Australian Social Policy & Laws

This assignment delves into various aspects of Australian social policy and law. It requires analysis of regulations governing charities and not-for-profits, legal requirements for businesses, workplace discrimination, and environmental legislation. Students must also research relevant government departments, NGOs, and international bodies involved in shaping these policies.

Unit Code: CHCLEG003
Unit Name: Manage legal and ethical compliance
Due Date:
____________________
Mode of delivery: Courses/FOCS
Learner Name:
Assessor Name:
Assessor Signature: Date:

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Activity 1A
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to identify sources of
information about compliance requirements and evaluate own
area of work and determine scope of compliance
requirements.
Activity Identify five sources of information about compliance
requirements.
1. Downloadable information from Internet Website
includes government policies and industry regulations
for the organization and its professionals
2. Information, written or spoken, gained during
correspondence with internal or external persons. This
could be from competitors in the industry, authority
figures, new releases and organization networks
3. Newsletters, Bulletins or information sheets from
organizations. These include present or historical data
records from credible sources
4. Periodic documentation provided by relevant regulatory
authority and standard bodies. International
organizations have journals, conference proceedings
and reports, which are resourceful. They provide data
on the organization within the international, national
and sector specific arena.
5. Records of meetings with internal and external persons.
Official records of meetings, conferences or events
detail new trends and resolution by stakeholders in the
industry and related areas.
Identify five issues that are covered in the policies and
procedures provided by your organisation.
1. Case Work and human rights Policies for youth, aged,
disability and enterprise communities. These determine
the standards used to for the programs at Diversitat for
training, providing social support, and opportunities.
2. Child protection policy framework that promote specific
needs of a target group. These include policy issues on
heritage, training, economic opportunities and right to
participation
3. Privacy, confidentiality and informed consent of
individuals as part of temporary protection of refugees.
This includes issues of family violence and health
needs.
4. Incident or mandatory reporting for settlement services
and issues facing the target communities.
5. Electronic Communication and Computer Usage Policy
for its employees, clients, donors and organization
(Australian Governement , 2017).

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Activity 1B
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to access and interpret
information relevant to area of work and identify risks,
penalties and consequences of noncompliance.
Activity What should you do if you are unable to successfully interpret
legal or ethical information?
 Identifying the risks and penalties is an important part
of compliance. Keeping an update of the legal
requirements is crucial for ensuring compliance.
 Inability to interpret legal issues calls for legal
consultations with peers, colleagues and legal
practitioners. For example, the analysis of tax-
deductible gift donations highlights the operation guide
for a fund project that supports communities within
Diversitat organization.
 Engaging in the process includes obtaining the
necessary information on compliance from resourceful
material is one way to get an interpretation of the
consequences for duty, liability and negligence (Dolgoff,
Harrington, & Loewenberg, 2012).
Identify four potential consequences of non-compliance
specific to your business.
The failure to make clear interpretations of the law could lead
to noncompliance or breach of law. Its eventuality could
culminate to:
 Malpractice in social and community service when
employees engage in unethical practices such as racism
and discrimination.
 Fraudulent dealings such as the misuse of donor funds
intended for community service.
 Penalties in form of fines, licence revocation and seizing
business licence for failure to remit taxes
 Legal suits could also arise leading to prosecution and
loss of business in criminal cases such as participating
in illegal migration procedures
Activity 1C
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to assess and act on need
for specialist legal advice.
Activity Identify four reasons for seeking specialist legal advice.
 Legal advice is necessary in the event of insufficient
knowledge about legal issues at stake in a business
dealing. It clarifies compliance issues
 The identification of specific business laws requires

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expert legal advice
 Legal services for business registration and application
needs such as operation and event licensing and
patents
 Lawyers come in to assist with litigation, conflict
resolution, employee compensation and partnerships
issues.
Whom would you approach for specialist legal advice specific
to your business?
 Lawyers and specialised legal firms in specific matters
at hand
 Legalized digital platforms with specialised information
(Australian Government, 2017)
 The Australian Business License Service
Activity 2A
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to identify the ethical
framework that applies to the work context and incorporate
scope of practice considerations as part of ethical practice.
Activity Write a paragraph about the ethical framework that applies to
your business. Include details of international and national
considerations.
Ethics in business operations affects individuals and
organizations. This calls for a framework that highlights values
and codes to guide the operations. In this case, ethics bases
its foundation on social practice, professional codes and
organizational laws (Santos, 2012). Therefore, ethical factors
affecting Diversitat as a business organization revolves around
the following stakeholders:
 Employees
 Industry organizations ( e.g. Australian Human Rights
Commission, Australian Council of the ageing, Global
Action on Ageing, Australian Multicultural Education
Service, Disability industry
 Government bodies e.g. Government of Australia,
oversees aid,
 United Nations Agencies ( committee on disabilities,
UNESCO,
 Australian legal networks
Provide details of five ethical responsibilities that would fall
into your scope of practice in the workplace.
 Professional values for social entrepreneurs in
community, youth,, aged and disability organizations
 Management codes of ethics for non-government or
non-profit organizations
 Accountability of business operations to stakeholders
including the government, international and national
bodies

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 Employee codes of ethics for community workers,
managers, and directors.
 Standards of practice for the organization as a social or
NGO organization within Australia
Activity 2B
Estimated
Time
30 Minutes
Objective To provide you with an opportunity to evaluate responsibilities
to workers, clients and the broader community.
Activity Write three separate paragraphs on the responsibilities of
your organisation to employees, clients and the broader
community. Include details of health and safety, equal
opportunities, fair selling strategies, and corporate social
responsibilities.
Diversitat has the responsibility to operate within the legal
requirements of the Australian systems. This ensures that the
brand offers shareholder benefits through responsible and
ethical practices. Among the issues in focus is in the health
and safety of the employees. Failure to observe these laws
may lead to injuries and lawsuits for safety issues. Failure to
provide equal opportunities is an indication of injustices.
Organizations in Australia have a responsibility to provide
equal opportunities for all professionals, gender, culture and
racial backgrounds (Australian Human Rights Commission,
2014). For a social organization, Diversitat’s policies reflect
positively or negatively on the brand.
Diversitat is a social organization with immense social benefits
to the local and global community. Its services target the
community at large and it offers emergency relief support to
the vulnerable in times of crisis. The organization assists by
making medical payments, rent, and food provisions. Its CSR
services target residents in Geelong and its environs. By
providing free financial counselling, the organization helps to
improve the livelihood of the community in its location. CSR
practice is about responsible business and ethical practices
that ensure tangible benefits to the broader community (CSR,
2017)
Unlike business organizations, which focus on the price factor,
fair selling strategies for non-profit originations include its
competitive practices. Diversitat operates in an environment
with other organizations in the social service industry. It needs
to abide by the Australian Competition and Consumer Act of
2010 for its operations and trade practice. These have public
policies on donor funding which guide organizations on how to
assist the disadvantaged in the society (Justice Connect, 2014,
p. 9). Diversitat has a business model that creates a balance
between economic and sociocultural mission.

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Activity 2C
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to model ethical behaviour
in own work.
Activity Detail five ways of modelling ethical behaviour in your own
work.
 Ethical principles for personal and societal values
determine ethical practices for employees to use in
different situations. These include respect for human
life, cultural differences and gender roles. Justice
principles encourages equal opportunities
 Professional values such as privacy in handling medical
data. These direct the workers on how to behave in
their specific professions. These come in handy during
ethical dilemmas on choosing between personal values
and expected work ethics. At Diversitat, the anti-
discrimination principles for gender, marital status,
race, culture, medical and age factors applies.
 Organizational standards like discipline and self-control
principles for employees in the organization includes
integrity, which all workers including volunteers must
adhere to when working with multicultural clientele.
These standards may be different in other
organizations.
 Business focused standards such as safety and privacy
provide guidelines for Diversitat as a social enterprise
on how to serve and operate in a non-profit
organization.
 Stakeholder relations such as ethics in competition
guides Diversitat and other businesses within the
industry and outside.
Activity 3A
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to clearly articulate and
document policies and procedures to support legal and ethical
practice in readily accessible formats.
Activity Imagine that your manager has given you responsibility for
writing a new company policy. What rules should you follow to
ensure that the policy is understood by all relevant
employees?
It is important to consider the legal framework behind the

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laws. Also important is the scope of the policies and clarity of
the policies. The seven C’s approach advocates for policies
that are clear in terms of:
 Context for different work processes and employee
responsibilities
 Consistency in the content and style of presentation
 Completeness of details with relevant information
 Control of methods for measuring its effectiveness
 Compliance with legal policies and regulations
 Correctness and grammatical accuracy
 Clarity of procedure and basic understanding
How would you ensure that the policy is readily accessible?
 Integrating the official documentation and business
record keeping requirements into the policies and
relevant procedures
 Making accurate decisions that encourage compliance
with the ethical laws ensures that employees can
participate in the implementation of the laws using the
right procedures.
 Using effective storage systems that provide reminders
of the duties and principles of ethics.
 Leading by example means taking the front line in
applying ethical standards in the work place and when
dealing with clients
 Having detailed ethical codes of conduct engraved in
the daily functions also shapes the adoption of the
principles.
 Outlining policies and procedures that are clear and
user-friendly ensures that the business maintains high
standard expectations.
 Providing information that is compatible with the
technology use in the organization enhances
accessibility.
 Incorporating business ethics to communication
platforms such as mission statements, company
objectives and brochures is important
 Encouraging ethical discussions ensures that
employees keep updated on the requirements.
Activity 3B
Estimated
Time
30 Minutes
Objective To provide you with an opportunity to integrate
documentation and record keeping requirements into policies
and procedures.
Activity Use the following table to outline record-keeping requirements
specific to your organisation.
Documents to
be kept
Suitable
location for
documents
Staff
responsible
for record
When to
store the
records
How long to
keep the
records

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keeping
Field
Documents
Community
Service
Field officer After field
work
One year
Client
Settlement
Settlement
Services
Training
Officers
Daily Client
maturity
Statutory/
Compliance
Administrative
office
Office Admin After
compliance
action (tax
payment
etc.)
One Year
Employment
Contracts
Human
Resource
Department
HRM -After signing
employment
contract
-Termination
of contract
Completion
of contract
Donors Management
Office
Director Contract
onset
End of
contract
Activity 3C
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to ensure systems protect
client information.
Activity What systems does your organisation have in place for the
protection of customer information?
 Antivirus for malware protection and virus attack
 Privacy protection for client’s personal data
 Dedicated servers to prevent unauthorized access or
loss of data
 Backup systems to prevent loss of data
 Effective training of employees on how to protect
organization’s data and prevent loss of data
 Restricted transfer of data for private and company
data

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 Limited access to exclusive information belonging to
individuals or the organization
 Disposal of information in safety in soft copy and hard
copies
 Programme installation e.g. file wiping applications to
erase content from public computer systems.
Activity 3D
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to nominate the roles and
responsibilities of different people in meeting requirements
where multiple people are involved.
Activity Which members of your organisation have responsibility for
monitoring and maintaining compliance?
 The Chief Executive Officer or Director
 Senior managers or departmental heads
 Operational or administrative heads
 Legal and business consultants
 Representatives from NGO sector
Provide details of five duties that they fulfil.
 The Operational or office administrator has the
responsibility of making the necessary tax payments on
a monthly and annual basis. Among these is the income
tax payment for all employees.
 Senior managers like the Human Resource Manager
ensures that employee’s health information is up to
date. The management facilitates for an updated health
insurance package for employees
 The CEO or Director facilitates for business operations,
licensing and permits. In conjunction with department
heads, the director coordinates for the payment of
working permits, operational fees and event licencing.
 Legal and business consultants from external sourcing
ensure that the organization adheres to its ethics like
privacy and tax regulations in business. The accounts
department organizes for renewal of permits before the
stipulated deadlines.
 Representatives from the NGO sector check for any
mismanagement of fund at Diversitat or unethical
practices. This streamlines ethical practices in the
industry.
Activity 3E
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to distribute policies,
procedures and legal information to colleagues and peers in a

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timely fashion.
Activity Which methods does your organisation use for the distribution
of policies, procedures and legal information?
 The HR department uses noticeboard postings for
internal and external vacancy announcements
 The organization uses the intranet or business network
for stakeholder accountability information
 The organization uses emails and formal letters for
updates on policy changes or new announcements
 Department heads use presentations for reports on new
procedures
 The legal department uses the newsletter to keep
employees updated on important legal matters arising
 Diversitat uses cloud servers from branch office
communication
Why is it important to communicate such information in a
timely fashion?
Timely communication allows for timely response and
reaction. It also ensures that the organization makes the
necessary changes as stipulated by the policy in order to
avoid noncompliance and poor management outcome
(Woolley, Gertel, Hamilton, Jacobs, & Syder, 2012). It gives
room for clarification and necessary changes for all situations.
Department heads depend on the policies and procedures for
the effective management of different functions.
Legal information is binding and it has dire consequences. An
early update prepares both parties for the present and it
prevents future recurrences. Communicating company policies
in advance encourages efficiency through effective planning,
training and transparency.
Activity 4A
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to evaluate work practices
for non-compliance on an ongoing basis, and implement
modifications.
Activity Provide details of five methods that your organisation uses to
evaluate the compliance of work practices.
The use of professional accreditation and certification ensure
that the employee apply professional standards for a legal
operation. Different departments have varied professional
needs. The use of high professional standards ensures that
clients receive quality services within legal frameworks.
Following regulations enforced by the regulatory bodies is a
control measure that encourages compliance across the
organization. Diversitat has a legal registration under the
government of Australia, within the Non-governmental or non-
profit making business operation. This guide restricts its

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operation for compliance.
Checking the national registration features like taxation, and
cultural diversity legalizes Diversitat operations within the
industry and in its organizational formations. This prevents
exploitation of workers and it guides the salaries and
remuneration payment procedures.
Reporting adherence to health and safety standardization
ensures that the organization provides a good working
environment for employee’s protection. It also emphasises the
environmental legislation.
Maintaining practices such as fairness and equity in the hiring
process encourages employees and the management to
analyse compliance aspects in line with industry and national
regulation.
Write one or two paragraphs on the means of addressing non-
compliance.
Giving accurate and timely information keeps the organization
safe because Non-compliance jeopardizes the organizations
reputation. It places the brand at various risks such as attacks
and misreporting (Rebecca, 2013). This hider’s performance
of the organization, especially if placed under government
reviews. Misinformation or failure to give accurate reports
shows inconsistency in the operations and may lead to
unexpected changes. Non-compliance due to failure to
understand the legal expectations is a sign of ignorance and
may give a negative impression of the organization during
external audits. Negative reflection on the organization’s
failure to follow procedures like safety threatens the existence
of the organization.
The breach of law in Australia may cause forced redundancies
or hefty fines. To avoid this, the organization needs to
monitor and update itself on policy changes. Ensuring internal
compliance strengthens the organization and its employees
for external compliance. Hiring legal experts to breakdown the
legal jargon is necessary when dealing with a large
organization. Strict adherence to legal and ethical standards is
a good way to prevent non-compliance.
Activity 4B
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to maintain and update
required accreditations or certifications.
Activity Identify five examples of accreditation or certification that
apply to your business.

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 Professional accreditation for community workers and
managers
 Academic accreditation for trainers and volunteers
 State certification for legal consultants
 Nationally accredited for social, community and
development services
 International accreditation for operating a resettlement
organization.
What steps can your organisation take to ensure that
accreditation and certification is maintained and updated?
 Monitoring and making the necessary changes in
policies
 Review of registrations and licences for updated
contracts and business leases.
 Consultation with legal services for compliance on
specialised legal requirements
 The implementation of legal compliance by the workers
 Seeking government assistance on any gaps in
compliance via online portals or business operation
links
 Attending legal clinics or seminars on child protection,
occupational health and safety, and social
entrepreneurship summits
 Adherence to contract obligations, registration
requirements and industry practices
 Encouraging ethical practices among employees
 Undertaking research on compliance and ethical
principles in the organization and its industry
 Encouraging managers and directors to lead by
example
Activity 4C
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to refer issues or breaches
of ethical or legal practice to relevant people.
Activity Provide details of the reporting procedure that your
organisation has in case of ethical or legal breaches. Include
details of the types of breach that may occur in your business,
appropriate means of responding, and details of personnel
who should be contacted.
There are specific guides for managing breach of law or
contract at Diversitat. First, there is a determination of the
breach of conduct in which investigations are made and the
employee gets a chance to explain himself or herself. In case
there is a violation of ethical values like breach of client
privacy, punitive measures against the employee responsible

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includes termination of employment contract. Agreeing to
work in an organization includes abiding by its policies. This is
part of the work contract for volunteers and contract workers.
The Human Resource Department check for evidence of the
violation and prescribes the punitive measures.
Grave violations such unauthorized access to company data
may call for legal prosecution in a court of law. In this case,
the national laws and organizational policies apply. In case an
employee feels violated against, the Australian labour laws
may apply. This is a common occurrence in discrimination
related cases.
Cases of malpractice may lead to investigations by an inter-
organizations board to check the legality of the operations.
This may occur in case Diversitat faces accusations for
unethical practices. Proper investigations is necessary for
suspected cases of misconduct.
Activity 5A
Estimated
Time
20 Minutes
Objective To provide you with an opportunity to identify and use
opportunities to maintain knowledge of current and emerging
legal requirements and ethical issues.
Activity Provide details of four methods that could be used for the
identification of legal and ethical issues relevant to your
business.
Scrutinizing policies and organizational procedures from
conference papers helps to identify issues for the business.
This could be during operations or at the onset of the
operation. Asking about the relevant registrations is important
for compliance.
The development of best practices ensures that the
organization remains updated on the latest practices such as
sustainability for reputable, legal and respectable business
operations.
Searching websites and press releases for relevant
information on compliance prevents malpractice and
noncompliance out of ignorance. This also encourages regular
communication within the organization.
Attending conferences, workshops and seminars helps in
setting goals towards compliance encourages employees to
adhere to relevant ethical and legal standards. It also includes
subscribing to regular publications and reviews in the
industry.

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Establishing network communication with the regulatory
boards and relevant organizations encourages transparency
and accountability. These external contacts serve as crucial
sources of information in case of changes.
The development of effective internal communication through
workable systems and programs keeps employees updated.
This includes specifications on breach or non-compliance
policies.
Activity 5B
Estimated
Time
25 Minutes
Objective To provide you with an opportunity to share updated
knowledge and information with peers and colleagues.
Activity Write a paragraph on the types of knowledge and information
that should be shared with peers and colleagues.
Colleagues at Diversitat need information about the
organization, the social development industry and professional
work. Sharing information about policies, procedures and
emerging changes is useful. Employees ought to learn about
new developments in the industry for best practice. This may
be information about new developing trends from competitors
or stakeholders. It is also important to keep an update of risks
that may arise in case of non-compliance. Employees in the
settlement services should beware of controversies in
Australia’s humanitarian settlement (BBC, 2016). Information
about some positive moves towards compliance and
resourceful sites is important. Colleagues would also want to
learn about training opportunities on legal matters in the
industry and the risk departments involved. Sharing blogs,
games and social media feeds is a cheaper way to spread the
information.
Name five means of sharing such information and knowledge.
 Social media feeds from Pinterest, Twitters, Google+
among others
 Blogs from interest groups and members
 Press releases from NGOs and government sources
 Emails from credible sources
 Newsletters
Activity 5C
Estimated
Time
30 Minutes
Objective To provide you with an opportunity to pro-actively engage in
process of review and improvement.
Activity Outline the ways in which your organisation reviews and

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makes improvements for the assurance of ethical and legal
compliance. Include details of research that is undertaken,
methods of evaluating success, and development of strategies
for continued compliance.
Workplace observation is one way for the organization to
identify gaps in compliance. This gap analysis may lead to
interviews on what employees think about certain policies in
the organization. Based on the underlying importance, the
organization may prepare questionnaires that highlight the
complaints for reviews. It may also focus on, clients, and
decision makers.
Consultations with personnel through performance indicators
finds out whether employees have access to the necessary
information. This paves the way for an update of relevant
policies within the practice. Content reports bring out details
on the laws and codes affecting the organization. It also
explains the challenges in compliance from clients and
employees.
Business inspections ensure that the organization runs in
accordance with the law. This may involve internal or external
analysis in order to streamline all departments and processes.
It reports problems within then operations for the necessary
changes.
Sometimes the client complaints highlight existing challenges
in compliance. It exposes any malfunctions and non-
compliance that may be happening behind closed doors.
Detailed complaints determine the action adopted by the
organization in the change process.
Researching publications and relevant data provides
information for development in compliance. It provides a
guide for the organization and industry developers. It helps to
redefine management roles and accountabilities.
Regular contacts with government bodies or affiliation
encourages responsible business operations for compliance.
Legal policies that Diversitat adopts come from the national
laws governing NGO operations.

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Skills and Knowledge Activity
Instructions to the learner and Assessor feedback
Before commencing work on this assessment task it is recommended
that you read and fully understand the performance evidence,
knowledge evidence and foundation skills found in the “Unit information” found at the
front of this Learner Workbook. If you need any assistance with this you are advised to
speak with your Trainer/Assessor.
The evidence required to demonstrate competency in this unit must be relevant to your
workplace operations.
This Skills and Knowledge activity may be completed in the relevant training sessions
such as scheduled meetings with your Trainer/Assessor, classroom sessions or scheduled
workplace training sessions and needs to be completed before the Major Activity is
attempted.
Essential information for this unit will be found in this Workbook and in the Learner
Resource Book.
Your Trainer/Assessor and/or workplace supervisor should also advise you on where to
find further information to help with the activities.
To be satisfactory in this assessment task the entire completion of this activity is
required and needs to be presented to your Assessor by the required due date for
marking.
This Assessment Task should take you between 1-2 hours and you must complete all this
work on an individual basis.
The space provided after each question will guide you as to the expected amount written
responses required to answer each question sufficiently.
If you require more space to write or prefer to provide your responses in a typed format,
you must reference all pages with the unit code, activity number and your name before
attaching your work into the relevant part of this Workbook.
The Assessor will mark this assessment activity and provide feedback in the table below.
Assessor to complete
Skills and Knowledge
Activity is:
Due Date: Assessors initials
when all Activities
completed
successfully
Date of
completion
Satisfactory ☐
Not yet satisfactory ☐
Comments by the assessor to the learner If The Skills and Knowledge Activities is/are not yet
satisfactory. This feedback is to allow the learner to understand what is required of them to
achieve a satisfactory result

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Skills and Knowledge Activity
Estimated
Time
2 – 3 Hours
Objective To provide you with an opportunity to demonstrate your
knowledge of the foundation skills, knowledge evidence and
performance evidence.
Activity The answers to the following questions will enable you to
demonstrate your ability to determine the scope of legal and
ethical compliance requirements and responsibilities, and
developed policies and procedures for at least 1 workplace or
business, Develop a strategic response to at least 3 different
situations where legal or ethical requirements have been
breached, and your knowledge of:
 Legal responsibilities and liabilities of managers and
others in different types of organisation
 Legal and ethical frameworks (international, national
state/territory, local), how these apply in the workplace,
and the responsibilities of managers in the
development and monitoring of policies and procedures
 Sources of information and advice on compliance
 Functions and operating procedures of regulatory
authorities of particular relevance to the health and
community service sectors
 Methods of receiving updated information on
requirements
 Use of policies and procedures in managing compliance
and ethical practice in both internal work practice and
external service delivery
 Formats for policies and procedures and what they
should include
 Techniques for monitoring compliance
Answer each question in as much detail as possible,
considering your organisational requirements for each one.
1. Create a policy or procedure in accordance with the
ethical and legal responsibilities of your
organisation. Consider the scope of compliance
requirements, the ethical framework that applies to
the work context, and the scope of practice. Ensure
that the policy or procedure is clearly articulated
and appropriately formatted.
Diveristat’s Resource Efficiency Sustainability Policy
In an effort to encourage environmental sustainability
practices in Australia, the government indicated that all
business organizations could participate in the management
of the environment in which they operate (Government of
Australia, 2017). This policy compliments the environmental
laws, which affect all organizations directly and indirectly.
Although Diversitat business activities do not directly have an
impact on environmental aspects, it has activities that could

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cause an indirect effect. The policy states that
“ Diversitat employees shall at all times engage in practices
that prevent environmental degradation”
Scope
This process shall be through:
 Energy conservation
 Reduced wastage of resources
 Reduced pollution
 Information sharing on the importance of sustainability
The area of scope and compliance involves international UN
policies that encourage responsible operations through ethical
actions to prevent negative effects on climate change (UNEP,
2017). This resource efficiency policy ensures that the
activities at Diversitat implement energy efficiency and
reduced wastes. Each employee has a responsibility to
conserve water and energy resources as well as avoid
dumping wastes carelessly. The organization collaborates with
recycling plants for the recycle of plastic bottles used in
events.
Risks of non-compliance
This is a voluntary adoption of the national and international
policy hence it does not have any legal penalties. However, its
risks are long-term effects on the environment as a whole. In
order to encourage its implementation, Diversitat uses posters
and written material placed on the notice board for informing
employees. An informative sticker placed in the washrooms
encourages employees to minimize wastage of water
resources. Another way of communicating the law is online
through the website portals. Diversitat places articles in
support of conservation activities by organizations in Australia
and beyond.
Compliance responsibilities
The policy encourages the organization to work together with
international organizations in global development agenda.
Each employee is responsible for ensuring that the
environment is free from wastes such as plastic, paper and
material. The administration department has a role of
ensuring that all electric equipment apply energy saving
modes. This includes bulbs, computers, printers and other
office equipment. The cleaners have a responsibility of
reducing wastage of water when cleaning the compound and
watering the lawn. The organization recommends the use of
green approaches in basic office operations.
Distribution procedures
The spread of information about the policy is via posters, and
stickers placed at convenient places like the washrooms,
kitchen and noticeboard. The official website and social media
sites shall also link to international initiatives that support
sustainable practices. An example is the poster shown below.

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Example of a sustainable approach poster/sticker for
placement at Diversitat
Monitoring compliance
The administration has a role to check the adoption of the
policy through regular reports. This shall be part of the
research activities on policy adoption at the organization.
Questionnaires used shall interview employees on their
perception about the policy and its incorporation as a
company policy in future.
2. Consider three actual or hypothetical instances of
compliance breaches within your organisation.
Provide details of the methods that have been used
to identify and resolve these breaches. Include
information on the referral of breaches to relevant
people and the process of review and improvement.
Employees found to show ignorance to this policy need
constant reminders. For example, if a worker fails to pay
attention to this important policy, the administrator shall have
a discussion with the specific employee on how and why the
organizations supports the policy. It is important to inform
employee on the policy as part of the organizations culture.
This is done after ascertaining that the employee disregarded
the policy.
Research on the adoption of the policy may also indicate non-
compliance by departments or employees as a whole. In a
case where research on the policy reveals that a good number
of employees are ignorant of the policy, the organization shall
organize for training on its adoption. The HRM department will
need to use videos as a way to educate the workforce. There
are informative videos made by the UN for educating groups
on conservation approaches.
Diversitat is a social organization with clients from
multicultural settings. Often the organization has events in the
youth training and settlement programs. Organizers of these
events have a responsibility to ensure compliance to the
policy. The policy discourages dumping paper wastes during
the events. It encourages the managers or organizing team to
lead by example thereby teaching clients on the importance of
the green approaches. In case the management discovers
that, there was non-compliance to this during an event, the
organizers shall receive a warning. The policy represents the

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image of Diversitat as a social brand.
Instructions to Trainer/assessor
You may need to assist the learner to identify 3 adequate
examples for them to complete part 2 of this assignment

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Major Activity
Instructions to the learner and Assessor feedback
Evidence required to demonstrate competency in this unit must be relevant to workplace
operations.
This Major Activity may be completed in the relevant training sessions such as scheduled
meetings with your Trainer/Assessor, classroom sessions or scheduled workplace training
sessions and will be attempted after all the activities have been completed.
Essential information for this task will be found in this Workbook and in The Learner
Guide.
Your Trainer/Assessor and/or workplace supervisor should also advise you on where to
find further information to help with the activities.
This Assessment Task should take you between 1-2 hours and you must complete all of
this work on an individual basis. The entire task must be completed.
The space provided after each question will guide you as to the expected amount written
responses required to answer each question sufficiently.
If you require more space to write or prefer to provide your responses in a typed format,
you must reference all pages with the unit code, activity number and your name before
attaching your work into the relevant part of this Workbook.
This work must be handed in to your assessor by the agreed date.
The Assessor will mark this assessment activity and provide feedback in the table below.
Assessor to complete
Major Activity is: Due Date: Assessors initials
when all Activities
completed
successfully
Date of
completion
Satisfactory
☐
Not yet satisfactory
☐
Comments by the assessor to the learner If The Major Activity is not yet satisfactory. This
feedback is to allow the learner to understand what is required of them to achieve a
satisfactory result

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Major Activity
Estimated
Time
3 - 4 Hours
Objective To provide you with an opportunity to demonstrate your
knowledge of the entire unit.
Activity This is a major activity – your instructor will let you
know whether you will complete it during class or in
your own time.
You must individually, answer the following questions in
full to show your competency of each element:
1. Research information required for legal compliance
2. Determine ethical responsibilities
3. Develop and communicate policies and procedures
4. Monitor compliance
5. Maintain knowledge of compliance requirements
1. Carry out a fresh review of the legal standards and ethical
responsibilities that apply to your organisation.
Demonstrate your ability to use relevant information
sources and interpret information relevant to your area of
work. Write down all of the legal and ethical requirements
that you identify.
First, the organization must adhere to the legal registration
process for its operations and activities. Diversitat is a social
organization that supports national and international humanity
services. As a non-profit organization, it has a responsibility to
provide economic and social benefits to its clients and the
community. The organization has a role to maintain safety and
health principles for its employee’s wellness. The government
expects the organization to observe the national labour laws,
which include fairness in employment opportunities,
remuneration and training. As a settlement organization for
refugees, it needs to work together with national
governments.
When dealing with clients, there are laws governing its
relationship. Privacy and confidentiality is important because
it ensures that Diversitat does not expose their client’s
personal data. The brand also has to show good faith in acting
with its clients. When dealing with children, it needs to show
care and diligence. Its training program needs accreditation
by the Australian training system. It needs to hire qualified
professionals in all its services.
Diversitat also has laws governing its business interaction with
stakeholders. When seeking donor aid, it should avoid
unethical practices such as extortion and fraud. Each
professional within the organization must adhere to the legal
and professional code of conduct. The organization must
ensure compliance to these. Part of its role is to encourage
accountability through information sharing. This encourages
transparency and the development of ethical elements in the
industry.

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There are work place policies, which facilitate for its
performance in the industry while providing a good working
environment for its employees. The professional codes and
organizational policies provide a framework for workers to
relate and function within the legal framework. This
determines the practice standards, codes, management of
conflicts and employees rights.
Its CSR practices must show value addition to its external
community. Diversitat provides free financial services to its
Geelong community. The organization has a role of complying
with all legal duties in relation to its operations and
community service. Its management needs to seek
professional legal aid in case of ambiguity or failure to
understand certain legal aspects.
Therefore, ethical and legal policies govern an organization.
These laws come from local, national and international
communities. Diversitat has Australian regional laws, national,
commonwealth and global policies guiding its operations. The
management keeps contacts with important bodies in order to
stay updated on these laws.
2. Organise and carry out an inspection of your workplace.
Provide details of any areas of non-compliance and suggest
modifications. Specify who should be contacted about the
breaches and detail the means of review and
improvement.
An audit of Diversitat reveals risk factors in noncompliance in
social service. Running a settlement service without
consideration for the law may lead to cancellation of the
business permit and prosecution. In this case, the director is
answerable because it is a breach of contract in the business
agreement, which states that an NGO acts should be in good
faith. However, there have been complicated cases where the
organization has had to rescue asylum seekers first then seek
permits later (Refugees in Australia, 2017).
Areas of non-compliance may also feature unauthorized
access to secured information about the organization or its
clients. In case an employee is guilty of unauthorized access
or misuse of company information, investigation must follow
to ascertain the reason for this. The Human Resource Manager
handles this case. Cases of fraudulent dealings could lead to a
legal case and termination of employment. Often employees
sign contracts to abide by the rules of the organization.
Breach of this leads to loss of employment, sometimes without
compensations.
Supervisors can also punish violations of the law at Diversitat.
An example is the failure to offer quality training to clients,
leading to revocation of licences. When facilitators or trainers

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fail to follow due procedure, they compromise the outcome of
the process hence it affects. This law encourages professional
training in line with codes of conduct for field officers too.
Departmental heads have a responsibility of monitoring the
process for quality.
3. Identify the regulatory bodies that have responsibility for
assessing the legal and ethical compliance of your
organisation. Provide details of the functions and operating
procedures that they follow. Include information on the
types of accreditations and certifications that they offer.
The Australian government has laws for non-profit
organizations operating across different regions. It checks for
compliance on the formation of an NGO like Diversitat. It
ensures that the board and committee members have a high
reputation. The government audit also considers the formation
of an organization, its financial responsibilities and any claims
of malpractice. Audits also check for any negligence and
working conditions. Licences and permits for organizational
events and operations is also critical.
Annual government audits of finance looks at the charity
organization’s financials, and funding agreement. The audit
reports review Diversitat operations for any misreporting or
controversies in line with the Australian Charities and Not for
Profits Commission Regulation of 2013 (ACNC, 2017).
Consumer bodies like Consumer Federation of Australia (CFA)
and Australian Consumers Action (ACA) act on behalf of the
consumer to check for quality of services and any violations
by organizations. Any reports of unethical practices at
Diversitat gives a negative image of its operations. This could
lead to a cancellation of licences in case the government find
concrete evidence.
The Australian Commission on Safety and Quality in
Healthcare (ACSQHU) ensures safety and health standards at
Diversitat Victoria (Health Issues Center, 2016). Organizations
need reliable policies for safety and health when dealing with
humans. In this case, Diversitat employees and clients must
feel safe in the organization.
The Refugee Council of Australia works with Diversitat to
ensure that the settlement process is legal and efficient
(Refugee Council of Australia, 2017). It provides legal
information and framework for assisting refugees to settle in
Australia. It monitors Diversitat as a stakeholder in the
industry to ensure ethical practices in humanitarian service.

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Australian Government. (2017, June 7). Legal essentials for business. Retrieved
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essentials-for-business
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