CHCLEG003 Manage legal and ethical compliance

Unit Code: CHCLEG003
Unit Name: Manage legal and ethical compliance
Due 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