ASSESSMENT OVERVIEW

ABOUT YOUR ASSESSMENTS

Assessment Task 1: Written questions

Students must correctly answer all 17 questions to show that they understand the knowledge required of this unit.

Assessment Task 2: Case studies

Students are to read four case studies and complete the questions for each.

Assessment Task 3: Project

There are two parts to this assessment.

Part A: Students must develop an equal employment policy and answer a set of written questions.

Part B: Students are to answer a set of written questions.

Assessment Task 4: Project

Students must complete multiple parts to demonstrate their ability to monitor compliance.

Part A: Students will be given a scenario and they must identify the breach of compliance. They must then identify and report on the corrective action to be taken.

Part B: Students must maintain knowledge of current and emerging legal and ethical issues by researching legal information about the breach of compliance identified from the scenario.

Part C: Students must then update relevant policy document to reflect legal research around the breach of compliance.

Part D: Students will then meet with employee to share policy updates and legal research. This part will be executed as a role play simulation.

Written questions

Case studies

Project

Project

Agreement by the student

Read through the assessments in this booklet before you fill out and sign the agreement below. Make sure you sign this before you start any of your assessments.

Have you read and understood what is required of you in terms of assessment?

 Yes

 No

Do you understand the requirements of this assessment?

 Yes

 No

Do you agree to the way in which you are being assessed?

 Yes

 No

Do you have any special needs or considerations to be made for this assessment? If yes, what are they?

 Yes

 No

Do you understand your rights to appeal the decisions made in an assessment?

 Yes

 No

ASSESSMENT TASK COVER SHEET – ASSESSMENT TASK 1

Name:

Date of birth:

Student ID:

Unit:

CHCLEG003 Manage legal and ethical compliance

Student to complete

Assessor to complete

Assessment Task

Resubmission?
Y/N

Student
initials

Sufficient/
insufficient

Date

Written questions

ASSESSMENT TASK 1: WRITTEN QUESTIONS

Task summary:

This is an open book test – you can use the Internet, textbooks and other documents to help you with your answers if required.

You must answer all 17 questions correctly.

Write your answers in the space provided.

If you need more space, you can use extra paper. All extra pieces of paper must include your name and the question number/s you are answering.

You may like to use a computer to type your answers. Your assessor will tell you if you can email them the file or if you need to print a hard copy and submit it.

Gilly has been asked to write a set of policies and procedures for records management in his workplace.

He has been asked to make sure he complies with AS/ISO 15489.

Gilly has no idea of what AS/ISO 15489 is, so he decides to ask you about it.

Gilly is also asked to make sure that the records management policies and procedures comply with the Australian Privacy Principles (APP).

Harry has been abusing prescription drugs.

He is not at imminent danger to himself or to others, but his mother is worried about him.

His mother tries to get him admitted to rehab, but she is told that Harry will need to give ‘informed consent’ to receive treatment.

Nathan is a youth disability worker. He has been working as Gillian’s carer for some time now.

Recently Nathan has been spending more time with Gillian than with other clients.

One day Nathan suggests to Gillian that she come to his house to watch a movie. Gillian does not want to do this, as the other clients are starting to talk about her and Nathan.

Nathan tells her not to worry about it, and to make sure she comes around to his place tonight otherwise he will tell his supervisor that she has been smoking marijuana.

Gillian feels that she has to go because she is scared to get in trouble.

Heidi manages a team of four community services workers.

Each staff member has recently obtained their Certificate IV in Community Services. Heidi has the Diploma of Community Services.

One of her staff asks Heidi if she can join a network group that is discussing the implementation of new government initiatives.

Heidi replies, ‘No, you have your Certificate IV – you don’t need any more professional development for at least four years.’

1.

2.

3.

Abha has a staff training session to run today. While she is setting up, she sees that there are bare wires protruding from the wall.

When she brings it to the attention of her supervisor, she is told, ‘Oh yes – I meant to tell you about that. Tell everyone to stay away from the wires so they don’t get electrocuted. The electrician is coming this afternoon around 2.30. He said it will only take about 10 minutes to fix the wires.’

It is 8.55am and the training is due to start at 9.15.

People are starting to filter in. There is no other training room available.

Majd has just been recruited to work at the local neighbourhood house. He will be working with children with disabilities.

He has presented his police check but hasn’t yet obtained his Working with Children Check.

Majd is well known to the coordinator of the neighbourhood house as they live next door to each other. The coordinator knows that Majd has children and looks after them well.

The coordinator asks Majd to run the children’s program today.

1.

2.

Majd is anxious to please on his first day of work but knows he can’t lawfully work with children until his Working with Children Check is completed.

But he doesn’t want to lose his job on the first day!

Millicent is the coordinator of the Blinkinsville Neighbourhood House Coordination Program (NHCP) in Victoria.

The NHCP is funded by the Victorian Government and recurrent funds are provided each year to provide community development activities.

1.

2.

3.

4.

Bridgette is the only female out of seven workers in her unit and is being harassed by her colleagues.

They constantly make jokes and comments about her being a female and about the quality of her work. They say that she is not good at her job as she is a female and all the male clients make sexualised comments about her.

They also say she would not be strong enough to defend herself if one of the clients was to assault her.

When an opportunity comes up for Bridgette to take on a project planning a new unit, she is told not to attempt to apply for it – she is a woman and would not be able to understand the need of the all-male clients.

1.

2.

3.

4.

Claire is the safety officer in her workplace. She is doing an audit of the first aid kits in the workplace and uses the First aid in the Workplace Compliance Code (edn 1 September 2008) – Worksafe Victoria.

Claire accessed this document at https://www.worksafe.vic.gov.au/__data/assets/pdf_file/0003/8706/First_aid_CC.pdf

The Centre is considered to be ‘low risk’ and has 24 employees.

Claire finds there is one first aid kit in the workplace.

The first aid kit is kept in a large steel container, which is locked. The key is held by the first aid officer.

There are no markings on the container.

Claire checks the contents of the first aid kit and finds three things missing against what is prescribed in the Code of Practice.

The contents of the kit include:

basic first aid notes

disposable gloves

individually wrapped sterile adhesive dressings

sterile eye pads (packet)

sterile coverings for serious wounds

safety pins

small sterile unmedicated wound dressings

medium sterile unmedicated wound dressings

large sterile unmedicated wound dressings

non-allergenic tape

rubber thread or crepe bandage

scissors

tweezers

sterile saline solution

plastic bags for disposal.

1.

2.

1.

2.

3.

Mr Johnson is 75 years old and has multiple sclerosis.

His doctor has advised his daughter, Ellen, that she should consider moving him into a care facility where he can be monitored on a daily basis.

Ellen suggests this as an option to her father, however he is adamant that he can continue living in his own home with some support. Mr Johnson feels strongly about his decision and refuses to change his mind.

Ellen is not comfortable with her father’s decision and advises his doctor that he will move into the recommended facility the following Friday.

On the Friday morning Mr Johnson is taken unwillingly to the care facility.

Australian Human Rights Commission

Fair Work Commission

The Victorian Charter of Human Rights and Responsibilities

The Australian Charter of Healthcare Rights

Australian Government Department of Human Services

The Australian Services Union

1.

2.

3.

4.

Maria is the newly appointed manager of an aged care facility. She is wondering what steps she and her colleagues could take to make sure that her organisation’s accreditation is maintained and updated.

What do I need to hand in for this task?

Have I completed this?

Your answers to each question



ASSESSMENT TASK COVER SHEET – ASSESSMENT TASK 2

Name:

Date of birth:

Student ID:

Unit:

CHCLEG003 Manage legal and ethical compliance

Student to complete

Assessor to complete

Assessment Task

Resubmission?
Y/N

Student
initials

Sufficient/
insufficient

Date

Case study 1

Case study 2

Case study 3

Case study 4

ASSESSMENT TASK 2: CASE STUDIES

Task summary:

You are to read the case studies and complete the questions that follow.

Case Study 1: Prasad moves to Australia

Prasad recently joined SupportKids, taking on the role of the team leader.

Prasad has recently moved to Australia from India. He was very pleased that his experience with children with disabilities in India has been recognised and he could get employment in a team leader’s role.

Prasad had been employed in India for over 15 years, during which time he had campaigned for the rights of children and people with disabilities. Prasad was known to be a skilled and dedicated worker.

After settling into his new role, Prasad noticed some of his team members making quiet jokes when he was around the office. Some would giggle or quietly laugh when he would speak and do silent movements ridiculing his natural gestures.

During lunch times, Prasad overhead some of the team mention his name and put on an Indian accent during their conversation. This happened more obviously when Prasad was giving the team updates during their weekly catch ups.

Furthermore, one of the team members, Ben, would send regular emails to the rest of the team with jokes and comical images about the Indian culture. When Prasad attempted to ignore these jokes about him, he also noticed the responsiveness of his team decline. They were not supportive of his requests and lacked the team cooperation and loyalty that he needed to get tasks done.

Prasad began to lose his confidence with his new role and team leadership. He felt humiliated because of his culture and ethnic background, and he could not understand why his team were not as welcoming as he expected. They did not make him comfortable in his position as their team leader.

Eventually Prasad withdrew his interaction with the team over time, cancelling meetings and confining his communication to emails rather than face-to-face discussion.

The jokes about Prasad failed to cease and became targeted at his withdrawn behaviour. He became agitated and depressed until he completely withdrew himself from the workplace and ceased working due to increasing stress.

Prasad was also homesick, as all of his family and friends resided back in India.

What do I need to hand in for this task?

Have I completed this?

Your answers to this case study



Case Study 2: Kelly and Thomas on night shift

Kelly has just completed her Certificate IV in Community Services and is very pleased to be given a job working as a residential care worker.

Kelly enjoys the work and finds the house supervisor to be very helpful in teaching her the ropes.

After a few months, the house supervisor advises Kelly that he will be placing her on night shift with the other night worker – Thomas.

Kelly is a bit uncomfortable about working with Thomas, especially during the night, but she appreciates the responsibility of working nights. The shift penalties also mean more money in her pay.

When Kelly starts working with Thomas, he casually questions her about her personal life. He asks her questions about whether she has a boyfriend and about her first time sexual encounter.

Kelly finds this intrusive as she has never been asked these type of questions by anyone else in a workplace. But she thought this might just be Thomas trying to be friendly and make an effort to get to know her better.

Kelly has a strong commitment to her job and a loyalty to do her best for her clients.

Thomas begins to give Kelly compliments on how she dresses and presents herself, most especially when she wears a skirt. He makes comments like, ‘If I wasn’t already married and I was your age I would be all over you by now!’

Kelly’s discomfort around Thomas grows when he starts to read sexually explicit content in magazines that they confiscate from their clients. He also shows her pornography on the Internet, saying that he has caught the clients accessing it.

One night when all the clients were in bed asleep, Thomas asks her to have sex with him.

Kelly calls the on-call manager, saying she is sick and needs to leave her shift immediately.

She never returns to work.

What do I need to hand in for this task?

Have I completed this?

Your answers to this case study



Case Study 3: Helping out a friend

Thomas is suspended from work and a disciplinary investigation process is in progress.

Thomas calls, Ben, who works in the organisation’s HR department.

Ben is a friend of his from years ago. They used to play football together and often go out for drinks on Thomas’s nights off. They arrange to meet at the pub that night.

Thomas buys Ben a beer and fills him in on what has happened – he has been wrongfully suspended from work! According to Thomas, Kelly has thrown herself at him during night shift and when he threatened to report her, she got in first and said it was him who assaulted her!

Ben had heard something about the suspension and was very glad to hear that his friend was not in the wrong.

Thomas asks Ben if he could get the disciplinary file out of the HR Manager’s office and photocopy it for him so he knows what is happening in the investigation. This will help him as he will be able to see Kelly’s statement and what the investigator has said in the report.

He needs the information before he goes in front of the investigation committee next week.

If Ben can get the report, Thomas promises that he will never tell anyone.

Ben feels sorry for his friend and the next day he works back late. He finds the HR Manager’s office key and ‘borrows’ the file. He makes a copy.

On his way home he drops in at the pub and gives Thomas the photocopies. Ben can’t believe the lies that Kelly has told about Thomas in her statement – he feels really sorry for his friend as it looks like it will just be Kelly’s word against his, and everyone knows that the female is always believed over the male in a sexual assault case!

Thomas buys Ben another drink. ‘Cheers,’ Thomas says as they clink bottles. Thomas grins widely.

What do I need to hand in for this task?

Have I completed this?

Your answers to this case study



Case Study 4: Revising a procedure

Jenny works in the administration department of your organisation. Jenny’s department is responsible for ordering and storing stationery.

The procedure for receiving orders of stationery at the centre reads as follows:

SAFE WORK PROCEDURE – DELIVERIES AND STORAGE OF STATIONERY

The administration staff will be responsible for accepting and storing stationery orders.

Procedure:

When stationery orders are delivered, check the content of the delivery to ensure it matches the delivery docket.

Sign the delivery company’s documentation.

Immediately move stationery received into the storeroom. If the box is too heavy, ask another worker to assist with moving the box.

Unpack the stationery and store it as follows:

Small items for everyday use – store on low and middle shelves.

One box of photocopy paper to be split into individual reams and stored on easy to reach shelf.

Remainder of boxes of photocopy paper to be stored (in boxes) on top shelf.

Staff must use the ladder provided to lift the boxes onto the top shelf.

Yesterday Jenny received a large order of stationery. She was busy with other work so she asked Martin to help her so she could get through it faster.

One of the boxes was very heavy, so Martin said he would move it to the storeroom. Jenny offered to help, but he said he was fine. Unfortunately Martin tripped over his own feet when he was moving the box and fell down the small step that led into the storeroom. 

He had to be taken to hospital – he had fractured his wrist.

After all the drama of Martin’s accident died down, Jenny decided to put all the stationery away herself.

She had almost got everything done, but the last items were six boxes of photocopy paper. Jenny used the ladder as instructed by the procedures to put the boxes on the top shelf. By the time she got to the fourth box she was exhausted – it was hard work lifting boxes up a ladder!

Just was she was about to put the box on the shelf, her foot slipped on the ladder step. She fell onto the floor – thankfully the box did not hit her! However, Jenny still ended up with cuts on her leg from the metal ladder, and lots of bruises and a very sore ankle and arm.

Naomi is the new manager of the organisation. She has been on the job for not even two weeks. She is horrified that two accidents could occur on the same day, and in the same place.

Naomi investigates the incident and when she reads the procedure she is shocked at the manual handling processes that staff are being advised to carry out. She is surprised there hasn’t been more serious accidents.

She knows the procedure must be fixed immediately!

1.

2.

3.

What do I need to hand in for this task?

Have I completed this?

Your answers to this case study



ASSESSMENT TASK COVER SHEET – ASSESSMENT TASK 3

Name:

Date of birth:

Student ID:

Unit:

CHCLEG003 Manage legal and ethical compliance

Student to complete

Assessor to complete

Assessment Task

Resubmission?
Y/N

Student
initials

Sufficient/
insufficient

Date

Project

ASSESSMENT TASK 3: PROJECT

Task summary:

There are two parts to this assessment:

Part A: You must develop an Equal Employment policy and answer a set of written questions.

Part B: You are to answer a set of written questions.

Part A: Equal Opportunity Policy

Policy title:

Document owner:

Approved by:

Date approved:

This policy covers the following:

Scope

Objectives

Company values and commitment

Key terms and definitions

Rights and responsibilities

Related policies and procedures

Key contacts

Implementation

Training and certification

Complaints procedure

Policy review

Document control.

Scope

(Provide an overview of who and what the policy covers.)

Objectives

(Provide a description of the policy’s goals and aims.)

Values and commitment

(Provide a description of the workplace’s values and commitments.)

Terms and definitions

(Provide a description of key terms and definitions used in the policy, ie a glossary.)

Rights and responsibilities (staff)

Rights and responsibilities (managers)

Key contacts and external organisations

(List relevant key contacts – that is, individuals, groups or departments who could be approached by staff in relation to issues, concerns or breaches of any area of this policy)

Implementation and training

(Provide an overview of how the policy would be implemented.)

Training and assessment

(Provide an overview of the training requirements, including assessment.)

Complaints procedure (informal and formal)

(Provide an overview of the complaints management procedure.)

Policy review and update

(Provide an overview of how the policy will be reviewed.)

Related Acts, Standards and Regulations

(List related Australian state and Commonwealth legislation, standards and Acts)

Document management

(Provide an outline of how the document will be maintained and controlled.)

Part B: Written questions

1.

2.

3.

What do I need to hand in for this task?

Have I completed this?

A completed Equal Opportunity policy (Part A)



Answers to the written questions (Part B)



ASSESSMENT TASK COVER SHEET – ASSESSMENT TASK 4

Name:

Date of birth:

Student ID:

Unit:

CHCLEG003 Manage legal and ethical compliance

Student to complete

Assessor to complete

Assessment Task

Resubmission?
Y/N

Student
initials

Sufficient/
insufficient

Date

Project

ASSESSMENT TASK 4: PROJECT

Task summary:

There are four parts to this assessment:

Part A: Students will be given a scenario and they must identify the breach of compliance. They must then identify and report on the corrective action to be taken.

Part B: Students must maintain knowledge of current and emerging legal and ethical issues by researching legal information about the breach of compliance identified from the scenario.

Part C: Students must then update relevant policy document to reflect legal research around the breach of compliance.

Part D: Students will then meet with employee to share policy updates and legal research. This part will be executed as a role play simulation.

Part A: Identify Compliance Breach and Report on Corrective Action

Scenario: You have been appointed as the new manager of Gardenville Disability Support Services. Over the past month, you find out that an administrative worker at your facility has been accessing a client’s medical records in order to find out about treatment and progress. You have been told that the employee Clare who accessed the records is a family friend of the client and did this as she wanted to be able to speak with the client’s family about his progress and give the family regular up-dates. When questioned Clare said that she was not aware that this was a breach in client confidentiality and disclosure, and she had not received a copy of these policies when she commenced employment This matter requires your immediate attention.

Part B: Research Legal Information About the Breach of Compliance

Part C: Update Policy Document to Reflect Legal Research

Part D: Share Policy Updates and Legal Research

Scenario: Your new role as manager of Gardenville Disability Support Services is going along well. There have been no new compliance breaches. You have decided to meet face-to-face with Clare the employee as you want to explain the updated policy and relevant legislation in person. You also want to schedule a review meeting with this Clare in a months’ time.

During the role play, your assessor will be looking to see that you can:

Point out the changes made to the policy document.

Specify legal research to support changes made.

Explain why the changes were made.

Specify consequences of non-conformance.

Make a follow-up meeting in a month’s time.