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CHCLEG001 Work legally and ethically Assessment

CHC33015 Certificate III in Individual Support (Ageing)
Advance College


This Student Assessment Booklet includes all your tasks for assessment of the unit CHCLEG001 Work legally and ethically.


This unit requires that you complete 5 assessment tasks. You are required to complete all tasks to demonstrate competency in these units.

Assessment Task

About this task

Assessment Task 1: Written questions

You must correctly answer all 12 questions.

Assessment Task 2: Case studies

There are five case studies in this task. You are to read and complete the questions related to each one.

Assessment Task 3: Role plays

There are two role plays in this task.

You are to demonstrate the required skills and knowledge for each scenario.

Assessment Task 4: Workplace observation

You are to locate and discuss a number of workplace policies and procedures, and also a job description for a job you would like to have in the future.

Assessment Task 5: Project – Workplace improvements

For this task you are required to:

identify two workplace practice improvements

write a letter/email to propose the two suggestions for improvement

meet with your supervisor to discuss your proposal

write a short report to record the outcomes of your meeting.


What are the Australian Privacy Principles and what do they cover?


Provide an example to explain informed consent.


Provide three examples of how you would protect client or customer information.


  1. What is the Universal Declaration of Human Rights? Who uses this?
  1. What is meant by ‘human needs’? What are the basic needs?
  1. What is meant by ‘human rights’?


Bridgette, a registered nurse, is being harassed by a male senior staff member, Alex. He constantly mocks her because she is overweight. Bridget works with Alex on a daily basis and he constantly make jokes and comments about the quality of her work. He also mocks her when she has to do any physical tasks – saying she will probably have a heart attack because she is so fat. When an opportunity to take on a project comes up Alex tells Bridgette that she should not attempt to apply for it because she wouldn’t be fit enough to do the job.

  1. What legislation and policies are being breached?
  1. Describe an effective complaints management process that Bridgette could follow if she wanted to formally lodge a complaint. (Provide a step-by-step process.)


  1. Describe the difference between a code of conduct and a code of practice.

Code of conduct:

Code of practice:

  1. Name two codes of practice that a health and community services worker would work under.




80-year-old Mr Johnson has been diagnosed with Alzheimer’s disease and is rapidly declining in his overall state of health and wellbeing, although he is still able to function at a functional capacity. His doctors have informed Ellen, his daughter, that she needs to move him into a better care facility who are able to strictly monitor her father on a daily basis.

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

Ellen is not comfortable with her father’s decision and advises his doctors that he will be moving to the recommended facility the following Friday.

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

Would you consider Ellen’s choices unlawful? Explain your answer.


In the following table briefly describe each of the legal and ethical considerations, their importance in the health and community services area and a possible consequence of a breach of each.

Legal and ethical matter

Brief description

Importance in health and community services

Consequence of breach

Standards of practice

Duty of care

Legal and ethical matter

Brief description

Importance in health and community services

Consequence of breach

Work role boundaries

Hazard identification and risk assessment

Legal and ethical matter

Brief description

Importance in health and community services

Consequence of breach

Conflict of interest


Harry is working in Home and Community Care. One of the clients, Arnold has taken a liking to Harry as he reminds him of his son. He often gives Harry small presents and has now offered to pay for a season ticket to the football (they both follow the same team).

What should Harry consider before he accepts this gift?


  1. Describe the relationship between legal and ethical frameworks.
  1. Provide one example of a legal requirement
  1. Provide one example of an ethical requirement.


A client discloses to you in confidence that they are considering harming another person. Are you obliged to keep this matter to yourself due to confidentiality requirements? Why or why not?


Hilda comes into work very excited. ‘I’m so happy!’ she says, ‘I completed my Diploma of Community Services yesterday. I have been promised the certificate next week. Now I never have to study or learn anything new again!’

  1. Do you think Hilda is right – that she will never have to learn anything new again? Explain your answer.
  1. If Hilda wanted to continue with formal education to further her career in the community services industry, what are two other qualifications that Hilda could study?



You are to complete the questions that follow each case study.


  • Access to textbooks and other learning materials
  • Access to a computer and the Internet (if you prefer to type your responses).


  • You will do this task in your own time.
  • Write in the due date as advised by your assessor: _________


If your assessor marks any of your answers as incorrect, they will talk to you about resubmission. You will need to do one of the following:

  • Answer the questions that were incorrect in writing.
  • Answer the questions that were incorrect verbally.


Norni and Jim talked frankly about ageing and death long before either of them reached old age. They both agreed that they did not want to be kept alive artificially and that they would like to refuse treatment when they no longer had a good quality of life.

When Jim entered residential aged care he specified his wish which was recorded on his file. His wife had a medical power of attorney for him so that she could make decisions about his treatment if he was not able.

After a period of time his health worsened. He no longer knew his wife and suffered pain and discomfort. He suffered many chest infections.

After one particularly bad chest infection Norni spoke to Jim’s doctor and said that she no longer wanted his chest infections to be treated with antibiotics. The doctor knew Jim’s wishes and agreed that this was what he would have wanted.

His next chest infection was his last. He died peacefully and with dignity.

One of the personal care workers was heard to say in the staff room, ‘I can’t believe the doctor didn’t give Jim antibiotics. He would have been alive now if he had. That’s malpractice! His wife probably just wanted his money quicker.’

  1. How has the personal care worker breached ethical requirements?
  1. What would have been the ramifications if Jim had been given antibiotics against the instructions of his wife?
  1. How did the personal care worker’s values differ from those of Norni, Jim and the doctor?
  1. What action should be taken by the person who heard the personal care worker’s comments?

What do I need to hand in for this task?

Have I completed this?

Your answer to each question



Maria and Marcus work with people with disabilities in respite care. Recently Maria asked her friend and work colleague, Marcus, what is the matter. He has been very pre-occupied lately and it is starting to show in his work. He is short with the clients and really lost his cool when two of the clients were arguing at lunch time. Maria has also noticed that he seems to be distancing himself from the clients sometimes. Yesterday Keith was getting very frustrated when he couldn’t do up his buttons – normally Marcus is very good with Keith and takes time to talk to him and reduce his frustration levels but yesterday Marcus just walked out of the room and told Keith to get Maria to help him.

Marcus decides to confide in Maria but makes her promise not to tell anyone what has happened. He has been charged with assault following a pub brawl which resulted in the person being seriously injured. He has spoken to a lawyer who has advised that it will definitely go to court but it will be some time before his case is heard – probably more than 12 months. He insists it wasn’t his fault – the other guy was being an absolute idiot in the pub and pushed Marcus until he lost his temper and hit him.

Marcus is worried sick about what will happen when he has to go to court. But he is also worried about his job now. He knows he should declare the charges to his supervisor but he is sure that he will not be allowed to continue at work due to the seriousness of the charges. He needs the job so he will be able to show in court that his is gainfully employed, and also so he can pay for his legal costs.

Maria gives him a hug and feels very bad for Marcus. Marcus tells her that he is taking a week’s leave to sort things out and that Maria must keep it a secret. Maria knows she should not do that. It all seems very unfair and now she has a problem too.

Advise what you would do in Maria’s position.

What do I need to hand in for this task?

Have I completed this?

Your answer to each question



James is a member of the local hospital board. His father is getting old and frail and has had some medical problems lately. The family is looking for a prioritised place in the local aged care facility. As member of the board, James will have some say in whether his father is offered a prioritised place or not.

  1. What is the problem in this case study?
  1. What should be done?

In this situation, nothing is done and James influences the board to approve the priority place for his father. He justifies his action by saying that his father was a clear priority and that the decision would have been the same whether he was on the board or not.

  1. If this is the case, has James and the rest of the board made an ethical decision? Explain your answer.
  1. What should the rest of the board have done?

What do I need to hand in for this task?

Have I completed this?

Your answer to each question



You are working in a community health service which is run in conjunction with a youth ‘drop-in’ program. known as Youth in Front. Herriot Malini is a 14-year-old girl who has been attending the program for some time. Herriot has a mild intellectual disability with sub-average intellectual functioning and lack of social skills. Herriot has a reputation for dishonesty including telling lies and stealing from others.

You have noticed lately that she has been withdrawn and subject to fits of temper. When you ask her if she is okay, she tells you that no, she is not okay and how would you feel if your mother’s boyfriend kept feeling you up?

As you talk to Herriot, she discloses that her mother’s boyfriend has touched her sexually on several occasions when her mother has been at work. She has now moved in with her grandmother to get away from him. Her mother went crazy when she found out she was living with Grandma and when she told her why she called her a

‘lying little b***h’.

She tells you that she wants the man locked up so he can’t hurt her anymore but she also tells you that she would be much too scared to talk to authorities about what has happened.

Herriot also says that her mother has no rights over her because she is not her real mother but only a guardian because her mother died when she was a baby.

  1. What legislation covers the protection of children against abuse in your state?
  1. Herriot has a reputation for lying. Does this mean you should decide whether or not she is telling the truth before reporting the allegation? How may the code of ethics assist you with this decision?
  1. Where can you find information about how to deal with allegations of client abuse inside and outside of your organisation?
  1. What guidance does a code of ethics give in relation to confidentiality in this case?
  1. Is Herriot right when she says her mother has no rights because she is not her real mother?
  1. You realise you will need to report this to your supervisor. When should you do this and what would you do if your supervisor was not available?

You have no counselling experience or training, but for several years you have worked with young people with disabilities who are at risk.

You think Herriot needs some counselling to help her with her issues around the sexual assault and her problems with her mother.

As you have a good relationship with Herriot, you think you are the best person to do this. You arrange to meet Herriot at her grandmother’s house tomorrow to start the counselling.

You are looking forward to helping Herriot and read up on counselling text books overnight.

  1. What is wrong with your idea to provide counselling to Herriot?
  1. What is your responsibility to Herriot?

What do I need to hand in for this task?

Have I completed this?

Your answer to each question



Lionel is participating in an alcohol program to try to reduce his drinking. He has a history of domestic violence against his wife, Julieanne – always after he has been drinking.

He loves Julieanne – but when he drinks he gets violent.

Julieanne has decided to give him one more chance – and he has agreed to participate in the program.

All is going well and Lionel has not had a drink in two months.

But one day his mate, Ollie, comes to town and they go out for a drink for old time’s sake.

One drink leads to two, which leads to many more and Lionel and Ollie go back to Lionel’s house after midnight very drunk.

Julieanne is not happy – after all his hard work, Lionel is drunk again. It is all Ollie’s fault in Julieanne’s mind. She says something about it to Ollie, which Lionel hears. He loses his temper.

He calls Julieanne names and starts pushing her about.

Despite Ollie trying to stop him, Lionel hits Julieanne across the head and she falls backwards, banging her head against the door jamb.

An ambulance takes Julieanne to hospital. She has head injuries.

The next day Lionel is remorseful. He attends his program and tells the coordinator what happened. He feels ashamed.

The program coordinator is very disappointed with Lionel. He was going so well but he has just gone straight back to his old ways – and now Julieanne is in hospital.

His coordinator wants to shout at Lionel and refuse to have him in the program. He looks terrible, and is dirty and unwashed from last night. He smells of alcohol. She feels very sorry for Julieanne – she deserves better than this. She should just leave him, he will never change!

Lionel can see the disapproval in his coordinator’s face.

‘Oh, come on!’ he says. ‘My best friend was in town. I just went out for a drink with him.’

  1. How do Lionel’s values and those of his program coordinator differ?
  1. What should the program coordinator do to make sure she works non-judgmentally with her clients?

What do I need to hand in for this task?

Have I completed this?

Your answer to each question




For this task you are required to participate in two role plays with your assessor.  Role play 1: Jenienne

 Role Play 2: Ethical dilemma- what to do?

Read the scenarios and instructions carefully prior to participating in each of the role plays.


  • Your assessor will play the role of the client/colleague in each role play.


  • You will do this task in your workplace.
  • Write in the due date as advised by your assessor: _________


If your assessor sees that you have not shown the right skills/techniques during any of the role plays, they will give you some feedback and you will need to do the role play again.


You are to role play a telephone conversation with Jenienne. She is the daughter of a potential client of your residential aged care facility.

Jenienne is concerned about her father’s rights within the home and the type of care that they will receive. She is also concerned about how information is kept (both electronically and in hard copy) and who will have access to her father’s information.

Your assessor will play the role of Jenienne.

Your assessor will be looking to see that you:

Show that you understand your duty of care requirements

Show that you understand your legal and ethical obligations relating to confidentiality

Can explain how information is securely maintained in a community services workplace

Show that you understand who is allowed to access client information

Show that you understand how electronic and hard copy records are maintained securely in a community

services workplace.

What do I need to hand in for this task?

Have I completed this?

You do not need to hand in anything



You are to role play a discussion with one of your co-workers, Elaine. She has come to you for some advice about an ethical dilemma that she has.

You and Elaine work with youth in the community. Elaine has come to you today with a dilemma that she is very worried about.

A young 14-year-old girl has come to her asking for help to get an abortion. Elaine has very strong anti-abortion values and she does not feel comfortable assisting the client in this way.

Elaine wonders if you would be able to take on her client.

Yesterday you saw your friend’s daughter, Sienna, talking with Elaine. You know that Sienna has been having a lot of problems at home. You ask Elaine if it is Sienna that is needing the abortion. Unfortunately it is, so now you also have an ethical dilemma due to your friendship with Sienna’s mother.

There are no other workers in your organisation that can take over Sienna’s case.

Your organisation deals with many youth issues and provides financial assistance and referral to various services including sexual health, drug and alcohol, quit smoking, housing and accommodation.

Your assessor will play the role of Elaine.

As part of this role play, you must discuss the ethical dilemmas that you and Elaine are facing and come up with a solution to meet the needs of the client.

Your assessor will be looking to see that you:

  • Identify and discuss the legal and ethical responsibilities of both yourself and your colleague
  • Identify and discuss the ethical issues that you both face in this situation
  • Discuss the differences in personal values and ways to make sure practice remains non-judgmental
  • Use problem solving techniques to work out a solution with your colleague to best align with duty of care requirements for the client.

What do I need to hand in for this task?

Have I completed this?

You do not need to hand in anything




Students are to locate and discuss a number of workplace policies and procedures, and a job description.


  • Access to your workplace
  • Access to your workplace’s policies and procedures
  • A job description for a role in the community services sector that you might like to have in the future.


  • You will do this task during your assessor’s workplace visit.
  • Write in the date of your assessor’s workplace visit: _______


If your assessor sees that you have not shown appropriate skills or knowledge during this task, they will give you some feedback and you will need to do the specific part of the task again.


For this task you must to locate the following policies, procedures and codes at your workplace:

  • Privacy and confidentiality
  • Access and equity Reporting of abuse Code of ethics.
  • Work health and safety.

You must also locate a job description for a position that you would be interested in or would like to have in the future.

You will discuss each policy and procedure with your assessor – they will ask you questions.

Your assessor will ask how each policy and procedure relates to the work you do and how it relates to the work you have seen your colleagues do. You will also be asked about the procedure for development, implementation and review of procedures.

Your assessor will ask you a number of questions about the job description you have chosen. Make sure you answer all of their questions to the best of your ability.

Your assessor will be looking to see that you:

Locate and interpret various workplace documents – policies, procedures and a suitable job description

Interpret legal and ethical requirements of workplace documents

Interpret workplace documents (policies, procedures and job description)

Describe process for development and review of workplace policies and procedures

Identify lines of communication between the position and other organisations

Identify roles and responsibilities of individual position and team Demonstrate knowledge of industrial relations requirements of work role

Identify work role boundaries.

What do I need to hand in for this task?

Have I completed this?

You do not need to hand in anything




You are required to identify and discuss two work practice improvements that will assist in better meeting workplace legal and ethical requirements.


  • Access to your organisation’s policies and procedures.
  • Access to a computer.
  • Access to your supervisor for the meeting (or your assessor will play the role if your supervisor is unavailable).


  • You will do this task in your workplace.
  • Write in the due date as advised by your assessor: __________


  • During one of your assessor’s visits to your workplace (if your supervisor cannot take part in this task). Write in the date of your assessor’s workplace visit (if applicable): ______


If your assessor identifies that your report is lacking in detail, is not clear or does not relate to the notes that you took, they will ask you to redo the report and submit it again.


Instructions to students:

In this task you are to show that you can:

  • identify situations where improvements can be made to meet legal and ethical requirements
  • share feedback with your colleagues and your supervisor
  • analyse information about legal and ethical requirements that relate to work roles identify potential or actual legal breaches or ethical issues in work practices.
  1. Identify two improvements that would help your workplace to better meet its legal and ethical requirements.

You may choose any types of work practices for this task. Some examples include such things as:

  • designing a checklist to help make sure that a specific legislative requirement has been covered
  • suggesting a change to a record-keeping work practice to make it more secure
  • providing additional legal and ethical information to staff (such as using a meeting to share information or putting into a poster or flyer format)
  • including legislative requirements in workflow procedures/charts
  • improving communication with clients and carers or family to meet legal and ethical requirements redesigning a consent form.
  1. Now you need to write an email to your supervisor and at least one other work colleague that proposes your two suggestions for improvement.

Your email must be written in a professional manner and must include the following information:

  • Your description of the improvements.
  • The reasons you are suggesting each improvement, including the legal and ethical requirements
  • Identification of any potential or actual breaches of legislation or ethical issues
  • How each improvement will help staff to meet legal and ethical requirements
  • Current potential or actual breaches of legislation or ethical requirements
  • Attach any documents you have designed or redesigned (for example, a revised checklist, revised procedure, poster, work flow chart and so on) if appropriate.

You can write your suggestions in dot point form if you wish.

Send your email to your supervisor (or your assessor if your supervisor cannot participate).

  1. Organise a time to discuss your email and suggestions with your supervisor and one other work colleague. If your supervisor or another work colleague is not available, or does not have time to meet with you, you may meet with your assessor who will instead play their role.

You will need to talk about the following in your meeting:

  • Why you think each work practice can be improved and how this will assist in meeting legal and/or ethical requirements.
  • Each suggestion for improvement.
  • How your improvement will fit in with the specific legislation involved.

You must take notes during this meeting.

You must also ask your supervisor for feedback on your suggestions. Ask them:

  • If they think your suggestions are a good idea.
  • If there other things that need to be thought about.
  • If they can suggest any improvements to your suggestions.
  1. After your meeting with your supervisor (or your assessor), write a short report that provides details about the meeting. Include in your report:
    • the feedback from your supervisor (or assessor) about your suggestions any changes that you will need to make to your original suggestions.
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