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Assessment Information for Students
Throughout your training we are committed to your learning by providing a training and assessment framework that ensures the knowledge gained through training is translated into practical on the job improvements.
You are going to be assessed for:
? Your skills and knowledge using written and observation activities that apply to the workplace.
? Your ability to apply your learning.
? Your ability to recognise common principles and actively use these on the job.
All of your assessment and training is provided as a positive learning tool. Your assessor will guide your learning and provide feedback on your responses to the assessment materials until you have been deemed competent in each of the units that you complete.
Assessment Requirements
Each unit that you complete contains assessment requirements as outlined below:
Elements These are the measureable outcomes required for the unit
Performance criteria The required performance in relevant tasks, roles and skills to demonstrate achievement of the elements
Performance evidence • Specifies the skills that must be demonstrated
• Specifies the frequency or volume of the product or process
Knowledge evidence • Specifies what the individual must know in order to safely and effectively perform the work task described in each unit
• Specifies the type and depth of knowledge required to meet the demands of each unit
Assessment conditions • Specifies the conditions under which evidence for assessment must be gathered, including:
? Details of required equipment and materials
? Unforeseen events
? Specifications
? Physical conditions
? Relationships with team members
? Relationships with supervisors
? Relationships with client/customer
? Timeframe for assessment
Some units require assessment to occur in the workplace, while others allow assessment to take place in simulated conditions which represent workplace conditions as closely as possible.
You will be exposed to both simulated assessments and assessments that will be conducted in the workplace.
Foundation skills
You will be expected to have language, literacy and numeracy skills to be able to conduct research to complete assessment tasks as required.
Foundation skills focus on language, literacy and numeracy, and employability skills such as team work, problem solving, self-management, digital literacy and using technology – all skill requirements for training and the workplace.

Stages of Assessment
Assessment can happen at three stages:
1. Before training - This is to find out the level of skills you already have and/or which skills you need to develop during your training
2. During training - Throughout your training program, your trainer/assessor will assess your progress in learning each skill
3. After training - At the completion of training, your supervisor and trainer/assessor will verify that you have consistently applied these skills in the workplace to the standard expected.
How You Will Be Assessed
The process we follow is known as competency-based assessment.
This means that evidence of your current skills and knowledge will be measured against national standards of best practice, not against the learning you have undertaken either recently or in the past. Some of the assessment will be concerned with how you apply your skills and knowledge in the workplace, and some in the classroom - as required by each unit.
The assessment tasks for each of the units have been designed to enable you to demonstrate the required skills and knowledge and produce the critical evidence to successfully demonstrate competency at the required standard.
Your assessor will ensure that you are ready for assessment and will explain the assessment process to you. Your assessment tasks will outline the evidence to be collected and how it will be collected, for example; a written activity, case study, or observation.
Assessment must comply with the assessment methods of the training package and be conducted in accordance with the Principles of Assessment and assessment conditions. This means the assessment must be fair, flexible, reliable and valid.
You will receive an overall result of Competent or Not Yet Competent at the end of each unit.
The assessment process is made up of a number of different assessment methods. You are required to achieve a satisfactory result in each of these assessment methods to be deemed competent overall. Your assessment may include any or all of the below assessment methods:
Direct Evidence These are things that the assessor observes first-hand. You will be assessed either in the workplace or in a simulated environment – the assessment conditions of the unit will outline what is required.
Where you are assessed in the workplace, the assessor will visit you from time to time, and observe the work that you do. You will be advised of when the assessor will be visiting you, so that you are prepared.
Where you are assessed in a simulated environment, the assessor will use structured assessment activities such as: simulated exercises, scenarios, role plays, presentations, and practical observations.
Indirect Evidence These are things that someone else has observed and reported to us, such as Third-Party Evidence (Supervisor Verification) where workplace evidence is required.
Involving a third party in the collection of evidence allows assessors to gather cost-effective, authentic and valid evidence, in cases where workplace evidence is required, but where it is not possible for the assessor to directly observe you at work. For example, in cases where:
• the presence of an observer may compromise workplace safety
• where work activities involve issues of confidentiality and privacy
The use of other people in collecting evidence is also a valuable strategy for collecting evidence of ‘everyday performance’ rather than performance carried out as part of the formal assessment process. This helps an assessor to determine ongoing consistency of performance by you. If a third-party agrees to collect or provide evidence to complement other evidence gathered by the assessor, it is still the role of the assessor to make the judgement about whether competency has been achieved.
Supplementary Evidence These are other things that can indicate performance, such as:
• Theory questions
• Research questions
• Assignments
• Projects
• Case studies
Submission of Written Activities
It is important that you are aware of the requirements regarding the submission of written activities and any other course materials through your trainer/assessor. Please ensure this work is sent to your trainer/assessor and is labelled with all your relevant contact details.
Please also keep a photocopy of your submission for your records as no responsibility is taken for lost or non-received work.
Reasonable Adjustment
Reasonable adjustment aims to make it possible for students with disability to participate fully in education and training. It’s not to give a student with a disability an advantage over other students, or to change course standards or outcomes or to guarantee success.
Reasonable adjustment is a term used in education, employment and Vocational Education and Training sectors to refer to adjustments made to the learning environment, certification requirements, training delivery or assessment methods, to help learners with disabilities access participation in education and training on the same basis as those without disability
It is the student’s choice to disclose their disability/special requirements, and during enrolment, the special needs of the student in relation to the learning and assessment of this unit are discussed and taken into consideration.
Your assessor will then be able to determine if you have any special needs to be considered during assessment. Changes can be made to the way assessment is undertaken to account for special needs and this is called making Reasonable Adjustments.
The assessor is to make notations where applicable on the assessment if reasonable adjustment is required.
Assessment Outcome
What happens if your result is ‘Not Yet Competent’ for one or more units of competency?
You will receive an overall result of Competent or Not Yet Competent for each unit. Our assessment process is designed to answer the question “has the desired learning outcome been achieved yet?” If the answer is “Not yet”, then we work with you to see how we can get there.
Where your unit has been marked ‘NYC’ (Not Yet Competent), your trainer / assessor will provide you with the necessary feedback and guidance in order for you to resubmit your responses.
What if you disagree on the assessment outcome?
You can appeal against a decision made in regards to your assessment. An appeal should only be made if you have been assessed as ‘Not Yet Competent’ against a specific unit and you feel you have sufficient grounds to believe that you are entitled to be assessed as competent. You must be able to adequately demonstrate that you have the skills and experience to be able to meet the requirements of units you are appealing against.
Your trainer will outline the appeals process, which is available to all students. You can request a form to make an appeal and submit it to your trainer, or the administration team. AMA Training Services will examine the appeal and you will be advised of the outcome within 14 days. Any additional information you wish to provide may be attached to the appeal form.
Assessment Guide
The following table shows you how to achieve a satisfactory result against the criteria for each type of assessment task. The following is a list of general assessment methods that can be used in assessing a unit of competency.
Assessment Method Satisfactory Result Non-Satisfactory Result
Theory and Research Questions All questions answered correctly Incorrect answers for one or more questions
Answers address the question in full, referring to appropriate sources as required Answers do not address the question in full
Does not refer to appropriate or correct sources
Third Party Report Supervisor or manager observes work performance and confirms that you consistently meet the standards expected from an experienced operator Could not demonstrate consistency. Could not demonstrate the ability to achieve the required standard
Assignments and Projects Follows guidelines/instructions Does not follow guidelines/instructions
Attachments if requested are attached Requested supplementary items are not attached
All requirements of the assignment or project are addressed/covered Response does not address the requirements in full, is missing a response for one or more areas
Responses must refer to appropriate sources from your workbook and/or workplace One or more of the requirements are answered incorrectly
Does not refer to or utilise appropriate or correct sources of information
Observation/Demonstration All performance requirements are demonstrated at the appropriate level Could not demonstrate performance requirements at the appropriate level
Case Study All comprehension questions answered correctly, demonstrating an application of knowledge of the topic case study Lack of demonstrated comprehension of the underpinning knowledge required to complete the case study questions correctly
One or more questions are answered incorrectly
Answers address the question in full, referring to appropriate sources from your workbook and/or workplace Answers do not address the question in full, do not refer to appropriate sources
Practical Activity All tasks have been completed accurately and evidence provided for each stated task Tasks have not been completed effectively and evidence of completion has not been provided
Attachments if requested are attached Requested supplementary items are not attached
Unit Description
This unit describes the skills and knowledge required to identify and work within the legal and ethical frameworks that apply to an individual job role.
This unit applies to community services and health workers who play a proactive role in identifying and meeting their legal and ethical responsibilities.
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.
Assessment Conditions for this Unit
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:
o current legislation, regulations and codes of practice
o organisation policies, procedures and protocols
• modelling of industry operating conditions, including presence of problem solving activities
Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.
Performance Evidence
The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be evidence that the candidate has:
• completed workplace activities in accordance with legal and ethical requirements in at least 3 different situations
• developed appropriate responses to at least 3 different legal or ethical issues relevant to the work role
• identified and communicated at least 2 potential work practice improvements designed to enhance workplace responsiveness to legal and ethical requirements
Knowledge Evidence
The candidate must be able to demonstrate essential knowledge required to effectively do the task outlined in elements and performance criteria of this unit, manage the task and manage contingencies in the context of the work role. This includes knowledge of:
o legal and ethical considerations (international, national, state/territory, local) for people working in the community services and health context, how they are applied in organisations, how these impact individual workers, and the consequences of breaches:
o children in the workplace
o codes of conduct
o codes of practice
o complaints management
o continuing professional education
o discrimination
o dignity of risk
o duty of care
o human rights
? Universal declaration of human rights
? relationship between human needs and human rights
? frameworks, approaches and instruments used in the workplace
o informed consent
o mandatory reporting
o practice standards
o practitioner/client boundaries
o privacy, confidentiality and disclosure
o policy frameworks
o records management
o rights and responsibilities of workers, employers and clients
o industrial relations legislation relevant to employment conditions of role
o specific legislation in the area of work objectives and key components
o work role boundaries responsibilities and limitations
o work health and safety
• interrelationships, similarities and differences that may exist between legal and ethical frameworks
• legal issues in the context of the work role:
o type of legal issues that arise
o ways to respond
• ethical practice in the context of the work role:
o type of ethical issues that arise
o ways to respond
• workplace policies, procedures and protocols:
o how they are/should be developed
o processes for review, including consultation and mechanisms for input

SUPPLEMENTARY EVIDENCE
Theory
1. Describe in your own words what code of conduct means?
2. Describe in your own words what code of practice means?
3. What is your organisations grievance policy? How are clients informed of the rights and responsibilities in relation to receiving services from your organisation?
4. What is duty of care?
a. Give an example of a breach of duty of care.
b. What is standard of care?
5. What is the code of ethics?
a. What is an ethical dilemma?
b. What is the meaning of Ethical responsibilities?
6. What does non-judgmental approach to practice mean?
7. How can a support worker’s own values and attitudes affect a person they are supporting?
8. What does unethical conduct mean?
9. What is a conflict of interest?
10. Find a job description for a job you would like to do, list the key selection criteria for the job.
a. How would you keep up to date with industry trends?
b. What training would you like to attend to increase your skills?
11. When working with a children and young people, you need to make observation of children’s behaviors and physical presentation, noting any changers or reason for concern. Give a brief description of the following.
a. What are the visible signs of physical abuse of a child?
b. What are the behavioural signs of physical abuse of a child?
c. What are the signs of emotional abuse of a child?
d. What are to signs of sexual abuse of a child?
12. What is mandatory reporting?
13. When employed in the community service field why is it important to follow policies and procedures of the organisation?
14. Who would you ask in the organisation to find out about policies and procedures?
15. Why do you believe it’s important to include policies and procedures in the staff induction to the organisation?
16. Who would you consult with if a policy needed to be changed in the organisation?
17. Develop a checklist of your work role and responsibilities as you understand them in relation to your job description.
18. Describe an example of when you have undertaken task/activity outside your specified work role (in your organisation)? How did you clarify this with your supervisor?
19. Provide an example of when you have accepted responsibility for your own actions within your work role, e.g. when you have reported an incident or issue, clarified your duty of care requirements, provided/ sought feedback regarding your work role and legal obligations
20. Describe your duty of care in relation to your job role. How are you informed about your duty of care? E.g. supervisor feedback, organisational policy, job description?
21. Within your work role how do you seek agreement from clients before delivering services? What is your organisations policy on seeking agreement for services?
22. Describe the organisations confidentiality policy. What is the procedure you would follow if a breach of confidentiality occurred?
23. Give two examples of a breach of confidentiality that have occurred in your workplace and describe how these breaches were handled?
24. List the key statutory and regulatory requirements that cover the community services sector in which you work (disability/ youth-child/ education support/ aged care…)
25. What is the difference between an ethical dilemma and a legal obligation? –
26. What would you do if confronted with a legal or an ethical dilemma?
27. Personal values, beliefs, attitudes and culture influence how everyone responds to different situations. Discuss how you, can ensure that you respect all client’s values, beliefs, attitudes and culture regardless of whether they differ from your own.
28. Describe the process used in your workplace when a new policy or procedure needs to be created and implemented. For what reasons might they need to be written/changed?
29. What human resources documents do you need to be aware of in the context of legal and ethical responsibilities?
30. Explain why workplace policies and procedures are necessary.
31. List five legislative requirements that you work within in your workplace.
32. What does working ethically mean?
33. Explain the actions that you should take if a client’s rights are not being properly upheld
34. Explain how you can contribute to the improvement of your organisation’s policies and procedures.
Projects
1. For this assessment you will need to read the following scenarios, answer the questions that follow and submit in a professional, word processed, format. For each question you are required to provide long answers of approximately 8 typed lines which equals 100 words
You will refer to workplace policies and procedures to complete part of this activity.
Scenario 1: You are supporting two elderly clients out for the day, with a colleague. One of the clients fell whilst getting out of the bus. Your colleague says to you “we didn’t see that, it’s too much paperwork”
a. What is your duty of care in this situation?
b. How has the staff member breached their duty of care?
Scenario 2: You overhear a colleague telling a neighbour that the client being supported in the house has the most difficult family to deal with.
a. What would you do in this situation?
b. What privacy law have been broken?
c. Who would you report this to?
d. Why is it important for all staff to follow privacy and confidentiality policy of the organisation?
Scenario 3: Milly has been having headaches and after seeing her doctor, has indicated on her medication treatment sheet two 500mg tablets of Panadol are to be given every six hours. Policy of the organisation is that two staff must sign the treatment sheet when Panadol is given. You give Milly two Panadol and when you go to sign the treatment sheet you see another staff member has just given Milly two Panadol.
a. How much Panadol has been given over the instructions by the doctor?
b. Who would you ask for advice as to Milly’s overdose of Panadol?
c. How will you manage not following your responsibility to Milly?
i. By not following medical treatment sheet directions?
ii. By not following policy and procedure of the organisation?
d. What would you say to the other staff member?
e. What are your legal responsibilities in this situation?
f. What documentation needs to be completed as to policy and procedure of the organisation?
g. In what ways could you improve the work practice in order to avoid mistakes such as these in the future?

Scenario 4: You have just arrived at work. The staff member you are working with is outside on her mobile phone leaving 4 clients inside unattended in the kitchen. One of the clients have picked up a knife and cut them self and now requires medical attention.
a. How is this negligent by the staff member?
b. Why is it your legal obligation to report the staff member’s actions, and who would your report it to?
c. Your manger has asked you to put the incident in writing as it is the policy of the organisation, write a brief report of this incident you witnessed?
Scenario 5: You work for a community service organisation that supports children in care. You have taken lots of photos of Jimmy who is seven years old at the local Farmers market. You want to put the photos on your Facebook page.
a. What are the legal and ethical issues you should consider before doing this?
b. Why do you need to check your organisations policy on social media?
c. What act does the social media policy come under?
d. How could informed consent come into play with regards to photos of clients?
Scenario 6: You are supporting Peter who has a mild-disability and comes from a Muslim background. Peter’s mother wants to give you a cake to say thank for all your help.
a. What is the ethical issue in this situation?
b. How would you respond to the Mother?
c. Who would you ask to find the organisation policy and procedures on receiving gifts?
d. In what ways could you keep up your knowledge of policies and procedures such as these?
Scenario 7: John has a physical disability. He uses a wheelchair and has restricted movement in his hands. John’s favourite social activity on Friday nights is to go to the local pub and have a few drinks with his mates. Because of John’s physical limitations, he has a carer who accompanies him to the club.
a. In what way could the worker’s personal values impact on this situation?
b. What are your values in this matter?
c. Why is it important to use no-judgemental practices in this situation?
Scenario 8: A colleague tells you she has lost her license for three months due to speeding. She tells you she is still driving the clients to day placement because she needs the money as she is a single parent.
a. How is this unethical conduct by the staff member?
b. Who would you report this to, and why?
Scenario 9: A colleague is selling Avon to clients.
a. Why is this a conflict of interest?
b. Who would you report this to and why?
Scenario 10: A client you are supporting tells you he was involved in a crime at a local shop.
a. Why is it your ethical responsibilities to report this?
b. Who would you report this to?
Scenario 11: Jim, a client you are supporting, wants to help mow the lawns. He is very unsteady on his feet and falls over easily. Health and safety policy and procedures have identified that Jim can’t mow the lawns as it would be unsafe for him.
a. What would you say to Jim?
b. Why is it important to follow the health and safety policies of the organisation?
c. How would you explain dignity of risk to Jim, if he still wanted to mow the lawns?
Scenario 12: Lilly is eighteen years of age. She has a great interest in politics and has asked you to take her to vote at the upcoming election. Lilly’s mother has told you that she is not to vote, as Lilly doesn’t understand what she is talking about.
a. What are Lilly’s rights?
b. What conversation would you have with Lilly’s mother and how would you avoid conflict?
c. What are your work role boundaries in this situation and when would you seek further advice?
d. Define the relationship between Lilly’s needs and rights in this situation.
e. Where can you get more information regarding client rights?
Scenario 13: A lot of employees are bringing their children to work, as a part of flexible employment agreement.
a. Why is it important for all employees to have a working with children’s check?
Scenario 14: Health and safety guidelines of the organisation dictate that all staff and clients are to wash their hands before handing food. You notice there is no procedure on the washing of hands. You advise your manager, who asks you to write a procedure for washing hands.
a. Write a procedure on washing hands.
b. Why would you show your manager the procedure before showing it to the staff and clients?
c. Why would you ask for feedback from staff and clients about your procedure?
d. How would you make sure all the staff and clients are aware of the washing hands procedure and why it was put in place?
e. What WHS act do organisations need to follow?
f. How can you keep up to date with changes to regulations, policies and procedures?
Scenario 15: You work in an early childhood education centre and one of the children comes to the centre with regular bruising on their body. The child doesn’t want to go home.
a. What is your responsibility in this situation

DIRECT EVIDENCE
Practical Observation
You must observe the student applying the skills and knowledge required to identify and work within the legal and ethical frameworks that apply to their individual job role.
Students must ensure they provide evidence of their ability to identify and work within the legal and ethical frameworks that apply to their individual job role including how they:
a. Completed workplace activities in accordance with legal and ethical requirements in at least 3 different situations
b. Developed appropriate responses to at least 3 different legal or ethical issues relevant to the work role
c. Identified and communicated at least 2 potential work practice improvements designed to enhance workplace responsiveness to legal and ethical requirements
d. Know how to find and understand legal and ethical documents relative to the job role
e. Showed understanding of their ethical and legal rights and responsibilities
f. Follow organisation’s policies and procedures
g. Followed procedure in relation to breaches of legal and ethical obligations
h. Understood how their opinion could impact their practice and undertook non-judgmental practices accordingly
i. Discussed issues with relevant key people
j. Used effective problem solving skills
k. Took action against conflicts of interest
l. Identified areas for improvement
m. Gave and received feedback with colleagues
n. Contributed to changes in policy and procedure
o. Showed that they understood the difference between legal and ethical issues in a range of situations, and gave appropriate responses to those situations
If students are unable to complete this in the workplace, they should complete the following role play activities based on the scenarios in Written Activity Task 1.
They will refer to their answers in Written Activity Task 1 for this Observation Task. The student will discuss their answers for Task 1 with you on site and demonstrate how they have applied the information documented.
Feedback specific to the students’ performance must be noted and should include information relevant to the student’s ability to complete the task, areas for improvement and aspects achieved. This feedback is to be made available to the student to better understand how to gain competence in this area of assessment.
The student has consistently demonstrated the following skills:
1. Student completed workplace activities in accordance with legal and ethical requirements in at least 3 different situations Yes ? No ?
2. Student developed appropriate responses to at least 3 different legal or ethical issues relevant to the work role Yes ? No ?
3. Student identified and communicated at least 2 potential work practice improvements designed to enhance workplace responsiveness to legal and ethical requirements Yes ? No ?
4. Student met legal and ethical requirements in work practice according to workplace policies and procedures and scope of role Yes ? No ?
5. Student used effective problem solving techniques when exposed to competing value systems Yes ? No ?
6. Student identified situations where work practices could be improved to meet legal and ethical responsibilities Yes ? No ?
7. Student identified and took opportunities to contribute to the review and development of policies and protocols Yes ? No ?

INDIRECT EVIDENCE (SUPERVISOR)
Supervisor Verification
Below is a declaration that the student has consistently demonstrated the following:
Task Skills: This involves the undertaking of specific task(s).
Task Management Skills: This involves managing a number of different tasks to complete a whole work activity.
The student has consistently demonstrated the following skills:
Student completed workplace activities in accordance with legal and ethical requirements in at least 3 different situations Yes ? No ?
Student developed appropriate responses to at least 3 different legal or ethical issues relevant to the work role Yes ? No ?
Student identified and communicated at least 2 potential work practice improvements designed to enhance workplace responsiveness to legal and ethical requirements Yes ? No ?
Student met legal and ethical requirements in work practice according to workplace policies and procedures and scope of role Yes ? No ?
Student used effective problem solving techniques when exposed to competing value systems Yes ? No ?
Student identified situations where work practices could be improved to meet legal and ethical responsibilities Yes ? No ?
Student identified and took opportunities to contribute to the review and development of policies and protocols Yes ? No ?
Contingency Management Skills: This involves responding to problems and irregularities when undertaking a work activity, for example: breakdowns, changes in process, routine or unexpected results or outcomes.
The student has consistently demonstrated the following skills:
Is the student aware of limitations to his/her knowledge/skills? Yes ? No ?
Does the student manage change well when things do not go according to plan? Yes ? No ?
Does the student initiate self-improvement strategies?
Yes ? No ?
Job/Role Environment Skills: This involves dealing with the responsibilities and expectations of the work environment when undertaking a work activity, for example: working with others, complying with organisation policies, processes and procedures.
The student has consistently demonstrated the following skills:
Is the student consistently on time for work? Yes ? No ?
Does the student consistently follow instructions? Yes ? No ?
Does the student demonstrate respectful, professional and courteous interactions with:
? Clients/consumers
? Other service providers
? Co-workers Yes ? No ?
Does the student maintain appropriate dress code for the workplace? Yes ? No ?
Does the student accept supervisory feedback appropriately? Yes ? No ?
Does the student communicate effectively in the following:
? Written communication
? Verbal Communication Yes ? No ?
Comments:
Supervisor Name Supervisor Signature Date


Assessment Cover Sheet
Student Name
Assessor Name
Evidence Gathered S NYS
Direct Evidence
? Practical observations (mandatory)
Indirect Evidence
? Third-Party Evidence - Supervisor Verification
Supplementary Evidence
? Theory (1 – 34)
? Projects (1)
Reasonable Adjustments (if required):
Comments:
CHCLEG001 - Work legally and ethically
Unit Outcome
? Competent
? Not Yet Competent
I have received feedback on all assessment activities and agree with the final assessment decision made for this unit of competency.
Student Signature Date: _____/_____/______
Assessor Signature Date: _____/_____/______

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