Course Title: Manage legal and ethical compliance

Part B: Course Detail

Teaching Period: Term1 2020

Course Code: LAW5736C

Course Title: Manage legal and ethical compliance

School: 375T Vocational Design and Social Context

Campus: City Campus

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

Course Contact: Melinda Brown

Course Contact Phone: 9925 4580

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 course 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 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.

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

This course involves 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 procedure:

-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 the issues

-Referring issues or breaches of ethical or legal practice

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

The University Library has extensive resources and provides subject specialist expertise, research advice, help with referencing and support through:
The learning Lab
The Study Support Hub
English for uni workshops

Overview of Assessment

Assessment task 1: Knowledge questions

Assessment task 2: Case scenario and responses

Assessment task 3: Developing and communicating policies

Assessment task 4: Case scenario/questions

Assessment Tasks

Assessment 1: Knowledge questions  Assessment 2: Case scenario and responses Assessment 3: Developing and communicating policies Assessment 4: Case scenario/Questions 

Assessment Matrix

The assessment matrix is located in canvas at the end of 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