Manage legal and ethical compliance

Assessment Booklet

CHCLEG003

Manage legal and ethical compliance

HLTWHS004

Manage work health and safety

Student Name:

Student Number: _________________________

Intake Date: _____________________________

CHCLEG003 – Manage legal and ethical compliance HLTWHS004 – Manage work health and safety

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ASSESSMENT COMPETENCY RECORD

This form is to be completed by the assessor and used as the final record of the student competence in these discipline. All student submissions including any associated documents and checklists are to be attached to this cover sheet before placing on the students file. Student results are not to be entered onto the Student Database unless all relevant paperwork is completed and attached to this form.

Student ID Final Assessment Submission Date:

Student Name

Assessor Declaration

In completing this assessment, it is confirmed that the participant has demonstrated all unit outcomes through consistent and repeated application of skills with competent performance.

Evidence is confirmed as: ❑ Valid ❑ Sufficient ❑ Current ❑ Authentic

Please attach the following documentation to this form Result

FINAL ASSESSMENT

RESULT:

❑ Competent (C)

❑ Not Yet Competent

(NYC)

Assessment Task 1 ❑ Case Study S / NS

Assessment Task 2 ❑ Case Study S / NS

Assessment Task 3 ❑ Case Study S / NS

Assessment Task 4 ❑ Additional Case Studies S / NS

Assessment Task 5 ❑ Written/Oral Questions S / NS

Attempt Date Assessor’s feedback (as required):

1

2

3

Final Feedback:

DO NOT SIGN BELOW UNTIL FINAL ASSESSMENTS RESULT IS GRANTED BY THE ASSESSOR.

Assessor: I declare that I have conducted a fair, valid, reliable and flexible assessment with this student, and I have provided appropriate feedback.

Signature: _______________________

Name:__________________________

Date: ____/_____/_____

Student: I declare that I accept the assessment competency outcome and consider the feedback of my assessor positively. I also declare that the work submitted is my own, and has not been copied or plagiarised from any person or source.

Signature: ______________________

Date: ____/_____/_____

Administrative use only:

Entered into Student Management Database

❑ Signature/Initial ________________ Date: ________________

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Unit Code/Name CHCLEG003 Manage legal and ethical compliance

Pre-requisites N/A

Co-requisites N/A

Unit Summary

This unit describes the skills and knowledge required to research information about compliance and ethical practice responsibilities, and then develop and monitor policies and procedures to meet those responsibilities.

This unit applies to people working in roles with managerial responsibility for legal and ethical compliance in small to medium sized organisations. There may or may not be a team of workers involved.

The skills in this unit must be applied in accordance with Commonwealth and State/Territory legislation, Australian/New Zealand standards and industry codes of practice.

Conditions and context of the assessments

Skills must have been demonstrated in the workplace or in a simulated environment that reflects workplace conditions. The following conditions must be met for this unit:

▪ use of suitable facilities, equipment and resources, including:

▪ current legislation and regulations

▪ workplace policies and procedures

▪ modelling of industry operating conditions, including:

▪ use of real or simulated organisation for which the candidate develops policies and procedures

▪ integration of problem solving activities

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.

Unit Code/Name HLTWHS004 Manage work health and safety

Pre-requisites N/A

Co-requisites N/A

Unit Summary

This unit describes the skills and knowledge required to establish, maintain and evaluate work health and safety (WHS) policies, procedures and programs in the relevant work area, according to WHS legislative requirements.

This unit applies to workers who have responsibility for WHS as part of their role, including workers with obligations under WHS legislation, persons conducting a business or undertaking (PCBUs), or their officers (as defined by relevant legislation).

The skills in this unit must be applied in accordance with Commonwealth and State/Territory legislation, Australian/New Zealand standards and industry codes of practice.

Conditions and context of the assessments

Skills must be demonstrated in the workplace.

In addition, simulations and scenarios must be used where the full range of contexts and situations cannot be provided in the workplace or may occur only rarely. These are situations relating to emergency or unplanned procedures where assessment in these circumstances would be unsafe or is impractical.

Simulated assessment environments must simulate the real-life working environment where these skills and knowledge would be performed, with all the relevant equipment and resources of that working environment.

In addition, assessment must ensure use of:

▪ current workplace policies and procedures for WHS

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.

Assessment venue

This assessment will be conducted in the CAC classroom or simulated workplace environment or at actual designated workplace:

• Address of actual designated workplace:

……………………………………………..

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……………………………………………..

……………………………………………..

Specific Resources Required

Candidate will need access to:

▪ Computer with Internet and email access and a working web browser

▪ Installed software: MS Word, Adobe Acrobat Reader

▪ Access to legislation relevant to the community services industry, including codes of

conduct, WHS legislation, practice standards, etc.

▪ At least two (2) persons who will volunteer in the roleplaying activity

▪ Video camera or a mobile phone with video and audio recording capabilities

▪ At least five (5) people who have email accounts

▪ Printer to print policies and procedures in the case study assessment

Re-assessment

To gain competency you need to get Satisfactory (S) result in all the tasks. If Not Satisfactory (NS)

result is given even for a task you will be deemed Not Yet Competent (NYC). Students who are

unsuccessful at achieving competency at the first attempt will be offered coaching, information and

additional time (other needs if required) before a second and possibly a third attempt is made. If the

student is not able to satisfactorily complete the assessment after the third attempt the student will

be deemed Not Competent and resulted as such. The student may re-enrol in the qualification at a

later date to gain successful completion of the unit/s.

For further details, refer to CAC Assessment Policy and Procedure. https://cac.edu.au/policies-and-

procedures/

Plagiarism

CAC considers plagiarism and cheating as serious student misconduct and this may result either in a

student’s exclusion from a unit or course or may have to complete a re-assessment depending on

individual case. Refer to CAC Plagiarism & Cheating Policy and Procedure.

Complaints and appeal

Where a student wishes to appeal an assessment decision they are required to notify their assessor in

the first instance. Where appropriate the assessor may decide to re-assess the student to ensure a fair

and equitable decision is gained. The assessor shall complete a written report regarding the re-

assessment outlining the reasons why assessment was or was not granted. Refer to CAC Complaints

and Appeals Policy & Procedure for details.

Assessors Intervention

Assessors are to check that the student is ready for assessment, and defer the assessment if they are

not. It is important that assessors do not teach at the assessment but allow students to competence

for themselves.

Feedback is to be given at the completion of the assessment using the feedback to student. If a

student does not meet a standard, the assessor is to sit down with them and assist them in their

understanding. Should you disagree with the assessment outcome, you can appeal the decision as

stated in the Student Handbook.

Your student record must indicate that you have all required skills and knowledge in completing the

task. For each assessment, the assessor is to act as a supervisor and not interfere with the assessment.

If the assessment activities will impact on your safety or that of others, the assessment must be

stopped immediately.

Attaching documents Attached documents are accepted but must be labelled with the following information:

Unit Name and Title, Students name, Student ID, Date of Submissions, Student signature.

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Assessment Instruction

Assessment is mapped to the unit and must be completed by the end of each unit. For answers to

written questions, reports and projects, you must:

• Print clearly in black or blue pen or type it as a word document

• Answer each of the key points and /or follow instructions

• Assessments written in pencil or are illegible will not be accepted.

Please NOTE: Student has to submit each and every assessment task. Ask your assessor if you do

not understand any part of the assessment. Whist your assessor cannot tell you the answer, he/she

may be able to re-word a question or instruction to assist in a better understanding for you.

Case Study

Assessment Task 1:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 2:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 3:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 4:

Task 1 activity will require you to communicate the policies and procedures you developed for

Case Studies 2 and 3.

Task 2 will require you to document and distribute the policies and procedures you developed in an

electronic and printed format.

Assessment Task 5:

This is a written assessment that will test student’s knowledge. This assessment may be completed

over the duration of the training days. As the students learn, practice and review knowledge and skills,

students will keep Assessment Task 5 in front of them and answer the questions as the information

becomes clearer. At the beginning of each review session students will be given a few minutes to

familiarise themselves with the questions. Students will be given extra time at the end of the day to

complete this assessment or to clarify facts with the Trainer/Assessor

Competency Decision

Student must satisfactorily complete each assessment tasks to be Competent (C) in the unit.

Student with unsatisfactory completion of any of the assignment tasks will be deemed Not Yet

Competent (NYC).

Reasonable adjustment

To meet the needs of all learners’ adjustments can be made to the way assessments are conducted but not to the requirements of

the assessment. The purpose of these adjustments is to enhance fairness and flexibility so that the specific needs of students can

be met.

CAC will take meaningful, transparent and reasonable steps to consult, consider and implement reasonable adjustments for

students with disability and learning difficulties.

Reasonable adjustment provided Reason for reasonable adjustment Outcome

❑ Educational and bilingual support

❑ Presenting questions orally

❑ Presenting work instructions in diagrammatic or pictorial form instead of words and sentences

❑ Extra time to complete a course or assessment

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❑ Others:

CHCLEG003 – Manage legal and ethical compliance HLTWHS004 – Manage work health and safety

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INSTRUCTIONS TO ASSESSOR

This is a compulsory assessment to be completed by all students. This assessment tests the student’s ability to

understand the underpinning generic knowledge related to the units of competency.

Reasonable adjustment applies here, and while the majority of students will complete this assessment as a written

assessment, verbal assessment may be an option for those who need it. Assessor must use the response guide as the

principal marking tool unless reasonable adjustment is demonstrated.

The Assessor Guide provides model answers to all the questions, setting out which key responses must be included, as

well as indicating where flexibility is acceptable.

Where there is a number of responses required, this is specified to avoid ambiguity. In these cases, the model answer

will provide a list of possible answers. For instance, if a question requires the student to list three (3) examples, then

their response must include three of the items listed in the model answer.

Note to assessors: Contact details are requested from observers in the feedback forms in case you will have to call them to verify content

of the feedback forms.

IMPORTANT REMINDER

Candidates must achieve a satisfactory result to ALL assessment tasks to be awarded COMPETENT for the

units relevant to this cluster.

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INSTRUCTIONS TO CANDIDATE

The questions in this workbook are divided into two categories: Knowledge Assessment and Case Studies.

The questions under Knowledge Assessments are all in a short-answer format. The longer questions, requiring

creative and analytical thought processes, are covered in the Case Studies assessment. You must answer all questions

using your own words. However, you may reference your Learner Guide and other relevant resources and learning

materials to complete this assessment.

Some questions cover processes you will likely encounter in a workplace. Ideally, you should be able to answer these

questions based on the processes that are currently in place in your workplace. If this is not the case, then answer the

questions based on processes that should be implemented in your workplace.

Accessing Intranet Pages and External Links

There are instructions in this workbook that will refer you to intranet pages and or external links. These intranet pages

and external links are formatted in Blue Underlined Text.

To access these, hold the Ctrl key for Windows users or the Command ⌘ key for Mac users while clicking on these

links.

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CASE STUDIES

Instructions to Assessor

This assessment supports the industry requirement of managing legal and ethical compliance in the community services

setting. In real life, case managers will be required to participate and contribute to managing legal and ethical compliance

in their respective organisations, as well as encounter problems and issues along the way. This assessment will

demonstrate the candidate’s problem-solving abilities in such situations.

Instructions to Candidate

These case studies are hypothetical situations which will not require you to have access to a workplace, although, your

past and present workplace experiences may help with the responses you provide. You will be expected to encounter

similar situations to these in the future as you work in community services settings.

In real life, case managers will be required to participate and contribute to managing legal and ethical compliance in

their respective organisations, as well as encounter problems and issues along the way. This assessment will allow you

to demonstrate your problem-solving abilities in such situations.

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Created: April 2021 Last Reviewed: April 2021

Central Australian Institute of Technology Pty Ltd | CRICOS: 03217C |TOID: 22302

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Created: April 2021 Last Reviewed: April 2021

Central Australian Institute of Technology Pty Ltd | CRICOS: 03217C |TOID: 22302

ASSESSMENT TASK 1 – CASE STUDY

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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Created: April 2021 Last Reviewed: April 2021

Central Australian Institute of Technology Pty Ltd | CRICOS: 03217C |TOID: 22302

ASSESSMENT TASK 1 – CASE STUDY 1 (Alex)

SCENARIO

You are working as a volunteer in a government-funded community

services organisation catering for homeless persons.

You are working with Alex who is also a volunteer. He has been

assigned to an outreach service that assists clients to secure

permanent housing. Since the community is far from the main office

of the organisation, Alex often has to make out-of-pocket

expenditures for activities involved in the community programs.

Staff and volunteers are required, as per organisation’s policies and

procedures, to report any reimbursements for expenses in behalf of

the organisation. Reporting these expenses for reimbursements are

done via an online portal every week.

One day, you overheard Alex speaking with a new volunteer about how he makes extra money from his work. Alex

said that he would increase the values of the expenses incurred in his reports for reimbursements. He said that he

has never been questioned because they submit digital copies of receipts as part of the reporting process. He also

told the new volunteer that people he knew would assist him with dockets that he would report as his own. He

further asked the new volunteer not to tell anyone about this.

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Central Australian Institute of Technology Pty Ltd | CRICOS: 03217C |TOID: 22302

1. Identify and explain two (2) legal and ethical responsibilities that were breached in the scenario.

a.

b.

2. Write an email to your supervisor and report the scenario. In your email, provide the following information:

▪ Details of the situation

▪ Your assessment of the situation and explain why there is a need for specialist legal advice

▪ The risks, consequences, and possible penalties for Alex’s actions

Guidance: There is no need to send an actual email. Write your email in the spaces provided below. Ensure to maintain privacy

and confidentiality when writing your email.

From

To

Subject

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Created: April 2021 Last Reviewed: April 2021

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ASSESSMENT TASK 2 – CASE STUDY

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

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