WORK LEGALLY AND ETHICALLY ASSESSMENT 1
Table of Contents
WORK LEGALLY AND ETHICALLY
CHCLEG001 WORK LEGALLY AND ETHICALLY ASSESSMENT
ASSESSMENT INFORMATION for students
Throughout your training we are committed to your learning by providing a training and assessment framework that ensures the knowledge gained through training is translated into practical on the job improvements.
You are going to be assessed for:
Your skills and knowledge using written and observation activities that apply to your workplace.
Your ability to apply your learning.
Your ability to recognise common principles and actively use these on the job.
All of your assessment and training is provided as a positive learning tool. Your assessor will guide your learning and provide feedback on your responses to the assessment materials until you have been deemed competent in this unit.
How you will be assessed
The process we follow is known as competency-based assessment. This means that evidence of your current skills and knowledge will be measured against national standards of best practice, not against the learning you have undertaken either recently or in the past. Some of the assessment will be concerned with how you apply your skills and knowledge in your workplace, and some in the training room as required by each unit.
The assessment tasks have been designed to enable you to demonstrate the required skills and knowledge and produce the critical evidence to successfully demonstrate competency at the required standard.
Your assessor will ensure that you are ready for assessment and will explain the assessment process. Your assessment tasks will outline the evidence to be collected and how it will be collected, for example; a written activity, case study, or demonstration and observation.
The assessor will also have determined if you have any special needs to be considered during assessment. Changes can be made to the way assessment is undertaken to account for special needs and this is called making Reasonable Adjustment.
What happens if your result is ‘Not Yet Competent’ for one or more assessment tasks?
Our assessment process is designed to answer the question “has the desired learning outcome been achieved yet?” If the answer is “Not yet”, then we work with you to see how we can get there.
In the case that one or more of your assessments has been marked ‘NYC’, your trainer will provide you with the necessary feedback and guidance, in order for you to resubmit your responses.
What if you disagree on the assessment outcome?
You can appeal against a decision made in regards to your assessment. An appeal should only be made if you have been assessed as ‘Not Yet Competent’ against a specific unit and you feel you have sufficient grounds to believe that you are entitled to be assessed as competent. You must be able to adequately demonstrate that you have the skills and experience to be able to meet the requirements of units you are appealing the assessment of.
Your trainer will outline the appeals process, which is available to the student. You can request a form to make an appeal and submit it to your trainer, the course coordinator, or the administration officer. The RTO will examine the appeal and you will be advised of the outcome within 14 days. Any additional information you wish to provide may be attached to the appeal form.
What if I believe I am already competent before training?
If you believe you already have the knowledge and skills to be able to demonstrate competence in this unit, speak with your trainer, as you may be able to apply for Recognition of Prior Learning (RPL).
Assessor Responsibilities
Assessors need to be aware of their responsibilities and carry them out appropriately. To do this they need to:
Ensure that participants are assessed fairly based on the outcome of the language, literacy and numeracy review completed at enrolment.
Ensure that all documentation is signed by the student, trainer, workplace supervisor and assessor when units and certificates are complete, to ensure that there is no follow-up required from an administration perspective.
Ensure that their own qualifications are current.
When required, request the manager or supervisor to determine that the student is ‘satisfactorily’ demonstrating the requirements for each unit. ‘Satisfactorily’ means consistently meeting the standard expected from an experienced operator.
When required, ensure supervisors and students sign off on third party assessment forms or third party report.
Follow the recommendations from moderation and validation meetings.
How should I format my assessments?
Your assessments should be typed in a 11 or 12 size font for ease of reading. You must include a footer on each page with the student name, unit code and date. Your assessment needs to be submitted as a hardcopy or electronic copy as requested by your trainer.
How long should my answers be?
The length of your answers will be guided by the description in each assessment, for example:
| Type of Answer | Answer Guidelines |
| Short Answer | 4 typed lines = 50 words, or5 lines of handwritten text |
| Long Answer | 8 typed lines = 100 words, or10 lines of handwritten text = of a foolscap page |
| Brief Report | 500 words = 1 page typed report, or50 lines of handwritten text = 1foolscap handwritten pages |
| Mid Report | 1,000 words = 2 page typed report100 lines of handwritten text = 3 foolscap handwritten pages |
| Long Report | 2,000 words = 4 page typed report200 lines of handwritten text = 6 foolscap handwritten pages |
How should I reference the sources of information I use in my assessments?
Include a reference list at the end of your work on a separate page. You should reference the sources you have used in your assessments in the Harvard Style. For example:
Website Name – Page or Document Name, Retrieved insert the date. Webpage link.
For a book:
Author surname, author initial Year of publication, Title of book, Publisher, City, State
assessment guide
The following table shows you how to achieve a satisfactory result against the criteria for each type of assessment task.
| Assessment Method | Satisfactory Result | Non-Satisfactory Result |
| You will receive an overall result of Competent or Not Yet Competent for the unit. The assessment process is made up of a number of assessment methods. You are required to achieve a satisfactory result in each of these to be deemed competent overall. Your assessment may include the following assessment types. | ||
| Questions | All questions answered correctly | Incorrect answers for one or more questions |
| Answers address the question in full; referring to appropriate sources from your workbook and/or workplace | Answers do not address the question in full. Does not refer to appropriate or correct sources. | |
| Third Party Report | Supervisor or manager observes work performance and confirms that you consistently meet the standards expected from an experienced operator | Could not demonstrate consistency. Could not demonstrate the ability to achieve the required standard |
| Written Activity | The assessor will mark the activity against the detailed guidelines/instructions | Does not follow guidelines/instructions |
| Attachments if requested are attached | Requested supplementary items are not attached | |
| All requirements of the written activity are addressed/covered. | Response does not address the requirements in full; is missing a response for one or more areas. | |
| Responses must refer to appropriate sources from your workbook and/or workplace | One or more of the requirements are answered incorrectly.Does not refer to or utilise appropriate or correct sources of information | |
| Observation | All elements, criteria, knowledge and performance evidence and critical aspects of evidence, are demonstrated at the appropriate AQF level | Could not demonstrate elements, criteria, knowledge and performance evidence and/or critical aspects of evidence, at the appropriate AQF level |
| Case Study | All comprehension questions answered correctly; demonstrating an application of knowledge of the topic case study. | Lack of demonstrated comprehension of the underpinning knowledge (remove) required to complete the case study questions correctly. One or more questions are answered incorrectly. |
| Answers address the question in full; referring to appropriate sources from your workbook and/or workplace | Answers do not address the question in full; do not refer to appropriate sources. |
| Assessment Cover Sheet | ||
| Student’s name: | ||
| Assessors Name: | Date: | |
| Is the Student ready for assessment? | Yes | No |
| Has the assessment process been explained? | Yes | No |
| Does the Student understand which evidence is to be collected and how? | Yes | No |
| Have the Student’s rights and the appeal system been fully explained? | Yes | No |
| Have you discussed any special needs to be considered during assessment? | Yes | No |
| The following documents must be completed and attached | ||
| Written Activity ChecklistThe student will complete the written activity provided to them by the assessor.The Written Activity Checklist will be completed by the assessor. | S | NYS |
| Observation / DemonstrationThe student will demonstrate a range of skills and the assessor will observe where appropriate to the unit.The Observation Checklist will be completed by the assessor. | S | NYS |
| Questioning ChecklistThe student will answer a range of questions either verbally or written.The Questioning Checklist will be completed by the assessor. | S | NYS |
| I agree to undertake assessment in the knowledge that information gathered will only be used for professional development purposes and can only be accessed by the RTO: | ||
| Overall Outcome Competent Not yet Competent | ||
| Student Signature: | Date: | |
| Assessor Signature: | Date: |
written activity
For this assessment you will need to read the following scenarios, answer the questions that follow and submit in a professional, word processed, format. For each question you are required to provide long answers of approximately 8 typed lines which equals 100 words
You will refer to workplace policies and procedures to complete part of this activity.
Scenario 1: You are supporting two elderly clients out for the day, with a colleague. One of the clients fell whilst getting out of the bus. Your colleague says to you “we didn’t see that, it’s too much paperwork”
a. What is your duty of care in this situation?
b. How has the staff member breached their duty of care?
Scenario 2: You overhear a colleague telling a neighbour that the client being supported in the house has the most difficult family to deal with.
a. What would you do in this situation?
b. What privacy law have been broken?
c. Who would you report this to?
d. Why is it important for all staff to follow privacy and confidentiality policy of the organisation?
Scenario 3: Milly has been having headaches and after seeing her doctor, has indicated on her medication treatment sheet two 500mg tablets of Panadol are to be given every six hours. Policy of the organisation is that two staff must sign the treatment sheet when Panadol is given. You give Milly two Panadol and when you go to sign the treatment sheet you see another staff member has just given Milly two Panadol.
a. How much Panadol has been given over the instructions by the doctor?
b. Who would you ask for advice as to Milly’s overdose of Panadol?
c. How will you manage not following your responsibility to Milly?
i. By not following medical treatment sheet directions?
ii. By not following policy and procedure of the organisation?
d. What would you say to the other staff member?
e. What are your legal responsibilities in this situation?
f. What documentation needs to be completed as to policy and procedure of the organisation?
g. In what ways could you improve the work practice in order to avoid mistakes such as these in the future?
Scenario 4: You have just arrived at work. The staff member you are working with is outside on her mobile phone leaving 4 clients inside unattended in the kitchen. One of the clients have picked up a knife and cut them self and now requires medical attention.
a. How is this negligent by the staff member?
b. Why is it your legal obligation to report the staff member’s actions, and who would your report it to?
c. Your manger has asked you to put the incident in writing as it is the policy of the organisation, write a brief report of this incident you witnessed?
Scenario 5: You work for a community service organisation that supports children in care. You have taken lots of photos of Jimmy who is seven years old at the local Farmers market. You want to put the photos on your Facebook page.
a. What are the legal and ethical issues you should consider before doing this?
b. Why do you need to check your organisations policy on social media?
c. What act does the social media policy come under?
d. How could informed consent come into play with regards to photos of clients?
Scenario 6: You are supporting Peter who has a mid-disability and comes from a Muslim background. Peter’s mother wants to give you a cake to say thank for all your help.
a. What is the ethical issue in this situation?
b. How would you respond to the Mother?
c. Who would you ask to find the organisation policy and procedures on receiving gifts?
d. In what ways could you keep up your knowledge of policies and procedures such as these?
Scenario 7: John has a physical disability. He uses a wheelchair and has restricted movement in his hands. John’s favourite social activity on Friday nights is to go to the local pub and have a few drinks with his mates. Because of John’s physical limitations, he has a carer who accompanies him to the club.
a. In what way could the worker’s personal values impact on this situation?
b. What are your values in this matter?
c. Why is it important to use no-judgemental practices in this situation?
Scenario 8: A colleague tells you she has lost her license for three months due to speeding. She tells you she is still driving the clients to day placement because she needs the money as she is a single parent.
a. How is this unethical conduct by the staff member?
b. Who would you report this to, and why?
Scenario 9: A colleague is selling Avon to clients.
a. Why is this a conflict of interest?
b. Who would you report this to and why?
Scenario 10: A client you are supporting tells you he was involved in a crime at a local shop.
a. Why is it your ethical responsibilities to report this?
b. Who
c. would you report this to?
Scenario 11: Jim, a client you are supporting, wants to help mow the lawns. He is very unsteady on his feet and falls over easily. Health and safety policy and procedures have identified that Jim can’t mow the lawns as it would be unsafe for him.
a. What would you say to Jim?
b. Why is it important to follow the health and safety policies of the organisation?
c. How would you explain dignity of risk to Jim, if he still wanted to mow the lawns?
Scenario 12: Lilly is eighteen years of age. She has a great interest in politics and has asked you to take her to vote at the upcoming election. Lilly’s mother has told you that she is not to vote, as Lilly doesn’t understand what she is talking about.
a. What are Lilly’s rights?
b. What conversation would you have with Lilly’s mother and how would you avoid conflict?
c. What are your work role boundaries in this situation and when would you seek further advice?
d. Define the relationship between Lilly’s needs and rights in this situation.
e. Where can you get more information regarding client rights?
Scenario 13: A lot of employees are bringing their children to work, as a part of flexible employment agreement.
a. Why is it important for all employees to have a working with children’s check?
Scenario 14: Health and safety guidelines of the organisation dictate that all staff and clients are to wash their hands before handing food. You notice there is no procedure on the washing of hands. You advise your manager, who asks you to write a procedure for washing hands.
a. Write a procedure on washing hands.
b. Why would you show your manager the procedure before showing it to the staff and clients?
c. Why would you ask for feedback from staff and clients about your procedure?
d. How would you make sure all the staff and clients are aware of the washing hands procedure and why it was put in place?
e. What WHS act do organisations need to follow?
f. How can you keep up to date with changes to regulations, policies and procedures?
Scenario 15: You work in an early childhood education centre and one of the children comes to the centre with regular bruising on their body. The child doesn’t want to go home.
a. What is your responsibility in this situation
Questions
The following questions may be answered verbally with your assessor or you may write down your answers. Please discuss this with your assessor before you commence. Short Answers are required which is approximately 4 typed lines = 50 words, or 5 lines of handwritten text.
Your assessor will take down dot points as a minimum if you choose to answer them verbally.
Answer the following questions either verbally with your assessor or in writing.
1. Describe in your own words what code of conduct means?
2. Describe in your own words what code of practice means?
3. What is your organisations grievance policy? How are clients informed of the rights and responsibilities in relation to receiving services from your organisation?
4. What is duty of care?
a. Give an example of a breach of duty of care.
b. What is standard of care?
5. What is the code of ethics?
a. What is an ethical dilemma?
b. What is the meaning of Ethical responsibilities?
6. What does non-judgmental approach to practice mean?
7. How can a support worker’s own values and attitudes affect a person they are supporting?
8. What does unethical conduct mean?
9. What is a conflict of interest?
10. Find a job description for a job you would like to do, list the key selection criteria for the job.
a. How would you keep up to date with industry trends?
b. What training would you like to attend to increase your skills?
11. When working with a children and young people, you need to make observation of children’s behaviors and physical presentation, noting any changers or reason for concern. Give a brief description of the following.
a. What are the visible signs of physical abuse of a child?
b. What are the behavioural signs of physical abuse of a child?
c. What are the signs of emotional abuse of a child?
d. What are to signs of sexual abuse of a child?
12. What is mandatory reporting?
13. When employed in the community service field why is it important to follow policies and procedures of the organisation?
14. Who would you ask in the organisation to find out about policies and procedures?
15. Why do you believe it’s important to include policies and procedures in the staff induction to the organisation?
16. Who would you consult with if a policy needed to be changed in the organisation?
17. Develop a checklist of your work role and responsibilities as you understand them in relation to your job description.
18. Describe an example of when you have undertaken task/activity outside your specified work role (in your organisation)? How did you clarify this with your supervisor?
19. Provide an example of when you have accepted responsibility for your own actions within your work role, e.g. when you have reported an incident or issue, clarified your duty of care requirements, provided/ sought feedback regarding your work role and legal obligations
20. Describe your duty of care in relation to your job role. How are you informed about your duty of care? E.g. supervisor feedback, organisational policy, job description?
21. Within your work role how do you seek agreement from clients before delivering services? What is your organisations policy on seeking agreement for services?
22. Describe the organisations confidentiality policy. What is the procedure you would follow if a breach of confidentiality occurred?
23. Give two examples of a breach of confidentiality that have occurred in your workplace and describe how these breaches were handled?
24. List the key statutory and regulatory requirements that cover the community services sector in which you work (disability/ youth-child/ education support/ aged care…)
25. What is the difference between an ethical dilemma and a legal obligation? –
26. What would you do if confronted with a legal or an ethical dilemma?
27. Personal values, beliefs, attitudes and culture influence how everyone responds to different situations. Discuss how you, can ensure that you respect all client’s values, beliefs, attitudes and culture regardless of whether they differ from your own.
28. Describe the process used in your workplace when a new policy or procedure needs to be created and implemented. For what reasons might they need to be written/changed?
29. What human resources documents do you need to be aware of in the context of legal and ethical responsibilities?
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U N I T I N T R O D U C T I O N
This resource covers the unit CHCLEG001 – Work legally and ethically.
This unit describes the skills and knowledge required to identify and work within the legal and ethical frameworks that apply to an individual job role.
This unit applies to community services and health workers who play a proactive role in identifying and meeting their legal and ethical responsibilities.
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.
ABOUT THIS RESOURCE
This resource brings together information to develop your knowledge about this unit. The information is designed to reflect the requirements of the unit and uses headings to makes it easier to follow.
Read through this resource to develop your knowledge in preparation for your assessment. You will be required to complete the assessment tools that are included in your program. At the back of the resource are a list of references you may find useful to review.
As a student it is important to extend your learning and to search out text books, internet sites, talk to people at work and read newspaper articles and journals which can provide additional learning material.
Your trainer may include additional information and provide activities. Slide presentations and assessments in class to support your learning.
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ABOUT ASSESSMENT
Throughout your training we are committed to your learning by providing a training and assessment framework that ensures the knowledge gained through training is translated into practical on the job improvements.
You are going to be assessed for:
Your skills and knowledge using written and observation activities that apply
to your workplace.
Your ability to apply your learning.
Your ability to recognise common principles and actively use these on the job.
You will receive an overall result of Competent or Not Yet Competent for the assessment of this unit. The assessment is a competency based assessment, which has no pass or fail. You are either competent or not yet competent. Not Yet Competent means that you still are in the process of understanding and acquiring the skills and knowledge required to be marked competent. The assessment process is made up of a number of assessment methods. You are required to achieve a satisfactory result in each of these to be deemed competent overall.
All of your assessment and training is provided as a positive learning tool. Your assessor will guide your learning and provide feedback on your responses to the assessment. For valid and reliable assessment of this unit, a range of assessment methods will be used to assess practical skills and knowledge.
Your assessment may be conducted through a combination of the following methods:
Written Activity
Case Study
Observation
Questions
Third Party Report
The assessment tool for this unit should be completed within the specified time period following the delivery of the unit. If you feel you are not yet ready for assessment, discuss this with your trainer and assessor.
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To be successful in this unit you will need to relate your learning to your workplace. You may be required to demonstrate your skills and be observed by your assessor in your workplace environment. Some units provide for a simulated work environment and your trainer and assessor will outline the requirements in these instances.
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E L E M E N T S A N D P E R F O R M A NC E C R I T E R I A
1. Identify and respond to legal requirements
1.1 Identify, access and interpret sources of information about the legal requirements that apply to the work role
1.2 Identify the scope and nature of own legal rights and responsibilities
1.3 Adhere to legal requirements in work practice according to workplace policies and procedures and scope of role
1.4 Recognise potential or actual breaches and report according to organisation procedures
2. Identify and meet ethical responsibilities
2.1 Identify, access and interpret sources of information about the ethical responsibilities that apply to the work role
2.2 Identify the scope and nature of own ethical responsibilities
2.3 Meet ethical responsibilities according to workplace policies and protocols, and scope of role
2.4 Recognise potential ethical issues and dilemmas, and discuss with an appropriate person
2.5 Recognise own personal values and attitudes and take into account to ensure non-judgmental practice
2.6 Use effective problem solving techniques when exposed to competing value systems
2.7 Recognise unethical conduct and report to an appropriate person
2.8 Recognise potential and actual conflicts of interest and take appropriate action
3. Contribute to workplace improvements
3.1 Identify situations where work practices could be improved to meet legal and ethical responsibilities
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3.2 Pro-actively share feedback with colleagues and supervisors
3.3 Identify and take opportunities to contribute to the review and development of policies and protocols
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P E R F O R M A N C E E V I D E N C E A N D K N O W L E D G E E V I D E N C E
This describes the essential knowledge and skills and their level required for this unit.
PERFORMANCE EVIDENCE
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:
Completed workplace activities in accordance with legal and ethical
requirements in at least 3 different situations
Developed appropriate responses to at least 3 different legal or ethical issues
relevant to the work role
Identified and communicated at least 2 potential work practice
improvements designed to enhance workplace responsiveness to legal and
ethical requirements
KNOWLEDGE EVIDENCE
The candidate must be able to demonstrate essential knowledge required to effectively do the task outlined in elements and performance criteria of this unit, manage the task and manage contingencies in the context of the work role. This includes knowledge of:
Legal and ethical considerations (international, national, state/territory,
local) for people working in the community services and health context, how
they are applied in organisations, how these impact individual workers, and
the consequences of breaches:
o Children in the workplace
o Codes of conduct
o Codes of practice
o Complaints management
o Continuing professional education
o Discrimination
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o Dignity of risk
o Duty of care
o Human rights
Universal declaration of human rights
Relationship between human needs and human rights
Frameworks, approaches and instruments used in the
workplace
o Informed consent
o Mandatory reporting
o Practice standards
o Practitioner/client boundaries
o Privacy, confidentiality and disclosure
o Policy frameworks
o Records management
o Rights and responsibilities of workers, employers and clients
o Industrial relations legislation relevant to employment conditions of
role
o Specific legislation in the area of work – objectives and key
components
o Work role boundaries – responsibilities and limitations
o Work health and safety
Interrelationships, similarities and differences that may exist between legal
and ethical frameworks
Legal issues in the context of the work role:
o Type of legal issues that arise
o Ways to respond
Ethical practice in the context of the work role:
o Type of ethical issues that arise
o Ways to respond
Workplace policies, procedures and protocols:
o How they are/should be developed
o Processes for review, including consultation and mechanisms for input
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A S S E S S M E N T C O N D I T I O N S
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:
o Current legislation, regulations and codes of practice
o Organisation policies, procedures and protocols
Modelling of industry operating conditions, including presence of problem
solving activities
Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.
P R E – R E Q U I S I T E S
This unit must be assessed after the following pre-requisite unit:
There are no pre-requisites for this unit.
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T O P I C 1 – I D E N T I F Y A N D R E S P O N D T O L E G A L R E Q U I R E M E N T S
IDENTIFY, ACCESS AND INTERPRET SOURCES OF INFORMATION ABOUT THE LEGAL REQUIREMENTS THAT APPLY TO THE WORK
ROLE
Just as you have to follow the rules and regulations required for road safety when driving a car, you are required to follow the rules and regulations that govern community services when you are working in the community services sector.
CONFIDENTIALITY
Confidentiality is the protection of personal information. Confidentiality means keeping a client’s information between you and the client, and not telling others including co- workers, friends, family, etc.
Examples of maintaining confidentiality include:
Individual files are locked and secured
Support workers do not tell other people what is in a client’s file unless they
have permission from the client
Information about clients is not told to people who do not need to know
Clients’ medical details are not discussed without their consent
Adult clients have the right to keep any information about themselves
confidential, which includes that information being kept from family and
friends
The type of information that is considered confidential can include:
Name, date of birth, age, sex and address
Current contact details of family, guardian etc.
Bank details
Medical history or records
Personal care issues
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Service records and file progress notes
Individual personal plans
Assessments or reports
Guardianship orders
Incoming or outgoing personal correspondence
Confidentiality of client information must include:
Verbal communications
Written i.e. medical records, referral/request
Video/audio tapes
Radiographic films and images
Computer files
Other information relating to ethnic or racial origin, political opinions, religious or philosophical beliefs, health or sexual lifestyle should also be considered confidential.
LEGISLATION GOVERNING CONFIDENTIALITY
All workers need to be aware that there are State and Federal laws that cover confidentiality. The following Acts relate to privacy and confidentiality of clients:
The Office of the Australian Information Commissioner (OAIC) deals with issues that are covered by the Privacy Act 1988 (Privacy Act), which regulates the handling of personal information by Australian, ACT and Norfolk Island government agencies, and certain private sector organisations.
For information on privacy regulation in the States and the Northern Territory, please refer to the appropriate links below. You may contact the OAIC Enquiries line if you have further questions about what aspects of privacy are dealt with by the OAIC.
Australian Capital Territory
The OAIC administers the Privacy Act, in a slightly amended version, on behalf of the ACT government. This legislation covers the handling of all personal information, other
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than health records held in the public sector in the ACT. The ACT Human Rights Commission handles health record privacy complaints.
New South Wales
The NSW Information and Privacy Commission undertakes the privacy functions conferred by the Privacy and Personal Information Protection Act 1998 (NSW) and Health Records and Information Privacy Act 2002 (NSW).
Northern Territory
The Office of the Information Commissioner for the Northern Territory is the independent statutory body responsible for overseeing the freedom of information and privacy provisions of the Information Act 2002 (NT).
Queensland
The Queensland Office of the Information Commissioner was initially established under the repealed Freedom of Information Act 1992 (Qld), and it continues under the Right to Information Act 2009 (Qld) (RTI Act) and Information Privacy Act 2009 (Qld) (IP Act). The Information Commissioner is supported by two other statutory office holders appointed by the Governor-in-Council: the Right to Information Commissioner and Privacy Commissioner.
South Australia
South Australia has issued an administrative instruction requiring its government agencies to generally comply with a set of Information Privacy Principles and has established a privacy committee.
Tasmania
The Tasmanian Ombudsman may receive and investigate complaints in relation to the Personal Information and Protection Act 2004(Tas). This legislation applies to the public and local government sectors and the University of Tasmania.
Victoria
The Office of the Victorian Privacy Commissioner is an independent statutory office created by the Information Privacy Act 2000 (Vic). This legislation covers the handling of all personal information, other than health information, in the public sector in Victoria.
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Western Australia
The state public sector in Western Australia does not currently have a legislative privacy regime. Various confidentiality provisions cover government agencies and some of the privacy principles are provided for in the Freedom of Information Act 1992 (WA).
Commonwealth
Commonwealth legislation is available at: http://www.comlaw.gov.au/
THE PRIVACY ACT
The Privacy Act 1988 (Privacy Act) is an Australian law which regulates the handling of personal information about individuals. This includes the collection, use, storage and disclosure of personal information. The Privacy Act includes:.
11 Information Privacy Principles that apply to the handling of personal
information by most Australian, ACT and Norfolk Island public sector
agencies
Ten National Privacy Principles that apply to the handling of personal
information by large businesses, all health service providers and some small
businesses and non-government organisations
Credit reporting provisions that apply to the handling of credit reports and
other credit worthiness information about individuals by credit reporting
agencies, credit providers and some third parties
The Privacy Act also:
Regulates the collection, storage, use, disclosure, security and disposal of
individuals’ tax file numbers
Permits the handling of health information for health and medical research
purposes in certain circumstances, where researchers are unable to seek
individuals’ consent
Allows organisations to have and to enforce their own privacy codes. It also
permits small business operators, who would otherwise not be subject to the
National Privacy Principles, to opt-in to being covered by the Privacy Act.
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More information on codes and opting-in is available on the privacy registers
page
Has two sets of privacy regulations which generally relate to:
o The application of the National Privacy Principles to specific entities
o The authorised disclosure of personal information during
emergencies.1
CODE OF ETHICS/CONDUCT
All Health and community service workers must up hold the code of ethics/conduct, which comes under the Code of Conduct for the public sector (Allied Health). For example: The Uniting Care Health Code of Conduct is a statement of how you conduct your business, treat our colleagues, our patients and our community. The code clearly identifies the standard of conduct that is expected of Uniting Care Health leaders, employees, volunteers, accredited practitioners and service providers in all occupational streams, service delivery and administration settings.
The code also identifies our values and aligns those values to expected standards of workplace behaviours.
A code of ethics is a set of moral principles and practice standards which a profession uses to guide practice.
Codes of ethics are usually voluntary controls and not laws that serve as a means of regulation within a profession. For a team, ethics means that all members have certain obligations, and responsibilities, to their clients.
REGULATIONS
In addition to legislation, you are required to have an understanding of Regulations specifically for community services. A Regulation is a document devised by a government department that outlines specific requirements. Community services Regulations detail the legal requirements that need to be followed by a community service.
1 http://www.oaic.gov.au/privacy/privacy-act/the-privacy-act
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Regulations are unique to each state and territory. Community Services Regulations are therefore developed by each state and territory and set the minimum standards for the provision of Services.
In general, the minimum standard refers to:
The minimum staffing levels and qualifications
Ensuring the facilities are safe and well maintained (equipment and
premises) administrative requirements
Health (including infection control)
Safety of clients and staff (risk reduction)
Programming requirements to ensure the programs cater to the needs and
interests of each individual person using the service
Occupational health and safety (OHS) — in each workplace, a set of guidelines or safe work practice procedures are established so that all staff and clients remain safe, and staff members are able to assess any risks that could occur. The objective of any workplace health and safety Act “is to prevent a person’s death, injury or illness being caused at a workplace, by workplace activities.”
It is important for you to familiarise yourself with the relevant community service Regulations in your state or territory.
WHAT ARE YOUR DUTIES / RESPONSIBILITIES AS A COMMUNITY SERVICE WORKER?
As a community service worker, you have an endless amount of responsibilities. Below is an outline of the most common responsibilities you will have while working in the community service sector.
Work with staff members to ensure the smooth operation of the day to day
running of the facility in accordance with policies and procedures (which you
must be familiar with)
Contribute to and assist in the development and/or evaluation of the program
(it doesn’t matter what qualification you have, it’s important for all staff to
share their thoughts and ideas on the program)
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Assist staff in the daily routine of caring for people with disabilities
Supervise and engage in the activities of groups
Positively interact with all clients, promoting their confidence, self-esteem
and independence
Assist in planning for the on-going development of each individual (this also
includes maintaining up to date observations and care planning
Assist in the recording of client development
Participate in maintaining client safety
Ensure clients are provided with a clean and healthy environment (this may
require you to do every day cleaning as part of your duties)
Communicate with clients, family members, advocates, guardians,
caseworkers, health care workers and other professionals from other
organisations as required.
Perform incidental administrative duties (filling out accident/incident
reports when necessary)
Attend staff meetings, training and information sessions
As required carry out other duties, that are within the knowledge, skills and
capabilities of you as the worker.
Now that’s a lot of responsibilities that we are handling on a day to day basis but remember this is only a basic outline. As I earlier mentioned your duties and responsibilities are also based on your qualification. If you are working with a certificate 4 in community services, your responsibilities regarding paperwork (such as observations, programming and planning) will be far less than those with the qualification as a diploma or higher. If you are working on certificate 4 level, you will be asked for your input on programming as well as assist in the observations and maintaining records for clients. However you will not be held responsible for it, that’s what the diploma qualified worker is for.
Each and every one of your duties is guided by the legislation and regulations that cover your sector. Whilst you may work relatively unaware of any legislation your organisation will have designed policies and procedures that ensure you are working to all legal requirements. It is their role to ensure they provide you with the policies and procedures and your role to ensure you follow them.
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DIGNITY OF RISK
Associated with duty of care is the concept of dignity of risk. Dignity of risk refers to a person’s right to experience all that life has to offer, such as learning a new skill or taking part in an activity that may entail some element of risk, but has benefits that might include gaining greater self-esteem and independence.
Most people with disabilities wish to lead lives which are as close as possible to that of people who do not have a disability and this inevitably involves taking some risks. Courts and the law of negligence do not, therefore, expect community sector workers to shield their clients from all possible risks. They do, however, expect workers to take reasonable care (to be sensible and cautious) in their work.
This concept arises out of the key principles of the Disability Services Act. For example ‘People with disabilities have the same rights as other members of Australian society to realise their individual capacities for physical, social, emotional and intellectual development’ (Parsons, 1997). It can, however, pose concerns and dilemmas for staff. Value clashes between clients and workers also can play a role here as well.
INFORMED CONSENT
All medical procedures require informed consent. Given that the consequences of being tested may be substantial, it is important to realise that, while running tests may be standard for the health care practitioner, receiving the results may be anything but routine for the patient. The provision of information should allow the health care practitioner to discuss the risks and benefits to the client in their particular situation, thereby facilitating their decision-making process.
Clients are not able to consent to the use of their information if they are unclear where the information will go and why. If possible, clients should be advised of the use of their information when it is collected, which can occur through usual communication during a regular consultation.
MANDATORY REPORTING
What is mandatory reporting? Mandatory reporting is a term used to describe the legislative requirement imposed on selected classes of people to report suspected cases of child abuse and neglect to government authorities. Parliaments in all Australian states and territories have enacted mandatory reporting laws of some description. However, the laws are not the same across all jurisdictions. The main
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differences concern who has to report, and what types of abuse and neglect have to be reported. There are also other differences, such as the state of mind that activates the reporting duty (i.e., having a concern, suspicion or belief on reasonable grounds – see Table 1) and the destination of the report. This sheet focuses on the major differences features of state and territory laws regarding who must report and what must be reported.
Table 1: Key features of legislative reporting duties: “state of mind” that activates reporting duty and extent of harm.
Jurisdiction State of mind Extent of harm
ACT Belief on reasonable grounds
Not specified: “sexual abuse … or non-accidental physical injury”
NSW
Suspects on reasonable grounds that a child is at risk of significant harm
A child or young person “is at risk of significant harm if current concerns exist for the safety, welfare or wellbeing of the child or young person because of the presence, to a significant extent, of … basic physical or psychological needs are not being met … physical or sexual abuse or ill-treatment … serious psychological harm”
NT Belief on reasonable grounds
Any significant detrimental effect caused by any act, omission or circumstance on the physical, psychological or emotional wellbeing or development of the child
QLD Becomes aware, or reasonably suspects
Significant detrimental effect on the child’s physical, psychological or emotional wellbeing
SA Suspects on reasonable grounds
Any sexual abuse; physical or psychological abuse or neglect to extent that the child “has suffered, or is likely to suffer, physical or psychological injury detrimental to the child’s wellbeing; or the child’s physical or psychological development is in jeopardy”
TAS
Believes, or suspects, on reasonable grounds, or knows
Any sexual abuse; physical or emotional injury or other abuse, or neglect, to extent that the child has suffered, or is likely to suffer, physical or psychological harm detrimental to the child’s wellbeing; or the child’s physical or psychological development is in jeopardy
VIC Belief on reasonable grounds
Child has suffered, or is likely to suffer, significant harm as a result of physical injury or sexual abuse and the child’s parents have not protected, or are unlikely to protect, the child from harm of that type
WA Belief on reasonable grounds
Not specified: any sexual abuse
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Australia Suspects on reasonable grounds
Not specified: any assault or sexual assault; serious psychological harm; serious neglect
Adapted from relevant state and territory legislation.
Who is mandated to make a notification? The legislation generally contains lists of particular occupations that are mandated to report. The groups of people mandated to notify cases of suspected child abuse and neglect range from persons in a limited number of occupations (e.g., Qld), to a more extensive list (Vic.), to a very extensive list (ACT, NSW, SA, Tas.), through to every adult (NT). The occupations most commonly named as mandated reporters are those who deal frequently with children in the course of their work: teachers, doctors, nurses, and police. What types of abuse are mandated reporters required to report? In addition to differences describing who is a mandated reporter across jurisdictions, there are differences in the types of abuse and neglect which must be reported. In some jurisdictions it is mandatory to report suspicions of each of the four classical types of abuse and neglect abuse (i.e., physical abuse, sexual abuse, emotional abuse, and neglect). In other jurisdictions it is mandatory to report only some of the abuse types (e.g., Vic., WA). Some jurisdictions also require reports of exposure of children to domestic violence. It is important to note that the legislation generally specifies that except for sexual abuse (where all suspicions must be reported), it is only cases of SIGNIFICANT abuse and neglect that must be reported. Reflecting the original intention of the laws, the duty does not apply to any and all “abuse” or “neglect”, but only to cases which are of sufficiently significant harm to the child’s health or wellbeing to warrant intervention or service provision. However, reflecting the qualitative differences presented by sexual abuse as opposed to other forms of abuse and neglect, five jurisdictions apply the reporting duty to all suspected cases of sexual abuse without requiring the reporter to exercise any discretion about the extent of harm which may have been caused or which may be likely (ACT, NT, SA, Tas., WA). In the other three jurisdictions, the practical application of the duty to report sexual abuse would still result in reports of all suspected sexual abuse being required, as sexual abuse should always create a suspicion of significant harm. Suspicions of more minor child abuse and neglect may be referred to child and family welfare agencies, especially where jurisdictions have made more extensive provision for this (e.g., Vic., NSW, Tas.). It is also important to note that the duty to report also applies to suspicions that significant abuse or neglect is likely to occur in future, not only suspected cases of significant abuse or neglect that have already happened. Table 2 provides an overview of the key features of the legislation in each state and territory: who must report, and what must be reported.
Table 2: Mandatory reporting requirements across Australia
Who is mandated to
report? What must be
reported? Abuse and neglect types which
must be reported Legal
provisions
ACT
A person who is: a doctor; a dentist; a nurse; an enrolled nurse; a midwife; a teacher at a school; a
A belief, on reasonable grounds, that a child or young person has
Physical abuse Sexual abuse
Section 356 of the CHILDREN AND YOUNG PEOPLE ACT 2008 (ACT)
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person providing education to a child or young person who is registered, or provisionally registered, for home education under the EDUCATION ACT 2004; a police officer; a person employed to counsel children or young people at a school; a person caring for a child at a child care centre; a person coordinating or monitoring home- based care for a family day care scheme proprietor; a public servant who, in the course of employment as a public servant, works with, or provides services personally to, children and young people or families; the public advocate; an official visitor; a person who, in the course of the person’s employment, has contact with or provides services to children, young people and their families and is prescribed by regulation
experienced or is experiencing sexual abuse or non-accidental physical injury; and
the belief arises from information obtained by the person during the course of, or because of, the person’s work (whether paid or unpaid)
NSW
A person who, in the course of his or her professional work or other paid employment delivers health care, welfare, education, children’s services, residential services or law enforcement, wholly or partly, to children; and
Reasonable grounds to suspect that a child is at risk of significant harm; and
those grounds arise during the course of or from the person’s work
Physical abuse Sexual abuse Emotional/psychological
abuse Neglect Exposure to
domestic violence
Sections 23 and 27 of the CHILDREN AND YOUNG PERSONS (CARE AND PROTECTION) ACT 1998 (NSW)
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A person who holds a management position in an organisation, the duties of which include direct responsibility for, or direct supervision of, the provision of health care, welfare, education, children’s services, residential services or law enforcement, wholly or partly, to children
NT
Any person
A belief on reasonable grounds that a child has suffered or is likely to suffer harm or exploitation
Physical abuse Sexual abuse Emotional/psychological
abuse Neglect Exposure to physical
violence (e.g., a child witnessing violence between parents at home)
Sections 15, 16 and 26 of the CARE AND PROTECTION OF CHILDREN ACT 2007 (NT)
Registered health professionals
Reasonable grounds to believe a child aged 14 or 15 years has been or is likely to be a victim of a sexual offence and the age difference between the child and offender is greater than 2 years
Sexual abuse
Section 26(2) of the CARE AND PROTECTION OF CHILDREN ACT 2007 (NT)
QLD
An authorised officer, a public service employee employed in the department, a person employed in a departmental care service or licensed care service
Awareness or reasonable suspicion of harm caused to a child placed in the care of an entity conducting a departmental
Physical abuse Sexual abuse
Sections 9, 148 of the CHILD PROTECTION ACT 1999 (Qld)
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care service or a licensee
Relevant persons: doctors; registered nurses; teachers; police officers; child advocates
Has a reasonable suspicion that a child has suffered, is suffering or is at an unacceptable risk of suffering significant harm
Physical abuse Sexual abuse
Part 1AA, Section 13a and 13b of the CHILD PROTECTION ACT 1999 (Qld)*
School staff
Awareness or reasonable suspicion that a child has been or is likely to be sexually abused; and the suspicion is formed in the course of the person’s employment
Sexual abuse
Sections 364, 365, 365A, 366, 366A of the EDUCATION (GENERAL PROVISIONS) ACT 2006 (Qld)
SA
Doctors; pharmacists; registered or enrolled nurses; dentists; psychologists; police officers; community corrections officers; social workers; teachers in educational institutions including kindergartens; family day care providers; employees/volunteers in a government department, agency or instrumentality, or a local government or non-government agency that provides health, welfare, education, sporting or recreational, child care or residential services
Reasonable grounds to suspect that a child has been or is being abused or neglected; and
the suspicion is formed in the course of the person’s work (whether paid or voluntary) or carrying out official duties
Physical abuse Sexual abuse Emotional/psychological
abuse Neglect
Sections 6, 10 and 11 of the CHILDREN’S PROTECTION ACT 1993 (SA)
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wholly or partly for children; ministers of religion (with the exception of disclosures made in the confessional); employees or volunteers in a religious or spiritual organisations
Tas.
Registered medical practitioners; nurses; midwives; dentists, dental therapists or dental hygienists; registered psychologists; police officers; probation officers; principals and teachers in any educational institution including kindergartens; persons who provide child care or a child care service for fee or reward; persons concerned in the management of a child care service licensed under the CHILD CARE ACT 2001; any other person who is employed or engaged as an employee for, of, or in, or who is a volunteer in, a government agency that provides health, welfare, education, child care or residential services wholly or partly for children, and an organisation that receives any funding from the Crown for the provision of such services; and any other person of a class
A belief, suspicion, reasonable grounds or knowledge that:
a child has been or is being abused or neglected or is an affected child within the meaning of the FAMILY VIOLENCE ACT 2004
Physical abuse Sexual abuse Emotional/psychological
abuse Neglect Exposure to family
violence
Sections 3, 4 and 14 of the CHILDREN, YOUNG PERSONS AND THEIR FAMILIES ACT 1997 (Tas.)
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determined by the Minister by notice in the Gazette to be prescribed persons
Vic.
Registered medical practitioners, midwives, registered nurses; a person registered as a teacher under the EDUCATION, TRAINING AND REFORM ACT 2006 or teachers granted permission to teach under that Act; principals of government or non- government schools; and members of the police force
Belief on reasonable grounds that a child is in need of protection on a ground referred to in Section 162(c) or 162(d), formed in the course of practising his or her office, position or employment
Physical abuse Sexual abuse
Sections 182(1)(a)-(e), 184 and 162(c)-(d) of the CHILDREN, YOUTH AND FAMILIES ACT 2005 (Vic.)
WA
Doctors; nurses and midwives; teachers; and police officers
Belief on reasonable grounds that child sexual abuse has occurred or is occurring
Sexual abuse
Sections 124A and 124B of the CHILDREN AND COMMUNITY SERVICES ACT 2004
Court personnel; family counsellors; family dispute resolution practitioners, arbitrators or legal practitioners representing the child’s interests
Reasonable grounds for suspecting that a child has been: abused, or is at risk of being abused; ill treated, or is at risk of being ill treated; or exposed or subjected to behaviour that psychologically harms the child.
Physical abuse Sexual abuse
Sections 5, 160 of the FAMILY COURT ACT 1997 (WA);
* This section has not yet been proclaimed and is likely to occur early in 2015 due to other legislative changes required as a result.
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Commonwealth law
In addition to state and territory laws, the FAMILY LAW ACT 1975 (Cth) creates a mandatory reporting duty for personnel from the Family Court of Australia, the Federal Magistrates Court and the Family Court of Western Australia. This includes registrars, family counsellors, family dispute resolution practitioners or arbitrators, and lawyers independently representing children’s interests. Section 67ZA states that when in the course of performing duties or functions, or exercising powers, these court personnel have reasonable grounds for suspecting that a child has been abused, or is at risk of being abused, the person must, as soon as practicable, notify a prescribed child welfare authority of his or her suspicion and the basis for the suspicion.
What protections are given to reporters?
In all jurisdictions, the legislation protects the reporter’s identity from disclosure. In addition, the legislation provides that as long as the report is made in good faith, the reporter cannot be liable in any civil, criminal or administrative proceeding.
About whom can notifications be made?
Legislation in all jurisdictions except New South Wales requires mandatory reporting in relation to all young people up to the age of 18 (whether they use the terms “children” or “children and young people”). In New South Wales, the legislative grounds for intervention cover young people up to 18 years of age, but it is not mandatory to report suspicions of risk of harm in relation to young people aged 16 and 17.
What type of concerns must be reported, and what may be reported?
Mandatory reporting laws specify those conditions under which an individual is legally required to make a report to the relevant government agency in their jurisdiction. This does not preclude an individual from making a report to the statutory child protection service if they have concerns for the safety and wellbeing of a child that do not fall within mandatory reporting requirements. All statutes enable people to report concerns for a child’s welfare even if they do not compel such reports. Any voluntary non-mandated reports will receive the legal protections referred to above regarding confidentiality and immunity from legal liability.
Although particular professional groups (such as psychologists) or government agencies (such as education departments in some states) may have protocols outlining the moral, ethical or professional responsibility or indeed the organisational requirement to report, they may not be officially mandated under their jurisdiction’s child protection legislation. For example, in Queensland, teachers are required to report all forms of suspected significant abuse and neglect under school policy, but are only mandated to report sexual abuse under the legislation.
In what cases can child protection and welfare agencies respond?
A common assumption is that mandatory reporting requirements, the legislative grounds for intervention, and research classifications of abusive and neglectful behaviour are the same. In fact, mandatory reporting laws define the types of situations that must be reported to statutory child protection services. Legislative grounds for government intervention define the circumstances and, importantly, the threshold at which the statutory child protection service is legally able to intervene to protect a child. Researchers typically focus on defining behaviours and circumstances that can be categorised as abuse and neglect. These differences arise because
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each description serves a different purpose; the lack of commonality does not mean that the system is failing to work as policy-makers had intended.2
For further information on mandatory reporting please go to: https://aifs.gov.au/cfca/publications/mandatory-reporting-child-abuse-and-neglect
PRACTITIONER/CLIENT BOUNDARIES
Setting and maintaining professional practitioner/client boundaries is critical to an effective relationship. Maintenance of these boundaries could be achieved by regular examination a re-evaluation of the client/practitioners relationship. During this re- evaluation, process application of the organisations policy for communicating with clients should be reviewed. Methods of communicating with a client may for example include:
Office email
Office phone calls
Receptionists
Other written formats, such as letters
Boundaries protect clients from exploitation, practitioners from liability and protect the professional relationship. Some examples of boundaries may include:
Intimacy – inappropriate physical contact, not including, for example, holding
a client’s hand to express compassion
Personal benefit (monetary gain) – borrowing/lending money, being named
in a will
Emotional/dependency needs – may include, for example, the client
continuously coming to you for emotional reassurance or depending on you
only for their emotional needs
Altruism – for example giving a client a ride home, purchasing items for them,
this can create dependency or give the wrong impression to the client.
You should ensure that at all times you not only put boundaries in place but you adhere to them strictly. in this way you will be meeting your duty of care to your clients and colleagues and will enable you to set a good example for others in your organisation.
2 https://aifs.gov.au/cfca/publications/mandatory-reporting-child-abuse-and-neglect
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IDENTIFY THE SCOPE AND NATURE OF OWN LEGAL RIGHTS AND RESPONSIBILITIES
WHAT IS THE DUTY OF CARE?
The fundamental obligation that anyone working in the community service sector whatever the type of service and whatever their role, is to maintain the health and safety of the client.
The legal term duty of care refers to this obligation and has major implications for the organisation and operation of services. It is interesting to look at the duty of care not only as it applies to people with disabilities but also in a broader context.
For example, teachers have responsibility for their students, parents for their children and employers for their employees. 3
Duty of care requires that an acceptable standard of care that is ‘reasonably practicable’ be provided to ensure the health and safety of those at the workplace and also to those affected by the work that you do.
Therefore, any services and responses to clients must comply with this duty of care and fall within the accepted standards outlined in your Code of Conduct.
Allied Health, Community and Disability services workers often face many ethical dilemmas in their day-to-day work with clients. Examples include:
Deciding whether to accept a gift from a grateful client
Deciding how to respond to a request for out-of-work hours contact with a
client
Deciding whether to notify about a crime which a client has told you about
Dealing with a young client’s request for a cigarette
Deciding what to do about a client’s dishonesty in not declaring their
employment income to Centrelink
3 https://learning.opencolleges.edu.au/Jack/Repository/file/921fc869-4b45-19e1-a1d…
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Deciding what to do about a co-worker’s inappropriate use of agency
resources
In order to respond effectively to dilemmas like these, you need to be given clear guidelines for your work; these guidelines are usually contained within the policy and procedures of your organisation. All workers should be introduced to these at their induction.
Professional supervision is another avenue where critical decision-making problems can be discussed and resolved. Most effective organisations have a clear process for supervising their staff; regular supervision sessions are scheduled into a worker’s timetable.
If you are in an agency where this does not happen, it is your right as an employee to seek guidance from your supervisors on any matters where there are no clear-cut guidelines.
It is important for workers to raise these issues within the staff environment as many other workers may be facing the same problems; consultation might signal the need for a new or revised policy to deal with the issue.
If a matter is taken to court, the factors considered in determining negligence are:
Does one person owe a legal duty of care to another?
Has there been a breach of that duty of care?
Has damage or injury resulted from the breach of duty of care?
The way the court interprets the decision will depend on a range of factors and circumstances, including the following:
What would be expected of a ‘reasonable’ person in the same situation?
The worker’s roles and responsibilities within the organisation
The training and experience of the worker
The practicalities of the situation
Current community values about acceptable practice
Standards generally seen as applicable to the situation
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Other relevant laws such as the Workplace Health and Safety Act
Meeting legislative and other procedural requirements
When working with clients, you and your agency need to be very aware of any legal and other responsibilities that must be followed. These responsibilities could include:
Statutory requirements of clients, such as those relating to
o Protection requirements (e.g. who they can and can’t see or live with,
Restraining Orders)
o Court orders and any special conditions
o Reporting (e.g. Mandatory Reporting, who to report to, how to report)
o Temporary Protection Visas (for people seeking asylum in Australia)
Funding Service Agreements. (The responsibility of the agency regarding use
of that funding, e.g. the agency’s role in supporting clients at risk)
Meeting the health and safety requirements of workers and users of agency
programs (Workplace Health and Safety Act requirements)
Agency and/or departmental regulations and guidelines (policies and
procedures)
Providing inclusive programs that do not discriminate against those from
other cultural backgrounds or who have special requirements because of a
disability, etc. 4
4 http://legacy.communitydoor.org.au/resources/etraining/units/chccs402a/section2/section2topic08.ht ml
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ADHERE TO LEGAL REQUIREMENTS IN WORK PRACTICE ACCORDING TO WORKPLACE POLICIES AND PROCEDURES AND
SCOPE OF ROLE
CONFIDENTIALITY
Confidentiality is the protection of personal information. Exercising confidentiality involves keeping client information between the client and the relevant persons providing care and services to the client. It is the responsibility of all people working in community services to ensure that confidentiality is maintained at all times.
The following are examples of maintaining confidentiality:
Not sharing client information with others not working with the client
Ensuring that client details are stored when they cannot be accessed by
unauthorised persons e.g. Making sure that files are locked and secure
Making sure that any information disclosed is done so with the express
permission of the client
Not sharing medical details without consent
Not sharing financial details without consent
Examples of confidential information may be:
Personal details such as name and address
Family or next of kin details
Bank or finance details
Medical records or results
Care plans
Progress notes
Individualised plans
Incident reports
Legal information
Letters or other correspondence
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Confidentiality refers to the obligation of data custodians (agencies that collect information) to keep the confidential information they are entrusted with secret. This obligation is recognised in the Privacy Act 1988. The obligation to protect confidential information is also reflected in legislation governing the collection, use and dissemination of information for specific government activities. Examples include the Social Security (Administration) Act 1999, the Taxation Administration Act 1953, and the Census and Statistics Act 1905 (see examples below). Penalties apply if the secrecy provisions set out in these Acts are breached. As well as the requirements set out in legislation, obligations to protect a person’s or organisation’s identity and privacy are also outlined in government policies and principles. These provide advice on the protocols and procedures required to manage information safely. ‘High Level Principles for Data Integration Involving Commonwealth Data for Statistical and Research Purposes’ is one example of a set of principle-based obligations for Commonwealth government agencies.5
IMPORTANCE OF CONFIDENTIALITY
Maintaining confidentiality is important for numerous reasons. One of the critical aspects of confidentiality is that it allows for a bond of trust to be established between the client, the worker and the organisation as a whole. Once this trust is established, the client is more likely to freely share important information which will benefit the provision of their care.
When gathering information from the client, it is ideally done directly with the client. If there is the necessity to gather information from other sources, for example, family members or other agencies, then this should be done with the consent of the client. The client should never feel that information is being collected from their back.
Privacy is essential in order to maintain confidentiality. When discussing personal matters with the client, it should be done in an environment which is quiet and discreet.
Discussions about client matters should only take place in the workplace and should never be audible to the general public. The client’s details should never be discussed with anyone without their consent.
5 http://www.nss.gov.au/nss/home.nsf/pages/Confidentiality+- +the+obligation+to+protect+identity+and+privacy
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It is essential that all staff respect the confidentiality of the client at all times. Respect for client confidentiality and staff personal information should be a high priority for all community services to comply with legislation that governs disclosure of information. All organisations associated with the care and services delivered to the client need to have policies and procedures in place that provide guidelines for workers. Appropriate worker behaviour can also be incorporated into a code of conduct.
LEGISLATION GOVERNING CONFIDENTIALITY
All community service workers need to be aware that there are State and Federal laws that cover confidentiality. The following Acts relate to privacy and confidentiality of clients.
HEALTH ADMINISTRATION ACT 1982
The Health Administration Act relates to any information that is provided or recorded within the health system. It stipulates that information cannot be disclosed, without the consent of the person to whom the information relates or for the purpose of legal proceedings, such as a court order or subpoena that allows access to health information on a client.
EXCEPTIONS TO THE GENERAL RULE OF CONFIDENTIALITY
There are few exceptions to the general rule of confidentiality, and they all have a legal basis. These include:
If the client tells you they have committed a serious crime
If the client is a child and is being abused or is at risk of abuse
If you are concerned that the client might harm themselves or someone else
If a child is under the age of 16 years, and especially under the age of 14,
parents legally have the right to know what happens in counselling
Making records available to the police if they have a warrant to inspect
documents
Making information available in the case of suspected or confirmed physical
or sexual abuse
Responding to a summons or subpoena
Responding to a request for freedom of information legislation
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There may be instances where a community services organisation has the responsibility to override the client’s right to keep information private. An example of such a situation would be seeking information for as subpoena for court proceedings.
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RECOGNISE POTENTIAL OR ACTUAL BREACHES AND REPORT ACCORDING TO ORGANISATION PROCEDURES
BREACHES OF CONFIDENTIALITY
Every community service organisation has a responsibility to keep client information private and confidential. If not done so, the client has the right to take legal action against a worker or an organisation under the law of negligence. As community service workers, we owe a duty of care to our clients to prevent any risk of harm.
If a worker is deemed to have breached confidentiality, and subsequently breached the policies of the organisation, then they may face dismissal from their organisation and face legal action by the client.
As a worker, if you believe that a colleague has breached confidentiality you should implement the following process:
Check to see if they have the client’s permission to share information
Investigate the agency’s policy is regarding breaches of confidentiality and
follow the procedures outlined
Approach the worker and express your concern
Discuss the situation with your supervisor and describe your observations
Request staff training in confidentiality
BREACHING PROCEDURES
If you become aware that one of your colleagues has indeed breached confidentiality this may create an ethical dilemma. Whilst, the confidentiality of the client, is paramount, people rarely wish to see their colleagues dismissed from the workplace. However, it is important that the situation be discussed with your supervisor or manager.
There are circumstances where a worker will be excused from breaching confidentiality. This may include circumstances where they disclose information to protect the general public. Such exemptions are established law and its interpretation by judiciary.
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If a worker determines that the client presents a risk to the safety of the public, then they may be excused from breaching confidentiality. If it is determined that the disclosure is in the best interests of public safety, then the worker may be exonerated. In such cases, then this, of course, should be first done in consultation with a supervisor.
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T O P I C 2 – I D E N T I F Y A N D M E E T E T H I C A L R E S P O N S IB I L I T I E S
IDENTIFY, ACCESS AND INTERPRET SOURCES OF INFORMATION ABOUT THE ETHICAL RESPONSIBILITIES THAT APPLY TO THE WORK ROLE AND IDENTIFY THE SCOPE AND NATURE OF OWN
ETHICAL RESPONSIBILITIES
WHAT DO WE MEAN BY WORKPLACE ETHICS?
One of the most important responsibilities that we place on the leaders of organisations is upholding the highest standards of ethical behaviour. In a nutshell, this comes down to doing the right thing even when the wrong thing might also have some attraction. Work- place ethics are most often related to decision-making processes. Most leaders face the opportunity to choose between alternative courses of action in their work situations and other aspects of their lives. Work-place ethics refer to choosing the option that is determined to be the moral or legal “right” choice, even if the other alternative(s) are very attractive and even if you can “get away with” the less ethical choice. 6
Information on ethical responsibilities in your workplace can be found in your position description, policies and procedures and relevant government websites.
Employers provide ethical principles for the workplace so that all employees follow the same standards, regardless of personal values and different cultural backgrounds. The principles allow them to voice their opinions freely and without fear, creating a sense of belonging for each employee in the workplace. To implement effective ethical principles in the workplace, employers must set out the objectives of the company orally and in writing. Ethical principles in the workplace can come into question when an employee needs to make a decision. A decision might involve fairness, truth or values in the workplace. It may concern a legal matter, professional or personal conflict. Even if an employee believes that he can get away with a decision and “no one will know,” the decision could involve ethical principles. Employees confused about ethical principles in the workplace should be able to turn to their supervisors for guidance.
6 http://www.chsbs.cmich.edu/leader_model/development/media/Targeted%20Lessons/workplace_ethic s.htm
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An employee sees another employee stealing from the stock room and chooses not to report it. A supervisor suspects that financial statements have changed after a new employee started and doesn’t address it. Both are likely violations of the company’s ethical principles, so it’s management’s responsibility to act based on ethical principles, or the workplace can suffer consequences. If a manager chooses to ignore the matter, he indirectly tells employees that they don’t have to take workplace ethical principles seriously. Some employers will fire an employee for unethical behaviour to set standards for ethical principles in the workplace. Managers can meet with employees individually and grade them on their ethical behaviour as a method of assessing how the workplace responds to the company’s ethical principles. Or, management can ask employees to complete ethical checklists each month to gauge how they are performing when it comes to ethical principles. At the same time, this level of focus shows employees that the company is committed to ethical principles in the workplace.
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MEET ETHICAL RESPONSIBILITIES ACCORDING TO WORKPLACE POLICIES AND PROTOCOLS, AND SCOPE OF ROLE AND
RECOGNISE POTENTIAL ETHICAL ISSUES AND DILEMMAS, AND DISCUSS WITH AN APPROPRIATE PERSON
POSITION DESCRIPTIONS
Your job/position description defines the responsibilities associated with your role. All work should be undertaken within position specifications and role responsibilities as outlined in your position description.
As a community service worker, your job role and responsibilities are very important. Upon accepting a position in a service, you will be provided with a job description or position description. One part of your position description will refer to you working in alignment with, or according to, the organisations philosophy, policies and procedures.
During your induction, you will be given a copy of, or be asked to read, all organisational policies, protocols and procedures related to your role prior to commencing in your position.
The people to whom you report would be your supervisor, manager or employer. If you are at all unsure of your role please make sure you check with any one of these people.
To ensure a high quality and responsive service, all staff working within that environment must work together effectively. To achieve this, you must understand your roles and responsibilities within the service. Although these do vary from service to service, most will have common elements.
REVIEWING WORK PERFORMANCE
In order to provide a quality service, early childhood professionals need to reflect on their practices. What worked well? What could be improved for next time? How could I do it differently?
Critical reflection involves you reflecting on all aspects of your service from a different perspective, or from someone else‘s perspective. In order for us to truly understand our clients and meet their needs, we need to try and understand their perspective.
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PRINCIPLES OF ETHICAL DECISION-MAKING
Ethical dilemmas generally present the ‘what if’ question and frequently it will appear that there seems to be no identifiable solution to the problem. Because ethical dilemmas are often complex in nature, it may be extremely difficult for a person to find a way to resolve them and behave in a professional manner.
Ethical codes and guidelines are centred on care and respect for the client. To ensure that the decisions you make are ethical, the following principles should be adopted:
Ensure you understand the guidelines, policies and procedures of your
organisation
Ensure you comply with all relevant legislation
Ensure you follow all relevant standards which apply to your organisation
Be aware of and adhere to your organisations code of conduct
Be committed to a standard of professional behaviour and uphold that
standard at all times
Explore all sides of an ethical dilemma and consider the consequences of any
action and/or decisions you may make
When you are faced with an ethical dilemma, it is wise to consult with your co-workers, supervisor or manager. They may be able to provide you with a new perspective on the situation. Explaining the dilemma you face with them, may provide the opportunity for you to explore new options and possibly resolve the situation.
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RECOGNISE OWN PERSONAL VALUES AND ATTITUDES AND TAKE INTO ACCOUNT TO ENSURE NON-JUDGEMENTAL PRACTICE
Being aware of you own values can assist you to work more effectively with your clients. It can also help you to resolve conflicts and appropriately support the philosophy of your organisation. It is important that you explore and understand your own values and how they shape your attitudes about others you encounter in the workplace.
The beliefs you hold about life, yourself and people is what’s responsible for who you are, how you behave and who you will become.
False beliefs limit the human potential by preventing a person from achieving what he can already achieve
Positive beliefs, on the other hand, can help you trust your abilities, achieve your dreams and reach the success you ever wanted to achieve
Staff working in the community services sector must be able to take into account the differences between their own personal values and beliefs and those of the clients with whom they are working. They need to ensure that their own values do not interfere with the service that they are providing to their clients.
The care and services provided need to accommodate for the differences in the cultural diversity of the client, co-workers, and all others associated with the organisation.
Workers need to identify that people have differing values, beliefs and perspectives on the world. Everybody has the right to hold their own beliefs and values, and while one person may not hold the same values and attitudes as another, neither party is necessarily right or wrong.
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USE EFFECTIVE PROBLEM SOLVING TECHNIQUES WHEN EXPOSED TO COMPETING VALUE SYSTEMS
When working in any community service, including the childcare sector, workers may at times be exposed to competing value systems which differ from their own values, ideas and beliefs. Furthermore, the worker may also find themselves exposed to conflicts of interest. Because the worker is in a trusting relationship with the client and in many cases with their family also, they must attempt to resolve any issues which may negatively impact the care of their clients.
Problem-solving is an important skill both in the workplace and in your personal life. When you encounter problems. As a result competing value systems, it is important that you develop the skills and techniques to resolve the issue.
Strategies that you might use to resolve such problems in the workplace might include:
Clarifying the problem at hand
Seeking guidance from colleagues
Examining policy and procedure manuals
Consulting with your supervisor or manager
Attempting to see things from the other person’s perspective
Every day we are faced with situations which will test our personal values, attitudes and belief systems. We will often be left in these situations wondering what action we should take, or what is the right thing to do? ‘It is important in an organisation or work situation that any action taken reflects the service‘s policies and procedures and is handled professionally and ethically.
In your service, the client base may vary quite dramatically, as it does in general society. What one family‘s values and beliefs are will vary significantly from another family‘s values and beliefs.
Let‘s take a moment to look at the difference between values and attitudes.
Values tend to be entrenched in the makeup of the individual and are subject
to educational influences and persuasion, largely because they are socially
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based and acquired through learning. Our values tend to be life-long and are a
part of who we are.
Attitudes evolve more from situations; these are more readily changed than
values. Attitudes are perceptions and feelings about oneself, others and our
society as a whole.
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RECOGNISE UNETHICAL CONDUCT AND REPORT TO AN APPROPRIATE PERSON
Unethical conduct is the behaviour of an individual which is not in accordance with the standards of their profession. In community services, unethical behaviour can result in the client being put at risk.
Examples of unethical conduct may be:
Workers talking about clients in public situations
Workers being intolerant of clients from other cultures or saying negative
things about them due to cultural differences
Workers arguing or using inappropriate language in front of the client
When you recognise another worker as behaving in an unethical manner, you should consult with the co-worker to let them know that they have breach the ethical practice, as it may be the case that the co-worker did not know that they were breaching the organisations policies.
If the co-worker is not receptive to your advice it may be necessary for you to report the unethical conduct to someone in higher authority, such as a to the management or ethics committees in accordance with organisation policies and procedures. This can be a very difficult situation, especially if it involves another team member or a colleague who you respect.
When reporting unethical behaviour you need to be clear about:
Who was involved in the incident
When the incident(s) occurred and which people were involved
On what basis you believe the conduct to be unethical
What actions have been taken? For example: speaking directly to the worker
or supervisor
Policies and procedures – you need to follow protocol when making a report
in order to direct your concerns to the most appropriate person
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It is important that you document the details of the unethical behaviour in a clear and professionally manner. There needs to be clear documentation the course of action that you have taken and the reasons why that course of action has been followed.
If you are not sure what to do, you should speak to your supervisor or another appropriate staff member or mentor. Remember that it is important to look after you and keep yourself safe in all situations. If you need support, speak to your supervisor or Human Resource Officer or management!
If the person you reported the incident to does not take action or supports you, it is important that you document your actions and then you should report the incident to another manager, or even an external complaints service such as Health Care Complaints Commission (HCCC) or an advocacy service.
There are many ways unethical behaviour can be reported, including;
Direct verbal communication
Documenting in the progress notes
Using communication books
Written letters
Sending emails
It is important to build an atmosphere of trust and respect in the workplace by:
Encouraging openness and tolerance between colleagues
Accepting people’s right to hold different points of view
Using constructive methods of conflict resolution
Maintaining appropriate confidentiality
Applying a willingness to be a “team player” – do your fair share of the work!7
Any instances where unethical conduct is witnessed should be immediately reported to the appropriate personnel and documented accordingly.
7 https://sielearning.tafensw.edu.au/MCS/9362/sterilisation%20disk%201/lo/7356/735…
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RECOGNISE POTENTIAL AND ACTUAL CONFLICTS OF INTEREST AND TAKE APPROPRIATE ACTION
WHAT IS A CONFLICT OF INTEREST?
A conflict of interest is a situation when any person who is in a trusting relationship with another has differing personal or professional interests. The main problem, when presented with a conflict of interest, is that it may cause an individual to experience difficulties in carrying out their role in an impartial manner. Even if no improper actions or unethical behaviours result, a conflict of interest may still exist. Conflicts of interest can create tensions between individuals. The tensions exist because there is disparity between what people want to do and what they should do
Conflicts of interest need to be identified and addresses as they may create a situation where there is an appearance of impropriety. In this situation, it may be necessary to examine whether or not the integrity and impartiality of the worker may be compromised. If this is the case, they may not be able to fulfil their duties to the client, and hence client care may be compromised.
If a situation arises when one worker recognises that a conflict of interest exists which cannot be resolved between a worker and a client, which is affecting the standard of care is being delivered, then it is important that this be reported to a supervisor or manager. Your supervisor may be able to assist in finding a resolution to the problem, thus benefiting both parties.
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T O P I C 3 – C O N T R I B U T E T O W O R K P L A C E I M P R O V E M E N T S
PRO-ACTIVELY SHARE FEEDBACK WITH COLLEAGUES AND SUPERVISORS
WHAT IS FEEDBACK?
In human interaction, feedback is a process by which the effect of a person’s specific behaviour is brought to that person’s attention.
Feedback is given only for the purpose of helping the other person to see the result of her or his actions so he or she may choose whether or not to change to get a different result.
Objective feedback is an essential component in the pursuit of optimal performance. It is important that your work performance is monitored and that you receive feedback which is constructive and encourages you to strive for improvement.
Feedback can be:
Positive – Positive feedback – indicates that tasks were carried out well. It acknowledges personal efforts and the good cooperation among team members. It encourages all members to continue to strive for excellence.
Negative – Negative feedback – informs team members that tasks were not completed well. It analyses the reasons for the problems encountered and proposes ideas for improvement.
Constructive – Constructive feedback – encourages and acknowledges good job performance. It also suggests areas for improvement and strategies for achieving this improvement.
GOOD LEADERS KNOW THE VALUE OF TEAM MEMBER INPUT Good leaders know they can’t think of everything. And they know they are much more apt to find the right answer to a problem if they have several possible solutions in front of them.
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President John F. Kennedy certainly knew that. One of his close advisers said Kennedy tried to “surround himself with people who raised questions…and was wary of those who adapted their opinions to what they thought the President wanted to hear.” There is tremendous value in team member input. If, for example, you have a penny and I have a penny and we exchange pennies, you still have one cent, and I have one cent. But if you have an idea and I have an idea and we exchange ideas, you now have 2 ideas and I have 2 ideas. SO GOOD LEADERS ENCOURAGE COMMUNICATION AND SOLICIT IDEAS. In general, they do five things:
• They encourage team members to speak up by indicating the importance of doing so
• They ask for the opinions of others before they have totally formulated their own • They hear people out by giving their full and undivided attention • They refrain from arguing or taking offense at ideas different from their own • They show in their attitude and their actions that they value a person who speaks
his or her mind8
Therefore, if you receive feedback from others and/or have feedback regarding the workplace you should ensure you share this with team members and supervisors. In this way you are contributing to enhancing the service and/or program in your community service organisation.
8 http://drzimmerman.com/blog/communication-works
http://drzimmerman.com/blog/communication-works
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IDENTIFY AND TAKE OPPORTUNITIES TO CONTRIBUTE TO THE REVIEW AND DEVELOPMENT OF POLICIES AND PROTOCOLS AND
IDENTIFY SITUATIONS WHERE WORK PRACTICES COULD BE IMPROVED TO MEET LEGAL AND ETHICAL RESPONSIBILITIES
REVIEWING WORK PERFORMANCE
In order to provide a quality service, community service workers need to reflect on their practices. What worked well? What could be improved for next time? How could I do it differently?
As a community services worker, reviewing your work performance and practices is a critical component of the provision of high-quality practices within early childhood services. All staff reflect on their own practices when working within the service. Critical reflection or reflective practices focus on implications for equity and social justice.
Reflective practice is a form of ongoing learning that involves engaging with questions of philosophy, ethics and practice. Critical reflection involves closely examining all aspects of events and experiences from different perspectives.
To explain this more simply, critical reflection involves you reflecting on all aspects of your service from a different perspective, or from someone else‘s perspective. In order for us to truly understand our clients and meet their needs, we need to try and understand their perspective.
REVIEWING POLICIES AND PROCEDURES
All workers in community services can in some way contribute to the review of policies and protocols. By providing input about the goals and needs of clients, and identifying gaps in the system or areas of client service that are not being met and then communicating this information to the relevant authorities, they can influence any changes that may need to be made.
There are many people who can contribute to the review and update of legislation, policies and procedures relating to the community service sector. The most vital aspect of working in the community service sector is empowerment. Your role will be to
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continue to contribute to policies and procedures and to provide input into the empowerment of people.
WHO CAN CONTRIBUTE?
Valuable contributions can be made by people such as:
People with a disability
Carers and families
Service providers
Advocates
Case workers
Representative organisations
Government departments
HOW CAN THEY CONTRIBUTE?
Contributing to the review process may involve:
Attending meetings
Writing to relevant authorities (This might take place at an organisational or
government level)
Reviewing policies and procedures
If you identify any areas where improvements can be made to work practices it is your responsibility to ensure this information is passed on to either a supervisor or a team member. Improvements should be made to all policies and procedures in the workplace at each review but if you note something that could be changed between reviews then you should speak up. Providing the best possible service is what every organisation should be about so don’t be scared to speak out or participate. You never know, you might just have come with a new innovative idea that is appreciated by others.
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S U M M A R Y
Now that you have completed this unit, you should have the skills and knowledge required to identify and work within the legal and ethical frameworks that apply to an individual job role.
If you have any questions about this resource, please ask your trainer. They will be only too happy to assist you when required.
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R E F E R E N C E S
Websites
“Confidentiality: the obligation to protect identity and privacy.” n.d. Web. 15 Apr. 2015 <http://www.nss.gov.au/nss/home.nsf/pages/Confidentiality+- +the+obligation+to+pro>.
“DUTY OF CARE What do we mean by “Duty of Care”? Childcare and …” Web. 15 Apr. 2015 <https://learning.opencolleges.edu.au/Jack/Repository/file/921fc869-4b45- 19e1-a1d>.
“Work ethically in a SSD – Work ethically in a SSD.” Web. 15 Apr. 2015 <https://sielearning.tafensw.edu.au/MCS/9362/sterilisation%20disk%201/lo/7356/7 35>.
“Work within a relevant legal and ethical framework.” Web. 15 Apr. 2015 <http://www.partnersintraining.com.au/wp-content/uploads/CHCCS400C_Student- Workbo>.
http://anrl.com.au/samples/BFFLM312BC_S.pdf
http://education.gov.au/early-years-learning-framework
http://ncac.acecqa.gov.au/educator-resources/factsheets/factsheet4.pdf
Take responsibility for your own actions
http://www.asca.org.au/about/resources/preventing-child-abuse.aspx
http://www.aussiechildcarenetwork.com/wiki/Childcare_Worker_Duties
http://www.childcarecentral.com/Provider-Articles/35/daycare-teacher-maintain- confidentiality.html
http://www.education.vic.gov.au/Documents/childhood/providers/edcare/practicegui de8.PDF
http://www.families.com/blog/how-do-i-know-if-a-child-is-being-abused
http://www.nsforum.org.au/files/Speakersnotes/EthicalDilemmas.pdf.
http://www.spcc.nsw.edu.au/preschool.php?id=852.
http://www.studymode.com/essays/Duty-Of-Care-890126.html
http://www.tisnational.gov.au/Non-English-speakers
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https://www.communities.qld.gov.au/resources/childsafety/child-protection/child- abuse-booklet.rtf
