Course Title: Manage legal and ethical compliance

Part B: Course Detail

Teaching Period: Term1 2017

Course Code: LAW5736C

Course Title: Manage legal and ethical compliance

School: 365T Global, Urban and Social Studies

Campus: City Campus

Program: C5345 - Diploma of Community Services (Case Management)

Course Contact: Bronwyn Tanti

Course Contact Phone: 9925 9079

Course Contact Email:

Name and Contact Details of All Other Relevant Staff

Nominal Hours: 80

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

Pre-requisites and Co-requisites


Course Description

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.


National Codes, Titles, Elements and Performance Criteria

National Element Code & Title:

CHCLEG003 Manage legal and ethical compliance


1.Research information required for legal compliance

Performance Criteria:

1.1 Identify sources of information about compliance requirements

1.2 Evaluate own area of work and determine scope of compliance requirements

1.3 Access and interpret information relevant to area of work

1.4 1dentify risks, penalties and consequences of non compliance

1.5 Assess and act on need for specialist legal advice 


2. Determine ethical responsibilities

Performance Criteria:

2.1 Identify the ethical framework that applies to the work context

2.2 Incorporate scope of practice considerations as part of ethical practice

2.3 Evaluate responsibilities to workers, clients and the broader community

2.4 Model ethical behaviour in own work


3. Develop and communicate policies and procedures

Performance Criteria:

3.1 Clearly articulate and document policies and procedures to support legal and ethical practice in readily accessible formats

3.2 Integrate documentation and record keeping requirements into policies and procedures

3.3 Ensure systems protect client information

3.4 Nominate the roles and responsibilities of different people in meeting requirements where multiple people are involved

3.5 Distribute policies, procedures and legal information to colleagues and peers in a timely fashion


4. Monitor compliance

Performance Criteria:

4.1 Evaluate work practices for non-compliance on an ongoing basis, and implement modifications

4.2 Maintain and update required accreditations or certifications

4.3 Refer issues or breaches of ethical or legal practice to relevant people


5. Maintain knowledge of compliance requirements

Performance Criteria:

5.1 Identify and use opportunities to maintain knowledge of current and emerging legal requirements and ethical issues

5.2 Share updated knowledge and information with peers and colleagues.

5.3 Pro-actively engage in process of review and improvement

Learning Outcomes

On successful completion of this course you will have developed and applied the skills and knowledge required to demonstrate competency in the above elements.

Details of Learning Activities

Classes where information is shared through talks and group discussions, and workshops where exercises are conducted to apply learning. Time is spent during classes and workshops for students to work on group and individual assessment tasks.

Teaching Schedule

Week 1

Determining compliance requirements

·         Community services’ legislative framework

·         Areas of legal impact in community services work

·         Legal obligations, duty of care and consequences of non-compliance

Week 2

Determining ethical responsibilities

·         Understanding ethical practice and codes of ethics/practice

·         Identifying personal ethics and professional boundaries

·         Making ethical decisions and role modelling ethical behaviour

Week 3

Developing and communicating policies and procedures

·         Understanding the role of policies and procedures in ensuring practice meets requirements

·         Developing policies and procedures to support legal and ethical work practice

Week 4

Monitoring compliance

·         Assessing work practices, identifying and correcting issues

·         Referring issues or breaches of ethical or legal practice

·         Maintaining and updating required accreditations or certifications

Week 5

Maintaining knowledge of compliance requirements

·         Strategies and methods to maintain knowledge

·         Sharing knowledge within the organisation

Week 6

Reviewing and improving work practice

·         Engaging in compliance reviews

·         Leading and participating in continuous improvement processes


Learning Resources

Prescribed Texts


Other Resources



Overview of Assessment

Assessment Task 1: Online quizzes

Assessment Task 2: In class activity

Assessment Task 3: Group assignment

Assessment Tasks

Assessment task 1: Develop a policy and procedure for a community services organisation to make sure your team’s behaviour meets legal and ethical requirements.

Assessment task 2: Respond to case studies relating to legal breaches and ethical dilemmas when working with clients and other stakeholders.

Assessment task 3: Complete one online, self-paced quiz on the key issues and concepts relating to the management of legal and ethical compliance in the community services sector.


Assessment Matrix

The assessment matrix demonstrates alignment of assessment tasks with the relevant unit of competency. These matrix's are available through the program coordinator


Other Information

Please refer to the RMIT student page for extensive information about study support, assessment, extensions, appeals and a range of other matters:

Cover Sheet for SubmissionsYou must complete a submission cover sheet for every piece of submitted work, including online submissions. This signed sheet acknowledges that you are aware of implications of plagiarism.

AttendanceIt is strongly advised that you attend all sessions in order to engage in the required learning activities, ensuring the maximum opportunity to gain the competency.

Applying for an Extension

Extension of time for assessment tasks may be granted where circumstances beyond your control prevent submission by the published due date. Speak with your teacher or course coordinator regarding applying for an extension.

Applying for Special Consideration

If you are seeking an extension of more than seven calendar days (from the original due date) you must lodge an Application for Special Consideration form, preferably prior to, but no later than two working days after the official due date. Late applications will only be accepted in exceptional circumstances. For information about Special Consideration and how to apply, see:

Academic Integrity

Academic integrity means honesty and responsibility in scholarship through respecting the work of others whilst having the freedom to build new insights, new knowledge and ideas. RMIT University upholds the values of academic integrity as fundamental to the scholarship undertaken by all members of its community. Whenever you refer to another person’s research or ideas (either by directly quoting or paraphrasing them) you must acknowledge your source.

If you are even in doubt about how to properly cite a reference, consult your lecturer or the academic integrity website:

The RMIT library provides tools to assist with your referencing

Plagiarism and Collusion

Plagiarism and collusion constitute extremely serious academic misconduct, and are forms of cheating. You are reminded that cheating, whether by fabrication, falsification of data, or plagiarism, is an offence subject to University disciplinary procedures. Plagiarism is the presentation of the work, idea or creation of another person as though it is your own. It is a form of cheating and is a very serious academic offence that may lead to expulsion from the University. Plagiarised material can be drawn from, and presented in, written, graphic and visual form, including electronic data, and oral presentations. Plagiarism occurs when the origin of the material used is not appropriately cited. Plagiarism is not acceptable.

Examples of plagiarism include:

  • Copying sentences or paragraphs word-for-word from one or more sources, whether published or unpublished, which could include but is not limited to books, journals, reports, theses, websites, conference papers, course notes, etc. without proper citation;
  • Closely paraphrasing sentences, paragraphs, ideas or themes without proper citation;
  • Piecing together text from one or more sources and adding only linking sentences;
  • Copying or submitting whole or parts of computer files without acknowledging their source;
  • Copying designs or works of art and submitting them as your original work;
  • Copying a whole or any part of another student's work; and
  • Submitting work as your own that someone else has done for you.
  • Enabling Plagiarism: the act of assisting or allowing another person to plagiarise or to copy your own work is also an offence.

For further information, please see the RMIT Plagiarism Policy –;ID=sg4yfqzod48g1 (unresolved) – and the RMIT Student Conduct Regulations –;ID=r7a7an6qug93

Plagiarism Software

The originality verification software Turnitin may be used in this course. For details, see:

Complaints Procedure:

RMIT University is committed to providing a harmonious study and work environment for all students and staff. The University recognises your right to raise concerns about academic, administrative or support services without recrimination and has policies and procedures to assist in the resolution of complaints.

Most issues are resolved at the local level and you are encouraged to take steps to resolve your issue locally. The student complaint procedure details steps to take if your problem is not resolved or you believe the response you received is unreasonable.

Student Complaints Policy:

Student complaints Procedure:;ID=i1lexipvjt22

Student Complaints Form:

Police Checks

Students must obtain their own police check by the due date and pay the associated costs. Students who do not obtain a required police clearance by the due date shall not be able to undertake a practical placement or work experience activity that requires a Police Check.

The University shall not be obligated to organise a placement for a student who does not wish to obtain a Police Check.

Where required by the workplace, students shall provide a copy of their police check on request.

If a student is rejected by a workplace on the basis of a Police Check, the following actions shall occur, as appropriate:

-               advise the student of the outcome; and

-               discuss placement options with the student; and/or

-               provide program and career counselling.

RMIT will not store Police Checks on student files.

Early Termination of Placement

Under section 6 of the WIL Procedure, a placement may be ended early by the host organisation or School due to the student’s conduct and/or performance during the placement.

Possible reasons for such decisions may include, but are not limited to-

  • failure to follow processes required for safety
  • breach of client or patient confidentiality
  • failure to comply with the instructions of supervisors
  • or other unprofessional behaviour

Where a placement ends early, a meeting will be convened to discuss the sequence of events that led to the termination. This meeting will precede any consideration of a student’s progress by the Progress Panel (if applicable) or Program Assessment Boar


Course Overview: Access Course Overview