Work with involuntary and mandated clients


This unit describes the skills and knowledge required to confirm mandated requirements and work with the client in complex situations to support and monitor compliance, including the management of unacceptable behaviour.

This unit applies to individuals in many community services contexts who work with clients who have been directed to participate or seek interventions because of legislation or as an outcome of a court order or other mandated process.

The skills in this unit must be applied in accordance with Commonwealth and State/Territory legislation, Australian/New Zealand Standards and industry codes of practice.

Elements and Performance Criteria



Elements define the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Confirm scope of work

1.1 Review information to confirm service and individual worker expectations and responsibilities in relation to mandated requirements

1.2 Clarify information for the client about the required compliance in service interventions and supports

1.3 Obtain feedback on the client’s level of understanding of mandated requirements

1.4 Advise clients of processes and timelines when interpretation and advice may be required from others in complex matters

1.5 Identify and respond to complexities that inhibit the client’s ability to comply with mandated requirements

1.6 Clearly explain organisation policies, procedures and any limitations to the client

2. Implement strategies to assist the client with compliance

2.1 Tailor communication strategies to meet the client’s needs and context

2.2 Consult with the client regularly to ensure that interactions and plans support and maximise opportunities for compliance

2.3 Identify and organise assistance required from other supports or services

3. Monitor compliance with legislative requirements and/or court orders

3.1 Monitor client compliance according to organisation policy and procedures

3.2 Examine cause and effect, and use negotiation strategies to encourage appropriate responsibility and accountability for non-compliant behaviour

3.3 Document and manage non-compliance issues and any related incidents according to organisation requirements

3.4 Discuss with supervisors concerns or repeat issues of client non-compliance according to organisation procedures

4. Manage unacceptable behaviour related to mandated compliance

4.1 Challenge unacceptable behaviour and clearly outline options and opportunities for change using positive encouragement

4.2 Confirm clearly, calmly and objectively with the client the implications of continuing unacceptable behaviour

4.3 Take actions that support the safety of all parties according to organisation procedures

4.4 Use intervention strategies according to an analysis of the situation and organisation policies and procedures

Evidence of Performance

The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be evidence that the candidate has:

confirmed, implemented and monitored compliance requirements for at least 3 different involuntary and mandated clients

used the following strategies for problem solving issues of non-compliance:

active listening

clear and direct verbal communication

persuading effectively


being appropriately assertive

negotiating responsively.

Evidence of Knowledge

The candidate must be able to demonstrate essential knowledge required to effectively complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the work role. This includes knowledge of:

legal and ethical considerations for working with involuntary and mandated clients, how these are applied in organisations and individual practice:

codes of conduct


duty of care

human rights

mandatory reporting

privacy, confidentiality and disclosure

records management, internal and external, including legal agencies

rights and responsibilities of workers, employers clients and other agencies

specific legislation that may result in court orders for clients to receive services and consequences on non-compliance for client, worker and agency

work role boundaries – responsibilities and limitations, and when to refer

work health and safety, including safety management and planning strategies for management of aggressive resistant behaviour

strategies for engaging involuntary and mandated clients that support compliant behaviour

processes for the management of non-compliance

types of issues that may arise when working with mandated and involuntary clients and how to respond

types of issues and complexities that impact client ability to comply, and how to respond, including:

alcohol and other drugs issues

child care problems

communication issues

conflicting orders


financial problems

language or other cultural factors

mental health issues

transportation issues

violence and/or abusive behaviour

impact of cultural factors on behaviour in a mandated participation context

indicators of potential conflict and crisis situations and how to de-escalate these situations

interpersonal techniques and principles for safely and constructively challenging client non-compliance, including:

effective communication techniques


conflict resolution

reporting procedures and practices, internal and external, for working with involuntary and mandated clients

support and referral services and specialist as well as relevant legal entities.

Assessment Conditions

Skills must have been demonstrated in the workplace or in a simulated environment that reflects workplace conditions. The following conditions must be met for this unit:

use of suitable facilities, equipment and resources, including information about client mandated requirements

modelling of industry operating conditions, including:

scenarios that that involve interactions with other people

scenarios that involve problem-solving.

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.

Foundation Skills

The Foundation Skills describe those required skills (language, literacy, numeracy and employment skills) that are essential to performance.

Foundation skills essential to performance are explicit in the performance criteria of this unit of competency.