CHCLEG003
Manage legal and ethical compliance


Application

This unit 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 unit 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.

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

ELEMENT

PERFORMANCE CRITERIA

Elements define the essential outcomes

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

1. Research information required for legal compliance

1.1 Identify sources of informationabout 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

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

3.1 Clearly articulate and document policies and procedures to support legal and ethical practicein 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

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

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

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.