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Task No. 3 Task Title Case studies – Legal and ethical compliance Due Date Due Date
Unit / Module details
Qualification/Course Code CHC52015

Title Diploma of Community Services

Unit/Module Code CHCLEG003

Title Manage legal and ethical compliance

Assessment details
Assessor Assessor’s name Assessor’s phone

Assessor’s email

Elements / Learning  Research information for legal compliance

outcomes  Identify ethical breaches and responsibilities
 Develop and communicate policies and procedures
 Identify non-compliance and refer breaches to relevant people
 Develop strategic responses to a range of different legal and ethical situations

Task overview For this task the student will complete a portfolio to provide evidence of legal and ethical compliance
(see below for specific in the workplace.
instructions and criteria)

Assessment Students must read each of the case studies then answer each question.
conditions This task may be done in the classroom or as homework – your assessor will advise you.
Students may use the internet, textbooks and other reference material to complete the case studies.

Resources  Access to current legislation and regulations (AustLII Databases at

http://www.austlii.edu.au/databases.html)
 Access to “Good Practice Guide- Victorian Ombudsman’s Guide to complaint handling for
Victorian Public Sector Agencies” available at
https://www.ombudsman.vic.gov.au/Complaints/Complaint-Handling-Guide
 Access to “Fact sheet – Mandatory Reporting Victoria”, the Centre for Excellence in Child and
Family Welfare” available at http://www.cfecfw.asn.au/sites/default/files/Mandatory
%20Reporting%202014.pdf
 Access to ACWA “Code of Ethics” available at http://www.acwa.org.au/course-
accreditation/CODEOFETHICS.pdf
 Access to “Workplace privacy” Fair Work Ombudsman, available at
https://www.fairwork.gov.au/how-we-will-help/templates-and-guides/best-practice-
guides/workplace-privacy#privacy

How to submit Type your responses directly into this document and ‘save as’ with your name, student number and
Unit code in the title.
Submit all assessment requirements for this task via MyLearning for your assessor to mark. Ensure
that you keep a copy for your records.

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Assessment instructions and criteria

With competency based assessment all assessment requirements for each assessment task must be assessed as satisfactory (S)
for a competent (CA) result to be recorded. If an assessment result for any task is assessed as not satisfactory (NS) a resubmission
will be required for the outstanding (NS) assessment task.
Instruction/Task Criteria that you will be assessed on S NS
Complete case study 1 – The Your ability to ☐ ☐
new community house.  Develop and communicate policies and procedures that are compliant with
legislative requirements.
 Identify sources of information for compliance requirements and interpret
relevant to area of work.
 Identify the risks, penalties and consequences of non-compliance.
Complete case study 2 – Lost file Your ability to: ☐ ☐
 Identify non-compliant work practices and implement strategic response to
rectify.
 Refer breaches to relevant people

Complete case study 3 – Your ability to: ☐ ☐

Benefits of the job  Identify non-compliant work practices and implement strategic response to
rectify
 Refer breaches to relevant people
 Identify appropriate work role boundaries

Complete case study 4 – Your ability to: ☐ ☐

Providing counselling  Identify non-compliant work practices and implement strategic response to
rectify.
 Identify scope of practice and work role boundaries
 Identify worker responsibilities and legal and ethical compliance
 Understand duty of care and mandatory reporting requirements
 Identify need to refer legal and ethical breaches to relevant people

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Case study 1 – The new community house

The Gladsville Community Centre is in the process of gaining registration so that it can open and provide services for the local
Gladsville community. The centre is being opened in an expanding area in the outer suburbs of a large city in Victoria. The
community includes a wide variety of residents including many from a non-English speaking background. Many people from the
community are disadvantaged in terms of poverty, levels of education, and refugee status.

The centre will provide a range of learning and community services.

As part of the registration and funding process, the Centre must have a framework of policies and procedures in place. It has just
been noted that whilst most of the policies and procedures have been written, the policies and procedures for handling
complaints and for privacy and confidentiality have been missed.

Your supervisor has asked you to write these documents. The Gladsville policy and procedure template has been provided.

You have been given the following briefing to help you in this process. Add in other information as you feel necessary.

 Complaints Handling policy and procedures:

o All complaints will need to be made in writing and mailed or dropped off to the community house.
o There is a complaints form and instruction brochure already developed which clients can access on the Gladsville
website. Hard copy forms and brochures are also available.
o Interpretation and advocacy services are available to assist clients where they need assistance.
o All complaints will be investigated by the Community House Director within two weeks and clients will be advised
of the outcome in writing.
o If clients are not satisfied with the outcome of the investigation they may make a formal complaint to the
Ombudsman.
 Privacy and confidentiality
o Procedures will follow the National Privacy Principles
o Confidential information includes:
 Client personal information – name, address, phone number, email address
 Information to register a person for learning,
 Personal and health information relevant to services provided
 Aggregated statistical information required by funding body
o The centre has secure storage facilities and all computer systems are password protected.
You must write both policies and procedures so that they are compliant with the relevant legislation.

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Gladsville Community Centre

125 High Street
GLADSVILLE VIC 3999
www.Gladsville.org.au

COMPLAINTS POLICY AND PROCEDURE

Policy number: HVCC 23 Date prepared:

Purpose: Develop and communicate policies and procedures.
The statement of purpose of this policy:
It is the organization’s liability to ensure staff obey proper legislation and offer a service which is persistent and good quality by
stimulating processes as well as policies for everybody to obey.
Comprehending your responsibilities and duties in an organization and obeying its practices will let you perform your tasks
competitively, effectively, and confidently.

Related legislation:
List legislation relating to this policy
The National Disability Strategy 2010-2020 (1)
The Victorian Department of Human Services policy (2)

Who does this policy apply to?

The first aforementioned policy is applied to the lives of disabled Australians, their relatives, and their occupations.
The second above-mentioned policy is applied to department-managed services and the providers of department-funded
service

Policy statement:
The policy involves unification related to policy access and program enhancement committed by entire kinds of community,
businesses, and government in the country.

Procedure for making complaint

A process involves steps that need to be implemented as a series of processes and generate described results when
undertaken.
A clear procedure would give you step-by-step guides for each mission and support you to know about what to do. They might
be presented on a bulletin board, in a file sharing to everybody, or even in an induction kit of employee.

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Procedure for complaint investigation

The steps that need to be done include
- Paying attention to the complaint but saving yourself or other people – write key information to
know the entire facts about the issue so you would not forget the information later
- Confirming the thoughts of other people
- Advising your action plan to the person involved; for example, the issue will be reported to senior manager
- Making a report and save the complaint
- Making sure that the issue is kept track as well as let the person involved to know emerging news

How will privacy and confidentiality of information be maintained?

Under the Privacy Act 1988 (Cth), agencies and constitution related to community service have to ensure security and take
appropriate processes to protect individual information they kept and prevent the issues associated with loss, unauthorized
approach, misuse, change, information leaking, and inference.
The breaches of individual information are restricted to bad intention including theft but might occur from inner mistakes,
failure to follow up policies related to control information. Additionally, this could involve process related to loss or disclosure
by accident. In case you find an actual risk of significant damage as a consequence of information violation, people who
involved need to be informed to strengthen belief as well as transparency in your constitution.

Support available to clients:

- the right to respect
- the right to ensure secret/ confidentiality
- the right to reach services
- the right to have social requirements met
- the right to have an informed choice
- the right to complaint
- the right to privacy

Procedure if complaint is not resolved:

- conserve service user protection and certainty

- cope with conflicting preferences
- cope with conflicting liabilities and rights
- supervise conflicts of interest

How will this policy/procedure be notified to relevant parties?

The Aged Care Quality Standards establish instructions related to care’s quality within community care services.
The National Standards for Disability Services establish the way of providing disability services

List the risks, penalties and consequences of non-compliance:

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- work health as well as safety

- equal employment opportunities
- confidentiality
- inadequate knowledge or training

Non-compliance could lead to the consequence as follows:

- a time frame being set whereby all breaches of compliance must be addressed, accreditation not being awarded or
retained
- a business being examined, controlled, penalised, charged, etc.
- a penalty applied from $50,000 to $3 million depending on the breach’s consequence; in other situations, it could lead
to imprisonment

How will this policy be monitored for compliance?

a. For external service delivery
Controlling auditing and examination is conducted on constitution related to
community services. In case your business must bear such control, you would be connected by the available officers who would
illustrate the procedure and describe any needs.

b. For internal work practices

An auditing compliance is an aim evaluation of the compliance of the constitution

against chosen standards. The standards and legislations will be applied to audit the organizations. Such standards have been
established for the specific field, or certifications provided.
Such audit often refers to a document review, after an examination of place.
Additionally, such review supports the body of the audit report with
sufficient information to make clear that a business is complied with its legislations or standards.

Frequency of review: Review date:

Prepared by: Approved by:

Name: Name: Jessie Boss

Signature: Signature:

Date: Date:

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Gladsville Community Centre

125 High Street
GLADSVILLE VIC 3999
www.Gladsville.org.au

PRIVACY AND CONFIDENTIALITY POLICY AND PROCEDURE

Policy number: HVCC 24 Date prepared:

Purpose:
The statement of purpose of this policy:
It is the organization’s liability to ensure staff obey proper legislation and offer a service which is persistent and good quality by
stimulating processes as well as policies for everybody to obey.
Comprehending your responsibilities and duties in an organization and obeying its practices will let you perform your tasks
competitively, effectively, and confidently.

Related legislation:
List legislation relating to this policy

The Department of Health in Queensland

The National Disability Strategy 2010–2020

Who does this policy apply to?

The Department’s WHS policy applies to all employees who include volunteers,
students, and other people within Department of Health divisions and health services that are not authorized services.

Policy statement:
The statements prioritize
- the plan of building community infrastructure like parks or public transport
- rights safeguard, laws and justice, including legal protections like
anti-discrimination
- security of economy, including jobs, working opportunities, and give help for people who can not work
- community and individual support like person-centred care’s join
- studying and enhancing skills like supporting childhood education at the early stage
- well-being and health associated with health services

Procedures:

The inner work practices based on process and policies may involve hiring and selection, work safety and health, or even
termination.
A clear procedure would give you step-by-step guides for each mission and support you to know about what to do. They might
be presented on a bulletin board, in a file sharing to everybody, or even in an induction kit of employee.

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How will this policy/procedure be notified to relevant parties?

Staff:

- senior management or supervisors, who could solve complicated issues that could be difficultly resolved between group
members
- group members experiencing in the field you are concerned about and can provide their knowledge and experience
- healthcare experts for medical advice.
Clients:
- authorities and regulators related to the government. They are people who could give professional advice on how to
deal with problems or breaches in a reasonable basis.
- Police law enforcement offices where face issues related to the complaint of financial, mental, physical violation or a
damage of services user’s assets.
- business network who could share with you about ideas, make a discussion related to ethical issues and apply
techniques for such issues.

List the risks, penalties and consequences of non-compliance:

Non-compliance could lead to serious consequence. To support employees with responding to problems related to compliance,
you could suggest that they should be careful with the consequence arising from their actions as well as their decisions.
The enforcement mechanisms’ objective is to make sure that the rule is followed directly with an enacted behavioural. When
solving the breach, civil or criminal procedures would be selected for this objective or to give an administrative measurement.

How will this policy be monitored for compliance?

a. For external service delivery
- modifying individual information gathered to make sure that it is necessary to organisational demand
- utilizing organisational vehicles’ maintenance by outsourcing to make sure that they can be roadworthy at anytime
-
-

b. For internal work practices

- adjusting manual procedures to minimize physical risks from careless employees

- expanding confidential records’ protection by establishing a keeping and recoding system based on electronic

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Frequency of review: Review date:

Prepared by: Approved by:

Name: Name: Jessie Boss

Signature: Signature:

Date: Date:

Case study 2 – Lost file

Jemelda has been working with Lizbeth, a 40 year old client who has been subject to domestic violence. Today Jemelda and
Lizbeth met in a café in the CBD to discuss plans to manage the domestic violence that Lizbeth has been experiencing from her
husband for a number of years. In the past, Lizbeth has been subject to physical abuse given as punishment when (in his opinion)
she has done something wrong, as well as degrading treatment in front of his friends.

Lizbeth has made it very clear that, despite the abuse, she does not want to leave her husband, so Jemelda has worked with her
to make a plan so that she can escape and obtain help if she ever feels threatened and in danger.

Jemelda has written case notes during the meeting which include details of previous domestic violence assaults and the plan
they have put in place. Jemelda has put these notes inside Lizbeth’s file.

Jemelda is very happy with how the meeting has gone. She wishes that Lizbeth would leave her husband but respects that she
wishes to remain with him. They have put together a clear plan of what Lizbeth should do if she feels threatened and Lizbeth has
promised to follow this if she is in danger.

When Jemelda gets back to the office, she reaches into her briefcase to get Lizbeth’s file to lock it away. She is dismayed when
she sees that it is not there. She remembers now that she left the file on the table in the busy café.

Jemelda realises that she has breached the privacy and confidentiality rules and confesses immediately to her supervisor.

Answer the following questions:

1. What steps should be taken immediately to ensure the safety of Lizbeth and the confidentiality of her information?
Firstly, I believe that she should call the cafe to find her briefcase, tell them that it has confidential information. So it's the
right of the staff to preserve her belongings. After this, she should run to the cafe right away to find her briefcase.

2. What steps should the organisation take to reduce the likelihood of this happening again?

The first step is labelling confidential information properly. To be specific, it could appear as an empirical disincentive for
somebody to violate information. Such labels could be presented on hard documents or electronic version. The second step is
examining other agreements to provide confidentiality. Last but not least, the organization should put a limit approach to the
information. To be specific, only give access to people who have a "need to know.
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3. Jemelda confessed immediately to her supervisor, risking getting into trouble and perhaps risking formal disciplinary action.
Do you think she did the right thing, or could she have merely raced back to the café and tried to retrieve the file? Discuss
your answer.
In my opinion, she is right to inform her supervisor since she can get some useful advice.

4. When working with Lizbeth, what was Jemelda’s duty of care?

To help her client overcome her difficulty: domestic violence and find a release in her life.

5. In this situation, what were the rights and responsibilities of all involved?

Rights Responsibilities
Jemelda Being safe, and information confidential Help Lizbeth to overcome difficulties

Supervisor Help Jemelda to overcome her leaking

confidential information

Lizbeth To take action to escape from her husband.

To have freedom, and happiness

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6. In this case study, how has Lizbeth exercised her “dignity of risk”? What action has Jemelda taken to help to keep her safe,
whist exercising this dignity of risk?
In the case study, Lizbeth exercised her “dignity of risk” by helping Jemalda to escape from her husband but still wish to
remain with him.

7. What rights under the Universal declaration of human rights is Lizbeth’s husband abusing?
Lizbeth's husband has abused survival and mental and physical health since Lizbeth has to suffer domestic violence for a
number of years.

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Case study 3 – Benefits of the job

Heidi has just started work providing meals to those in need. Heidi has recently qualified for her job and is glad to finally be
employed and to be able to ‘make a difference’ in her role. She is working with Ben who is showing her the ropes.

At the end of the evening, just as Heidi is getting ready to go home, Ben provides her with two big shopping bags full of food.
There is meat, bread, milk, fruit and vegetables. Ben tells her that this is the best part of their jobs. He always makes sure there
is food put by for them both before the meals are cooked. There is always plenty of food for the clients so there is no harm in
taking some for themselves. Ben has worked hard to get donations from local businesses so there is always a good supply. Why
shouldn’t they benefit too?

1. What work requirements have been breached in this case study?

Ben provides her with two big shopping bags full of food. There is meat, bread, milk, fruit, and vegetables, which breached work
requirements in this case study.

Heidi is horrified when Ben tries to give her the food. She refuses it politely and goes home. All night she worries about what she
should do – her personal values mean that she feels she cannot continue work in this position. She decides the next day to talk
to her supervisor. She doesn’t want to ‘dob’ on Ben but she values her job highly.

2. What action should the supervisor take when hearing of Ben’s actions?
The supervisor should warn Ben first, and if he still continue, he should fire him.

3. What strategic action could the supervisor take so that this behaviour is prevented in the future, both by Ben and by other
employees?
To employ a supervisor team to update about the products.

4. What are two workplace documents that the supervisor could refer to when working out how to deal with Ben’s work
performance?
They are right and responsibilities statement of workers and service users and organisational policies, procedures and protocols.

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Case study 4 – Providing counselling

Neil works with young people at risk in a residential home setting in the Western suburbs of Melbourne. Neil’s role is to provide
day to day support to the young people in the unit.

Neil is a very friendly person and likes to make the clients feel at home. He talks to them about their music, their friends and
what they do when they are out. The clients all think he is ‘pretty cool’ especially when he gives them cigarettes and extra time
on Facebook.

One of the clients, Cathy has been very depressed recently. Cathy, who is 14 years old, discloses to Neil that during her last
home visit her father tried to have sex with her. She feels so disgusted and degraded and mentions that she has considered
suicide. Neil sympathises with Cathy and asks her to tell him all about what happened. He tells her he will give her counselling
then she will feel better and know what to do. She doesn’t need to go to a professional counsellor as he has done some
counselling training so he knows how to do it.

1. Has Neil done the right thing in offering counselling to Cathy? Explain your answer.

I don't think it is the right thing since it is best if Cathy can go to a professional counsellor to help her overcome the current
problem.

2. What do you think about Neil’s wish to be friendly and ‘cool’ with his clients?
It is not the right thing since he gives them cigarettes and extra time on Facebook.

3. Is Neil a ‘Mandated reporter’? Explain your answer, including explaining what a ‘Mandated reporter’ means.
A mandated reporter means an individual who is legally required to make reports of any child abuse’s suspicion to the
associated party. This would save children from being abused or to prevent any abuse that may occur at the earliest stage as
soon as possible. Therefore, Neil is a Mandated reporter in this case.
4. What is Neil’s responsibility and duty of care following Cathy’s disclosure of sexual abuse?
Neil has to report her sexual abuse to the relevant authorities and then try to help her to overcome her difficulties.

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Student details
Student’s name Student’s ID

Unit/Module details
Unit/Module Code CHCLEG003

Title Manage legal and ethical compliance

Task title Case studies – Legal and ethical compliance

Assessment feedback / comments

Re-submission (where applicable)

Unsatisfactory tasks are to be re-submitted according to the details below. Type NA if not applicable.
Task (or component of task) to be Additional evidence required Re-Submission date S NS
re-submitted
☐ ☐
☐ ☐
☐ ☐

Result for this assessment task

Your final result for this unit will be provided on the Unit Result Record at completion of all
assessment tasks
Result Choose an item.

Assessor’s signature Date

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