CHC52015 Diploma: Legal and Ethical Compliance Assessment Workbook

This document is an assessment workbook for the CHC52015 Diploma of Community Services, focusing on legal and ethical compliance. It includes both knowledge assessments and case studies, covering key areas such as managing legal and ethical compliance (CHCLEG003) and work health and safety (HLTWHS004). The workbook outlines competency-based assessment principles, assessment requirements, and methods, with detailed instructions for completing the tasks. It also provides case studies with scenarios and activities, including roleplay and policy distribution, to apply theoretical knowledge to practical situations. The document incorporates information on reasonable adjustments for learners with disabilities and provides resources for further study, making it a valuable resource for students in the community services field.

CHC52015 Diploma
of Community Services
Legal and Ethical Compliance
Date Summary of modifications made Version
Version 1 final produced following
assessment validation. 1.0
Version 1.1 final produced with the
following amendment(s):
 Amended KA Part 2
Question 5
 Case Study 3 Task 3
instructions rectified
1.1
Made minor changes in wording
and format. 1.2
Assessment Workbook 1

Updated links and content in Part
1, Knowledge Assessment Question
25.
1.3
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TABLE OF CONTENTS
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TABLE OF CONTENTS......................................................3
INTRODUCTION...............................................................4
WHAT IS COMPETENCY-BASED ASSESSMENT...............5
THE BASIC PRINCIPLES OF ASSESSING NATIONALLY
RECOGNISED TRAINING.................................................6
THE DIMENSIONS OF COMPETENCY.............................7
REASONABLE ADJUSTMENT...........................................7
THE UNITS OF COMPETENCY.........................................9
CONTEXT FOR ASSESSMENT........................................10
ASSESSMENT REQUIREMENTS....................................10
ASSESSMENT METHODS...............................................11
RESOURCES REQUIRED FOR ASSESSMENT.................11
KNOWLEDGE ASSESSMENT..........................................12
Part 1 – Managing Legal and Ethical Compliance.......12
Part 2 – Managing Work Health and Safety.................49
CASE STUDIES...............................................................70
Instructions..................................................................70
Case Study 1 – Alex......................................................71
Case Study 2 – Skylar...................................................74
Case Study 3 – Eliza.....................................................79
Additional Case Study Activities..................................84
Task 1 – Roleplay Activity: Communicating Policies and
Procedures.........................................................................84
Task 2 – Distributing Policies and Procedures...................87
WORKBOOK CHECKLIST...............................................92
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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 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.
The evidence you submit must be your own work except where due
reference is made and where you are required to submit
supplementary workplace documents such as policies and
procedures.
When completing the assessments included in this workbook:
1. Read the instructions provided in each task carefully before
attempting to complete the task. The instructions will guide you on
how to satisfactorily answer the question or complete the task.
2. Follow the steps provided in each task.
 If the question instructed you to describe, provide a
description as your response. If the question instructed you
to list, provide a list as your response.
 Where there is a number of required responses, provide the
required number of responses. For example, if you are asked
to list three responses, provide three responses.
3. Ensure that all your submissions for this assessment clearly
indicate your first and last name and that these submissions have
been named according to the file naming convention prescribed in
each task.
Accessing Intranet Pages and External Links
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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.
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 the 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-based 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.
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 competency 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.
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THE BASIC PRINCIPLES OF ASSESSING
NATIONALLY RECOGNISED TRAINING
Developing and conducting 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 must be made accessible to learners through a
variety of delivery modes, so they can proceed through
modularised training packages to gain competencies.
- 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
When collecting evidence, there are certain rules that apply to that
evidence. All evidence must be valid, sufficient, authentic and current:
 Valid
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- 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 in 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.
(Sourced from Training in Australia by M Tovey, D Lawlor)
THE DIMENSIONS OF COMPETENCY
The national concept of competency includes all aspects of work
performance and not only narrow task skills. The four (4) dimensions of
competency are:
 Task skills
 Task management skills
 Contingency management skills
 Job or role environment skills
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:
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 The same learning opportunities as learners without a disability,
and
 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 screen readers, magnifiers, voice recognition software,
alternative keyboards, devices for grasping, visual alert systems, digital note takers.
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. For example, if the assessment was gathering evidence of the candidate’s
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.
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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:
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
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CONTEXT FOR ASSESSMENT
To complete the assessments in this workbook, students need to have
access to their learning materials and the Internet. The Knowledge
Assessment and Case Studies 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 to 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  
Case studies  
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ASSESSMENT METHODS
Theory Workbooks
The Theory Workbooks use the following assessment methods:
1. Knowledge Assessment – A set of generic and workplace questions
testing the student’s general knowledge and understanding of the
general theory behind the unit.
2. Case Studies – Detailed scenarios and simulated environments
providing all necessary information required to complete relevant
tasks and activities
Skills Workbook
The skills workbook contains the practical assessment which covers all
units of competency of CHC52015 - Diploma of Community Services.
These practical assessment activities will be completed during the course
of your vocational placement.
You should not commence with the skills workbook until you have
completed the theory workbooks and have received feedback from
your assessor.
The assessment method used in the skills workbook includes:
1. Practical Assessment – A set of tasks or activities completed
according to set instructions and guidelines to meet the
requirements of the relevant units. These tasks and activities
require you to have access to a workplace.
The skills workbook in this course is:
Workbook 7 – Skills Workbook
RESOURCES REQUIRED FOR ASSESSMENT
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
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 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
KNOWLEDGE ASSESSMENT
Part 1 – Managing Legal and Ethical Compliance
1. Crucial to your work role in case management in community
services is a solid understanding of legal and ethical compliance
requirements.
Which of the following are reliable sources of information about
compliance requirements? From the options below, select only six
(6).
☐ a. Federal Register of Legislation
(www.legislation.gov.au)
☐ b. Legal specialists (e.g. lawyers)
☐ c. Relevant legislation and regulations
☐ d. Newspapers, tabloids, and magazines
☐ e. Peak bodies and industry associations
☐ f. Local, State/Territory, national government
bodies
☐ g. Social media platforms (e.g. Facebook and
Twitter)
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