Reference no: EM132610694
CHCLEG003 Maintain Legal and Ethical Compliance Assignment - Australia Institute of Business and Technology, Australia
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 organization.
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.
Sources of information and advice on compliance.
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.
Answer each question in as much detail as possible, considering your organisational requirements for each one.
1. List seven areas of work which may be governed by specific policies and procedures that mangers have to enforce and oversee.
2. List five areas of work that would be subject to ethical frameworks and codes of conduct.
3. List five sources of information on compliance requirements.
4. List three responsibilities of regulatory authorities.
5. List five means of sharing updated knowledge and information.
6. List 'the seven C's' in accordance with which you should write organisational policies and procedures.
7. List three formatting requirements for policies and procedures.
8. 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 business
Developed 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.
1. 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 pharmacy.
Identify any three ethical responsibilities you would have as manager of a small pharmacy.
Identify three risks, penalties or consequences of non-compliance.
Identify three ways you would lead by example.
Develop five policies or procedures for employees that would ensure your business complies with its legal and ethical responsibilities.
Identify three ways of communicating policies and procedures.
Identify three ways of monitoring compliance.
Identify 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.
2. 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.
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 question.
Identify three ways to monitor future compliance.
Identify three ways to maintain your own knowledge of compliance requirements.
Identify 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.
Note - SECTION B AND SECTION C - IN THOSE SECTION YOU EITHER NEED TO WRITE 4-5 PAGES REPORT OR ANSWER ALL THOSE QUESTIONS.