CHC52015 Diploma Case Management: Legal & Ethical Compliance V1.4

This practical assignment focuses on legal and ethical compliance within case management, specifically addressing the CHCLEG003 and HLTWHS004 units of competency from the CHC52015 Diploma of Community Services. It includes a knowledge assessment covering the management of legal and ethical compliance, as well as work health and safety. The assignment utilizes case studies, such as those involving Alex, Skylar, and Eliza, to provide detailed scenarios for applying learned concepts. Additional activities include role-playing exercises focused on communicating policies and procedures, and tasks related to distributing these policies effectively. The document also emphasizes the importance of reasonable adjustments for learners with disabilities, ensuring fair assessment practices without compromising workplace standards. The assessment workbook aims to evaluate a student's ability to research legal information, determine ethical responsibilities, develop policies, monitor compliance, and maintain relevant knowledge.

CHC52015 Diploma
of Community Services
Specialising in Case Management
Legal and Ethical Compliance
Version 1.4 Produced 10 September 2018
Copyright © 2017 Compliant Learning Resources. All rights reserved. No part of this publication
may be reproduced or distributed in any form or by any means, or stored in a database or retrieval
system other than pursuant to the terms of the Copyright Act 1968 (Commonwealth), without the
prior written permission of
Compliant Learning Resources
Assessment Workbook 1

Version control & document history
Date Summary of modifications made Version
16 January 2017 Version 1 final produced following
assessment validation. 1.0
9 March 2017
Version 1.1 final produced with the
following amendment(s):
 Amended number of
options to be selected
in KA Part 1 Question
1
 Amended KA Part 2
Question 5
 Case Study 3 Task 3
instructions rectified
1.1
1 August 2017
Edited table for Knowledge
Assessment P1 Q13 – 2 should
have “part time”
1.2
27 September
Corrected error in Case Study
numbers in Additional Case Study
Activities: Task 1
1.3
10 September
2018
Updated rates for Knowledge
Assessment: Part 1 Q14 1.4
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 2 © Compliant Learning Resources

TABLE OF CONTENTS
This is an interactive table of contents. If you are viewing this document
in Acrobat, clicking on a heading will transfer you to that page. If you
have this document open in Word, you will need to hold down the Control
key while clicking for this to work.
INTRODUCTION................................................................................................. 4
WHAT IS COMPETENCY BASED ASSESSMENT............................................4
THE BASIC PRINCIPLES OF ASSESSING NATIONALLY RECOGNISED
TRAINING............................................................................................................ 5
THE DIMENSIONS OF COMPETENCY............................................................6
REASONABLE ADJUSTMENT...........................................................................7
THE UNITS OF COMPETENCY.........................................................................9
CONTEXT FOR ASSESSMENT........................................................................10
ASSESSMENT REQUIREMENTS....................................................................10
ASSESSMENT METHODS...............................................................................11
RESOURCES REQUIRED FOR ASSESSMENT..............................................12
ASSESSMENT WORKBOOK COVER SHEET.................................................13
KNOWLEDGE ASSESSMENT..........................................................................14
Part 1 – Managing legal and ethical compliance.....................................14
Part 2 – Managing work health and safety................................................47
CASE STUDIES................................................................................................. 68
Instructions to Student.................................................................................... 68
Case Study 1 – Alex....................................................................................... 69
Case Study 2 – Skylar.................................................................................... 72
Case Study 3 – Eliza...................................................................................... 77
Additional Case Study Activities.................................................................82
Task 1 – Roleplay Activity: Communicating Policies and Procedures.......................82
Task 2 – Distributing Policies and Procedures.........................................................85
WORKBOOK CHECKLIST...............................................................................90
FEEDBACK........................................................................................................ 91
Assessment Workbook 1Version No.1.4 Produced 10 September 2018
© Compliant Learning Resources Page 3

INTRODUCTION
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 would 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.
WHAT IS COMPETENCY BASED ASSESSMENT
The features of a competency based assessment system are:
 It is focused on what learners can do and whether it meets the
criteria specified by industry as competency standards.
 Assessment should mirror the environment the learner will
encounter in the workplace.
 Assessment criteria should be clearly stated to the learner at the
beginning of the learning process.
 Assessment should be holistic. That is it aims to assess as many
elements and/or units of competency as is feasible at one time.
 In competency assessment a learner receives one of only two
outcomes – competent or not yet competent.
 The basis of assessment is in applying knowledge for some
purpose. In a competency system, knowledge for the sake of
knowledge is seen to be ineffectual unless it assists a person to
perform a task to the level required in the workplace.
 The emphasis in assessment is on assessable outcomes that are
clearly stated for the trainer and learner. Assessable outcomes
are tied to the relevant industry competency standards where
these exist. Where such competencies do not exist, the outcomes
are based upon those identified in a training needs analysis.
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 4 © Compliant Learning Resources

Definition of competency
Assessment in this context can be defined as:
 The fair, valid, reliable and flexible gathering and recording of
evidence to support judgement on whether competence has been
achieved. Skills and knowledge (developed either in a structured
learning situation, at work, or in some other context) are assessed
against national standards of competence required by industry,
rather than compared with the skills and knowledge of other
learners.
THE BASIC PRINCIPLES OF ASSESSING
NATIONALLY RECOGNISED TRAINING
Developing and conducing assessment, in an Australian vocational
education and training context, is founded on a number of basic
conventions:
The principles of assessment
 Assessment must be valid
- Assessment must include the full range of skills and
knowledge needed to demonstrate competency.
- Assessment must include the combination of knowledge
and skills with their practical application.
- Assessment, where possible, must include judgements
based on evidence drawn from a number of occasions
and across a number of contexts.
 Assessment must be reliable
- Assessment must be reliable and must be regularly
reviewed to ensure that assessors are making decisions
in a consistent manner.
- Assessors must be trained in national competency
standards for assessors to ensure reliability.
 Assessment must be flexible
- Assessment, where possible, must cover both the on
and off-the-job components of training within a course.
- Assessment must provide for the recognition of
knowledge, skills and attitudes regardless of how they
have been acquired.
Assessment Workbook 1Version No.1.4 Produced 10 September 2018
© Compliant Learning Resources Page 5

- Assessment must be made accessible to learners
though a variety of delivery modes, so they can proceed
through modularised training packages to gain
competencies.
-
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 6 © Compliant Learning Resources

- Assessment must be mutually developed and agreed
upon between assessor and the assessed.
- Assessment must be able to be challenged. Appropriate
mechanisms must be made for reassessment as a result
of challenge.
(Sourced and adapted from: Standards for RTOs 2015, Clauses 1.8 – 1.12)
The rules of evidence (from Training in Australia by M Tovey, D
Lawlor)
When collecting evidence there are certain rules that apply to that
evidence. All evidence must be valid, sufficient, authentic and current;
 Valid
- Evidence gathered should meet the requirements of
the unit of competency. This evidence should match or
at least reflect the type of performance that is to be
assessed, whether it covers knowledge, skills or
attitudes.
 Sufficient
- This rule relates to the amount of evidence gathered It
is imperative that enough evidence is gathered to
satisfy the requirements that the learner is competent
across all aspects of the unit of competency.
 Authentic
- When evidence is gathered the assessor must be
satisfied that evidence is the learner’s own work.
 Current
- This relates to the recency of the evidence and
whether the evidence relates to current abilities.
THE DIMENSIONS OF COMPETENCY
The national concept of competency includes all aspects of work
performance, and not only narrow task skills. The four dimensions of
competency are:
 Task skills
 Task management skills
 Contingency management skills
Assessment Workbook 1Version No.1.4 Produced 10 September 2018
© Compliant Learning Resources Page 7

REASONABLE ADJUSTMENT
Adapted Reasonable Adjustment in teaching, learning and assessment for
learners with a disability - November 2010 - Prepared by - Queensland
VET Development Centre
Reasonable adjustment in VET is the term applied to modifying the
learning environment or making changes to the training delivered to
assist a learner with a disability. A reasonable adjustment can be as
simple as changing classrooms to be closer to amenities, or installing a
particular type of software on a computer for a person with vision
impairment.
Why make a reasonable adjustment?
We make reasonable adjustments in VET to make sure that learners with
a disability have:
 the same learning opportunities as learners without a disability
 the same opportunity to perform and complete assessments as
those without a disability.
Reasonable adjustment applied to participation in teaching,
learning and assessment activities can include:
 customising resources and assessment activities within the training
package or accredited course
 modifying the presentation medium learner support
 use of assistive / adaptive technologies
 making information accessible both prior to enrolment and during
the course
 monitoring the adjustments to ensure learner needs continue to be
met.
Assistive / Adaptive Technologies
Assistive / adaptive technology means ‘software or hardware that has
been specifically designed to assist people with disabilities in carrying
out daily activities’ (World Wide Web Consortium - W3C). It includes
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 8 © Compliant Learning Resources

screen readers, magnifiers, voice recognition software, alternative
keyboards, devices for grasping, visual alert systems, digital note takers.
Assessment Workbook 1Version No.1.4 Produced 10 September 2018
© Compliant Learning Resources Page 9

IMPORTANT NOTE
Reasonable adjustment made for collecting candidate assessment
evidence must not impact on the standard expected by the workplace, as
expressed by the relevant Unit(s) of Competency. E.g. If the assessment
was gathering evidence of the candidates competency in writing,
allowing the candidate to complete the assessment verbally would not be
a valid assessment method. The method of assessment used by any
reasonable adjustment must still meet the competency requirements.
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 10 © Compliant Learning Resources

THE UNITS OF COMPETENCY
The units of competency specify the standards of performance required
in the workplace.
This assessment addresses the following unit of competency from
CHC52015 Diploma of Community Services specialising in Case
Management:
CHCLEG003 Manage legal and ethical compliance
1. Research information required for legal compliance
2. Determine ethical responsibilities
3. Develop and communicate policies and procedures
4. Monitor compliance
5. Maintain knowledge of compliance requirements
HLTWHS004 Manage work health and safety
1. Establish work health and safety practices
2. Facilitate consultation, cooperation and communication
3. Monitor compliance with risk control processes
4. Evaluate and maintain WHS
For complete copies of the above units of competency:
Download them from the TGA website: www.training.gov.au
Assessment Workbook 1Version No.1.4 Produced 10 September 2018
© Compliant Learning Resources Page 11

CONTEXT FOR ASSESSMENT
To complete the assessments in this workbook, students need to have
access to their learning materials and the internet. The written questions
and project may be completed wholly at the student’s home or chosen
place of study.
ASSESSMENT REQUIREMENTS
The assessment requirements specify the evidence and required
conditions for assessment.
Each unit of competency can be unbundled to reveal three key
assessment components:
1. Performance Evidence
- describes the subtasks that make up the element of the unit
2. Knowledge Evidence
- describes the knowledge that must be applied in understanding
the tasks described in the elements
3. Assessment Condition
- describes the environment and conditions that assessments
must be conducted under
The associated assessment method in this kit covers all of these
components as detailed in the matrix to follow:
Units of
Competenc
y
Assessment Activities
CHCLEG003
HLTWHS004
Knowledge assessment  
Assessment Workbook 1 Version No.1.4Produced 10 September 2018
Page 12 © Compliant Learning Resources