Course Title: Manage legal and ethical compliance

Part B: Course Detail

Teaching Period: VE 2018

Class Number: 4574

Class Section: FSS2

For flexible terms and optional semesters, a Part B course guide may have been published for the entire teaching period, or for the specific class number in which you are enrolled. If there is no Part B course guide published for your specific class number, please refer to the guide for the teaching period in which you are enrolled. Enrolment Online is the definitive source for details regarding your class enrolment.

Course Code: LAW5736C

Course Title: Manage legal and ethical compliance

School: 365T Global, Urban and Social Studies

Campus: City Campus

Program: C4365 - Certificate IV in Disability

Course Contact: Renee Costa

Course Contact Phone: 03 99254598

Course Contact Email:

Name and Contact Details of All Other Relevant Staff

Steve Bruechert

9925 4063 

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

The community and disability services sectors are required to comply with a range of legal and ethical standards and responsibilities in working with people with disabilities. In this unit you will develop and use the knowledge and skills required to research information about compliance and ethical responsibilities and develop and monitor policies and procedures to meet those responsibilities.

Your work role may be that of a manager, supervisor or team leader or direct service worker but it will involve a level of responsibility for legal and ethical compliance. Your ability to work in a team in meeting these responsibilities will be important.

This unit will be delivered in workshops with other units:

HLTAAP001 Recognise healthy body systems 

CHCWHS002 Follow work practices for direct client care

CHCCS011 Meet personal support needs

CHCCS015- Provide individualised support

CHCDIS007- Facilitate the empowerment of people with disabilities

It will be assessed separately.


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.  By applying this knowledge and these skills, you will be able to respond effectively to practical compliance situations and issues as they arise in your workplace.


Details of Learning Activities

  • class exercises to review discussions and workshops
  • seminars/workshops/presentations
  • practical demonstration and use of workplace equipment and tasks
  • guest presentations
  • group discussions
  • research in and out of class time
  • independent workplace case study
  • group activities/projects

Teaching Schedule

Session 1

Managing legal and ethical compliance – the legislative and practice frameworks.

Session 2

The NDIS, empowerment and individualized services. The changes and challenges in the service system.

Session 3

Occupational health and safety – a highly regulated aspect of the Australian workplace. 

Learning Resources

Prescribed Texts


Other Resources

RMIT will provide you with resources and tools for learning in this course through our online systems and access to specialised facilities and relevant software.

Overview of Assessment



Assessment Type

Word limit or equivalent

Assessment one                  

Duty of care Quiz

True/False, short answer

Assessment two

Ethical Practice – Short answer questions, Scenario response and

WorkSafe Victoria worksite risk assessment tool

Assessment three


Performance evidence: workplace professional discussion and sighting of evidence of work roles, responsibilities and training, Third Party report from workplace supervisor

Documents to be sighted by Assessor within the agency guidelines for privacy and confidentiality.  


Assessment Tasks

 To demonstrate competency in this course you will need to complete all of the following pieces of assessment to a satisfactory standard. You will receive written feedback on all assessment (refer to MyRMIT for assessment criteria).


Assessment Task 1: Quiz – based on the knowledge evidence, True/false, short answer.

You will respond to a short answer quiz on the facts about Duty of care, the Law of Negligence and procedures followed in the disability services sector and your workplace. Questions may be True/False, multiple choice or require a short sentence or list. The questions will be drawn from the workshop materials and your workplace practices.


Assessment Task 2: In-class group task: Scenario and Written responses (100-200 words per question)

You will work in small groups to respond to a scenario in which there have been breaches of compliance with organisational policy and practice. In groups you will work through the documents to Identify the compliance requirements for each situation within your services documents. The groups will develop strategic responses and an Action Plan to address the breaches through alternative and improved work practices and solutions.


Assessment Task 3: Performance evidence: workplace professional discussion and sighting of evidence of work roles and responsibilities managing legal and ethical compliance. As part of the required evidence determining competence students must provide evidence of work performanceThis course is assessed in accordance with competency based assessment.

Assessment Matrix

Students will be given an assessment marking guide for reference at the time that the assessment tasks are distributed.

Other Information

This is a Work Integrated Learning course and you will be assessed either in a simulated environment or the workplace.

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 Submissions
You 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.

It 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:

Course Overview: Access Course Overview