CHCLEG003: Manage Legal and Ethical Compliance Assignment Workbook

This assignment solution for CHCLEG003, Manage Legal and Ethical Compliance, addresses various aspects of legal and ethical practices within a business context. It begins by identifying sources of information about compliance requirements and evaluating the scope of compliance. The solution then explores consequences of non-compliance and reasons for seeking specialist legal advice. The assignment delves into ethical frameworks, responsibilities to employees, clients, and the broader community, and ways to model ethical behavior. Furthermore, it covers creating accessible company policies, integrating record-keeping requirements, and protecting client information. The solution provides detailed answers to each activity, including examples related to the Diversitat organization, covering topics like human rights, child protection, privacy, and ethical responsibilities within a social services context.

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