Assessment Task Instructions and Feedback Form: (Non-Graded)

Assessment Task Instructions Bendigo Kangan Institute
and Feedback Form (non-graded) Teaching and Learning
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 Meghan Newcomb Assessor’s phone
Assessor’s email mnewkomb@kangan.edu.au
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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Version 1.1 Last saved 18/09/2021 Page 1 of 15
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

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.

Gladsville Community Centre

125 High Street
GLADSVILLE VIC 3999
www.Gladsville.org.au
COMPLAINTS POLICY AND PROCEDURE
Policy number: HVCC 23 Date prepared:

Purpose:
Statement of purpose of this policy:
It is organization responsibility to ensure staff to obey legislation and offer a good service by stimulating process as well as
policies for everybody to obey.
Obeying responsibilities and duties in an organization and its practices will let you to perform tasks competitively, effectively
and confidentiality.
Related legislation:
List legislation relating to this policy
 The Victorian department of human service policy
 The national disability strategy 2010-2020
Who does this policy apply to?

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

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

The steps may include-
 Paying attention to the complaint but saving yourself or other people writing a key information to know the netire
facts about the issue so you would not forget the information later
 Confirming other people thoughts
 Making a report and saving the complaint
 Make sure that the issue is kept trach as well as let the person involved to know emerging news
How will privacy and confidentiality of information be maintained?

The community service have to ensure security and take appropriate process to protect individual information and they kept
and prevent the issue associated with loss, unauthorized approach, misuse, change , information leaking and interference
The breaches of individual information are restricted to bad intention including theft but might occur from inner mistakes to
follow up polices related to control information. Also this could involved process related to loss or disclosure by accident. If
you ever find any damage or loss you have to inform the consequences to the people who need to be informed.
Support available to clients:

 The right to respect
 The right to confidentiality
 The right to privacy
 The right to complaints
 The right to reach services
Procedure if complaint is not resolved:
 Conserve service user protection and certainty

 Cope with conflicting preferences
 Cope with conflicting liabilities and rights
 Supervise conflict of interest

How will this policy/procedure be notified to relevant parties?
Staff:
 emails
 Staff meeting
 Staff portal
 During workshops
 Bulletin boards
Clients: introduction session

Pamphlets in a meeting rooms
List the risks, penalties and consequences of non-compliance:
 Work health as well as safety

 Equal employment opportunities
 Confidentiality
 Inadequate knowledge or training
 Non compliance may lead to-

 A business may examined, controlled or charged
 A penalty applied from $50000 to 3 million a Depending on breaches consequence in other situation it may also
result in imprisonment
How will this policy be monitored for compliance?

a. For external service delivery
 Getting feedback from staff and clients
 Measuring the job satisfaction on the bases of performance
b. For internal work practices

 Measuring performance results
 Feedback and consultation from the clients and staff member
Frequency of review: Review date:

Every 12 months September 2021
Prepared by: Approved by:
Name: Nish Preet Kaur Name: Jessie Boss

Signature: Nish Preet Signature: Jessie Boss
Date: 15 September 2021 Date: 15 September 2021

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:
Statement of purpose of this policy:
It is organization responsibility to ensure staff to obey legislation and offer a good service by stimulating process as well as
policies for everybody to obey.
Obeying responsibilities and duties in an organization and its practices will let you to perform tasks competitively, effectively
and confidentiality.
Related legislation:
List legislation relating to this policy
 Privacy and Data Protection Ct 2014 (VIC)
 Health records and information privacy act 2002 (NSW)
 Information privacy act 2000 (VIC)
Who does this policy apply to?

The policy is applied to all the employees who include students, volunteers and other individual within the department of
health division or other case service that are not submit
Policy statement:
The statement include-
 Well being and health associated with health services
 Enhancing and studying skills like supporting childhood education at the early stage
 Community and individual support like join person centred care
 Rights safeguards, laws and injustice including legal protection like antidiscrimination
 Security of the economy, including jobs, working opportunities and give help for people who can not work
Procedures:
The inner work practices will be based on process and policies may involve hiring and selection, work health and safety or
even termination.
A clear procedure would be given step by step guides for each mission and support you to know about what to do. They might
be presented on bulletin boards, in a file sharing to everyone or even in an induction kit of employee

How will this policy/procedure be notified to relevant parties?
Staff:
 Senior management or supervisor, who could solve complicated issues that could be difficult to resolve the matter
between group members
 Healthcare experts for medical advice
Clients:
 Business network can share about ideas and making decision related to ethical issues and apply techniques for such
issues
 Regulators and authorities related to government. They are people who could give professional advice on how to
dela with problems or breaches in a reasonable basis
List the risks, penalties and consequences of non-compliance:

 Reputation damage
 Severe risk to the safety health and well being of those receiving care
 Civil penalty order
 Infringement notices
 Enforcement undertaking
How will this policy be monitored for compliance?

a. For external service delivery
 Evaluating individual information gathered to make sure that it is necessary for organizational demand
 Utilizing organizational vehicle maintained by outsourcing to make sure they can be roadworthy at anytime

b. For internal work practices

 Expanding confidential records protection by establishing a keeping and recording system based on electronic
Frequency of review: after every 12 months Review date: September 2021
Prepared by: Approved by:
Name: Nish Preet Kaur Name: Jessie Boss
Signature: Nish Preet Kaur Signature: jessie boss
Date: 15 September 2021 Date: 15 September 2021
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?

She might call the café to find her briefcase, tell them that it has a confidential information. so its right of staff to preserve
her belongings. After this, she should go to café right away to find her briefcase.
2. What steps should the organisation take to reduce the likelihood of this happening again?
There should be proper labelling of the confidential information. To be specific, it could appear as an empirical disincentive
for somebody to violate information. Such labels could be presented on hard document or electronic version.
Also, there should be examining other agreement to provide confidentiality. Organization should also put limit approach on
the information. Authority should only be access to the people who have actual need to know
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.
According to me, she did right thing to inform her supervisor so she could get more useful advised for future
4. When working with Lizbeth, what was Jemelda’s duty of care?

To help her client from whatever difficulties she is facing- 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 Right to be safe and information confidential To help Lizbeth to overcome difficulties
Supervisor
Right to know about whatever incident took To help jemelda to overcome her leaking
place with his staff confidential information

Lizbeth Right to freedom and happiness that every To take strict action to escape from her husband
another women enjoys
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 this entire case study, Lizbeth exercised her dignity of risk, by helping jemalda to escape from his husband but still wish to
stay 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.

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 Heidi the two big shopping bag which have food inside it. There was meat, milk, bread, fruits and vegetables, which
breached work requirement 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 continues he should dismiss him from work
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 a 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?
Right and responsibilities related to workers and service
Organizational policies, procedure and protocols.

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 right thing since it is best if Cathy goes to professional counsellor to help her to overcome her current
difficulties
2. What do you think about Neil’s wish to be friendly and ‘cool’ with his clients?
It is not right thing since he is been very friendly with the clients it might harm his own privacy in future if this behaviour
continues, also he is giving them extra hours to be on Facebook and giving them cigarettes
3. Is Neil a ‘Mandated reporter’? Explain your answer, including explaining what a ‘Mandated reporter’ means.
Mandated reporter are required by law to report suspected child abuse and neglect to government authorities. Mandated
reporter are people who deliver the following services to children as part of their professional work or other paid
employment. 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 responsibility to report her sexual abuse to the relevant authorities and then try to help her to overcome her
difficulties.

Student details
Student’s name Nish Preet Kaur Student’s ID 100625503
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.
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Assessment Task Instructions Bendigo Kangan Institute

and Feedback Form (non-graded) Teaching and Learning

Title Diploma of Community Services

Unit/Module Code CHCLEG003

Title Manage legal and ethical compliance

Assessor’s email mnewkomb@kangan.edu.au

Elements / Learning  Research information for legal compliance

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

RTO Identifier 3077 | CRICOS provider number 01218G

Assessment instructions and criteria

Complete case study 3 – Your ability to: ☐ ☐

Complete case study 4 – Your ability to: ☐ ☐

RTO Identifier 3077 | CRICOS provider number 01218G

Case study 1 – The new community house

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

 Complaints Handling policy and procedures:

RTO Identifier 3077 | CRICOS provider number 01218G

Gladsville Community Centre

COMPLAINTS POLICY AND PROCEDURE

Policy number: HVCC 23 Date prepared:

Who does this policy apply to?

Procedure for making complaint

Procedure for investigating complaint

How will privacy and confidentiality of information be maintained?

Support available to clients:

Procedure if complaint is not resolved:

 Conserve service user protection and certainty

RTO Identifier 3077 | CRICOS provider number 01218G

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

Clients: introduction session

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

 Work health as well as safety

 Non compliance may lead to-

How will this policy be monitored for compliance?

b. For internal work practices

Frequency of review: Review date:

Prepared by: Approved by:

Name: Nish Preet Kaur Name: Jessie Boss

Signature: Nish Preet Signature: Jessie Boss

Date: 15 September 2021 Date: 15 September 2021

RTO Identifier 3077 | CRICOS provider number 01218G

Gladsville Community Centre

PRIVACY AND CONFIDENTIALITY POLICY AND PROCEDURE

Policy number: HVCC 24 Date prepared:

Who does this policy apply to?

RTO Identifier 3077 | CRICOS provider number 01218G

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

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

How will this policy be monitored for compliance?

RTO Identifier 3077 | CRICOS provider number 01218G

b. For internal work practices

Frequency of review: after every 12 months Review date: September 2021

Prepared by: Approved by:

Name: Nish Preet Kaur Name: Jessie Boss

Signature: Nish Preet Kaur Signature: jessie boss

Date: 15 September 2021 Date: 15 September 2021

Case study 2 – Lost file

Answer the following questions:

RTO Identifier 3077 | CRICOS provider number 01218G

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

RTO Identifier 3077 | CRICOS provider number 01218G

RTO Identifier 3077 | CRICOS provider number 01218G

Case study 3 – Benefits of the job