Chcleg003 manage legal and ethical compliance hltwhs004 manage work

Assessment Booklet

CHCLEG003

Manage legal and ethical compliance

HLTWHS004

Manage work health and safety

Student Name:

Student Number: _________________________

Intake Date: _____________________________

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ASSESSMENT COMPETENCY RECORD

This form is to be completed by the assessor and used as the final record of the student competence in these discipline. All
student submissions including any associated documents and checklists are to be attached to this cover sheet before placing on
the students file.
Student results are not to be entered onto the Student Database unless all relevant paperwork is completed and attached to this
form.

Student ID Final Assessment Submission Date:

Student Name

Assessor Declaration

In completing this assessment, it is confirmed that the participant has demonstrated all unit outcomes through consistent and
repeated application of skills with competent performance.

Evidence is confirmed as: ❑ Valid ❑ Sufficient ❑ Current ❑ Authentic

Please attach the following documentation to this form Result

FINAL ASSESSMENT

RESULT:

❑ Competent (C)

❑ Not Yet Competent

(NYC)

Assessment Task 1 ❑ Case Study S / NS

Assessment Task 2 ❑ Case Study S / NS

Assessment Task 3 ❑ Case Study S / NS

Assessment Task 4 ❑ Additional Case Studies S / NS

Assessment Task 5 ❑ Written/Oral Questions S / NS

Attempt Date Assessor’s feedback (as required):

1

2

3

Final Feedback:

DO NOT SIGN BELOW UNTIL FINAL ASSESSMENTS RESULT IS GRANTED BY THE ASSESSOR.

Assessor: I declare that I have conducted a fair, valid, reliable and flexible
assessment with this student, and I have provided appropriate feedback.

Signature: _______________________

Name:__________________________

Date: ____/_____/_____

Student: I declare that I accept the assessment competency outcome and
consider the feedback of my assessor positively. I also declare that the work
submitted is my own, and has not been copied or plagiarised from any person or
source.

Signature: ______________________

Date: ____/_____/_____

Administrative use only:

Entered into Student
Management Database

❑ Signature/Initial ________________ Date: ________________

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Unit Code/Name CHCLEG003 Manage legal and ethical compliance

Pre-requisites N/A

Co-requisites N/A

Unit Summary

This unit describes the skills and knowledge required to research information about compliance and
ethical practice responsibilities, and then develop and monitor policies and procedures to meet those
responsibilities.

This unit applies to people working in roles with managerial responsibility for legal and ethical
compliance in small to medium sized organisations. There may or may not be a team of workers
involved.

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.

Conditions and context
of the assessments

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:

▪ current legislation and regulations

▪ workplace policies and procedures

▪ modelling of industry operating conditions, including:

▪ use of real or simulated organisation for which the candidate develops policies and
procedures

▪ integration of problem solving activities

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF
mandatory competency requirements for assessors.

Unit Code/Name HLTWHS004 Manage work health and safety

Pre-requisites N/A

Co-requisites N/A

Unit Summary

This unit describes the skills and knowledge required to establish, maintain and evaluate work health
and safety (WHS) policies, procedures and programs in the relevant work area, according to WHS
legislative requirements.

This unit applies to workers who have responsibility for WHS as part of their role, including workers
with obligations under WHS legislation, persons conducting a business or undertaking (PCBUs), or
their officers (as defined by relevant legislation).

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.

Conditions and context
of the assessments

Skills must be demonstrated in the workplace.

In addition, simulations and scenarios must be used where the full range of contexts and situations
cannot be provided in the workplace or may occur only rarely. These are situations relating to
emergency or unplanned procedures where assessment in these circumstances would be unsafe or is
impractical.

Simulated assessment environments must simulate the real-life working environment where these
skills and knowledge would be performed, with all the relevant equipment and resources of that
working environment.

In addition, assessment must ensure use of:

▪ current workplace policies and procedures for WHS

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF
mandatory competency requirements for assessors.

Assessment venue

This assessment will be conducted in the CAC classroom or simulated workplace environment or
at actual designated workplace:

• Address of actual designated workplace:

……………………………………………..

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……………………………………………..

……………………………………………..

Specific Resources
Required

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

▪ 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

Re-assessment

To gain competency you need to get Satisfactory (S) result in all the tasks. If Not Satisfactory (NS)

result is given even for a task you will be deemed Not Yet Competent (NYC). Students who are

unsuccessful at achieving competency at the first attempt will be offered coaching, information and

additional time (other needs if required) before a second and possibly a third attempt is made. If the

student is not able to satisfactorily complete the assessment after the third attempt the student will

be deemed Not Competent and resulted as such. The student may re-enrol in the qualification at a

later date to gain successful completion of the unit/s.

For further details, refer to CAC Assessment Policy and Procedure. https://cac.edu.au/policies-and-

procedures/

Plagiarism

CAC considers plagiarism and cheating as serious student misconduct and this may result either in a

student’s exclusion from a unit or course or may have to complete a re-assessment depending on

individual case. Refer to CAC Plagiarism & Cheating Policy and Procedure.

Complaints and appeal

Where a student wishes to appeal an assessment decision they are required to notify their assessor in

the first instance. Where appropriate the assessor may decide to re-assess the student to ensure a fair

and equitable decision is gained. The assessor shall complete a written report regarding the re-

assessment outlining the reasons why assessment was or was not granted. Refer to CAC Complaints

and Appeals Policy & Procedure for details.

Assessors Intervention

Assessors are to check that the student is ready for assessment, and defer the assessment if they are

not. It is important that assessors do not teach at the assessment but allow students to competence

for themselves.

Feedback is to be given at the completion of the assessment using the feedback to student. If a

student does not meet a standard, the assessor is to sit down with them and assist them in their

understanding. Should you disagree with the assessment outcome, you can appeal the decision as

stated in the Student Handbook.

Your student record must indicate that you have all required skills and knowledge in completing the

task. For each assessment, the assessor is to act as a supervisor and not interfere with the assessment.

If the assessment activities will impact on your safety or that of others, the assessment must be

stopped immediately.

Attaching documents
Attached documents are accepted but must be labelled with the following information:

Unit Name and Title, Students name, Student ID, Date of Submissions, Student signature.

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Assessment Instruction

Assessment is mapped to the unit and must be completed by the end of each unit. For answers to

written questions, reports and projects, you must:

• Print clearly in black or blue pen or type it as a word document

• Answer each of the key points and /or follow instructions

• Assessments written in pencil or are illegible will not be accepted.

Please NOTE: Student has to submit each and every assessment task. Ask your assessor if you do

not understand any part of the assessment. Whist your assessor cannot tell you the answer, he/she

may be able to re-word a question or instruction to assist in a better understanding for you.

Case Study

Assessment Task 1:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 2:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 3:

In real life, case managers will be required to participate and contribute to managing legal and ethical

compliance in their respective organisations, as well as encounter problems and issues along the way.

This assessment will allow you to demonstrate your problem-solving abilities in such situations.

Assessment Task 4:

Task 1 activity will require you to communicate the policies and procedures you developed for

Case Studies 2 and 3.

Task 2 will require you to document and distribute the policies and procedures you developed in an

electronic and printed format.

Assessment Task 5:

This is a written assessment that will test student’s knowledge. This assessment may be completed

over the duration of the training days. As the students learn, practice and review knowledge and skills,

students will keep Assessment Task 5 in front of them and answer the questions as the information

becomes clearer. At the beginning of each review session students will be given a few minutes to

familiarise themselves with the questions. Students will be given extra time at the end of the day to

complete this assessment or to clarify facts with the Trainer/Assessor

Competency Decision

Student must satisfactorily complete each assessment tasks to be Competent (C) in the unit.

Student with unsatisfactory completion of any of the assignment tasks will be deemed Not Yet

Competent (NYC).

Reasonable adjustment

To meet the needs of all learners’ adjustments can be made to the way assessments are conducted but not to the requirements of

the assessment. The purpose of these adjustments is to enhance fairness and flexibility so that the specific needs of students can

be met.

CAC will take meaningful, transparent and reasonable steps to consult, consider and implement reasonable adjustments for

students with disability and learning difficulties.

Reasonable adjustment provided Reason for reasonable adjustment Outcome

❑ Educational and bilingual support

❑ Presenting questions orally

❑ Presenting work instructions in
diagrammatic or pictorial form
instead of words and sentences

❑ Extra time to complete a course or
assessment

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❑ Others:

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INSTRUCTIONS TO ASSESSOR

This is a compulsory assessment to be completed by all students. This assessment tests the student’s ability to

understand the underpinning generic knowledge related to the units of competency.

Reasonable adjustment applies here, and while the majority of students will complete this assessment as a written

assessment, verbal assessment may be an option for those who need it. Assessor must use the response guide as the

principal marking tool unless reasonable adjustment is demonstrated.

The Assessor Guide provides model answers to all the questions, setting out which key responses must be included, as

well as indicating where flexibility is acceptable.

Where there is a number of responses required, this is specified to avoid ambiguity. In these cases, the model answer

will provide a list of possible answers. For instance, if a question requires the student to list three (3) examples, then

their response must include three of the items listed in the model answer.

Note to assessors: Contact details are requested from observers in the feedback forms in case you will have to call them to verify content

of the feedback forms.

IMPORTANT REMINDER

Candidates must achieve a satisfactory result to ALL assessment tasks to be awarded COMPETENT for the

units relevant to this cluster.

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INSTRUCTIONS TO CANDIDATE

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.

Accessing Intranet Pages and External Links

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.

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CASE STUDIES

Instructions to Assessor

This assessment supports the industry requirement of managing legal and ethical compliance in the community services

setting. In real life, case managers will be required to participate and contribute to managing legal and ethical compliance

in their respective organisations, as well as encounter problems and issues along the way. This assessment will

demonstrate the candidate’s problem-solving abilities in such situations.

Instructions to Candidate

These case studies are hypothetical situations which will not require you to have access to a workplace, although, your

past and present workplace experiences may help with the responses you provide. You will be expected to encounter

similar situations to these in the future as you work in community services settings.

In real life, case managers will be required to participate and contribute to managing legal and ethical compliance in

their respective organisations, as well as encounter problems and issues along the way. This assessment will allow you

to demonstrate your problem-solving abilities in such situations.

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ASSESSMENT TASK 1 – CASE STUDY

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this
assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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ASSESSMENT TASK 1 – CASE STUDY 1 (Alex)

SCENARIO

You are working as a volunteer in a government-funded community

services organisation catering for homeless persons.

You are working with Alex who is also a volunteer. He has been

assigned to an outreach service that assists clients to secure

permanent housing. Since the community is far from the main office

of the organisation, Alex often has to make out-of-pocket

expenditures for activities involved in the community programs.

Staff and volunteers are required, as per organisation’s policies and

procedures, to report any reimbursements for expenses in behalf of

the organisation. Reporting these expenses for reimbursements are

done via an online portal every week.

One day, you overheard Alex speaking with a new volunteer about how he makes extra money from his work. Alex

said that he would increase the values of the expenses incurred in his reports for reimbursements. He said that he

has never been questioned because they submit digital copies of receipts as part of the reporting process. He also

told the new volunteer that people he knew would assist him with dockets that he would report as his own. He

further asked the new volunteer not to tell anyone about this.

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1. Identify and explain two (2) legal and ethical responsibilities that were breached in the scenario.

a.

b.

2. Write an email to your supervisor and report the scenario. In your email, provide the following information:

▪ Details of the situation

▪ Your assessment of the situation and explain why there is a need for specialist legal advice

▪ The risks, consequences, and possible penalties for Alex’s actions

Guidance: There is no need to send an actual email. Write your email in the spaces provided below. Ensure to maintain privacy

and confidentiality when writing your email.

From

To

Subject

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ASSESSMENT TASK 2 – CASE STUDY

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this
assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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ASSESSMENT TASK 2 – CASE STUDY 2 (Skylar)

SCENARIO

Skylar is a teenager referred to Happy Backpacks, a community services

organisation catering to homeless juveniles. He ran away from home

three years ago, and he is now living in the streets. He stays in one area

for at least a week and then moves to another. You learned from your

referral networks that Skylar would often be involved in street fights, so

he doesn’t stay long in one place. He has also been involved with other

homeless adults who influenced him into drinking. You learned that his

father was an alcoholic and would hit Skylar and his mum when he was

intoxicated.

You speak with Skylar one day during his assessment and you

mentioned his father. Skylar’s face suddenly looked upset, he walked

away from you, and as he walked past other juveniles in the centre, he verbally abused them. Two male youth workers

rushed to his side to stop him, but he started throwing things across the room. He even hit one of the youth workers

when they tried to restrain him.

The WHS policies and procedures in Happy Backpacks were reviewed two years ago, and it does not state what to

do when clients show aggressive behaviour inside the centre, as this rarely happens.

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1. What are your legal responsibilities as a youth worker based on the scenario? Explain why you say so.

Guidance: There are two (2) responses. Include any hazards involved in your responses.

a.

b.

2. This task requires you to develop a WHS policies and procedures relevant to Case Study 2: Skylar, which must

be communicated to the organisation.

In the template provided, write a policy that must be included in the staff handbook regarding the incident. Your

policy must specifically cover the following:

a. Roles and responsibilities of different workers towards the aggressive behaviour of clients.

Guidance: Refer also to the legal responsibilities you have specified in Case Study 2, Question 1.

b. Emergency procedures on instances when a client shows aggressive behaviour.

c. Reporting and documentation procedures, including a policy in protecting client information.

To guide you in drafting the policy, research relevant legislation, practice standards, or source documentation

(e.g. workplace handbooks, policies and procedures similar to this incident), and include any legal information

in the template.

Specifically, your policy must contain the following:

a. Policy name

b. Version no. and creation date

Guidance: For the purpose of this assessment, use the current date

c. Purpose statement, including definition of terms where possible

d. Specific sections of the policy, as specified above

e. Procedures, including consequences if policy is breached

Guidance: Include legal information to support the procedures you are developing.

f. Review date

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Happy Backpacks

Policy:

Policy Developer:

Version no. Date:

Purpose:

Definition of Terms:

▪

Procedures:

Guidance: Include legal information as necessary.

Next Review Date:

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ASSESSMENT TASK 3 – CASE STUDY

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this
assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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ASSESSMENT TASK 3 – CASE STUDY (Eliza)

SCENARIO

Community workers in Happy Backpacks are also sent to local

communities to teach and disseminate information to teenage mothers

about proper care for babies and young children. Most of these

communities are in remote towns, and people from these communities

have to travel far distances when they need to access health services.

One of the new caseworkers, Eliza, reports that in the community

where her team has been assigned two children were diagnosed with

chickenpox. Some other clients in that community catch illnesses but

are unable see health specialists. The community where she works also has homeless animals around.

Eliza is still in training, and the manager of Happy Backpacks suggests that new caseworkers be placed in

communities requiring health service delivery. Before Eliza and her team can return to the community, they must

undergo training regarding infectious diseases.

To address this, your supervisor has assigned you to write a new policy for risk management for community workers

in health service delivery in remote areas.

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1. What are the hazards involved in this situation? List two (2).

a.

b.

2. What are the two (2) most recommended control measures that Eliza and her team must implement when they

return to the community? Explain why.

a.

b.

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3. This task requires you to develop a WHS policies and procedures relevant to Case Study 3: Eliza which must be

communicated to the organisation.

In the template provided, write a policy that must be included in the staff handbook relevant to risk management

for community workers in health service delivery. Your policy must specifically cover the following:

a. Roles and responsibilities of different workers who are assigned to health services.

b. Procedures for ongoing hazard identification and risk assessment.

c. Risk controls and measures to be implemented.

Guidance: These must be specific to the scenario.

d. Reporting and documentation procedures, including a policy in protecting client information.

To guide you in drafting the policy, research on relevant and current legislation, practice standards, or source

documentation (e.g. workplace handbooks, policies and procedures similar to this incident), and include any legal

information in the template.

Specifically, your policy must contain the following:

a. Policy name

b. Version no. and creation date

Guidance: For the purpose of this assessment, use the current date

c. Purpose Statement, including definition of terms where possible

d. Specific sections of the policy, as specified above

e. Procedures, including consequences if policy is breached

Guidance: Include legal information to support the procedures you are developing.

f. Review date

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Happy Backpacks

Policy:

Policy Developer:

Version no. Date:

Purpose:

Definition of Terms:

Procedures:

Guidance: Include legal information as necessary.

Next Review Date:

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ASSESSMENT TASK 4 – ADDITIONAL CASE STUDIES

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this
assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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ASSESSMENT TASK 4 – ADDITIONAL CASE STUDY ACTIVITIES

Task 1 – Roleplay Activity: Communicating Policies and Procedures

This part of the assessment is a Roleplay Activity.

This activity will require you to communicate the policies and procedures you developed for Case Studies 2 and 3.

To complete this part of the assessment, you will need access to:

▪ Two (2) volunteers who will roleplay as your co-workers in Happy Backpacks.

▪ Video camera or a mobile phone with video and audio recording capabilities.

Read the instructions carefully before proceeding.

Steps to take:

1. Gather your volunteers and roleplay the meeting where you will communicate the policies and procedures

you developed in Case Study 2 – Skylar and Case Study 3 – Eliza.

2. In the meeting, you must be able to:

▪ Communicate and clearly explain the policies and procedures you developed in Case Study 2 – Skylar

and Case Study 3 – Eliza to your ‘co-workers’.

▪ Encourage your ‘co-workers’ to provide feedback. Specifically, your ‘co-workers’ must participate

in the discussion about the outcome of risk assessment and the risk controls and measures

developed.

Guidance: Refer to your responses in the questions following both Case Study 2 – Skylar and Case Study 3 –

Eliza. Ensure that the volunteers provide feedback regarding workplace health and safety issues.

▪ Nominate the roles and responsibilities to workers as written in the policies you developed (e.g.

what are their roles and responsibilities in the policies and procedures?).

▪ Discuss and demonstrate the emergency procedures you developed from Case Study 2: Skylar.

▪ Demonstrate the use of personal protective equipment (PPE) as part of the policies and procedures

developed.

▪ Share updated knowledge and legal information in relation to the policies developed.

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Guidelines

1. To demonstrate your completion of this activity, the meeting must be recorded. Save the recorded video

using the filename:

[Last Name, First Name]_Subject 1 – Roleplay Activity

For example, as seen below:

Smith, John_Subject 1 – Roleplay

Activity.avi

2. Your video submission must not be longer than fifteen (15) minutes in length. Any submission longer than

fifteen (15) minutes will be considered not satisfactory.

3. There is no specific script to be followed in the roleplaying activity. However, you must be able to

demonstrate all steps outlined above. Moreover, your submission will be assessed against the checklist

provided below.

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Task 1 – Role Play Activity: Communicate Policies and Procedures

Assessor’s Checklist

(For the assessor’s use only)

Has the following been demonstrated in

candidate’s video submission?
Yes No Comment

1. Both policies and procedures were clearly

explained to the workers. ☐ ☐

2. Workers were able to provide feedback

and advice on health and safety issues

during the discussion.
☐ ☐

3. Roles and responsibilities of workers were

identified in relation to each policy

discussed.
☐ ☐

4. Updated legal knowledge and information

were included in the discussion. ☐ ☐

5. Use of PPE was demonstrated (must

include gloves, mask and gown/apron). ☐ ☐

6. Demonstrated and discussed the

emergency procedures when addressing

aggressive behaviour in clients.
☐ ☐

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Task 2 – Distributing Policies and Procedures

This task will require you to document and distribute the policies and procedures you developed in an electronic and

printed format.

This task is divided into two (2) parts:

1. Distributing policies and procedures in electronic format.

2. Distributing policies and procedures in printed format.

To complete this part of the assessment, you will need access to:

▪ At least five (5) people with email accounts. You will be sending your policies and procedures to them.

▪ Two (2) people, may be two (2) from the five (5) people above. You will be providing them with printed copies

of your policies and procedures. Both must be able to sign the printed copies as acknowledgement of receipt.

▪ Camera or a mobile phone with a camera.

▪ Printer.

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1. Distribute the policies and procedures in electronic format.

Create a final copy of the policies and procedures from Case Studies 1 and 2, incorporating any suggestions that

were raised during the consultation process. These must be saved using readily accessible formats. The first

format must be a memo, in either Word document or PDF format.

Use the filenames:

[Last Name, First Name]_Subject 1 – Policy 1

[Last Name, First Name]_Subject 1 – Policy 2

For example, as seen below:

Smith, John_Subject 1 – Policy

1.docx

Smith, John_Subject 1 – Policy

2.pdf

Send an email to at least five (5) persons with these policies and procedures attached.

Post screenshots of the following in the spaces provided below.

a. The email, including the email addresses of recipients, header, and attached policies.

b. At least two (2) acknowledgement emails from your respondents.

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a. Attach a screenshot showing your email to your five (5) recipients.

b. Attach screenshots showing the acknowledgement emails you received.

Guidance: You must attach at least two (2) screenshots.

Acknowledgement email from recipient 1

Acknowledgement email from recipient 2

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2. Distribute the policies and procedures in printed format.

The second format of the final copy of the policies and procedures must be printouts.

Have each policy document signed by at least two (2) persons.

Take photos of the signed documents and submit the copy to your assessor. It is recommended that you compile

the photos in a .zip folder.

Use the filename:

[Last Name, First Name]_Subject 1 – Printed Policies

For example, as seen below:

Smith, John_Subject 1 – Printed

Policies.zip

Note that your assessor may need to verify the authenticity of the signees in your submissions.

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ASSESSMENT TASK 5 – WRITTEN/ORAL QUESTIONS

Student ID

Student Name

This cover sheet is to be completed by the student and assessor and used as a record to determine student competency in this
assessment task

Student Declaration: I declare that the work submitted is my

own, and has not been copied or plagiarized from any person

or source.

Signature: ___________________________

Date: ____/_____/_____

Attempt Outcome Date Assessor’s feedback (as required): Trainer’s initials

1 S/NS

2 S/NS

3 S/NS

Feedback to student:

Assessor: I declare that I have conducted a fair, valid, reliable

and flexible assessment with this student, and I have provided

appropriate feedback.

Signature: _________________________

Name: _________________________

Date: ____/_____/_____

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ASSESSMENT TASK 5 – WRITTEN/ORAL QUESTIONS

STUDENT INSTRUCTIONS:

This is a written assessment that will test your knowledge. This assessment may be completed over the duration of the

training day. As you learn, practice and review knowledge and skills, you will keep Assessment Task 5 in front of you

and answer the questions as the information becomes clear to you. At the beginning of each review session you will

be given a few minutes to familiarise yourself with the questions. You will be given extra time at the end of the day to

complete this assessment or to clarify facts with the Trainer/Assessor.

Make sure you:

• Answer all questions

• Print clearly a

• Use a blue or black pen. Assessments written in pencil will not be accepted.

• Ask your assessor if you do not understand a question. Whist your assessor cannot tell you the answer, he/she
may be able to re-word the question for you

• Do not talk to your classmates. If you are caught discussion the answers you will be asked to leave and your
assessment will not be marked.

• Do not cheat. Anyone caught cheating will automatically be marked Not Competent for this unit. There are
NO EXCEPTIONS to this rule.

Answer the following questions in the space provided. You may use extra sheet if the space provided isn’t
enough. To those who wish to type your answers in word document must reflect the question numbers
clearly.

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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)

☐ h. Relevant supervisors, managers, or other industry personnel

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2. Provide one (1) local government department or regulatory agency in your State or Territory relevant to the

delivery of community services, and provide a description of the department of the agency, including their

function and how they operate.

Guidance: Indicate your State or Territory for your assessor’s reference.

Your State or Territory

One (1) local government

department or regulatory agency

in your State or Territory

Description of its function and

how they operate

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3. Listed below are some of the national government departments and regulatory agencies relevant to the delivery

of community services in Australia. Describe their function and how they operate.

National government

departments and regulatory

agencies

Their function and how they operate

Aged and Community Services

Australia

Secretariat of National

Aboriginal and Islander Child

Care (SNAICC)

Department of Social Services

Australia

Mental Health Australia

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4. Listed below are some industry associations relevant to the delivery of community services in Australia. In your

own words, describe their function and how they operate.

Industry association Their function and how they operate

Australian Institute of Welfare

and Community Workers Inc.

(National Office)

Case Management Society of

Australia and New Zealand

Australian Association Of Social

Workers Ltd

5. In your own words, describe the purpose and relevance of having plain English documentation for explaining

legislation in the delivery of community services.

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6. From the options below, select the two (2) correct sources where you can access plain English documentation

to help explain legislation in the community services industry.

☐ a. Cultural interpreter

☐
b. Guiding documents officially published by the relevant government departments or

regulatory agencies

☐ c. TGA (www.training.gov.au)

☐
d. Official or organisational websites of relevant government departments, regulatory

agencies, and industry associations

☐ e. Federal Register of Legislation (www.legislation.gov.au)

7. The Aged Care Act 1997 is one of the many pieces of legislation relevant to the community services industry.

From the options below, select the one (1) correct source of plain English documentation used to help explain

this legislation.

☐ a. Residential Care Manual

☐ b. Educators’ Guide to the Early Years Learning Framework (EYLF)

☐ c. Guide to Aged Care Law

☐ d. Quality of Care Principles 2014

☐ e. The Guide to the Model WHS Act

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8. Listed below are legal and ethical frameworks to which delivery of community services must adhere to. In your

own words, discuss how each framework applies to the community services industry.

Legal and ethical framework How this applies in the community services industry

Children in the workplace

Codes of conduct

Codes of practice

Complaints management

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Continuing professional

education

Discrimination

Dignity of risk

Duty of care

Universal declaration of human

rights

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Informed consent

Mandatory reporting

Practice standards

Practitioner/client boundaries

Privacy, confidentiality and

closure

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Policy frameworks

Records management

Work role boundaries

Work health and safety

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9. The caseworkers, case managers, other staff, clients, and employers (community services provider) are all

stakeholders in the community services industry. Each stakeholder has rights and responsibilities recognised and

required, respectively, in accordance with relevant legislation, standards, and regulations.

For each stakeholder, provide two (2) rights they have and (2) responsibilities they must fulfil in accordance with

relevant legislation, standards, and regulations.

Write your answers in the spaces provided. The first answer has already been provided for your reference.

Client

Rights Responsibilities

Sample answer:

The right to be treated with respect and courtesy.

Sample answer:

Treat staff and volunteers with respect and courtesy.

Case manager, caseworkers, and other staff (Employee)

Rights Responsibilities

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Community services provider (Employer)

Rights Responsibilities

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10. Human rights sit at the core of all legal and ethical frameworks, especially in the health and community services.

Explain how human rights are related to human needs, and provide an example how this is applied in the

community services industry.

Your response must be between 60 – 100 words in length.

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11. Listed below are some of the basic principles underlying the human rights framework and approaches used to

continuously recognise, uphold, and protect these rights.

Explain how each principle is applied in your case management practice in the community services industry.

Principle underlying human

rights frameworks and

approaches

How this is applied in your case management practice in the community services

industry

Universality

Indivisibility

Participation

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12. From the options below, select six (6) instruments or tools used in the workplace in meeting legal and ethical

requirements for human rights.

☐ a. Certification and qualification requirements for caseworkers

☐ b. Financial assessment to determine whether a client can pay for services

☐ c. Charter of clients’ rights and responsibilities

☐ d. Organisational policies and procedures relevant to client complaints.

☐ e. Plain English documentation that helps explain legislation

☐ f. Continuous improvement policy and procedures

☐ g. Person-centred approach to service delivery

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13. The Fair Work Act 2009 is the legislation governing industrial relations in all organisations in Australia, including

organisations providing community services and case management services. The Act, sets the National

Employment Standards, outlining minimum employment entitlements, including maximum weekly hours,

flexible working arrangements, leaves, and more.

There are specific requirements for maximum weekly hours that apply to organisations in the following sub-

industries in the social, community, disability, and home care services industry.

Complete the table below by supplying the required information about these requirements.

Guidance: Access this Fair Work web page to help you complete this part of the assessment.

Sub-industry Requirements for maximum weekly hours

Children’s services

Maximum

number of work

hours for full-

time

Maximum

number of work

hours for part-

time

Minimum hours

Social and community

services

Maximum

number of work

hours for full-

time

Maximum

number of work

hours for part-

time

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14. Fair Work Australia provides up to date information on the social and community service industry pay rates.

Navigate around the website: www.fairwork.gov.au/pay/minimum-wages/social-and-community-

services-industry-pay-rates and determine the hourly rates for the following work role classifications in their

respective industries and States/territories.

Complete the table below.

Guidance: The first answer has already been provided for your reference.

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Pay guide Classification State or Territory Hourly pay rate

Social and Community

Services Employees (State)

Award [AN120505] Pay

Guide

Level 2 – pay point 1
Community services worker

grade 1 – Year 1
– $23.26

Social and Community

Services (Queensland)

Award 2001 [AP808848]

Pay Guide

Level 7 – pay point 2
Community Services Worker,

Level 7, Pay point 2
Queensland

Social and Community

Services Industry –

Community Services

Workers – Northern

Territory Award 2002

[AP817216] Pay Guide

Level 4 – pay point 1
Community services worker

grade 4, Pay point 1
Northern Territory

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15. The table below lists specific requirements in the community services area. For each area mentioned, provide

one (1) example of a work practice that would be prohibited by law and the associated consequence that may

occur as a result of this practice.

Guidance: Your responses must be relevant to the community services industry. The first response has been provided for your

reference.

Practice prohibited by law

Provide one (1) example
Consequence

a. Discrimination

Sample answer:

A case manager or caseworker refusing to

take a case from a client from a different

cultural background.

Sample answer:

The case manager or worker who refused to provide the

service can be reported to the organisation or to the

Australian Human Rights Commission or may be

reported to Federal Court of Australia or the Federal

Magistrates Court and face legal consequences

b. Privacy and

confidentiality

c. Work health and

safety

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16. The following are areas of community services where workers require specific licenses, mandatory training, or

certification/qualifications.

Explain how they apply to the community services industry.

Blue Card (Queensland)

First Aid Certificate

Australian Community Workers

Association Membership

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17. Different industry sectors have different statutory reporting requirements in place. Below are examples of

situations across industry sectors that need to be reported. Describe the reporting requirements for each situation

that applies in your State or Territory.

Guidance: Indicate your State/Territory. Provide the link to the webpage containing the information you used as reference.

Your State or Territory

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Industry sector Scenario Reporting requirements Link to webpage containing information

Aged Care
Suspected financial abuse

of a client

Youth
Homeless fourteen-year-

old

Disability
Suspected abuse of a

person with

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18. Listed below are three (3) business insurances required for community service organisations. In your own words,

discuss the purpose of each.

Each discussion must be between 60 – 100 words in length.

Public liability

Workers compensation

insurance

Personal accident insurance

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19. When an organisation is undertaking accreditation, they are required to meet a number of standards. Identify

and explain two (2) of the service areas that would be considered or assessed.

Each discussion must be between 80 – 100 words in length.

20. Listed below are the five (5) steps that organisations, including community services, are typically required to

follow in developing their plans, policies, and codes of conduct for service delivery.

Explain each step. Do not exceed 100 words for each step.

Guidance: Ensure that your responses are within the context of the community services industry.

1) Planning and consultation

2) Research and defining policy terms

3) Drafting the policy

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4) Implementing the policy

5) Monitoring compliance

21. In your own words, discuss the role and responsibilities of case managers in the development, implementation,

and review of organisational policies and procedures in line with the legal and ethical requirements identified in

Part 1 – Written Question 8.

Your discussion must be between 50 – 100 words in length.

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22. Provide two (2) ways that a community service organisation can ensure they remain up-to-date with compliance

requirements.

23. How would the implementation of workplace policies and procedures assist a community services organisation

to ensure that their internal work practices and external service delivery comply with legal and ethical

requirements?

Your discussion must be 50 – 200 words in length and must cover both internal work practice and external

service delivery.

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24. The Queensland Council of Social Service (QCOSS) has developed policy templates and guidelines to assist

community services organisations in implementing the standards set in the Human Services Quality Framework

(HSQF).

Access www.communitydoor.org.au and provide two (2) policy templates organisations can use for each of the

standards in the HSQF.

A sample answer has been provided for your reference.

The six (6) standards in the

HSQF
Two (2) policy templates

Standard 1: Governance and

management

Sample answer: Election of governing body template

Standard 2: Service Access

Standard 3: Responding to

individual need

Standard 4: Safety, well-being,

and rights

Standard 5: Feedback,

complaints, and appeals

Standard 6: Human resources

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25. Access and review the vision, values, planning policy guidelines and template from

www.communitydoor.org.a/standard-1-governance-and-management.

In your own words, discuss what information is included in each of the section found in this policy. The first

answer has already been provided for your reference.

Section in this policy What information is included in this section

Purpose

Sample response: A written statement of the organisation’s vision and values that will provide

the guide to everyone how they approach the work. This will also provide an overview or a

picture to other stakeholders on what the organisation is all about its goals as an organisation,

and its philosophies.

Scope

Policy Statement: Our commitment

Procedures

Other related policies and

procedures

Review processes

.

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26. Identify three (3) techniques for monitoring compliance in the community service organisation. In your own

words, discuss each technique.

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Part 2 – Managing work health and safety

1. State/Territory WHS authorities regulate and enforce workplace health and safety legislation in their jurisdiction.

On which areas do they impact the workplace or organisation’s policies and procedures, regulations, codes of

practice and industry standards? Select only five (5) from the options below.

☐ a. Monitoring attrition rate of employees

☐ b. Compliance with work and health and safety laws

☐ c. Funding community services

☐ d. Reporting requirements for workplace incidents

☐ e. Implementation of anti-discrimination policies

☐ f. Injuries and workers’ compensation claims

☐ g. Handling clients’ complaints

☐ h. Health and safety representative training

☐ i. Work health and safety training and assessment

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2. Persons conducting a business or undertaking (PCBUs), workers, and officers (e.g. supervisors or WHS officer)

all have legal rights and responsibilities, as set in the relevant WHS legislation.

In your own words, discuss how these legal rights and responsibilities impact workplace or organisation’s policies

and procedures, regulations, codes of practice, and industry standards.

Each discussion must be between 60 – 100 words in length.

Stakeholder
How do these legal rights and responsibilities impact workplace or organisation’s

policies and procedures, regulations, codes of practice, and industry standards?

PCBU

Workers

Officers

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3. Discuss how the current legislative requirements for record-keeping and reporting impact your organisation’s

policies and procedures and regulations.

Each discussion must be between 60 – 100 words in length.

Legislative requirement Impact on your organisation’s policies and procedures and regulations

Record-keeping

Reporting

4. In your own words, discuss how due diligence and general duty requirements impact your organisation’s policies

and procedures and regulations.

Your discussion must be between 60 – 100 words in length.

5. Work health and safety legislation have in place regulatory requirements for all types of industry settings or work

sites, including the work settings in the community services industry.

In your own words, discuss how these WHS requirements impact the organisation’s policies, procedures, and

regulations.

Your discussion must be between 60 – 100 words in length.

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6. Work health and safety legislation have in place regulatory requirements for all organisations to conduct WHS

consultation with stakeholders.

In your own words, discuss how these requirements impact the organisation’s policies, procedures, and

regulations.

Your discussion must be between 60 – 100 words in length.

7. Work health and safety legislation have in place regulatory requirements for hazardous manual tasks and infection

control.

In your own words, discuss how these legislative requirements impact the organisation’s policies, procedures,

and regulations.

Each discussion must be between 60 – 100 words in length.

Hazardous manual tasks

Infection control

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8. Identify three (3) hazards common in the community services work setting. List one (1) associated risk for each

hazard you identify and provide one (1) strategy how to minimise this risk from happening.

Write your answers in the spaces provided.

Guidance: Ensure that your responses are relevant to the community services industry.

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Common hazards in working in the community

services industry

Guidance: List three (3).

Associated risk

Guidance: List only (1) for each hazard you identify.

Strategy for minimising associated risk

Guidance: List only (1) for each hazard you identify.

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9. Work health and safety legislation have in place specific requirements for organisations’ policies and procedures.

Listed below are some of these requirements.

In your own words, discuss how each of these requirements applies to your organisation’s policies and

procedures.

Guidance: You may refer to the provisions in the WHS legislation relevant to your home State/Territory.

WHS Requirement How this requirement applies to organisational policies and procedures

Human resources policies and

procedures

Consultation and participation

Incident investigation and record-

keeping

Quality system documentation

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Designated person/s for raising

issues

Workplace support services

Use of personal protective

equipment (PPE)

Emergency procedures

Hazard identification

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Risk assessment and control

10. From the options below, select the three (3) statements that are accurate about the principles of risk assessment.

☐
a. Risk assessment is a complex process that only licensed specialists are authorised to

conduct it.

☐
b. Risk assessment involves considering what could happen if someone is exposed to a

hazard and the likelihood of it happening.

☐
c. Risk assessment is not required and is an optional third-party service that organisations

may avail.

☐
d. Risk assessment helps determine the severity of a risk and whether any existing control

measures are effective.

☐
e. Risk assessment determines what action should be taken to the control the risk and how

urgently the action needs to be.

11. In your own words, discuss what risk analysis is and the principle underlying this process.

Your response must be between 60 – 100 words in length.

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12. Hazard identification is an important process in hazard and risk management. Provide two (2) procedures that

organisations would follow to identify hazards.

13. From the options below, select the three (3) statements that are accurate about the principles of hierarchy of

control.

☐
a. Hierarchy of control follows a ranking system to control risk; from the highest level of

protection and reliability to the lowest.

☐
b. The primary aim in the hierarchy of control is to eliminate the risk by removing the

hazard.

☐ c. Risks are minimised by randomly selecting from the controls available.

☐
d. The primary aim in the hierarchy of control is to administer personal protective

equipment (PPE).

☐
e. Risks are minimised by working through the other alternatives in the hierarchy of control,

for example, if the risk cannot be removed, then substitute/replace the hazard, etc.

14. Listed below are two (2) hazards common in working in community services and their associated risks.

Provide at least one (1) way how to minimise the associated risk based on the recommended control to be used.

The first response has already been provided for your reference.

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Hazard Associated risk Recommended control How to minimise the risk

Tripping hazard from electrical

cords

Physical injury from slips and

falls
Engineering control Sample answer: Cover electrical cords with cord cover.

Distressed and angry client
Psychological and emotional

stress on the caseworker
Administrative control

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15. From the list below, select the four (4) examples or sources for work health and safety benchmarks.

☐ a. Work health and safety legislation

☐ b. Codes of practice

☐ c. Work health and safety compliance codes

☐ d. Work health and safety standards set internally within the organisation

☐ e. Articles about work health and safety published online by dubious websites

16. Listed below are the five (5) principles or key elements of safe design outlined in the Guidance on the Principles of

Safe Design for Work.

In your own words, discuss each principle. Each discussion must be between 60 – 100 words in length.

Principle Discussion

Principle 1: Persons with control

Principle 2: Product lifecycle

Principle 3: Systematic risk

management

Principle 4: Safe design

knowledge and capability

Principle 5: Information transfer

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17. When might a community services provider consider engaging a person to provide advice on WHS?

Guidance: Identify at least two (2) examples.

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Assessment Workbook Checklist

When you have completed assessing the assessment workbook, review the candidate’s submission against the

checklist below:

The candidate has completed all the assessments in the workbook and has submitted all of the

required evidence:

Case Studies

Case Study 1 – Alex

Case Study 2 – Skylar

Case Study 3 – Eliza

Additional Case Study Activities

Task 1 – Roleplay Activity: Communicating Policies and Procedures

Task 2 – Distributing Policies and Procedures

The candidate has submitted all of the following evidence:

This completed workbook

Hand-signed and scanned Assessment Workbook Cover Sheet

Case Study 1 – Alex

Case study question

Simulated email

Case Study 2 – Skylar

Case study question

Policy draft

Case Study 3 – Eliza

Case study question

Policy draft

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Additional Case Study Activities

Task 1 – Roleplay Activity: Communicating Policies and Procedures

Video recording of roleplay activity

Task 2 – Distributing Policies and Procedures

Word document/PDF version of policies and procedures

Screenshot of email with developed policies and procedures attached

Screenshots of acknowledgement emails

Photos of printed policies and procedures contained in a .zip file.

Knowledge Assessment

IMPORTANT REMINDER

Candidates must achieve a satisfactory result to ALL assessment tasks to be awarded COMPETENT for

the units relevant to this cluster.

To award the candidate competent in the units relevant to this subject, the candidate must successfully complete all

the requirements listed above according to the prescribed benchmarks.

End of Document