Assessment Workbook: CHCLEG003 Manage Legal and Ethical Compliance

This document is a comprehensive assessment workbook designed for the CHCLEG003 unit, focusing on managing legal and ethical compliance. It includes a detailed table of contents, assessment instructions, and requirements, along with candidate details and a declaration. The workbook comprises various activities, checklists for assessors, and sections for observation, demonstration, and third-party evidence. It covers a range of tasks, including skills, knowledge, and performance activities, with summative assessments to evaluate competency. The assessment process involves both direct observation and product-based methods. It also includes workplace documentation and supplementary oral questions. The document outlines the assessment appeals process, special needs considerations, and confidentiality guidelines, providing a thorough framework for evaluating a candidate's ability to manage legal and ethical compliance in a professional setting. The document emphasizes the importance of active participation, plagiarism avoidance, and adherence to assessment policies, ensuring a fair and comprehensive evaluation of the learner's understanding and skills.

1. Table of
Contents

1.Table of Contents....................................................................................................2
Assessment instructions........................................................................................4
Assessment requirements......................................................................................8
3.Candidate Details.....................................................................................................9
Assessment – CHCLEG003: Manage legal and ethical compliance.....................9
4.Observation/Demonstration.................................................................................11
5.Third Party Guide...................................................................................................12
Third party details (required information from the learner)..................................12
Activity 1A.............................................................................................................13
Activity 1A checklist – for assessor......................................................................14
Activity 1B.............................................................................................................15
Activity 1B checklist – for assessor......................................................................16
Activity 1C............................................................................................................17
Activity 1C checklist – for assessor......................................................................18
Activity 2A.............................................................................................................19
Activity 2A checklist – for assessor......................................................................21
Activity 2B.............................................................................................................22
Activity 2B checklist – for assessor......................................................................23
Activity 2C............................................................................................................24
Activity 2C checklist – for assessor......................................................................25
Activity 3A.............................................................................................................26
Activity 3A checklist – for assessor......................................................................27
Activity 3B.............................................................................................................28
Activity 3B checklist – for assessor......................................................................29
Activity 3C............................................................................................................31
Activity 3C checklist – for assessor......................................................................32
Activity 3D............................................................................................................33
Activity 3D checklist – for assessor......................................................................34
Activity 3E.............................................................................................................35
Activity 3E checklist – for assessor......................................................................36
Activity 4A.............................................................................................................37
Activity 4A checklist – for assessor......................................................................38
Activity 4B.............................................................................................................40

Activity 4B checklist – for assessor......................................................................41
Activity 4C............................................................................................................42
Activity 4C checklist – for assessor......................................................................43
Activity 5A.............................................................................................................44
Activity 5A checklist – for assessor......................................................................45
Activity 5B.............................................................................................................46
Activity 5B checklist – for assessor......................................................................47
Activity 5C............................................................................................................48
Activity 5C checklist – for assessor......................................................................50
6.Summative Assessments.....................................................................................51
Section A: Skills Activity.......................................................................................53
Summative Assessments: Section A checklist....................................................54
Section B: Knowledge Activity (Q & A)................................................................55
Summative Assessments: Section B checklist....................................................57
Section C: Performance Activity..........................................................................58
Summative Assessments: Section C checklist....................................................60
7.Workplace Documentation – for learner.............................................................61
Workplace documents checklist ..........................................................................61
8.Supplementary Oral Questions (optional) – for assessor.................................62
9.Competency record to be completed by assessor............................................67
Assessment instructions
Overview
Prior to commencing the assessments, your trainer/assessor will explain each assessment
task and the terms and conditions relating to the submission of your assessment task.
Please consult with your trainer/assessor if you are unsure of any questions. It is important
that you understand and adhere to the terms and conditions, and address fully each
assessment task. If any assessment task is not fully addressed, then your assessment task
will be returned to you for resubmission. Your trainer/assessor will remain available to
support you throughout the assessment process.
Written work
Assessment tasks are used to measure your understanding and underpinning skills and
knowledge of the overall unit of competency. When undertaking any written assessment
tasks, please ensure that you address the following criteria:
 Address each question including any sub-points

 Demonstrate that you have researched the topic thoroughly
 Cover the topic in a logical, structured manner
 Your assessment tasks are well presented, well referenced and word
processed
 Your assessment tasks include your full legal name on each and every page.
Active participation
It is a condition of enrolment that you actively participate in your studies. Active
participation is completing all the assessment tasks on time.
Plagiarism
Plagiarism is taking and using someone else's thoughts, writings or inventions and
representing them as your own. Plagiarism is a serious act and may result in a learner’s
exclusion from a course. When you have any doubts about including the work of other
authors in your assessment, please consult your trainer/assessor. The following list outlines
some of the activities for which a learner can be accused of plagiarism:
 Presenting any work by another individual as one's own unintentionally
 Handing in assessments markedly similar to or copied from another learner
 Presenting the work of another individual or group as their own work
 Handing in assessments without the adequate acknowledgement of sources
used, including assessments taken totally or in part from the internet.
If it is identified that you have plagiarised within your assessment, then a meeting will be
organised to discuss this with you, and further action may be taken accordingly.
Collusion
Collusion is the presentation by a learner of an assignment as their own that is, in
fact, the result in whole or in part of unauthorised collaboration with another person
or persons. Collusion involves the cooperation of two or more learners in plagiarism
or other forms of academic misconduct and, as such, both parties are subject to
disciplinary action. Collusion or copying from other learners is not permitted and will
result in a “0” grade and NYC.
Assessments must be typed using document software such as (or similar to) MS
Office. Handwritten assessments will not be accepted (unless, prior written
confirmation is provided by the trainer/assessor to confirm).
Competency outcome
There are two outcomes of assessments: S = Satisfactory and NS = Not Satisfactory
(requires more training and experience).

Once the learner has satisfactorily completed all the tasks for this module the learner
will be awarded “Competent” (C) or “Not yet Competent” (NYC) for the relevant unit
of competency.
If you are deemed “Not Yet Competent” you will be provided with feedback from your
assessor and will be given another chance to resubmit your assessment task(s). If
you are still deemed as “Not Yet Competent” you will be required to re-enrol in the
unit of competency.
Additional evidence
If we, at our sole discretion, determine that we require additional or alternative
information/evidence in order to determine competency, you must provide us with
such information/evidence, subject to privacy and confidentiality issues. We retain
this right at any time, including after submission of your assessments.
Confidentiality
We will treat anything, including information about your job, workplace, employer,
with strict confidence, in accordance with the law. However, you are responsible for
ensuring that you do not provide us with anything regarding any third party including
your employer, colleagues and others, that they do not consent to the disclosure of.
While we may ask you to provide information or details about aspects of your
employer and workplace, you are responsible for obtaining necessary consents and
ensuring that privacy rights and confidentiality obligations are not breached by you in
supplying us with such information.

Assessment appeals process
If you feel that you have been unfairly treated during your assessment, and you are
not happy with your assessment and/or the outcome as a result of that treatment,
you have the right to lodge an appeal. You must first discuss the issue with your
trainer/assessor. If you would like to proceed further with the request after
discussions with your trainer/assessor, you need to lodge your appeal to the course
coordinator, in writing, outlining the reason(s) for the appeal.
Recognised prior learning
Candidates will be able to have their previous experience or expertise recognised on request.
2.
Special needs
Candidates with special needs should notify their trainer/assessor to request any required
adjustments as soon as possible. This will enable the trainer/assessor to address the identified needs
immediately .

Assessment requirements
Assessment can either be:
 Direct observation
 Product-based methods e.g. reports, role plays, work samples
 Portfolios – annotated and validated
 Questioning
 Third party evidence.
If submitting third party evidence, the Third Party Observation/Demonstration
document must be completed by the agreed third party.
Third parties can be:
 Supervisors
 Trainers
 Team members
 Clients
 Consumers.
The third party observation must be submitted to your trainer/assessor, as directed.
The third party observation is to be used by the assessor to assist them in
determining competency.
The assessment activities in this workbook assess aspects of all the elements,
performance criteria, skills and knowledge and performance requirements of the unit
of competency.
To demonstrate competence in this unit you must undertake all activities in this
workbook and have them deemed satisfactory by the assessor. If you do not answer
some questions or perform certain tasks, and therefore you are deemed to be Not
Yet Competent, your trainer/assessor may ask you supplementary questions to
determine your competence. Once you have demonstrated the required level of
performance, you will be deemed competent in this unit.
Should you still be deemed Not Yet Competent, you will have the opportunity to
resubmit your assessments or appeal the result.
As part of the assessment process, all learners must abide by any relevant
assessment policies as provided during induction.

If you feel you are not yet ready to be assessed or that this assessment is unfair,
please contact your assessor to discuss your options. You have the right to formally
appeal any outcome and, if you wish to do so, discuss this with your
trainer/assessor.
3. Candidate Details
Assessment – CHCLEG003: Manage legal and ethical compliance
Please complete the following activities and hand in to your trainer/assessor for
marking. This forms part of your assessment for CHCLEG003: Manage legal and
ethical compliance.
Name:
_____________________________________________________________
Address:
_____________________________________________________________
_____________________________________________________________
Email:
_____________________________________________________________
Employer:
_____________________________________________________________
Declaration
I declare that no part of this assessment has been copied from another person’s
work with the exception of where I have listed or referenced documents or work and
that no part of this assessment has been written for me by another person. I also
understand the assessment instructions and requirements and consent to being assessed.
Signed:
____________________________________________________________
Date:
____________________________________________________________
If activities have been completed as part of a small group or in pairs, details of
the learners involved should be provided below:
This activity workbook has been completed by the following persons and we
acknowledge that it was a fair team effort where everyone contributed equally to the
work completed. We declare that no part of this assessment has been copied from
another person’s work with the exception of where we have listed or referenced

documents or work and that no part of this assessment has been written for us by
another person.
Learner 1:
____________________________________________________________
Signed:
____________________________________________________________
Learner 2:
____________________________________________________________
Signed:
____________________________________________________________
Learner 3:
____________________________________________________________
Signed:
____________________________________________________________

4. Observation/Demonstration
Throughout this unit, you will be expected to show your competency of the elements
through observations or demonstrations. Your trainer/assessor will have a list of
demonstrations you must complete or tasks to be observed. The observations and
demonstrations will be completed as well as the activities found in this workbook.
An explanation of observations and demonstrations:
Observation is on-the-job
The observation will usually require:
Performing a work based skill or task
Interaction with colleagues and/or customers.
Demonstration is off-the-job
A demonstration will require:
Performing a skill or task that is asked of you
Undertaking a simulation exercise.
Your trainer/assessor will inform you of which one of the above they
would like you to do. The observation/demonstration will cover one of
the unit’s elements.
The observation/demonstration will take place either in the workplace
or the training environment, depending on the task to be undertaken
and whether it is an observation or demonstration. Your
trainer/assessor will ensure you are provided with the correct
equipment and/or materials to complete the task. They will also inform
you of how long you have to complete the task.
You should be able to demonstrate the skills, knowledge and performance criteria required for
competency in this unit, as seen in the Learner Guide.

5. Third Party Guide
You should supply details of the third party to the assessor before you commence
the activities (see below), unless the assessor has already selected a third party
themselves. The assessor can then contact the third party in instances where they
require more evidence to determine competency, or they cannot observe certain
tasks themselves.
The reasons to use a third party may include:
Assessment is required in the workplace
Where there are health and safety issues related to observation
Patient confidentiality and privacy issues are involved.
If you are not employed, or able to complete demonstrative tasks in the workplace,
you will need to inform the assessor. They will be able to provide you with a
simulated environment in which to complete these tasks.
We would prefer that, wherever possible, these be “live” issues for your industry and
require application of the principles that you are learning as part of your training.
Where this is not possible, you and your third party should simulate the activity tasks
and demonstrations that you believe would be likely to arise in your organisation or
job role.
Third party evidence can also be used to provide “everyday evidence” of tasks
included in your work role that relate to the unit of competency but are not a part of
the formal assessment process.
The third party is not to be used as a co-assessor – the assessor must make the
final decision on competency themselves.
Documents relevant to collection of third party evidence are included in the Third
Party section in the Observations/Demonstrations document.
Third party details (required information from the learner)
A third party may be required for observations or demonstrations; please provide
details below of your nominated third party and obtain their signature to confirm their
agreement to participate. This information will be required by your trainer/assessor in
advance of arranging any future observations or demonstrations.
Third party name:
______________________________________________________________
Position of third party:
______________________________________________________________

Telephone number:
______________________________________________________________
Email address:
______________________________________________________________
Declaration for nominated third party
I declare my intention to act as third party for (learner’s name here)
__________________________
Third party signature: _____________________________________ Date:
___________________
Activities
Complete the following activities individually or in a group (as applicable to
the specific activity and the assessment environment).
Where applicable, a signed observation by either an approved third party or
the assessor will need to be included in these activities as proof of
completion.
Activity 1A
Estimated
Time
15 Minutes
Objective To provide you with an opportunity to identify sources of information about
compliance requirements and evaluate own area of work and determine scope
of compliance requirements.
Activity 1. Identify five sources of information about compliance
requirements.
The five different sources of information that provides information
about the compliance requirement within an organisation are
presented below;
• Organisational policies and procedures
• Government legislations
• Local authorities orders
• Directions provided by managers on regular basis
• Changes in requirement of working procedures and laws
2. Identify five issues that are covered in the policies and
procedures provided by your organisation.
The five different issues which are covering under the policies and
procedures provided by an organisation are presented below;
• Workplace health and safety measures
• Organisational values that needed to adhere
• Organisational structure and culture
• Mandatory hours of working