Item 1 of 10

Template 3 : Analysis of complex ethical matters

Analysis of complex ethical matters (200-300 words)

Steps that should be taken to resolve each complex ethical matter/compliant
Steps to resolve complex ethical matter/complaint 1 ( Based On the Case Study)

Steps to resolve complex ethical matter/complaint 2

Item 2 of 10
The purpose of this checklist ( Read and Follow the guidelines below stated)
The pre-assessment checklist helps students determine if they are ready for assessment. The
trainer/assessor must review the checklist with the student before the student attempts the
assessment task. If any items on the checklist are incomplete or not apparent to the student, the
trainer/assessor must provide relevant information to the student to ensure they understand the
requirements of the assessment task. The student must ensure they are ready for the
assessment task.
Section 1: Information for Students
☐ Make sure you have completed the prior learning before attempting this assessment.
☐ Make sure your trainer/assessor clearly explains the assessment process and tasks to be
completed.
☐ Make sure you understand what evidence is required to be collected and how.
☐ Make sure you know your rights and the Complaints and Appeal process.
☐ Make sure you discuss any special needs or reasonable adjustments to be considered during
the assessment (refer to the Reasonable Adjustments Strategy Matrix and negotiate these with
your trainer/assessor).
☐ Make Ensure you have access to a computer and the internet (if you prefer to type the
answers).
☐ Make Ensure you have all the resources needed to complete this Assessment Task (AT).
☐ The due date of this assessment task is following your timetable.
☐ In exceptional (compelling and compassionate) circumstances, an extension to submit an
assessment can be granted by the trainer/assessor. Evidence of the compelling and
compassionate circumstances must be provided with your request for an extension to submit
your assessment work.
☐ The request for an extension to submit your assessment work must be made before the due
date.

Section 2: Reasonable adjustments

I confirm that I have reviewed the Reasonable Adjustments guidelines and criteria as provided
in Appendix A and attached relevant evidence as required and select the correct checkbox.
☐ I do require reasonable adjustment
☐ I do not require reasonable adjustment
Declaration (Student to complete)
☐ I confirm that the purpose and procedures of this assessment task has been clearly explained
to me.
☐ I confirm that I have been consulted about any special needs I might have in relation to the
assessment process.
☐ I confirm that the criteria used for this assessment has been discussed with me, as have the
consequences and possible outcomes of this assessment.
☐ I confirm I have accessed and understand the assessment information as provided in the
Training Organisation’s Student Handbook.
☐ I confirm I have been given fair notice of the date, time, venue and/or other arrangements for
this assessment.
☐ I confirm that I am ready for assessment.

Student Name: ___

Student Signature: _____________
Item 3 of 10
Template 4: Outcomes of conversation ( Download and State the required information based on
the Case study)
Outcomes of conversation
Employee name:

Date and time of conversation:

What was the employee’s response to the issue or concern raised?

E.g., employee has recently gone through a divorce and he feels stressed and at time unwilling
to go to work.

Are there any facts, issues or entitlements that need to be checked?

E.g., Track emotional behaviour of employee

Has any new information come to light?

E.g., Yes, the employee has recently gone through a divorce, and this is leading to his
performance issues and misconduct.

What solution/s did your employee suggest?

· Was the team member referred to relevant support services?
· Any support or training to be provided to the employee
E.g., Yes, the employee was referred to the Employee assistance program and support
services.

Describe the agreement you reached in the conversation

E.g., Ajay will be attending an employee assistance program and support services.

What are the next steps?

For you:

To track employee progress on regular basis.

For your employee:

employee progress will be monitored on regular basis.

Date for a follow-up meeting: E.g., 15 Feb

Item 4 of 10
Template 5: Policies and procedures for managing ethical practices
Policies and procedures for managing ethical practices (400-500 words)
Title: should reflect the total content of the policy. Try not to include the word “policy” in your
title.
Policy statement: this is where you state in detail why the policy is being created. In this section,
you answer the questions of who, why, what, when, and where of the policy.

Scope of the policy: ask yourself whom and what the policy applies to. For example, is it for staff
conduct or salary payment process? That would be the scope of your policy.

Procedure: This section is where you indicate steps to help achieve the goals laid out in the
policy statement. It contains rules to be obeyed. It should be very detailed.
Reporting procedures for suspected unethical conduct.

Different parties and responsibilities: This includes a list of various units responsible for policy
enforcement. You can also include contact information.

References: indicate if the policy was developed with references from other documents.
Item 5 of 10
Template 6: Promote ethics in organisation
Promote ethics in organisation (300-400 words)
How did you promoted dialogue on ethics with and between staff?

What collaborative skills and high-level influencing skills did you use to focus and shape
awareness and to engage and motivate other?

What strategies did you implement to promote the review of policies and procedures to include
and address ethical considerations?
How did you identify and create opportunities to promote dialogue on ethics with and between
staff?.
Checklist 2 for Students: Apply ethics in Organisation Overview
For Student:
The student must:
Analyse complex ethical matters according to relevant legislation, industry codes of practice and
organisational standards
Resolve complex ethical matters within scope of responsibility
Develop and implement frameworks for ethical decision-making and policy setting
Research and develop policies and procedures for managing ethical practices in an
organisation.
Promote ethical leadership and decision making including providing leadership and creating an
opportunity to promote dialogue on ethics with and between staff.
Step 1 and Step 2
Item 6 of 10
Step 2: Resolve complex ethical matters within the scope of responsibility.
For each complaint, you are required to follow the given process:
When facilitating and leading conversations, you must:
· Follow the conversation guidelines provided below.
Conversation guidelines
When facilitating and leading the conversations, you must demonstrate effective communication
skills at all times:
· Use a formal communication style with an encouraging and respectful tone
· Ask questions to clarify and confirm if team members understand the conversation and
outcomes
· Listen actively
· Alter personal communication style in response to the needs and expectations of others
· Interprets audience reactions and changes words and non-verbal features accordingly
· Adapt delivery style and tone according to the mood of the conversation
· Understand and react to relevant personnel using conviction and empathy.
· Use non-verbal communication skills that encourage discussion and feedback: nodding,
smiling, eye contact
· Promote ethical leadership and decision-making, including providing leadership.
· Follow the conversation process provided below.
Conversation process
Steps for successful conversation
Description
Step 1 – State the problem
· State the problem.
· State the impact that the problem is having on the business.
Step 2 – Listen and question
· Put aside your view and let the employee explain their side of the story and motives.
· Try to understand their point of view.
Step 3 – Acknowledge
· Acknowledge the employee’s feelings and view of the situation.
· Confirm and clarify your understanding of what they have said and validate them where
appropriate.
Step 4 – Reassess your position
· After the employee has put forward their point of view, it is your turn to clarify your
position without minimising theirs.
· What can you see from your perspective that they’ve missed?
· Has your position changed based on the information they provided?
Step 5 – Look for solutions
· Work with the employee to develop solutions.
· Agree on a way forward.
Step 6 – Close the conversation
· Clarify and document the agreed actions and next steps.
· Thank the employee.

After the conversation session:

After the conversation session, you must use the template provided (Template 4) and document
the following relevant points of conversation:
· What was the employee’s response to the issue or concern raised?
· Has any new information come to light?
· Are there any facts, issues or entitlements that need to be checked?
· What solution/s did your employee suggest?
· Was the team member referred to relevant support services?
· Any support or training to be provided to the employee
· Describe the agreement you reached in the conversation
· What are the next steps?
· For you:
· For your employee:
Item 7 of 10
Steps ( Place a tick mark, once completed)
Step 1: Analyse complex ethical matters according to relevant legislation, industry codes of
practice and organisational standards.
· Analyse the complex ethical matters/complaints in the case study according to relevant
legislation, industry codes of practice and organisational standards.
· Determine the steps that should be taken to resolve each complex ethical
matter/complaint according to relevant legislation, industry codes of practice and organisational
standards and document the steps using Template 3.
Item 8 of 10

Step 3: Develop frameworks for ethical decision-making and policy setting.

· Research and develop policies and procedures for managing ethical practices in the
organisation using Template 5. Include the following information:
Title: should reflect the total content of the policy. Try not to include the word “policy” in your
title.
Policy statement: this is where you state in detail why the policy is being created. In this section,
you answer the questions of who, why, what, when, and where of the policy.
Scope of the policy: ask yourself to whom and what the policy applies. For example, is it for
staff conduct or salary payment process? That would be the scope of your policy.
Procedure: In this section, you indicate steps to help achieve the goals in the policy statement.
It contains rules to be obeyed. It should be very detailed.
Reporting procedures for suspected unethical conduct.
Different parties and responsibilities: This includes a list of various units responsible for policy
enforcement. You can also include contact information.
References: indicate if the policy was developed with references from other documents.
Item 9 of 10
Step 4: Implement frameworks for ethical decision-making and policy setting.
· Arrange a meeting with the following staff members.
o Ajay
o Susan
o Louise
· Follow the following meeting process:

Meeting process:

Before the meeting

1. Create a meeting agenda.
Confirm the meeting time and place with the trainer/assessor.
Use the meeting agenda template provided to prepare the meeting agenda. The meeting
agenda must be prepared considering the purpose of the meeting.
2. E-mail the following documents to the meeting participants and request confirmation for the
meeting.
• Meeting agenda
• Policies and procedures developed in Step 3.
• Code of conduct and values (Provided along with this assessment).

During the meeting

1. Welcome the participants
2. Conduct the meeting based on the discussion prompt provided.
3. Follow the communication guidelines
4. Consult with the team members:
• Discuss the following with the Operations Manager and General Manager:
o Policy statement
o Scope of the policy
o Procedure
o Reporting procedures for suspected unethical conduct.
o Different parties and responsibilities
• Promote the review of policies and procedures to include and address ethical
considerations.
• Identify and create opportunities to promote dialogue on ethics with and between staff.

5. Clarify the understanding of the participants.

After the meeting

1. Summarise the agreed outcomes using the meeting minutes template provided.
2. Document the following using Template 6.
• How did you promoted dialogue on ethics with and between staff?
• What collaborative skills and high-level influencing skills did you use to focus and shape
awareness and to engage and motivate other?
• What strategies did you implement to promote the review of policies and procedures to
include and address ethical considerations?
• How did you identify and create opportunities to promote dialogue on ethics with and
between staff?

Evidence to be submitted:
Completed meeting agenda and meeting minutes
Completed Template 6.