Course Title: Manage legal and ethical compliance

Part B: Course Detail

Teaching Period: VE 2019

Class Number: 3683

Class Section: SJO1

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

Important Information:

This course is delivered and assessed in a cluster with Follow safe work practices for direct client care (HLTWHS002).

This course is delivered across two program areas in the school of Vocational Design and Social Context. You will be assigned to either the Social Care or the FSSI program delivery

School: 365T Global, Urban and Social Studies

Campus: City Campus

Program: C4365 - Certificate IV in Disability

Course Contact: Renee Costa

Course Contact Phone: +61 3 9925 0886

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

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.

This course 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.    This course is delivered and assessed with:   HLTWHS002 - Follow safe work practices for direct client care.

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

Face to face workshops were information is shared through talks and discussions, and exercises are conducted to apply learning. Time is spent during classes for students to work on assessment tasks.

Teaching Schedule

Workshop title


Workshop date & time

Explanatory notes

5 - 7 

WHS and legal


Manage legal and ethical compliance



Follow safe work practices for direct client care


  1. 14/06/2019
  2. 12/07/2019
  3. 02/08/2019


9.30am – 4.30pm

Legal and ethical frameworks include legislation, policy and regulatory requirements and concepts of duty of care, dignity of risk and least restrictive alternatives. Over three workshops we explore this and your roles and responsibilities as support staff.

We must meet individual needs of clients within the legal and ethical frameworks of our field in the available time, budgets, staff numbers and capacity.

The NDIS is changing the landscape and we need to develop new ways of meeting client choices and preferences.

Undertaking our work within the legal and ethical frameworks of our field includes compliance with OHS requirements including manual handling, workplace safety, fire safety, community access and individual support practices.

In this cluster we consider safe work practices in the context of legal and ethical frameworks.  equipment.

Learning Resources

Prescribed Texts


Other Resources


Overview of Assessment

This course is assessed with HLTWHS002 Follow safe work practices for direct client care.

The assessment tasks are as follows:

Task 1: Prepare and respond to case studies  

Task 2: Develop and communicate a policy and procedure 

Task 3: Demonstrate safe work practices  

Task 4: Cluster quiz 1- workplace safety and legal and ethical compliance 


Assessment Tasks

This course is assessed with CHCLEG003 Manage legal and ethical compliance.  

Assessment task 1 requires you to reflect on your experience of safe work practices to develop a case study and analyse three different scenarios, identifying the legal and ethical issues and concerns.  The purpose of this task is for you to demonstrate your skills and knowledge in identifying safe work practices and managing legal and ethical breaches.  


Assessment task 2: For this assessment task, you are to develop a workplace policy and procedure and determine the best process for communication. This assessment task is one of four you need to complete satisfactorily, to be deemed competent for this cluster. 

Assessment task 3:The purpose of this assessment task is for you to demonstrate that you can correctly follow procedures relating to: 

  • infection control  
  • the use of personal protective equipment (PPE) 
  • manual handling 
  • emergency procedures 
  • hazard identification and reporting. 

Assessment task 4: This assessment task allows you to demonstrate your knowledge of key safety requirements and the legal and ethical requirements related to work in disability services.  This quiz-based assessment task is one of four assessment tasks you need to complete satisfactorily in order to be deemed competent for this cluster. 

Assessment Matrix

There will be an assessment rubrics for each assessment task

Other Information

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

Course Overview: Access Course Overview