed to assess your skills, knowledge and performance, as required to show competency in this unit. These activities should be completed after finishing the Learner Guide. You should complete these as stated below and as instructed by your trainer/assessor. Skills, knowledge and performance may be termed as: Skills – skill requirements, required skills, essential skills, foundation skillsKnowledge – knowledge requirements, required knowledge, essential knowledge, knowledge evidencePerformance – evidence requirements, critical aspects of assessment, performance evidence. Section A: Skills Activity The Skills Activity is designed to be a series of demonstrative tasks that should be assessed by observation (by the assessor or third party, depending on the circumstances). It will demonstrate all of the skills required for this unit of competency – your assessor will provide further instructions to you, if necessary. Section B: Knowledge Activity (Q & A) The Knowledge Activity is designed to be a verbal questionnaire where the assessor asks you a series of questions to confirm your competency for all of the required knowledge in the unit of competency. Section C: Performance Activity The Performance Activity is designed to be a practical activity performed either in the workplace or a simulated environment. You should demonstrate the required practical tasks for the unit of competency and be observed by the assessor and/or third party, as applicable to the situation. If the third party is required to observe you, you will need to make the required arrangements with them. If necessary for the activities, you should attached completed written answers, portfolios or any evidence of competency to this workbook. Section A: Skills Activity Objective: To provide you with an opportunity to show you have the required skills for this unit. The Foundation Skills describe those required skills (language, literacy, numeracy and employment skills) that are essential to performance. Foundation skills essential to performance are explicit in the performance criteria of this unit of competency. Therefore, there is no skills activity required for this unit, as they have been covered in the previous activities. Section B: Knowledge Activity (Q & A) Objective: To provide you with an opportunity to show you have the required knowledge for this unit. The answers to the following questions will enable you to demonstrate your knowledge of: Legal responsibilities and liabilities of managers and others in different types of organisationLegal 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 proceduresSources of information and advice on complianceFunctions and operating procedures of regulatory authorities of particular relevance to the health and community service sectorsMethods of receiving updated information on requirementsUse of policies and procedures in managing compliance and ethical practice in both internal work practice and external service deliveryFormats for policies and procedures and what they should includeTechniques for monitoring compliance. Answer each question in as much detail as possible, considering your organisational requirements for each one. List seven areas of work which may be governed by specific policies and procedures that mangers have to enforce and oversee. List five areas of work that would be subject to ethical frameworks and codes of conduct. List five sources of information on compliance requirements. List three responsibilities of regulatory authorities. List five means of sharing updated knowledge and information. List ‘the seven C’s’ in accordance with which you should write organisational policies and procedures. List three formatting requirements for policies and procedures. Identify three means of monitoring compliance. Section C: Performance Activity Objective: To provide you with an opportunity to demonstrate the required performance elements for this unit. This activity will enable you to demonstrate the following performance evidence: Determined the scope of legal and ethical compliance requirements and responsibilities, and developed policies and procedures for at least 1 workplace or businessDeveloped a strategic response to at least 3 different situations where legal or ethical requirements have been breached. Answer the activity in as much detail as possible, considering your organisational requirements. Imagine you are the new manager of a small pharmacy. Over the course of one month, identify sources of information on and research the various compliance requirements and responsibilities relevant to the pharmacy industry. Specifically, you should: Identify any three legal responsibilities you would have as manager of a small pharmacyIdentify any three ethical responsibilities you would have as manager of a small pharmacyIdentify three risks, penalties or consequences of non-complianceIdentify three ways you would lead by exampleDevelop five policies or procedures for employees that would ensure your business complies with its legal and ethical responsibilitiesIdentify three ways of communicating policies and proceduresIdentify three ways of monitoring complianceIdentify two regulatory bodies to which you would have to make yourself accountable. Write a four-five page report outlining the above details. Your work must be clear, informative, well-structured, succinct and free from spelling and grammar errors. You may outline the above information in list form, if you wish. Imagine that, after 6 months of practice, you discover that two employees in your pharmacy business have been failing to comply with their legal and ethical responsibilities. Their breaches of compliance have not had fatal consequences but they have been serious enough to warrant immediate action. The breaches that have taken place are: Incomplete records of pharmaceutical deliveriesInappropriate storage of medicines and prescriptionsMixing up prescriptions on several occasions. Develop a strategy for dealing with these breaches of compliance and preventing them from occurring again. Specifically, you should: Explain how you would deal with the employees in questionIdentify three ways to monitor future complianceIdentify three ways to maintain your own knowledge of compliance requirementsIdentify three ways of communicating updated knowledge of compliance requirements. Write a three-four page report outlining the above details. Your work must be clear, informative, well-structured, succinct and free from spelling and grammar errors. You may outline the above information in list form, if you wish. Some of the answers you give may overlap with those given in question 1.
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