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 your 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 this unit.

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 your workplace, and some in the training room as required by each unit.

The assessment tasks 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. Your assessment tasks will outline the evidence to be collected and how it will be collected, for example; a written activity, case study, or demonstration and observation.

The assessor will also have determined 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 Adjustment.

What happens if your result is ‘Not Yet Competent’ for one or more assessment tasks?

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.

In the case that one or more of your assessments has been marked ‘NYC’, your trainer 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 the assessment of.

Your trainer will outline the appeals process, which is available to the student. You can request a form to make an appeal and submit it to your trainer, the course coordinator, or the administration officer. The RTO 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.

What if I believe I am already competent before training?

If you believe you already have the knowledge and skills to be able to demonstrate competence in this unit, speak with your trainer, as you may be able to apply for Recognition of Prior Learning (RPL).

Assessor Responsibilities

Assessors need to be aware of their responsibilities and carry them out appropriately. To do this they need to:

Ensure that participants are assessed fairly based on the outcome of the language, literacy and numeracy review completed at enrolment.

Ensure that all documentation is signed by the student, trainer, workplace supervisor and assessor when units and certificates are complete, to ensure that there is no follow-up required from an administration perspective.

Ensure that their own qualifications are current.

When required, request the manager or supervisor to determine that the student is ‘satisfactorily’ demonstrating the requirements for each unit. ‘Satisfactorily’ means consistently meeting the standard expected from an experienced operator.

When required, ensure supervisors and students sign off on third party assessment forms or third party report.

Follow the recommendations from moderation and validation meetings.

How should I format my assessments?

Your assessments should be typed in a 11 or 12 size font for ease of reading. You must include a footer on each page with the student name, unit code and date. Your assessment needs to be submitted as a hardcopy or electronic copy as requested by your trainer.

How long should my answers be?

The length of your answers will be guided by the description in each assessment, for example:

Type of Answer Answer Guidelines
Short Answer 4 typed lines = 50 words, or5 lines of handwritten text
Long Answer 8 typed lines = 100 words, or10 lines of handwritten text = of a foolscap page
Brief Report 500 words = 1 page typed report, or50 lines of handwritten text = 1foolscap handwritten pages
Mid Report 1,000 words = 2 page typed report100 lines of handwritten text = 3 foolscap handwritten pages
Long Report 2,000 words = 4 page typed report200 lines of handwritten text = 6 foolscap handwritten pages

How should I reference the sources of information I use in my assessments?

Include a reference list at the end of your work on a separate page. You should reference the sources you have used in your assessments in the Harvard Style. For example:

Website Name – Page or Document Name, Retrieved insert the date. Webpage link.

For a book:

Author surname, author initial Year of publication, Title of book, Publisher, City, State

assessment guide

The following table shows you how to achieve a satisfactory result against the criteria for each type of assessment task.

Assessment Method Satisfactory Result Non-Satisfactory Result
You will receive an overall result of Competent or Not Yet Competent for the unit. The assessment process is made up of a number of assessment methods. You are required to achieve a satisfactory result in each of these to be deemed competent overall. Your assessment may include the following assessment types.
Questions All questions answered correctly Incorrect answers for one or more questions
Answers address the question in full; referring to appropriate sources from your workbook and/or workplace 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
Written Activity The assessor will mark the activity against the detailed guidelines/instructions Does not follow guidelines/instructions
Attachments if requested are attached Requested supplementary items are not attached
All requirements of the written activity 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 All elements, criteria, knowledge and performance evidence and critical aspects of evidence, are demonstrated at the appropriate AQF level Could not demonstrate elements, criteria, knowledge and performance evidence and/or critical aspects of evidence, at the appropriate AQF 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 (remove) 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.

Assessment cover sheet

Assessment Cover Sheet
Student’s name:
Assessors Name: Date:
Is the Student ready for assessment? Yes No
Has the assessment process been explained? Yes No
Does the Student understand which evidence is to be collected and how? Yes No
Have the Student’s rights and the appeal system been fully explained? Yes No
Have you discussed any special needs to be considered during assessment? Yes No
The following documents must be completed and attached
Written Activity ChecklistThe student will complete the written activity provided to them by the assessor.The Written Activity Checklist will be completed by the assessor. S NYS
Observation / DemonstrationThe student will demonstrate a range of skills and the assessor will observe where appropriate to the unit.The Observation Checklist will be completed by the assessor. S NYS
Questioning ChecklistThe student will answer a range of questions either verbally or written.The Questioning Checklist will be completed by the assessor. S NYS
I agree to undertake assessment in the knowledge that information gathered will only be used for professional development purposes and can only be accessed by the RTO:
Overall Outcome Competent Not yet Competent
Student Signature: Date:
Assessor Signature: Date:

written activity

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 mid-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

c. 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


The following questions may be answered verbally with your assessor or you may write down your answers. Please discuss this with your assessor before you commence. Short Answers are required which is approximately 4 typed lines = 50 words, or 5 lines of handwritten text.

Your assessor will take down dot points as a minimum if you choose to answer them verbally.

Answer the following questions either verbally with your assessor or in writing.

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?

Developed by Enhance Your Future Pty Ltd 1 CHCLEG001 – Work legally and ethically Version 1.1 Course code and name


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