Working Within Legal Requirements

When working within a community healthcare setting, you must have a clear understanding of your work role so that you can operate effectively and competently in line with the legal requirements which are set out by industry standards to ensure clients are receiving consistent, safe and high quality care.

Working in community healthcare can be varied and diverse, bringing you into contact with many different work types, employers, clients and industries. You will need to have an understanding of some of the legal and ethical requirements which are applicable to each of the settings where you provide services, and importantly you also need to have a good working knowledge of your own legal rights and responsibilities.

Key Legislation

Working in community healthcare, whether it be within aged care, disability or community home care, you must be aware of certain codes of practice, regulations, principles, standards and legislation. This includes some of the following:

• The Aged Care Act 1997
• Quality of Care Principles 2014
• Aged Care Diversity Framework
• Charter of Aged Care Rights
• Aged Care Quality Standards
• Disability Discrimination Act 1992
• Convention on the Rights of Persons with Disabilities
• Charter of Aged Care Rights
• Australia’s National Disability Insurance Scheme (NDIS) Act, 2013
• Home and Community Care Act 1985

As a care support worker, it is important to always be aware of legal and ethical issues which may include, but aren't limited to the following:

• abuse and neglect within a facility
• negligence of duty of care
• medication misuse
• discrimination of clients, or;
• conflicts of interest

Legal rights

Besides the roles and responsibilities that are outlined in your Position Description, you will also have responsibilities and rights that are recognised by Commonwealth, State, Territory and Industrial laws. You have many legal rights which apply to your own work in community healthcare. Some of these rights may vary depending upon your employment status, such as whether you are working as an employee or as a contractor.

Your rights may include:

• The right to a safe and healthy workplace
• The right to fair payment in line with relevant awards, agreements or individual contracts
• The right to a minimum set of conditions
• The right to a workplace which is free of bullying, harassment, intimidation and threats
• The right to flexibility in line with the National Employment Standards or other awards and agreements
• The right to superannuation and Workcover

Legal responsibilities 

You have many responsibilities in your work in community healthcare. When you begin work it is likely that you will be asked to sign a contract of employment. This will set out the requirements for your position, and will help you understand your legal responsibilities. You should make sure you are very clear about what you are required to do to comply with the law, and always check with your supervisor if you need clarification.

Your responsibilities may include:

• Taking reasonable care of the safety and health of others
• Reporting unsafe work practices, injuries or accidents
• Complying with workplace policies and procedures
• The right to a workplace which is free of bullying, harassment, intimidation and threats
• The right to flexibility in line with the National Employment Standards or other awards and agreements
• The right to superannuation and Workcover

The policies, procedures and protocols of your workplace will likely have been developed to ensure that your work is in line with legal responsibilities. If you follow the established work systems, you will comply with your legal responsibilities.

In any workplace, it is important that there is a balance between the rights of employers, workers, contractors and others who visit the work site (such as customers, clients or members of the general public). Sometimes rights can seem as if they are in competition with each other – after all, how do you meet the needs of everyone in one workplace? But with some careful planning and thinking, it is possible to find a good balance that meets the needs of everyone and which complies with the law.

Rights and responsibilities of employers, clients and workers

The model WHS Act provides a clear charter on rights and responsibilities of employers and employees these include:

• Workers: taking reasonable care of yourself not doing anything that would affect the health and safety of others at workfollowing any reasonable health and safety instructions from your employer
• Employer: Providing necessary health and safety instruction, supervision & training. Ensuring all staff understands their roles and responsibilities.
• Client: Participate in the planning of the client's care and signing a form recording their consent to that care. Follow treatment or care instructions. Tell the service about any changes in their condition or any concerns they have. Be available when we are due to visit, or let us know in advance if you cannot be there. Be courteous and respectful to the staff at all times.

One of the ethical considerations is always to respect the boundaries of professional relationships and not violate organisations' policies. As a support worker, it is always important to carry out all work within the realms of your employers' and clients’ rights and responsibilities.

An organisation is responsible for having sound policies and procedures that clearly outline policies and procedures for staff, clients and employers. Repercussions for employers may include legal liabilities if rights and responsibilities are not complied with. Consequences may include the client being removed from the service, or potential legal repercussions

The rights and responsibilities of employers, clients and workers vary depending on a number of factors. This includes:

• The workplace type and location
• The type of work performed
• The activity being performed
• The nature of the relationship between the employer, worker and client
• The location or jurisdiction of the workplace or activity

Not all rights and responsibilities remain the same over time. There may be situations where rights and responsibilities change in response to emerging issues, such as when there is new information or more up to date research that is relevant to a situation. As an employment support worker, you need to remain up to date about emerging issues that could affect the rights and responsibilities of employers, employees and clients. You should know where to seek information that can help you to provide up to date and relevant information about emerging issues.

 

Scope of own role

When you begin working in the community healthcare sector, you will not be expected to know and do everything. In every job, there are specific tasks and responsibilities which are required and which are considered to be a regular part of that position. This is referred to as the ‘scope’ of the role; it includes the activities, duties, responsibilities and areas of work which are generally required.

The scope of a job is not an exhaustive list because there will always be situations and tasks that arise unexpectedly and which can be reasonably expected of a person holding that position. It is not possible to write a list which covers every eventuality which might arise.

You should expect that the scope of your job covers most of the areas of work that will occur, and that there will also be other tasks which arise from time to time that are of a similar level of accountability and require a similar degree of knowledge and skill to be performed.

Own employment conditions 

Your own employment conditions will be included in your position description and in any relevant awards, enterprise agreements or individual employment agreement that you negotiate with your own employer. Employment conditions are an agreement which is reached between an employer and an employee.

Employment conditions can include areas such as:

• Hours of work each day and week
• Overtime arrangements
• Access to paid and unpaid leave
• Termination of employment
• Period of employment (this may be for a certain period of time, or ongoing)
• Special payments and allowances (such as for working an active night shift, sleepover, laundry or travel allowance)
• Meal and other breaks during work
• Expectations and conditions such as dress code, smoking, drug or alcohol testing, use of social media or mobile phones at work or in relation to work

You should have a good understanding of your own employment conditions. If you do not understand them or if you do not have a written copy, contact your supervisor or Human Resources department at your workplace.

Industrial relations legislation relevant to employment conditions

There are laws which protect the rights of workers in a workplace. Some of these laws relate to employment conditions and specify the minimum expectations which apply to anyone who is working in an Australian workplace.

The Fair work Act, The Fair Work Act 2009 (FW Act) and the Fair Work Regulations 2009 are the main legislation we deal with. They govern the employee / employer relationship in Australia. is a national workplace relations system that sets minimum standards and conditions for employees and provides the legal framework for employer-employee relations for the majority of workplaces in Australia.As a support worker it is important to follow the laws and discuss requirements of reasonable adjustments based on the situation you are in. Every organisation /Employers must give their employees a place to work and make sure they have access to it. They must give them the tools, equipment and other things they need to do their work. Employers must pay their employees the salary and benefits they agreed to, including vacation, paid holidays and other types of holidays.Not complying with industrial legislation relevant to employment conditions of the work role may result in legal liabilities to the employer.

The National Employment Standards (NES) are a set of standards which employers must meet as a minimum. Of course, employment conditions can exceed the standards, but they cannot include any conditions which are less than those specified in the National Employment Standards.

The NES cover conditions such as leave entitlements, weekly hours, requests for flexible working arrangements, termination and redundancy and the right to receive a copy of the NES.

Emerging Issues

It is important to also stay up to acquire and have up to date knowledge on matters concerning the community health care sector to ensure you are aware of any emerging and trending issues such as updated policies, procedures or updates on governing rules, regulations or laws.

Current and Emerging Trends

It is important to also stay up to acquire and have up to date knowledge on matters concerning the community health care sector to ensure you are aware of any emerging and trending issues such as updated policies, procedures or updates on governing rules, regulations or laws.

Model WHS Act The key component of the Act is to provide for a balanced and nationally consistent framework to secure the health and safety of workers and workplaces. Always follow the obligations and responsibilities that are aligned to the role.All organisations must have policies and procedures that reflect roles and responsibilities of employers and employees, contractors, clients etc in line with the legislative requirements.Consequences of non-compliance to specific legislation in have serious implications to the facility such as not being allowed to operate.

 

Activity

Sources of information can include websites, fact sheets, downloadable documents, webinars and news articles. Accessing sources of information will be a regular component of your job, so it is vital that you establish some accurate and relevant sources that you can refer to quickly and easily.

Make sure you access sources of information which are:

• Appropriate for your state or territory
• Up to date
• Relevant for the job seekers, employers and sectors which are a part of your caseload or regular work duties
• Written by an identifiable author or organisation
• From a reputable source (such as a government agency, a known organisation, a peak body or relevant workplace association)

Avoid the temptation to simply ‘Google it’ without also checking if the information you source meets with the above criteria. Sometimes information can become out of date or may refer to approaches and frameworks which are no longer relevant or appropriate.

What information should I source?

You will need to source information which is relevant to your own employment as well as to the employers who work within the various sectors where you are operating and the employment sector in general. You may also need to access information related to specific groups, such as people who have a disability, young people or people with mental illness.

Sometimes you will need to access information which is quite general in nature, and other times you will need to seek out more specific details and complex information to help you respond to questions and provide support in individual situations.

Where to find legal information that can support your own work practices

Area of your work	Where to find information	How this might affect your own work practices
Working safely	Work Health and Safety Act 2011 (WHS Act) and Work Health and Safety Regulations 2011 (WHS Regulations) Safety, Rehabilitation and Compensation Act (1988) WHS legislation for each state or territory Model codes of practice	Improve safety for yourself and others Reduce chance of injury or illness Right to a safe workplace Responsibility to comply with safe work practices in the workplace
Employment and industrial relations	Fair Work Act (2009) Attorney General’s Department Department of Employment, Skills, Small and Family Business	Understand issues related to employment such as flexible work arrangements, paid parental leave, fair pay, family and domestic violence, underpayment, impact of drought Ability to quickly and efficiently refer clients and employers to reputable sources of information about pay, conditions, employment status and employment of migrant workers, visa holders and contractors
Respecting confidentiality	Position description Australian Privacy Principles Privacy Act (1988) Organisation’s policies, protocols and procedures	Better knowledge of expected work behaviours and interactions Greater awareness of accountability and record keeping, and documentation required
Working with children and youth	Organisation’s policies and procedures Fair Work Ombudsman Junior rates of pay and Minimum Employment Conditions	More effective interactions Improved outcomes Work practices which comply with the law and expected standards within community services
Developing appropriate and ethical working relationships with job seekers and employers	Organisation’s policies and procedures Position description	More effective relationships which in turn lead to improved client outcomes Ability to comply with expected standards across the sector and within your organisation
Mandatory reporting	Children, Youth and Families Act 2005 (as amended 2014) Working with Children Act 2005 Child Wellbeing and Safety Act 2005	Compliance with the law and expected standards within community services sector Improved protection for children and young people Greater accountability across the sector as a whole
Duty of Care	Aged Care Act 1997 Aged Care Guidelines Aged Care Diversity Frameworks The Aged Care Quality Standards The Charter of Aged Care Rights User Rights Principles	Greater accountability and transparency within role Better outcomes for stakeholders Safer work practices Greater community confidence in the community health services sector
People with disability	Disability Discrimination Act (1992) Employer affirmative action policies Human Rights and Equal Opportunity Commission Wage subsidy scheme Department of Employment, Skills, Family and Small Business National Disability Insurance Scheme Act (2013)	Equal access to employment opportunities People with disability not discriminated against in employment Individualised funding and support for people with disability

Discrimination

Discrimination means to treat someone unfairly or to favour one person over another. Discrimination is never acceptable behaviour and is against the law.

Workplaces must promote equality for everyone. It is unlawful to discriminate against people on the basis of age, gender, ethnicity, disability or impairment, marital status, sexual preference, political or religious beliefs. Some of the legislation which relates to discrimination includes:

• Age Discrimination Act 2004 (Cth)
• Racial Discrimination Act 1975 (Cth)
• Sexual Discrimination Act 1984 (Cth)
• Equal Opportunity for Women in the Workplace Act 1999 (Cth)
• Disability Discrimination Act 1992 (Cth)

Work health and safety

A safe workplace is the right of everyone who enters a workplace, and workers and employers alike have a role to play in ensuring a workplace is safe. However, employers and workers have quite different responsibilities under the law when it comes to safety.

It is vital that anyone who is conducting a business or undertaking (referred to as a PCBU –person conducting a business or undertaking) is aware of their responsibilities.

These include duties such as:

• Duties and responsibilities under work health and safety legislation cannot be delegated –this means that employers cannot excuse themselves from their duties by saying ‘...but I told person X to do that job –it’s not my fault they didn’t do it!’.
• People who are entering or working in a workplace have rights under work health and safety legislation, as well as their own set of responsibilities.
• Rights include having the right to a workplace which is safe and healthy, having access to appropriate training and support, having appropriate safety equipment and machinery which is functioning correctly and has suitable guarding and safety features.
• Responsibilities of workers and visitors in a workplace include following reasonable instructions for safety given by the PCBU, taking reasonable care, telling the employer if there is anything they notice which is unsafe in the workplace and avoiding doing anything which would put others at risk of harm.

Each state and territory has its own health and safety legislation, largely based on the model Work Health and Safety Act 2011 (Cth). Legal responsibilities here include:

• Take reasonable care of your own health and safety, comply with health and safety rules and regulations, ensure to keep other safe while working with clients with special needs. It is important to perform work and duties with integrity, honesty and equity while adhering to ethical and legal principles.
• Perform work only in areas of competence and within the limits of ones abilities. The organisation has responsibility to provide policies and procedures and ensure the work environment, systems of work, machinery and equipment are safe and properly maintained.
• Information, training, instruction and supervision are provided and adequate workplace facilities are available for workers.

Consequences of not complying with work health and safety may put the health and wellbeing of staff and clients at risk which could lead to legal implications.

Informed consent 

Informed consent requires you to communicate all of the information to the client in a way they can understand; this allows the client to provide their consent to continue with the service. The consequences of not communicating all of the information to a client may constitute assault, and the client may be placed at serious risk of injury or harm. 

The model WHS Act outlines the responsibility of employers and employees always to seek informed consent when dealing with clients matters and sensitive issues.

As an ethical consideration, it is important to ensure that the person providing you with consent has the ability to make a decision and has made the decision without any pressure.

All organisations will have policies to reflect that consent by a person must be in writing when required by law or by the policies of the state, territory or healthcare organisation where the person is receiving care and treatment. The most appropriate form of consent will depend on the degree of risk and complexity of the treatment for that person.

Failure to obtain a patient's consent to health care may result in a criminal charge of assault or civil action for battery.

Codes of conduct

Codes of conduct are a set of documents that provide guidance to staff on appropriate ethical standards for work-related behaviour and is generally based on the values of the organisation. For instance, integrity, accountability and transparency. Embedded in the Code of Conduct are other key information such as principles, legislation, policies, responsibilities of employees and employers and upholding the code of conduct. It defines the values and responsibilities that are fundamental to a particular profession.

Codes of practice

Codes of practice provide information on specific issues and help to achieve legal standards with the workplace. They provide practical guides to achieving standards of health and safety under the Model WHS Act and Regulations. It is also a commitment to uphold a certain standard of professionalism in which all employees are accountable.

Model Codes of Practice are practical guides to achieving the standards of health and safety required under the model WHS Act and Regulations. One of the ethical considerations would be to always be respectful when dealing with clients matters and sensitive issues. Legal and ethical responsibilities will include day-to-day practices or attitudes and the specific behaviours and expectations that must be adhered to when interacting with others. An organisation is responsible for developing codes of practice that outline a way to respond and deal with situations, events or issues when they arise. Breaches of legislation and ethical code of practice may pose a significant risk and could result in penalties being imposed on you and/or the organisation.

Complaints management

A complaints management system is required to be put in place for handling complaints. It should be accessible to all consumers of the service and well advertised throughout the service. Systems of complaint management allow issues to be dealt with quickly, improve relationships and contribute to the ongoing improvement of service by the organisation.

Complaints management guidelines in Australia are the standard guidelines that legislate and outline principles for effective complaints management. Different states have different legislations that apply to manage complaints in their states/territories. One of the ethical considerations is to handle and manage any complaints without any bias or prejudice. When you receive a complaint from any client or their families you must follow your organisations policies and procedures and take all necessary steps to recognise and respond to the complaints. Every service has a complaints policy and appropriate procedures to support the policy (this may also be known as a parent grievance policy). A complaints policy informs each party of their role and explains how the complaint should be handled. The policy must be made available to all clients in the language of their choice to ensure it is understood and can be implemented. The policy and procedures must be followed when your service receives a complaint. If breaches occur then a service may undergo investigation, legal liabilities may arise, and be in breach of their clients’ rights.  An increase in insurance premiums may occur.

Continuing professional development

Continuing professional development is vital to ensure all staff are able to offer the best care and support to their clients. For instance, organisations will offer mandatory training such as Emergency/Fire evacuation or Manual Handling training. It not only helps staff stay current with their skills and expertise but it ensures their knowledge is always kept up to date.

Continuing professional education/development (CPD) is the way in which registrants continue to learn and develop throughout their careers so they keep their skills and knowledge up to date and are able to practice safely and effectively. Each state and territory have their own laws and regulations to manage this. Not engaging in continuous professional education may place the organisation and staff at risk of non-compliance with industry workplace practice, legislation, and industry standards. It may also impact safety of clients and staff, for example, if work health and safety and infection control measures are not compliant. Organisations are responsible to provide sufficient training and resources for employees to enhance their professional skills and create ongoing learning programs. Support workers play a key role in providing healthcare hence it is crucial to keep up with the latest industry health care skills and by not doing so it could lead to ethical and legal issues arising when providing care to people.

Privacy, confidentiality and disclosure

During a typical work day, it is likely that you will have many conversations with employers, clients and members of the public. During each of these conversations you need to be aware of issues related to privacy, confidentiality and disclosure. You must protect confidential details which are given to you and make sure that any documents, information and data is protected appropriately and securely.

Maintaining privacy and confidentiality is a law that protects people's privacy and confidentiality and is part of respecting a person's individual rights. In practice, confidentiality means not discussing an individual's personal information unless they have given their consent for this to happen. There are exceptional circumstances that enable you to disclose private information, but this is generally only when you become aware that someone may be harmed or is enforced by the law.

The Privacy Act 1988 (Privacy Act) is the principal piece of Australian legislation protecting the handling of personal information about individuals. This includes the collection, use, storage and disclosure of personal information in the federal public sector and in the private sector. Ethical consideration here is to be very careful and mindful about not talking about clients or organisation in a public place as this may breach clients privacy. Legal and ethical considerations includes keeping clients information confidential at all times as it could be used by others to discriminate against them or identify someone who wishes to remain anonymous. Organisations at large have a responsibility and develop a range of policies and procedures that link to maintaining privacy and confidentiality. Non compliance to this may have serious impacts on the client, the worker and the facility. Breaching a client’s privacy, confidentiality and disclosure may lead to legal implications.

Your work duties must comply with the law and with the policies and protocols of your organisation.

Activity

Mandatory reporting

The laws related to mandatory reporting vary across the states and territories. Mandatory reporting sets out the requirements for making a report about known or suspected child abuse, neglect, harm or risk as a result of circumstances which exist within their current living arrangement. There are differences about who must make a report and the types of abuse which must be reported. In some locations, any adult with a reasonable belief is required to make a report, while in other locations, only particular groups of people must report.

Duty of care

Community and health facilities have a legal obligation to provide a duty of care to their clients. Failing to act potentially places the client and others in danger.

You should discuss duty of care requirements with your supervisor so you understand fully the expectations of your workplace. You may be required to use particular tools or assessments to help you decide the duty of care which you owe to a person, and how you should exercise your duty.

Model WHS Act health and safety legislation states a person conducting a business or undertaking (PCBU) has a duty of care to maintain a healthy and safe workplace. Employers are generally regarded as PCBUs, and are legally obliged to ensure workers are able to carry out their work safely and without risk to their health.The ethical consideration here would be to always follow principles of respect for all persons you are caring for. In day to day work duty of care is the legal duty to take reasonable care so that others aren't harmed and involves identifying risks and taking reasonable care in your response to these risks. It is the employer's responsibility to ensure that all reasonably practicable measures have been taken to control risks against all possible injuries arising from the workplace. The employer's duty of care applies to all people in the workplace, including visitors, contractors etc. Legal liabilities may arise if facility or workers are in breach of their duty of care and if client care is sub-standard. Failure at audit – rectifications, fines, cancellation of registration

Children in the workplace

There are specific laws which relate to children in a workplace. This is particularly relevant if you are working with employers who wish to employ someone who is under 18 years, or with job seekers who are children.

The laws relating to the employment of children are state or territory based, and vary depending upon the activity, business type and whether the employer is a family business.

There are also laws relating to the presence of children in a workplace on an occasional basis, such as when an employee brings their child to work for the day or when a child is present on a family business such as a farm or boat. Employers need to remember that a person conducting a business or undertaking is responsible for the safety of people who work at or visit their worksite.

National Quality standards/National Quality Framework for the rights of children - The National Law and National Regulations outline the legal obligations of approved providers, nominated supervisors, and educators and explain the powers and functions of the state and territory regulatory authorities and ACECQA.

Your organisational policies, procedures and philosophy will clearly outline the specific job requirements and various requirements that will be applicable to your role. Breaches of legislation and ethical code of conduct may pose significant risk, and could result in penalties being imposed on you and/or the organisation.

Ethical and legal considerations are essentially about avoiding any harm to children and young people as a result of their participation in your organisation's decision making.

Work Role Boundaries - responsibilities and limitations

As an employee working in the community and health sector, it is important to always consider client/practitioner boundaries. These boundaries must be respected and complied with. Always maintain a working relationship that is professional and does not go any further beyond.

Follow the model WHS ACT for work role responsibilities such as duty of care, dignity of risks, practice standards and follow organisations policies and procedures to work within professional boundaries and be aware of the limitations of the role. One of the ethical considerations is to always work with the boundaries and limitation of the role and to not set unrealistic expectations for the clients or provide advice to the clients which is beyond the capacity of their role. Always maintain Professional boundaries at work such as being aware of the scheduled length and time of a session, limits of personal disclosure, limits regarding the use of touch, consistent fee setting and the general tone of the professional relationship. All organisations must follow legislations and guidelines and develop policies and procedures where staff are aware of their professional boundaries and limitations. Consequences of failure could lead to potential legal implications to the worker and facility.

Records Management

Records management is the creation, function and maintenance of a system when dealing with records, for example, case notes, client files, digitised documents and files. It also includes broader processes such as records storage and disposal. It is important to always comply with privacy and confidentiality laws when you are handling client records. The organisation must have set policies and procedures in place in relation to Records Management.

Records management obligations are contained in other Acts including the Freedom of Information Act 1982 and the Financial Management and Accountability Act 1997 (FMA Act) which legislate that sound record management is key to decision making. Records are a reliable source of information about critical client care hence ethically it is crucial to create and complete accurate records of the work on a regular basis. All staff and contractors have a responsibility to know the Records Management Procedures in detail, and model good records management behaviour of the policy and procedures. All organisations have responsibilities in relation to the records of the function they perform. Staff, consultants and contractors should keep full and accurate records in accordance with this Policy. Not adhering to records management may incur disciplinary action, performance management or termination of employment.

Practice Standards

Practice standards can be found in a variety of professions, such as community and healthcare services. They cover professional obligations, expectations and responsibilities within their given profession. For instance, all government funded aged care service providers are required to comply with eight (8) Aged Care Quality Standards that reflect the level of care and services the community expects from aged care providers.

These are:

1. Consumer dignity of choice
2. Ongoing assessment and planning
3. Personal care and clinical care
4. Services and supports for daily living
5. Organisation's service environment
6. Feedback and complaints
7. Human Resources, and;
8. Organisational governance

 

These are covered in the duty of care outlined in Model WHS Act and it states everyone working in the health and community care industry has a duty of care and legal obligation to adhere to standards of reasonable care when performing their duties. This will be relevant to your state/Territory. Not following standard guidelines can impact negatively on the care you are providing to your clients. Practice standards are legal and ethical guidelines that help and guide individual workers to carry out their duties in a responsible manner. Organisations have the responsibility to set out guidelines for best practice that include the legal and ethical rights and responsibilities of employers and employees and every member of the organisation has the responsibility to work with these sets of practice standards. Not following these can lead to Client care being sub-standard. Failure at audit – rectifications, fines, cancellation of registration.

Your workplace will have policies in place which are in line with current and relevant legislation. As part of your duties at work, you must ensure you comply with these policies. Set aside time early in your employment to read and understand the policies which apply to your position. Contact your supervisor and ask for a clear explanation if there is anything you do not understand.

Policies may include:

• record keeping and data management
• visiting worksites
• travel
• privacy and confidentiality
• non-disclosure of business information
• attending meetings
• professional conduct
• dress and presentation
• first aid
• reporting against key performance indicators
• attendance at meetings
• professional development and training

Your workplace policies are likely to be available on an intranet system which will be protected by a login code and password. Make sure you keep your login and password secure and do not give it to anyone else to use.

Policies generally include information about the scope, application, details and date for review. Policies should be written in Plain English and be able to be understood by the people for whom they are intended. A well written policy is a user friendly document which is used frequently and becomes a regular part of the systems of work in a workplace.

Your work in community health services is governed by a set of standards which set out the expected conduct and behaviour for your work. You are bound by some specific standards which are relevant to the particular needs of your clients and employers.

Resource

• Aged Care Quality Standards
• Disability employment services code of practice
• Home Care Common Standards

Make sure you check that the copy you download for your records is the latest version of the document. Remember that documents can and do change and it is important to stay up to date with information.

There are many useful sources of information about legal requirements related to employment services in Australia. Make sure you check whether the legal information you are seeking is related to federal or state/territory legislation as both will be relevant to your work at various times.

You can refer to sources such as those listed in the table below to seek legal information that is relevant and easy to read and understand:

Source	What it includes	How to access the source
Federal Register of Legislation	Information about federal legislation in Australia	https://www.legislation.gov.au/
Aged Care Quality Standards	Information about the Aged Care Quality standards	Quality Standards | Aged Care Quality and Safety Commission
Safe work Australia –Law and regulation	Links and details about work health and safety laws and regulations in Australian workplaces	https://www.safeworkaustralia.gov.au/law-and-regulation

Some sources of legal information can be challenging to read and interpret, while others are written in Plain English and have been designed for easier reading.

Legislation is written in sections, and you can search the index to locate the appropriate section for your needs. Legislation may include an act, which is the main document, as well as regulations, which provide more detail about how to implement and respond to the act in a practical way. You should use the act and regulations together to guide your work practices.

If you find complex, lengthy documents difficult to interpret, seek out the Plain English version. This can be particularly useful if you are working with clients who have lower English literacy skills who also require access to important information. You can look to services which provide alternative formats, Plain English options or translated versions to suit speakers and readers of other community languages.

Workplace policies, procedures and protocols

Policies, procedures and protocols describe the day to day actions and responsibilities that you have in your workplace. You should think of these documents as the written, practical guide that helps you do your job well.

Policies, procedures and protocols are developed over time in a workplace, and generally have their basis in the fundamental human rights framework, as well as in the legal and ethical framework which guides work and employment activities in Australia.

A workplace policy document outlines an organisation's various policies, practices and procedures relevant to the workplace. They provide employees with a clear understanding of what is expected of them and provide a consistent approach to manage day to work operations and any issues if they may arise. From time-to-time organisations involve their staff members to review these policies, procedures and protocols to ensure they are consistent, up to date with industry changes, regulations and reflect industry best practices.

The development of policies involves the following five key steps:

• Plan – A need for developing a policy is identified, e.g., a change in legislation or government policy. The policy holder (organisation) is responsible for the content of the policies and procedures, as well as implementation. Policy and procedure development ensures compliance with laws and regulations and provide guidance for making decisions in the workplace.
• Research - Issues related to the policies and procedures are researched, such as legislation and best practices. The policyholder will also consult experts in the domain in this stage.
• Develop - Documentation of all policy and procedure statements with regards to the research stage is done in this stage. Draft policy is usually presented or distributed to key stakeholders for feedback.
• Review – Review of draft policies and procedure document, as well as recommendations and approval. Implement – Once draft is approved, the policy is signed and prepared for distribution to staff
• Final Review - This stage may include monitoring the implementation and feedback to ensure compliance is adhered with.

Policies, procedures and protocols are usually reviewed every 12 months, as part of the regular continuous improvement processes of the workplace. They can be reviewed through: Provision of feedback, Attending continuous improvement meetings, Participating in review sessions, Sharing ideas and suggestions and External consultations.

Consultation can assist in workplaces when specialist information is required, such as the provision of advice regarding legislative frameworks, or changes to legislation or government. Consultation may also include internal stakeholders such as employees who are familiar with the nature of the work

Policies

These are broad statements which apply to particular work areas, and provide general information about the way that your workplace would like a task to be completed.

Procedures or protocols

These are more specific documents which relate to a particular policy. Procedures and protocols give practical information which is often in a step by step format that explains how to implement a policy. Procedures and protocols often refer to particular documents or forms which should be used in conjunction with the work task.

Policy and procedure development

Policies and procedures are developed in the workplace, often by teams of people who represent different levels or areas of the workforce.

A policy might include:

• purpose and scope
• definitions
• principles
• actions by departments and individuals
• delegation or responsibility if required
• procedures related to the policy
• reporting and documentation
• references/resources/relevant legislation
• date for review
• links with other relevant policies

Procedures and protocols

Procedures are written documents which explain why, how, when and in what circumstances a particular activity or event can occur. Some headings to consider for procedures are:

• Scope – who the procedure applies to
• Benefits and outcomes – who will benefit from the activity or experience and what outcome is expected
• Background – why the procedure has been developed as well as some introductory information about the activity or experience
• Equipment requirements – what is needed to complete the task, such as access to a data set, personal protective equipment, a work vehicle or a secure digital storage device
• Human resource requirements – how many people are required and whether they need any special expertise
• Responsibility – who is responsible for particular tasks and who is accountable for different aspects of the task
• Associated documents – which documents are referred to in the procedure, such as First Aid Procedure, Client Record Update Procedure, Reporting Procedure, Notifiable Incident Procedure.
• Review – when the procedure will be reviewed, by whom and through what process

Legal requirements embedded within policies and procedures

Some policies, procedures and protocols will require very specific reference to legal requirements, while others simply need to be written with a legal framework underpinning the document in general terms.

Look at the document to see if particular acts, codes of practice or regulations are referred to –this will help you decide if there is a strict legal requirement which applies. For example, a policy about wearing personal and protective equipment when visiting a worksite may refer to the work health and safety legislation of your state or territory.

Examples of legal requirements which may be embedded within policies and procedures include:

Review processes

Policies, procedures and protocols are usually reviewed every 12 months, as part of the regular continuous improvement processes of the workplace. The date for review will be listed on the document.

How to get involved

You may wish to get involved in reviewing and planning policies, procedures and protocols in your workplace. This is a great way of learning more about operational management in employment services and understanding the important governance work that occurs to ensure legal and ethical compliance.

You can get involved by:

• Providing feedback
• Attending a continuous improvement meeting
• Participating in discussions and review sessions
• Sharing ideas and suggestions with your supervisor or mentor
• Making notes about how a particular policy, procedure or protocol affects your daily work duties

Consultation

In some workplaces, external consultants are brought in to help facilitate the review of policies, procedures and protocols. This is particularly helpful if the documents are complex or if there have been significant changes to legislation or government frameworks and operating conditions. External consultants bring expertise gained from working with many different businesses and may be able to offer insights and suggestions that would not otherwise be considered.

Legal issues

Legal issues can arise as part of your work in employment services. It is important to think carefully about the best way to manage a legal issue and to consider how to respond.

Types of legal issues

Types of legal issues can include:

• Fraudulent or criminal behaviour
• Deliberately inaccurate record keeping
• Breaches of information and data privacy
• Discrimination against clients, employers or the general public
• Failure to comply with lawful safety instructions

Some legal issues can be minor, while others may constitute a significant breach of a law or regulation.

How to respond to legal issues

You should consider carefully how to respond to legal issues. It is useful to carefully record the details of the issue so that you have all the information you might need in the future. You should make clear, accurate notes about the issue and store this information in a secure location. Notes might include:

• Names, dates and locations
• Brief description of what occurred
• Any evidence or information that is relevant
• Brief description of outcomes or actions applied
• Contact details for any people you have discussed the legal issue with

Remember that there are many people and organisations which can assist you in deciding how to respond to a legal issue.

Seeking advice and support for legal issues

There are several important sources of support for legal issues that you may encounter, both within and external to your workplace. Options include:

Some laws require that a breach is reported. This may not only be an ethical responsibility, where reporting a breach is the morally right thing to do, but also a legal responsibility.

Recognising a breach

There are many indicators to help you recognise illegal conduct in your own work duties, and in the duties of others. Indicators to help you recognise illegal conduct include:

• Receiving a complaint from a client or colleague about the conduct
• Comparing the situation against the stated policies, protocols and standards of your organisation
• Observing a situation and identifying the conduct
• Observing the response of a client or employer to something which has occurred
• Reading comments or posts on social media related to your organisation
• Responding to unexpected questions or enquiries from employers
• Noticing discrepancies in sets of data or records
• Noticing changes to records which do not make sense or seem unusual

Reporting a breach

How you report a breach of legal requirements will vary depending upon:

• What the breach is
• Who the person is who has carried out the breach
• Your own job role
• The situation
• The laws which apply

You should consider each of these factors before you decide how to respond.

If the breach is related to misconduct or unacceptable behaviour ofa public service employee, you may be obliged to report under the Australian Public Service Commissioner's Directions 2013. These directions require you to report in a fair, timely and effective way and your failure to do so may in itself be considered a breach of the Code of Conduct for Australian Public Sector Employees.

Following workplace procedures

Your workplace may have procedures in place to guide you in how to report a breach in relation to a legal issue. You should follow these procedures where possible and appropriate, and ensure that you act responsibly and in accordance with your code of conduct. If you are not sure about the workplace procedure for reporting a breach, speak to your supervisor or a more experienced colleague.

Reporting breaches in line with workplace requirements

You should follow the established process for reporting a breach in your workplace. This process may be based upon government or funding body requirements, or may be embedded within the policies and procedures of your own workplace.

Reporting breaches can occur in different ways, such as:

• Completing a form
• Sending a secure email
• Reporting verbally
• Seeking information and direction from your supervisor
• Reporting directly to another body such as a regulator

Whistleblower protection

Sometimes people can be concerned that a report they make about a breach could lead to adverse outcomes for themselves. They may worry that their own job will be at risk or that they may experience threats or intimidation. In Australia, the laws protecting people referred to as ‘whistleblowers’ have recently been tightened. This provides greater protection to people who call out misconduct or other reportable actions.

It is important to note that only certain people and situations are protected by the Corporations Act (2001). You can learn more by downloading the fact sheets titled Whistleblowing from the ASICS website.

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In summary, working within legal and ethical requirements is essential for maintaining a productive and fair workplace.

This topic has provided an understanding of the legal and ethical expectations associated with one's work role. It has explored the rights and responsibilities of employees and the different types of legal and ethical requirements that exist. Furthermore, the topic has discussed the significance of policies, protocols, and procedures in ensuring compliance with these requirements.

Lastly, this topic provides knowledge on how to respond to legal or ethical breaches appropriately.