Work Within Legal & Ethical Framework CHCCS301A PDF

(CHCCS301A)
Work within a legal and ethical

framework
Learning Guide for Volunteers

(40410SA) Certificate III in Active Volunteering
National Volunteer Skills Centre is a project run by Volunteering Australia and is funded by
Department of Family and Community Services
National Volunteer Skills Centre
CHCCS301A
This learning guide is based on the national industry unit of competency

(CHCCS301A) Work within a legal and ethical framework from (CHC02) Community Services Training Package
Commonwealth of Australia 2004
Published by Volunteering Australia

First Published November, 2004
All rights reserved. This work is copyright, but permission is given to trainers and facilitators of volunteers to make copies
by photocopying or other duplicating processes for use within volunteer involving organisation or in a workplace where
the training is being conducted for volunteers. This permission does not extend to the making of copies for use outside the
immediate training environment for which they are made, nor the making of copies for hire or resale to third parties. For
permission outside of these guidelines, apply in writing to Volunteering Australia Inc.
These learning materials are published by Volunteering Australia for the National Volunteer Skills Centre and funded by the
Australian Government Department of Family and Community Services.
Enquires should be directed to

Suite 2, Level 3
11 Queens Road
Melbourne Vic 3004
T: 03 9820 4100
F: 03 9820 1206
E: nvsc@volunteeringaustralia.org
W: www.nvsc.org.au
ARBN 062 806 464
Margaret Taylor, Learning Edges Australia Pty. Ltd.

Lewis Hughes, ANTA Noting Consultant: Enviro-sys Pty. Ltd.
Mark Laidler, DTP and Layout, RMIT University
Tim Sheedy, Editor, Foldback Media
ISBN 1 920848 33 9
This publication is supplied with the understanding that the authors, designers and editors are not responsible for the
results of any actions taken on the basis of information in this work, nor for any errors or omissions; and the publisher is not
engaged in rendering legal, accounting, engineering or other professional services. The publisher, authors and designers
disclaim all and any liability to any person, whether a purchaser of this publication or not, in respect of anything and of the
consequences of anything done or omitted to be done by any such person in reliance, whether whole or partial, upon the
whole or any part of the contents of this publication.
Work within a legal and ethical framework ii

CHCCS301A
Contents
Section One: Introduction 1
What this guide is about 1
How the guide is organised 1
About this competency 2
Element 1: Demonstrate an understanding of legislation and
common law relevant to work role 2
Element 2: Follow the organisation’s policies and practices 2
Element 3: Work ethically 3
Element 4: Recognise and respond when the clients rights
and interests are not being protected 3
What topics are covered? 4
Planning your learning 6
Becoming a self-directed learner 6
Working out your current skills and knowledge 8
Using the learning materials 11
Selecting learning pathways 11
Setting up a learning system 11
Finding and using learning resources 11
Finding and using the resources of a not-for-profit volunteer
involving organisation 12
Finding a coach 12
Finding a library 13
Using the resources of a training provider 13
Using case study data 14
Working with colleagues and friends 14
Observation and practice 14
About the learning model for this unit of study 15
Section Two: Leaning materials 17

Glossary of terms 17
Volunteering terminology 17
Glossary of terms used in Work within a legal and ethical framework 18
Setting up a learning system 19
Assessing your current skills in, and knowledge about, working
within a legal and ethical framework 22
Self-assessment: (CHCCS301A) Work within a legal and ethical
framework 24
Work within a legal and ethical framework iii

CHCCS301A
Topic 1: Understanding legislation and common law 27

Overview of the Australian legal system 27
What is the difference between rules and laws? 27
How are laws made? 29
Laws and regulations that apply to your organisation 30
Duty of care 33
Privacy and confidentiality 36
Case study 37
Topic 2: Organisational policies and practices 39

Rights and responsibilities 40
Education 43
Topic 3: Working ethically 47

Values, beliefs and attitudes 47
Organisational codes of ethics 49
Dealing with ethical dilemmas 51
Topic 4: Client rights 53

Identifying your clients 53
Identifying client rights 54
Responding to abuse and neglect of client rights 55
Support for clients 56
Your role and responsibilities in regards to client rights 57
Managing complaints: policies and protocols 57
Section Three: Resources 59

Sample Code of Ethics 59
Code of ethics for the residential aged-care sector 59
Code of ethics for residential aged care 59
Information on privacy 60
Web sites 64
Information on the law 64
Section Four: Demonstrating competence 66

How to assess your current competency 66
Using the self-assessment exercise as part of a formal assessment
process 66
Gaining formal recognition for competencies gained 67
How do I get a statement of attainment? 68
How do I contact a Registered Training Organisation (RTO)? 68
What counts as evidence of competency? 68
Building an evidence portfolio 69
Work within a legal and ethical framework iv

CHCCS301A
What does an evidence portfolio look like? 69

Demonstrating competency in working within a legal and ethical
framework 70
Appendix One: 71
Example of a completed self-assessment activity
CHCCS301A: Work within a legal and ethical framework 71
Section One: Introduction v

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Section One: Introduction

What this guide is about
This learning guide –Work within a legal and ethical framework is designed
to assist you to develop the skills and knowledge to work within legal and
ethical frameworks.
Whether you are a volunteer in a small community organisation or a larger

and more formal structure, there is legislation and regulations which apply
to your organisation and a set of ethics (stated or implicit) by which people
within the organisation work.
How the guide is organised
The learning guide is divided into four sections:
Section One - Introduction to the learning guide and to self-directed

learning
Section Two – Learning materials covers the skills and knowledge involved
in working within the legal and ethical frameworks of your organisation. This
section offers a range of learning activities you can do in order to practice
and further develop your skills and knowledge.
Section Three - Resources contains further references and other materials

relevant to the topics covered.
Section Four - Demonstrating competence is a guide to collecting evidence

of competency This makes up an evidence portfolio. Included is information
on how this can then be used to gain formal recognition of your work and
learning from an RTO. Information on how to enrol in a course of study and
gain credit for what you have learned in your volunteer work is also outlined.

CHCCS301A
About this competency
CHCCS301A Work within a legal and ethical framework
This unit describes the knowledge and skills required by the workers to work
within a legal and ethical framework that supports duty of care requirements.
This unit is equivalent to SRC CRO 007A
Operate in accordance with accepted instructional practices, styles and

legal and ethical responsibilities which is a prerequisite to SRCCRO009A
Conduct a recreation program for older persons.
Element 1: Demonstrate an understanding of legislation and common law relevant to

work role
Performance criteria
• All work reflects an understanding of the legal responsibilities and
obligations of the work role
• Key statutory and regulatory requirements relevant to the work role are
demonstrated
• Duty of care responsibilities are fulfilled in the course of practice
• Responsibility is accepted for own actions
• Confidentiality is maintained
• Where possible the agreement of the client is sought prior to providing
services
Element 2: Follow the organisation’s policies and practices
• Work is performed within organisational policies protocols and
procedures
• Contribution is made to the review and development of policies and
protocols
• Work is undertaken within position specifications/role responsibilities
• Clarification is sought when unsure of scope of practice as defined by
position description
• Clarification is sought of unclear instructions

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Element 3: Work ethically
• The rights of the client are protected when delivering services
• The ability to use effective problem solving techniques when exposed to
competing value systems is demonstrated
• Services are delivered to all clients regardless of personal values, beliefs
and attitudes
• Potential ethical issues and ethical dilemmas in the workplace are
recognised and discussed with an appropriate person
• Unethical conduct is recognised and reported to an appropriate person
Element 4: Recognise and respond when the clients rights and interests are not being
protected
• The client and/or their advocate/s is supported to identify and express
their concerns
• The client and/or their advocate/s is referred to advocacy services as
appropriate
• Organisational policy and protocols are followed when managing a
complaint
• Witnessed signs consistent with financial, physical, emotional, sexual
abuse and neglect of the client are recognised and reported to an
appropriate person
• Understanding of the role and responsibilities of legal guardians is
demonstrated

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What topics are covered?
There are four topics covered in the learning materials (Section Two).
1. Understanding legislation and common law

2. Organisational policy
3. Ethical work practices
4. Client rights
Each topic comprises an introduction to the skill and knowledge area and
one or more learning activities that you can use for a number of purposes:
• To learn and practice new skills

• Test your knowledge of working within a legal and ethical framework
• To reflect on what you have learned
• To check your progress as you work through the materials
The learning activities are varied so you can select those you feel are best
suited to your learning style and work situation. You may choose to do one or
all activities. You may do the activities on your own, or as part of a group; the
choice is yours.
You do not have to work through the guide from beginning to end. You can
start and finish wherever you wish. Any learning activities you complete can
contribute to your collection of evidence of competence if you decide to apply
for formal recognition.
Each learning activity is accompanied by the heading:
LEARNING ACTIVITY NO.
Learning activity name
All of the activities can count towards formal recognition of your skills
and knowledge in how to work within a legal and ethical framework. How
to achieve formal recognition is explained in detail in Section Four of this
learning guide.

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In some topics, in addition to learning activities that can be used for

assessment purposes there are a number of shorter activities you can use to
check progress and note any areas you particularly want to follow up. These
short activities are accompanied by the following heading style.
QUESTION
How you use the learning resources is up to you. You may have access to
resources provided by the organisation you are working with and these will
be more relevant to your situation. In this case, you may choose to use such
materials together with those provided here in order to compare and contrast
different ways of working.

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Planning your learning

Becoming a self-directed learner
Learning happens most easily at the point when your situation necessitates
that you know or learn how to do something for a specific reason. If your role
as a volunteer:
• involves you in working within a legal and ethical framework, and

• you would like to further develop your skills, and
• perhaps gain some formal recognition for your work,
then you can use this learning guide to help you to do so.
The learning guide is not a set of instructions to be followed; nor is it a

formal course of study. You can choose when and how to learn and you can
choose how to use the information and activities in the guide to develop new
skills and check your progress against your own goals.
One way of explaining the process used by active learners is shown in the
drawing below. The cycle can be started at any point.
You may have decided to work through this learning guide for a number of
reasons so we have designed it to be as flexible as possible. For example:
If you have not had any experience working in a not-for-profit organisation

you may wish to work through all sections of the guide and all of the learning
topics.

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If you already have experience and are hoping to pick up some extra tips and
skills, you can scan through the learning topics and resources and select what
you need. Likewise you might decide to select from the learning activities just
those that meet your immediate needs.
If you are enrolled in a training program at a TAFE Institute or other

Registered Training Organisation, your teacher/trainer may use these
materials as a source of information and to organise learning and assessment
activities.
Whatever pathway you select, we hope you find it enjoyable and rewarding.

CHCCS301A
Working out your current skills and knowledge
The first activity in this learning guide (see Section Two) includes a self-
assessment activity. This involves answering a set of questions about key
aspects of working within a legal and ethical framework.
By making a personal judgment about what you can do and how well you can
do it, you can select from the topics you want to study, rather than having to
work through areas you already know.
The self-assessment activity is based on three questions:

1. What skills and knowledge do you have?
2. How well can you perform this skill?
3. What evidence can you provide to demonstrate what you know and what
you can do i.e. your current skills and knowledge and current competency?
If you can produce evidence of current skills and knowledge in an area

covered in the learning topics, it will be useful if you want to apply for formal
recognition of your skills and knowledge.
There is more information on collecting evidence in Section Four of the

learning guide - Demonstrating competence.
An important note about assessment and formal recognition of competence
This learning guide is not a set of instructions to be followed or a formal

course of study. This means that learners who use the guide should not
expect to automatically receive a formal award. To receive a national award
you need to be enrolled in a course with a Registered Training Organisation
(RTO). TAFE is one category of RTO found in most parts of Australia, but
there are many others including adult education centres. Your own volunteer
organisation may in fact be an RTO.
You can find out about RTOs in your region by contacting your state training
authority, your local council or looking up training in a local phone directory.
Your own organisation may also have an existing relationship with an RTO or
be able to direct you to one.
Because this learning guide and the topics and learning activities it contains
are based on national industry competency standards that are endorsed by
the Australian National Training Authority, any training you complete can be
recognised. Evidence of competence collected as a result of working through

CHCCS301A
the learning guide will be taken into account by the RTO in assessing your
competence. If you have developed an evidence portfolio by completing
a self-assessment activity, compiling evidence of competency from your
previous work experience and/or by completing learning activities in this
guide, then you will have evidence of your skills and knowledge that you can
present to an RTO.
The RTO may accept your portfolio as sufficient and valid evidence of
competence or they might ask you to provide some additional evidence.
Further details about evidence of competence and how to negotiate with an
RTO to receive formal recognition are included in Section Four of this guide.
If you would like to get a nationally recognised Statement of Attainment for

the competencies you have gained through your work as a volunteer, and/or
other work, you can use the flow chart on the following page as a guide to the
process.

CHCCS301A

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Using the learning materials
Selecting learning pathways
How you decide to use these learning materials depends on your own
situation and needs. Once you have completed the self-assessment activity in
Section Two, you can use the results to assist you in selecting the topics that
you want to focus on.
If you have prior experience then you might just dip into the materials to
refresh your memory. If this is a new experience, or you are planning to get
involved in a volunteer capacity in the future, then you can use the materials
as a self paced guide and work through each topic step by step. You may be
using the materials as part of a structured training program, in which case
your teachers/instructors will guide your learning.
If you would like to get a nationally recognised Statement of Attainment for

the competencies you have gained through your work as a volunteer, and/or
other work, you can use the flow chart on the following page as a guide to the
process.
Setting up a learning system
When you turn to Activity 1 in Section Two of the learning guide, you will
find a step by step guide to setting up a system to manage your learning. In
completing the activity you will set up a record book and perhaps a journal,
develop a template for collecting terminology, set up a contact list and work
out where you cab get access to additional learning resources.
Finding and using learning resources
In addition to this learning guide, there are three resources to help you
develop your skills and knowledge about working within a legal and ethical
framework.
• The first and most important resource is access to a not-for-profit

organisation that involves volunteers, otherwise known as a not-for-
profit volunteer involving organisation. Here, you can talk to people
about how they carry out their roles and responsibilities within a legal
and ethical framework.

CHCCS301A
• Secondly, because you will may need to be able to read and comprehend
quite complex legal documents, we recommend that you find some one
who can act as a coach and mentor to you in your learning.
• Thirdly, you may need occasional access to a library for further reference
materials. A public library will also be able to provide you with access to
the Internet if you do not have a home or work computer.
Finding and using the resources of a not-for-profit volunteer involving organisation
It is likely that you are already involved in volunteer work, in which case you
need look no further than your own organisation for the resources you will
need.
If you do not yet have an association with a not-for-profit organisation, and

wish to develop your skills before becoming involved, then you will need to
approach an organisation. You might find the easiest way to start is through
friends and your local community. You can also contact Volunteering
Australia, or your state volunteering coordinating agency (contact addresses
are provided in the further references list in Section Three of this guide)
If you are already working as a volunteer, then you should talk to your fellow
volunteers and use this learning guide as a resource to assist you to carry out
your responsibilities.
It would also be useful if you can one or two people able to act as your
mentor. Ideally this would involve someone in your own organisation and
in another similar group. This way you have more than one point of view to
consider. If you do find someone from another organisation willing to help
you and act as a coach, you will need to be careful to maintain confidentiality
about any organisational matters discussed between you.
What you should try to do is get feedback on your performance from

colleagues, supervisor or Board members. It is also valuable to reflect on your
work in the context of the material in this guide and to ask yourself if there
are ways you can improve your own performance.
Finding a coach
Anyone who is an experience working within a legal and ethical framework

AND has the time to assist you, can be a coach – they do not need to be a
qualified teacher.

CHCCS301A
NOTE TO COACH
There are ‘Notes to coach’ attached to some of the learning and assessment
activities to assist coaches.
If you are enrolled to study this (and perhaps other) competencies with a
Registered Training Organisation (see below), you may not need a coach as
your teacher will guide you through the learning and assessment activities
and help you to access resources.
Finding a library
You may need a library for reference materials or to access the Internet when
completing activities.
The best place to go is to your local community library where you will be able
to get hold of the references you need – either in print format or through the
Internet.
Even if you live in a small community you should be able to access library
facilities nearby. And if the library itself has only a small permanent
collection, the librarian can arrange to get hold of what you need through
inter-library loans.
If you live or work near a TAFE college or university, you can also use the
college or university library. The only restriction is that you cannot borrow
books or use the special reserve sections of the library unless you are an
enrolled student.
If you live in a remote area and do not have physical access to a library, but do
have Internet access, you will be able to find most of what you need online. A
lot of information is also available as a print resource through the mail. This
is particularly the case with materials published by government departments
that are almost always available free of charge. Lists of such materials are
included in the further references section.
Using the resources of a training provider
If you are using this learning guide as part of a course of study in which
you are enrolled, then your teacher will be able to direct you to a range of
resources available. These will include books, journals and databases available
in the college library. As an enrolled student you will also receive help to
complete learning and assessment tasks and will be able to participate in
discussions with teachers and fellow students.

CHCCS301A
If you are an enrolled student but do not yet have access to a suitable not-for-
profit volunteer involving organisation, your teachers will be able to help you
with this.
Using case study data
There are case studies of volunteer involving, not-for-profit organisations

included in this learning guide. These case studies provide examples of how
different organisations work within a legal and ethical framework. They can
also be used as a source of data to complete some of the learning activities.
In addition to the case studies provided here, you can access material on
many volunteer organisations via the Internet and by directly mailing/
emailing organisations. A good place to start an Internet search is on the
Volunteering Australia web site:
http://www.volunteeringaustralia.org/index.html
You can also use a search engine to find specific organisations, or to browse
the sites that are available via a general search. For example, if you are using
the Google search engine (http://www.google.com.au/) you can just type in
‘volunteers’ or ‘volunteering associations’ to receive a list of thousands of sites
and references.
Working with colleagues and friends
This may include talking to fellow volunteers who have experience in

not-for-profit organisations. Work colleagues, family members, friends
and neighbours and members of your community may also have ideas,
experience and contacts that will be useful to you.
Often you will find that people who have reflected on their own experiences
can provide you with valuable practical advice that might otherwise take
some time to find in a written resource. It is however, always wise to check
your sources and not to rely solely on one source of information and advice.
Observation and practice
One of the essential resources for using this learning guide is access to an
organisation where you can observe how people work within a legal and
ethical framework While you can learn a lot by reading authoritative sources,
there is no substitute for seeing what happens in a real life situation.
And once you have had the experience of observing others in action, the best
way to develop your own skills and knowledge is to put them into practice.

CHCCS301A
Make sure you keep a record of any meetings you attend and/or organise all of
your own reflective comments.
These notes will be a vital resource for you in your future work as a volunteer and
perhaps in the paid work force.
About the learning model for this unit of study
This learning guide has been designed to support two broad study options:
First, the learner may choose to work through the materials at their own
pace, with the support of a coach and/or associates with relevant experience
in volunteer involving organisations.
Secondly the learner may choose to enrol as a student in a Registered

Training Organisation (RTO), in which case this learning guide can be used
by the learner as an additional resource, and by the teacher/trainer to support
classroom based learning.
If you are a teacher or trainer, you will already be familiar with the options
available to you in using this learning guide. If you have been asked by the
learner to act as a coach you may find the following suggestions useful.
Tips for coaches
Being a coach to someone who is using this learning guide to develop their
skills and knowledge about volunteering involves using your own experience
to help the learner to work through learning activities. There are no hard
and fast rules about being a coach; it all comes down to what suits you and
the learner. The most important aspects of coaching involve establishing
a positive and supportive relationship with the learner and being able to
communicate freely about the relevant areas of skill and knowledge.
The most important attributes for a coach to possess are good listening
skills, the capacity to ask questions, a positive and encouraging attitude and a
general knowledge of the area of learning.
You do not need to be an expert! You may find that you are unable to answer
a question posed by the learner you are working with. However, when/if this
is the case, you will probably be able to help the learner find the answer, by
referring them to someone else or to the relevant information in a library or
on the Internet.

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Below is a list of the sort of strategies a coach may use:
• Get to know about the learner’s interest in the area they have chosen to
study;
• Use a range of questioning techniques to guide the learner towards
the ideas and answers they are searching for rather than directing the
learning
• Put yourself in the learner’s shoes; ask yourself what you would find
helpful
• Be encouraging and non-judgmental; remember your role is to help
– you do not have to assess the learner’s capabilities
• Help the learner to plan their learning; you don’t need to be a qualified
teacher to do this – your own experience as a work based learner will
have provided you with planning skills
• Avoid the temptation to step in and do it for the learner
• Encourage the learner to self-assess and to reflect on their learning
Where to start
If you have agreed to take on the role of coach, the best place to start is by
talking to the learner and reaching an agreement on how the coaching/
learning relationship should work. This may include agreeing on times to
meet, strategies for maintaining contact – for example by email or a catch up
phone call. You may both decide that the best strategy is for the learner to
make contact when they need help, in which case you will need to set some
parameters as to how often is reasonable, when suits you best and how much
time you can afford to commit to the project.
The next thing to do is familiarise yourself with this learning guide. You
might decide to work through a topic with the learner to see that you share a
general understanding of how you can work together.
Where to go for further help

There are numerous sites on the Internet that provide tips for coaches and
mentors, a sample of which are listed below. You may also wish to contact an
RTO in your area to see whether they offer workshops and training programs
in coaching skills
http://www.coachingnetwork.org.uk/ (Go to ‘Resource Centre’ for further

information about being a coach)
http://www.veac.org.au/tchment.html
http://www.aimqld.com.au/career/coaching.htm
http://www.wit.org.au/projects/mentoring/mentorkit/Tips.html

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Section Two: Leaning materials

Glossary of terms
Volunteering terminology
The following definition from Volunteering Australia explains what the term
volunteering’ means:
Formal volunteering is an activity which takes place through not-for-profit

organisations or projects and is undertaken:
• to be of benefit to the community and the volunteer;
• of the volunteer’s own free will and without coercion;
• for no financial payment; and
• in designated volunteer positions only.
http://www.volunteeringaustralia.org/sheets/definition.html
There are two key terms used to describe the organisations in which a
volunteer may work:
• A volunteer involving organisation, or

• A not-for-profit organisation
These two terms essentially mean the same thing according to the definition
of volunteering on the Volunteering Australia web site:
Volunteering is an activity performed in the not-for-profit sector only
The term volunteer involving organisation is used to differentiate between

those not-for-profit organisations that involve volunteers in their activities
from those which only employ paid staff.
In this learning guide we have used the term ‘not-for-profit’ organisation in

most cases, because it is the more widely known term, but we do also refer to
volunteer involving organisations when appropriate.
Section Two: Learning materials 17

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Glossary of terms used in Work within a legal and ethical framework
TERM MEANING
Rule A principle or guideline for conduct and behaviour.
Law A legal rule or set of rules based on the rights of citizens and
their responsibilities in respect of others.
Legislation Also known as ‘statute law’, ‘statutes’ or ‘acts of parliament’,
legislation is the documentation of laws created, debated and
passed by federal and state parliaments.
Common law Also known as ‘statutory law’, it is law which is the judgment of
the courts or laws made in court.
Ethics Codes or standards of behaviour that are based on a shared
understanding of what is right or wrong.
Duty of care A concept which covers the protection and safety of others in
your care, protecting them as far as is ‘reasonably practicable’.
Regulations Rules that have the force of law detailing procedures for
implementing governmental legislation.
Statute Another word for legislation.

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LEARNING ACTIVITY 1
Getting started
There are two parts to this learning activity
• Setting up a learning system

• Assessing your current skills in, and knowledge about, the legal and
ethical framework within which you work.
Setting up a learning system
Organising a work book
A work book can be used to take notes as you collect information and to
record the learning activities you complete.
It is a good idea to use a ring binder as a work book so that you can insert
pages and other resources (plastic sleeves with punched holes can be useful
for this purpose).
Your work book can also be your record keeping system (see below). If so it
is a good idea to have a contents page that you update as you go. When you
add completed activities to the work book, label the activity with the name
and number in the learning guide (e.g. Activity 2, Finding out about not-for-
profit organisations)
Keeping a record of your work
In the introduction to this guide we talked about collecting evidence of

competency in case you wish to apply for recognition. If you keep a record
of the activities you complete in this learning guide they can be included in a
portfolio of evidence.
The other reason for keeping a record of your learning is as a resource for
your volunteering work.
Along with the completed activities you may decide to keep other resources
including definitions of terminology, checklists and tables and contact lists.

CHCCS301A
You may set up a manual record-keeping system in a ring binder or series

of manila folders. You could set up an electronic record system using the
indexing system of your computer such as Windows Explorer, or a database
management program such as Excel.
What about a journal?
You may also want to keep a reflective journal. This might include ideas,
thoughts about issues you encounter or records of discussions with friends
and others who support your learning. If you do decide to embark on a
journal, get yourself a smallish notebook that you can carry about with you to
meetings and other events.
Dedicated journal writers also emphasise that it is important to have a

notebook you enjoy writing in such as a drawing pad or something that
distinguishes it from other notes. The important thing is to choose whatever
suits your own needs.
Key terminology
Before you begin working through the topics that you have selected based
on your self-assessment, review the list of terms in the glossary. Ask yourself
if you are clear on what each term means. If you are in doubt, ask for help
in working out the meaning. This should ideally be from someone with
experience working within a legal and ethical framework of a not-for-profit
organisation. However, if you are also a paid worker, you may find help from
colleagues or your employer or supervisor.
You should also take a copy of the glossary and keep it in your work book/
folder.
The Internet can also be a good source of information on just about anything,
so get to know how to use a search engine. The most common search engine
is Google (http://www.google.com.au/). For example, if you select ‘Advanced
Search’ in Google and type in the section called ‘with the exact phrase’ type a
phrase such as “definition of governance”, you will receive links to numerous
web sites offering a series of definitions of that term available. You can then
browse through the definitions to find the term used in context.

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Organise a template to build your own glossary
We have only included a small number of key terms in this learning guide. As
you learn how to work within a legal and ethical framework you will come
across other terms that you need to remember and use. To do this we suggest
you build your own glossary and keep a record of new terms in your record
book.
Set up a table similar to that used in the glossary here, with different columns
for the terms and their meaning. This way, you can list terms you don’t know
as they arise and then insert the definitions as you find them.
Setting up a contact list
In Section One we made the point that there are two essential resources
for learning using this guide – access to a library and to a not-for-profit
organisation. You may already have both of these in hand, but if not, now is
the time to get organised.
First, locate your organisation. Using the suggestions in Section One, find
the name and contact details for the president, chairperson or secretary and
make contact in person or by phone, email or mail. Ask if they might be able
to help you and/or that they suggest someone else who can.
You may decide to ask more than one person and organisation to help. This
way, you may get the opportunity to see how different organisations go about
their business and interpret model rules to suit their own needs.
If you are working with a small group of other volunteers to learn about the
legal and ethical aspects of volunteer work, you may decide to pool your
resources, including people who are willing to help.
As you find suitable sources of support, record their contact details and keep
this as part of your record of learning.
Finding a library or other collection of resources
If you have a local library and have not been there, take a visit and check
whether they have any resources that may be useful. If in doubt ask the
librarian on duty – they will know where to look and how to go about getting
books from other libraries.

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Other possible collections of resources include the Internet, local not-for-

profit organisations. Volunteering Australia and your state volunteering
association – see Section Three for addresses.
When you have found one or more sources of resources, put the details in
your contact list.
When you have completed these activities you should have the following
resources ready to go:
• A work book or folder;
• Somewhere to record and store resources, notes, completed learning
activities and other forms of evidence of competency;
• A copy of the glossary;
• A template for adding terms to the glossary, and
• A contact list and template for adding contacts.
Now work through the self-assessment activity on the following page so you
can decide on topics you wish to study.
Assessing your current skills in, and knowledge about, working within a
legal and ethical framework
If you worked within not-for-profit organisations of one sort or another

there is a good chance you already know something about the legal and
ethical frameworks within which you need to work. You may have had to
deal with legal or ethical issues before or with the neglect of the rights of the
organisation’s clients.
So first, check your current skills and knowledge. All you have to do is fill in
the table by:
(i) Tick either 1,2 or 3 in the column headed ‘How well can you do this?’
using the following key:
1 = I feel quite confident that I can always do this

2 = I might sometimes need some help
3 = I have no experience in this area
(ii) If you have answered ‘1’ or ‘2’ to one or more questions, then think
about whether you have any evidence that you can perform these tasks. If so,
complete column 3 by jotting down brief notes about what this evidence is.

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NOTE 1:
Evidence can be in the form of a document – you may have records from
previous work, for example:
• Reports you have written
• Notes from phone conversations
• Logbooks or diary entries
• You may be able to get someone to write a report on your competency
(this is called third-party evidence).
You can also collect evidence by showing someone what you can do.
NOTE 2:
There is an example of a completed self-assessment exercise in Appendix One
of this guide.

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Self-assessment: (CHCCS301A) Work within a legal and ethical framework
NAME
DATE
NAME OF ORGANISATION (if
applicable)
Key to completing columns 1, 2 or 3:

2 = I might sometimes need a small amount of help
Demonstrate an understanding of legislation and common law relevant to work role
Can you/do you know how to …? How well can you What evidence do you have
do this? to demonstrate this?
1 2 3
Work in a way that reflects
an understanding of the legal
responsibilities of your work role.
Work within the key statutory and
regulatory requirements of your role.
Fulfil duty of care requirements in the
course of doing your work.
Accept responsibilities for your own
actions.
Maintain confidentiality.
Seek the agreement of the client or
clients before providing services.
Follow your organisation’s policies and practices
Can you/do you know how to…? How well can you What evidence do you have
1 2 3
Perform your work within the
organisation’s policies, protocols and
procedures.
Contribute to reviewing and
developing policies and protocols.
Work within the specifications of
your position.
Clarify uncertainties about the scope
of your work.
Seek clarification of unclear
instructions.

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Work ethically
Can you/do you know how to…? How well can you What evidence do you have
1 2 3
Protect the rights of clients when
delivering services to them.
Deal effectively with different and
competing value systems.
Provide services despite different
values, beliefs and attitudes.
Discuss potential ethical issues and
ethical dilemmas with an appropriate
person.
Recognise and report unethical
practice.
Recognise and respond when clients rights and interests are not being protected
1 2 3
Help a client and/or their advocate
identify and express their concerns.
Refer a client and/or their advocate
to an appropriate advocacy service.
Manage a complaint according to
organisational policy and protocols.
Recognise signs of abuse or neglect of
a client and report these.
Understand and demonstrate the
role and responsibilities of legal
guardians.
How did you go?
• For questions where you have ticked column 1 AND have also been
able to say what sort of evidence you could provide to demonstrate your
skills and knowledge, you may wish to skip the associated topics in the
learning guide – at least initially.
• Where you have ticked column 2, then you have some knowledge of and
skills in the area so you might want to read over the topics to refresh your
memory then see how you go on the assessment activities.

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• If there are questions about legal and ethical matters to which you have
ticked column 3, then these are the topics you should concentrate on in
the following learning materials.
LEARNING ACTIVITY 2
Finding out about a not-for-profit organisation
For this activity you will need to document some basic information about
the not-for-profit organisation that you will use as a case study for this unit.
Most of the activities in this unit ask you to apply what you have learned to
an organisation.
You can choose an organisation from a number of options:

• Use the organisation you work with
• Find an organisation on the Internet or through a local community
directory
• Ask a friend or colleague who is a volunteer and who can introduce you
to the organisation they volunteer with
Answer the following questions and record your answers in your journal or
record book:
• What is the name of the organisation?
• What does the organisation do – what are its goals and objectives?
• How long has the organisation existed? Has its role stayed the same
or has it taken on new functions over time as needs and interests have
changed?
• What is the legal status of the organisation? For example, is it an
incorporated association, or a not-for-profit company?
• Where does the organisation get its funding from?
• How many Board members are there and how did they become
members?
• How many office bearers are there?
• How many paid staff are there?
• How many volunteer staff are there?
If, for example, you get the information about an organisation from a web site
or information booklet, make contact with the nominated contact person to
check that your answers are correct.

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Topic 1: Understanding legislation and common law

Overview of the Australian legal system
This section is a very brief overview of the Australian legal system. The major
reference source for this section has been Making and Breaking the Law by
Jules Aldous (2nd edition). Other information has come from the many web
sites on law related matters. These are all listed in Section 3 of this unit. Here,
we cover:
• What is the difference between rules and laws?
• What types of laws are there?
• How are laws made?
In Australia law making is primarily the responsibility of the federal and

state parliaments. Courts are responsible for interpreting the meaning of the
law and resolving and adjudicating disputes. There are various bodies that
enforce the law and others that administer it. Solicitors and barristers assist
the general public in their dealings with the legal systems.
What is the difference between rules and laws?
A rule is usually thought of as a principle or guideline for conduct and

behaviour. It is a convention or practice that is held by a group or an
individual as appropriate for certain action or conduct.
Rules do not have to be written down (although some are) and may not be
subject to punishment if broken. For example, an organisation can develop a
set of rules for how its members should dress or behave.
There will be rules for handling equipment and for putting things away at the
end of their use. Sanctions for breaking these rules will vary from a friendly
reminder, a fine or perhaps a warning whereby three warnings means you are
asked to leave the organisation.
Rules such as these are ‘non legal’ although some will come close to law. In
following the rules for handling a piece of industrial equipment you are likely
to be the subject of occupational health and safety law or legislation. If there
are rules covering the use of the staff lounge room then these are more likely
to be your own organisation’s rules rather rules derived from law.

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Laws are legal rules. In Australia our laws are based on the rights of the
citizens and their responsibilities in respect of other community members
and the government itself. The authority of the law is upheld in Australia
through the electoral process, representative government and the jury system.
In Australia, the law consists of:

• Acts passed by the Federal Parliament;
• Ordinances made in respect of the Territories (Northern Territory, ACT
and Norfolk Island);
• Acts passed by state parliaments and the Legislative Assemblies of the
Territories;
• Common or statute law of England that was received prior to Federation
and that still applies because it remains unrepealed, and
• Australian common law, which developed from English common law and
is interpreted and modified by the courts.
There are a number of different ways to identify and name types of law and
no one method of classifying law is sufficient to cover all of its complexity.
We can classify laws in different ways depending on what our focus is. The
following table shows how laws can be classified in a number of different
ways.
The focus Types of law Includes

Laws to protect individuals Public laws that regulate the Administrative laws
rights and relationship between Constitutional laws
the individual and the state Criminal law
Industrial law
Taxation law
Private laws that regulate rights Contract law
and relationship between one Law of torts
individual and another Family law
Laws of succession
Law of trusts

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Laws to reduce conflict and Procedural law governing the Rules governing the
ensure social cooperation. administration of justice criminal justice system
Rules that enforce civil
rights
Institutional rules about
the administration of
courts
Substantive law identifying the Property law
rights and responsibilities of Contract law
individuals Tort
These two types of law are Company law
complementary –substantive law
identifies what is an offence and
procedural law stipulates how to
settle the dispute
Laws regulating behaviour Criminal law Against the person
Against property
Against morality
Against the legal system
Civil law Contract law which is
concerned with legally
enforceable agreements
between individuals
Torts – Wrongful
actions of one
individual against
another, such as
Negligence
Nuisance
Defamation
Trespass
Laws reflecting their source Federal and state parliament laws Known as statutes,
legislation or acts
Judgments or laws made in Common law or
courts statutory interpretation
How are laws made?
Laws can be made by:

• Parliament. These laws are known as statute law or legislation, or acts
of parliament. The rules and procedures that fall out of these are called
regulations, orders-in-council and local laws.
• Courts of law or the judiciary also have the role of making law. This
occurs via the interpretation of the meaning of statute law as it is applied
to different cases that come before the courts. This is called ‘common law’
or ‘statutory interpretation’.

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Laws and regulations that apply to your organisation
Federal and state laws
Your organisation will be subject to both federal and state laws. Lots of
organisations are subject to many of the same laws, but specific laws apply
depending on the sector in which the organisation works. Youth sporting
clubs, for example, will be subject to laws about the protection of children
and duty of care whereas emergency services organisations will have
extremely strict guidelines that are associated with various occupational
health and safety acts.
An organisation such as the Salvation Army, for example, is subject to many

areas of law and regulation because of the breadth of its programs. These
include laws and regulations associated with:
• Aged care services
• Alcohol and drug addiction detoxification services
• Business regulations governing the Salvation Army Family Stores
• Child and adolescent services
• Counselling services
• Crisis accommodation services
• Disability services
• Employment training programs
• Family housing programs
• Fundraising
• Health information services
• Homeless shelters
• Intellectual disability services
• Migrant services
• Privacy
• Youth crisis and support services
(See http://www.salvationarmy.org.au/students/society.asp)
There are laws and regulations that apply to any organisation no matter what
its business is. These include:
• State occupational health and safety laws and regulations
• Laws and regulations on employment
• Human rights legislation
• The privacy acts of federal and state governments
• State laws on the legal entity of your organisation whether it is an
incorporated association or a company limited by liability

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Case study
Global Leadership Development (GLD Inc) has just recently incorporated as a not-for-profit
organisation in Queensland. They provide educational services to young Australian leaders,
including an annual intensive training program, state based workshops, speakers to schools, advice
to the Commonwealth Government and leadership training resources. They plan to hold the first
international annual intensive training program in October 2005. They have a paying membership
of 57 (and growing) and a working Board of six. With membership fees, government grants and fees
for national and state programs they have an annual turnover of $4.2 million. Their investigations
into the laws that affect them revealed that there was much work to be done to protect themselves.
They sought out a solicitor who joined as a member and who took up a legal advisory role. They also
realised how critical the services of an experienced accountant were.
Of immediate concern for them were the rules around the establishment and operation of an
incorporated association. Although there are benefits to be gained from incorporation, there are
also obligations and limitations. Incorporation required the payment of application fees, obliged the
association to be audited annually and lodge annual financial returns. It required that the association
comply with the provisions of the Associations Incorporation Act regarding the running of the
association and in the case of GDL, to hold a public liability insurance policy.
The Board of GDL was also interested in leasing a shop as their office and checked the Retail Leases
Act which set out certain minimum requirements of the lessee. In the process of developing the
training program they needed to ensure that they were not infringing copyright and wanted to claim
copyright on some of the materials and ideas that they were developing themselves. In setting up the
office they referred to the new State Government strategy associated with the Workplace Heath and
Safety Act and developed their own OHS guidelines for the office. The Board decided it was wise
to develop a dispute resolution procedure, to conform to a code of practice for dealing with clients
and a guiding set of principles for the organisation in general. In developing these they referred to a
number of federal acts:
Disability Discrimination Act 1992

Equal Employment Opportunity Act 1987
Equal Employment for Women in the Workplace 1989
Sex Discrimination Act 1984
Racial Discrimination Act 1975
Their accountant guided the Board through the complexities of taxation law, especially in regards to
transactions that occur between the not-for-profit organisation and their volunteers.
NOTE TO COACH
This activity may require a deal of preparation on your behalf. It is suggested
that you preview references and in the first instance work through the
activity with the learner.

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LEARNING ACTIVITY 3
From law to organisational policy and procedures
This activity is a small project which will be of benefit to your organisation or

one you are using as a case study. Before going ahead with the project discuss
it with your supervisor, your contact in the organisation or the Board and,
working with them, amend it so that it suits the organisation’s needs.
1. Use the case study as a guide for identifying the federal and state legislation
and common law that affects your organisation. Consult with your coach or
other members of the organisation, colleagues, manager or Board members
to draw up a full list of the legislation and common law rulings that apply to
your organisation.
2. Then choose three pieces of legislation and one common law ruling (if
appropriate). Draw up a table (see below) naming the relevant legislation,
identifying its key elements, whether and how your organisation is at risk in
not meeting the legislative requirements and identify strategies to reduce risk.
A sample has been provided. Given we focus more closely on the Privacy Act
in a later section of this unit, leave that out for the purposes of this exercise.
3. In the last column, identify how this legislation impacts on your particular
work role.
You can find copies of the legislation or fact sheets about legislation on the
Internet. If you don’t have access to the Internet, your local library will have
access.
Information on state laws is available at:

• http://www.law4u.com.au/
• http://www.lawportal.com.au/full_screen.asp
• http://law.gov.au/portal/auslawonline.nsf/Home?ReadForm
• http://www.aussielegal.com.au
In understanding what the legislation is about it will be helpful to have some

idea of what an actual piece of legislation looks like and what topics it covers.

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There is easy access to the actual legislation through Law Map at: http://www.
lawmap.com.au/ . Click on Law Topics and scroll down to the area you are
interested in, for example, Human Rights. A page will then open up with
a list of Australian and international laws that relate to Human Rights, for
example, the Federal Disability Discrimination Act of 1992. Click on Act and
you are taken to the actual act itself.
Example of a table to draw up
Name and date Key elements How we are at Strategies to How this
of the Act or of the Act that risk address risk legislation
legislation affect us impacts on my
work role
1.
2.
3.
4. Take one of the Acts that you analysed in part 1 of this activity.
a) Find the policies in your organisation that relate to this Act.
b) Identify how the requirements of the Act and the policies directly affect
your job role and responsibilities. List specific examples from your work
practice that demonstrate this.
c) Read the policies and review them by comparing the policies with the
requirements of the Act.
d) Make recommendations for changes to the policies so that they fully
comply with the requirements of the Act.
e) Review the procedures that are associated with these policies and make
recommendations to improve them so that they also comply fully with the
Act.
f) Finally, check that all instructional or procedural documents are clear and
easily understood. Make any changes to address lack of clarity.
Duty of care
QUESTION 1
Understanding and applying duty of care
(a) Answer the following reflective questions in your journal or notebook.

They ask you about ‘duty’ and ‘duty of care’ and are a way for you to begin to
understand the concept of duty of care.

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• Which people in your life do you feel you have a duty of care towards?
• What is the nature of that duty?
• What has led you to assume that duty of care?
(b) When you have done this, write your own definition of duty of care
(c) Compare it with other definitions by searching the Internet using the
Google search engine and typing in ‘define: duty of care’. Make improvements
to your own definition based on your reading of the Internet definitions.
(d) Now consider the work you do as a volunteer in a not-for-profit

organisation. Consult with your colleagues, supervisor or other appropriate
member of the organisation and explore the parameters of duty of care as it
relates to your organisation.
e) Keep a record for two weeks which notes how you fulfil your duty of care
responsibilities in day to day work practice.
LEARNING ACTIVITY 4
Researching the application of duty of care
The following definition of duty of care comes from a government source.

Read it as a way to help you expand on your answers to the above questions.
Definition
Duty of care requires everything ‘reasonably practicable’ to be done to protect

the health and safety of others at the workplace. This duty is placed on:
• all employers;
• their employees; and
• any others who have an influence on the hazards in a workplace.
The latter includes contractors and those who design, manufacture, import,
supply or install plant, equipment or materials used in the workplace.
‘Reasonably practicable’ means that the requirements of the law vary with the
degree of risk in a particular activity or environment which must be balanced
against the time, trouble and cost of taking measures to control the risk. It
allows the duty holder to choose the most efficient means for controlling a
particular risk from the range of feasible possibilities.

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Specific rights and duties logically flow from the duty of care. These include:
• provision and maintenance of safe plant and systems of work;
• safe systems of work in connection with plant and substances;
• a safe working environment and adequate welfare facilities;
• information and instruction on workplace hazards and supervision of
employees in safe work;
• monitoring the health of their employees and related records keeping;
• employment of qualified persons to provide health and safety advice;
• nomination of a senior employer representative; and
• monitoring conditions at any workplace under their control and
management.
Source: Industry Commission, Work, Health and Safety, Report No. 47, Sept
1995
(a) Based on the above definition, your own research, consultation and
reading, identify the duty of care relationships within your organisation (i.e.
who has duty for whom?) and the nature of that care.
Answer the following questions:

• Who has duty of care for you as a volunteer?
• What is the nature of that care?
• To whom do you have a duty of care?
• And, what is the nature of that care?
• Are there others associated with your organisation for whom there is a
duty of care?
• Does your organisation have a workplace safety policy and procedures
that address the duties listed in the Industry Commission Report 47
extract above?
3. Draw up a list of recommendations for your organisation that will ensure it

complies with the rights and duties that flow from duty of care obligations.
4. It is the law of negligence that imposes duty of care on people. The law is
extremely wide in its application.
Examples of its application can be found at: http://elo.legalaid.qld.gov.au/

Category/civil/LegalLiability/negligen.htm
Think about your organisation’s duty of care and identify any practices that
may leave the organisation at the risk of action for negligence.

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Privacy and confidentiality
The Commonwealth Government Privacy Act of 1988 was amended in 2000

with the addition of new provisions for private sector business, health service
providers and commonwealth and ACT government agencies. The ’private
sector’ includes not-for-profit organisations with an annual turnover of
more than $3 million. The legislation applies to all health service providers
regardless of turnover.
It should be noted that all states and the Northern Territory have legislation
concerned with privacy, but we will only deal with the federal act here. For
information on state laws check the web site at: http://www.law4u.com.au/
Within the new privacy act are ten national privacy principles covering the
following areas:
1. Collection — Describes what an organisation should do when collecting

personal information. This includes rules about what information can be
collected, collecting information about a person from someone else and,
generally, what information you should give the person about the collection.
2. Use and Disclosure — Outlines how organisations can use and disclose
personal information. An organisation does not always need consent to use
and disclose information if they meet other conditions. There are special
rules about direct marketing.
3 & 4. Data Quality & Data Security — Sets the standards that organisations
must meet for the accuracy, currency, completeness and security of personal
information.
5. Openness — Requires organisations to be open about their privacy policy.

Organisations must give clients certain information about the way they
handle personal information in their organisation if the client asks for it.
6. Access & Correction — Gives the client of the organisation a general

right of access to their own personal information, and the right to have that
information corrected, if it is inaccurate, incomplete or out of date.
7. Identifiers — Outlines that the use of commonwealth government

identifiers (such as a Medicare number or a Veterans Affairs number) be only
be used for the purposes for which they were issued.
8. Anonymity — Where possible, organisations must give clients the

opportunity to ‘do business’ without them having to identify themselves.

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9. Transborder Data Flows — Outlines privacy protections that apply to the

transfer of personal information out of Australia.
10. Sensitive Information — Requires the client’s consent when an

organisation collects sensitive information such as health information,
information about racial or ethnic background or criminal record. Sensitive
information is a subset of personal information and special protection applies
to this information.
These principles are available in full at: http://www.privacy.gov.au/

publications/npps01.html
LEARNING ACTIVITY 6
Complying with the privacy act
Case study
GDL are planning to run a major international training program for young
leaders. They are taking a number of actions in attempting to reach as wide a
range of people as possible. This includes setting up a marketing database by:
• Asking members to identify any people or organisations that they know
of who would be interested in such an event and providing the event
management committee with their contact details.
• Searching the internet for like-minded organisations here and overseas
and adding their contact details to the database.
• Asking Australian organisations with whom they have an affiliation for
access to their membership lists.
• Once this database has been established they will use it to promote the
training program.
When trainees register for the program they will provide the following
information which will also be stored on a database:
• Name
• Contact details
• Name and contact details of person to contact in emergency
• Reason for wanting to attend the program
• Previous leadership experience
• Educational qualifications
• Nationality
• Ethnic background
• Gender
• Age/date of birth
• Dietary requirement

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Given the ten national privacy principles outlined above, what strategies
should GDL put in place to ensure that they comply with the Privacy Act?
LEARNING ACTIVITY 7
Complying with the privacy act
Consult with your supervisor or appropriate colleagues and arrange to

conduct a review of your organisation’s compliance with the Privacy Act.
Complete the following:
• Identify the data your organisation collects about four groups of people:
employees, volunteers, clients and other.
• Classify this data by type per group of people.
• Take one group and review compliance to the Act by checking against
each of the ten privacy principles.
• Develop recommendations for improvements to compliance.
Submit your recommendations to your supervisor or a Board member and

discuss what action might be undertaken next.
QUESTION 2
What work situations do you regularly encounter for which the Privacy
Act applies? What action do you take in these situations to ensure that
confidentiality is maintained?

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Topic 2: Organisational policies and practices

Legislation, common law, government regulations, local community
and organisational circumstances will lead to the creation of policies,
procedures and protocols which guide staff and others in how to conduct
the organisation’s business. The larger the organisation the more likely it is to
have numerous policies and procedures. Small businesses and not-for-profits
tend to have far fewer.
LEARNING ACTIVITY 8
Working within organisational policies, protocols and procedures
1. Collect one example of a policy and its accompanying procedures that

directly affect your work practice. Read each document and answer the
following questions.
• What is the purpose of the policy?
• For whom is it written?
• Who wrote the policy and when?
• What are the key elements of the policy?
• What is the purpose of the procedures?
• What are the key elements of the procedures?
• How do the format and style of each document differ?
• How do these particular policy and procedures impact on your work?
Give three examples from your day to day work practice.
• What are your organisation’s strategies for reviewing and developing
policies, procedures and protocols and what is your role in relation to
this?
2. Refer to Activity 3 part 1 (above) for the full list of legislation and common
law rulings that affect your organisation. For each piece of legislation
or ruling identify and collect the relevant organisational policies and
procedures. If there are any gaps in this matching process, discuss this with
your coach or supervisor or other appropriate person and decide whether
the development of a policy and procedure should be recommended to the
Board.
3. Match the policy and procedures you reviewed in 1, above with the
relevant legislation. Ask your coach or other appropriate person in the
organisation to help you to review the policy. In order to conduct this review
you will need to get a copy of the matching legislation. Use these questions to
assist you in the review.
• Does the policy address all the key elements of the legislation?

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• If there are any gaps, suggest ways the policy could be changed to take
these into account.
• Does the policy cover other areas that are outside the legislation? If so,
what would have lead to their inclusion?
• Is the policy up to date? If not, what changes would you recommend?
• Is the policy written and formatted in such a way as to make it easy to
read?
• Do the procedures fall logically out of the policy?
• Do they need updating? If so, how?
• Are the procedures clear and easy to understand?
Based on these questions and others that will arise in your discussion with
your coach, develop a set of recommendations for improving and changing
the policy and procedures.
4. ‘Protocol’ refers to standards or rules or codes that you are required to

follow, like a dress code or communication protocol. If your organisation has
these documented, collect them together and for each protocol, identify the
ways in which they impact on your work practice.
Rights and responsibilities
Volunteers are a vital resources in any community organisation. Volunteering

is about freedom of choice to work without monetary reward. However,
volunteers can expect other rewards such as recognition for work that
they do. The volunteer contracts to perform a specific job with certain
responsibilities and in return is entitled to certain rights. Both the volunteer
and the organisation have obligations to each other.
The following extracts from the Volunteering Queensland web site outlines
the roles and responsibilities of the organisation in relation to volunteers
and the complementary roles and responsibilities of volunteers within the
organisation.
Organisational rights
The right to:

• Receive as much effort and service from an unpaid worker as a paid one,
even on a short-term basis
• Expect conscientious acceptance of responsibilities as to promptness,
reliability and good performance
• Expect enthusiasm and belief in the work the organisation is doing
• Express opinions about poor volunteer effort in a diplomatic way and
suggest a change to another job

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• Make a decision as to where the volunteer would best fit

• Expect clear and open communication from the volunteer at all times
• Expect loyalty to the agency and only constructive criticism
• Expect effective work productivity from volunteers given leadership
responsibilities
• Release an unsuitable volunteer
Organisational responsibilities
To:
• Plan the volunteer program before recruiting volunteers
• Recruit, interview and select the right volunteer for the right job
• Provide written job descriptions and procedures for volunteer jobs
• Orientate volunteers by providing information about the organisation’s
purpose, structure, programs, policies and procedures
• Provide initial training and ongoing training where necessary
• Include volunteers in decision making where decisions affect volunteers’
work
• Keep records of volunteers’ goals, training and feedback support sessions
• Communicate clear expectations and provide the appropriate support
and supervision for volunteers
• Formally and informally recognise volunteers’ efforts in the organisation
• Continually evaluate the efficiency and effectiveness of volunteers in the
organisation
As a volunteer you have the right to:
• Be interviewed and employed as a volunteer in accordance with equal

opportunity and anti-discrimination legislation
• Information about the organisation for which you are volunteering
• A clearly written job description
• Know to whom you are accountable
• Be recognised as a valued team member
• Be supported and supervised in your role
• A healthy and safe working environment
• Be protected by appropriate insurance (refer to insurance info sheet)
• Say no if you feel you are being exploited
• Be reimbursed for approved out-of-pocket expenses
• Be advised of the organisation’s travel reimbursement policy
• Be informed and consulted on matters which directly or indirectly affect
you and your work
• Be made aware of the grievance procedure within the organisation
• Orientation and training to fulfil your role

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• Information about the organisation’s policies and procedures that affect

your work
• Have your confidential and personal information dealt with in
accordance with the Privacy Act
As a volunteer you need to:
• Be reliable
• Respect confidentiality
• Carry out the specified tasks defined in the job description
• Be accountable
• Be committed to the organisation
• Undertake training as requested
• Ask for support when you need it
• Give notice before you leave the organisation
• Value and support other team members
• Carry out the work you have agreed to do responsibly and ethically
• Notify the organisation as soon as possible of absences
• Adhere to the organisation’s policies and procedures
Source: http://www.volunteeringqueensland.org.au/education4.html#sub1
Your roles and responsibilities should be detailed in a job description which

will usually contain:
• An overview of the organisation, its purpose, structure and activities
• The place of the job in relation to other positions and roles in the
organisation
• The key tasks required of the job
• The responsibilities and accountabilities
• The capabilities or skills and knowledge required of the person
undertaking the job (sometimes divided into ‘essential’ and ‘desirable’)
• Terms of employment
Your role and responsibilities will also be affected by the legislative

framework of the organisation. We previously identified the following areas
of legislation as most likely to be applicable to all not-for-profits:
• State occupational health and safety laws and regulations
• Laws and regulations on employment
• Human rights legislation
• The privacy acts of federal and state governments
• State laws on the legal entity of your organisation whether it is an
incorporated association or a company limited by liability.

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There will be other state and federal legislation that applies to your
organisation relative to the nature of its programs and the sector it works in.
These too, will have an impact on your role.
QUESTION 3
How does this scenario compare with life when you were a young person?
If you are a young person now, what do you think life may be like in ten years
time
Education
Moving out of home and establishing themselves as independent adults is

one of the main developmental tasks for young people. In 2002 almost one in
eight adults aged between 25 – 34 were still living with their parents. Longer
periods of time spent in education and training and youth unemployment
have increased the number of young people who remain financially and
materially dependent on their parents into their mid-twenties, making
it harder to leave home. For those who do leave home, the experience of
independence may be short-lived and circumstances may mean they return
to the parental home.
LEARNING ACTIVITY 9
Clarifying the scope of your work role and responsibilities
1. Draw up a checklist of your role and responsibilities in your organisation

as you understand them to be and/or as specified in your job description.
2. Make a list of the areas of work that you encounter regularly, but which are
outside the scope of your work. In these cases, your responsibility is to refer
or report to someone else.
3. Discuss with your coach, supervisor to what degree you are responsible for
your own actions and collect examples. Clarify with them exactly what this
means in terms of the scope of your work practice.
4. Review the rights and responsibilities of a volunteer outlined by

Volunteering Queensland (above) and make any changes or additions to the
checklists you have drawn up.
4. Discuss with your coach, supervisor, colleagues or other appropriate

person what responsibilities you have in relation to key legislation affecting
the organisation. Make any amendments to your checklist based on these.

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5. Review the checklist with your coach, supervisor or appropriate Board

member, discuss the changes you have made, clarify any uncertainties you
have and seek their agreement that this is an accurate description of your role
and responsibilities.
6. For the next month keep a logbook of the work that you undertake and
what your are responsible for. Check that you are working within your role
specification or job description. If at any time, your are unclear of the scope
of your work practice clarify this with your coach or other appropriate person
within the organisation.
If appropriate, discuss and identify training or coaching that you can

undertake to perform your role and carry out your responsibilities more
successfully.
Following and clarifying instructions
Part of most people’s work will involve following instructions. The critical
factors in being able to follow instructions accurately are:
• Concentrated listening
• Clarifying anything you do not understand
• Make sure you know the what, why, when, where, with whom and how of
the instructions
• Asking to be shown what to do if your are unsure
• Asking someone to observe you and give you feedback on your
performance in carrying out the instructions
• Making notes or drawing diagrams if it helps you remember
• Gather any additional information you may need to complete the task
• Making sure you understand the meaning of any technical terms
• If the instructions are written, reading through all the instructions before
you start and seeking clarification on areas of uncertainty
• Seeking assistance if you encounter any difficulties
• Checking your job after it has been completed.
It is also important to be sure that what you have been asked to do falls
within your job role and responsibilities. If you have some concerns about
this seek clarification from your supervisor or colleagues.

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Clear instructions will usually:

• Explain the purpose of the task.
• Describe briefly what you are expected to achieve in completing the task.
• List equipment and/or facilities that you will need
• Break down the task into its component parts
• List each step to be taken in the correct order
• Use clear and simple diagrams or lists or demonstrate what is required.
LEARNING ACTIVITY 10
Following and clarifying instructions
Identify a task or activity that you wish to become competent in. It may be:
• Operating a certain piece of equipment, or
• Undertaking an administrative activity, or
• Conducting a certain type of communication task, like giving a
presentation, or
• Using a software package, or
• Organising an event, or
• Conducting a training session, or
• Auditing supplies, or
• Another of your own choice.
The task may have written instructions to follow or you may have to ask
someone to give you verbal instructions.
If you have written instructions, such as a manual, set aside some time to
read the manual, clarify any uncertainties with your coach and carry out
the instructions. Depending on the nature of the task you may need to have
someone observing you or coaching you. Check with your coach, supervisor
or colleagues first, especially with regards to any occupational health and
safety rules that apply. You may find additional instructional materials related
to your task on the Internet.
If you are going to receive verbal instructions, set aside a time convenient
for both yourself and you coach. Tell your coach what you want to be able
to do and why. Make use of the checklist about giving clear instructions (see
above).

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Carry out the instructions, clarify with your coach as needs be, practise until
you are confident and then make some reflective notes on the process using
the questions below.
• What was the task you performed? How complex was it? How long did it
take for you to carry it out accurately? Has it been checked?
• Were the instructions carried out in the agreed timeframe? If not, why
not?
• In what form were the instructions provided?
• What assisted you in understanding the task to be carried out?
• What were any difficulties you had? Why did they occur and how did
you address these?
• What additional assistance did you need, if any and how did this help?
• Identify three things about following instructions that you think are
critical for success.

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Topic 3: Working ethically

Values, beliefs and attitudes
We use the term ‘values’ to describe that which we ‘hold dear’ or regard as
important. We have personal values and we can identify group, organisational
or societal values. Differences in values occur between people and groups and
can lead to conflict. Tolerance implies recognition of other people’s rights to
have different values (although that is a value in itself!).
Your values will influence the way you work as a volunteer. Indeed they have
influenced your choice to work as a volunteer and the organisation you chose
to work with.
It is useful to clarify your own values. Search the internet under ‘values
clarification’ and you will find several web sites that have values clarification
exercises that you can undertake. Identify your top ten values and then rank
these.
‘Beliefs’ are what we hold to be true and often we can hold beliefs in the face
of contradictory evidence (although this borders on ‘faith’).
An ‘attitude’ can be described as a predisposition towards a person, object or

situation.
Values, beliefs and attitudes influence the way we respond to people and
situations, what we choose to do and how we undertake action. When
working in any organisation you are likely to encounter situations where you
have to work with people whose values, beliefs and attitudes are different
from yours.
Values and work
Conduct an appropriate person to interview or set up a small discussion

group to reflect on the following.
• What situations have you found yourself in where it is clear that your
client has an entirely different value system to yours?
• How has this affected your attitude to the client, your communication
and your relationship with the client?

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• What did you find difficult abut this situation?

• What strategies did you put in place to provide a quality service despite
opposing values?
• Do you believe that our organisation should provide services to anyone
despite their values, beliefs and attitudes? Where do we draw the line?
• So what are our organisation’s values?
What is meant by ‘ethics’?
The term ethics is used to describe codes or standards of behaviour that

are based on a shared understanding of what is right and wrong. They are
derived from values and belief systems and can vary from one culture to
another or from one group to another. In a society like Australia there is a
tendency toward shared notions of what is ethical although there will also be
differing views. Our shared ethics oblige us to refrain from violence against
others or to lie, cheat or defraud others. Our ethics uphold the value of
honesty. Ethics are often expressed as principles or codes of practice. They are
underpinned by values.
The following principles for volunteering from Volunteering Queensland

reveal values about respect for others, integrity, human rights and equity.
Volunteering:
• Benefits the community and the volunteer.
• Work is undertaken without monetary reward.
• Is always a matter of choice.
• Is not compulsorily undertaken to receive pensions or government
allowances.
• Is a legitimate way in which citizens can participate in the activities of
their community.
• Is a vehicle for individuals or groups to address human, environment and
social needs.
• Is an activity performed in the not-for-profit sector only.
• Is not a substitute for paid work.
• Do not replace paid workers and do not constitute a threat to the job
security of paid workers.
• Respects the rights, dignity and culture of others.
• Promotes human rights and equity.
Source: http://www.volunteeringqueensland.org.au/education4.html#sub1

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Organisational codes of ethics
Reviewing a code of ethics
Consider the following code of ethics for managers of volunteers from

Volunteering Queensland and identify the values that underpin it.
A manager of volunteers will:

• Agree to the definition of volunteering.
• Uphold and work to the Principles of Volunteering.
• Promote best practice volunteer management in their organisation.
• Ensure that their organisation has a written policy on volunteer
involvement.
• Ensure that the volunteer policy is implemented and adhered to.
• Ensure that the rights of volunteer staff are protected.
• Value the worth and work of volunteers in positive and tangible ways.
• Promote the broader volunteer movement.
• Not replace paid staff with volunteer staff.
• Not deploy volunteer staff in under-resourced program areas.
• Not deploy volunteer staff in positions vacated through industrial
disputes.
• Work in a manner that demonstrates that all staff are valued equally.
• Observe duty of care.
• Value and respect the role of manager of volunteers.
• Work to enhance and develop the role of managers of volunteers.
• Work to ensure that volunteer services are adequately resourced.
• Practice and observe high standards of confidentiality.
Dealing with ethical dilemmas and issues
Your organisation may already have a code of ethics. If so you can go straight
to the second part of this activity.
If your organisation does not have a code of ethics, arrange to spend some
time with colleagues, Board members or others in the organisation that can
help you identify:

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• The values that your organisation stands for, and then the behaviour or
work practices that would form a code of ethics.
• Seek agreement from the relevant constituents of your organisation for

the values and the code of ethics.
• Investigate the web site of the St James Ethics centre for advice on
developing codes of ethics (www.ethics.org.au).
• Get hold of a copy of your organisation’s code of ethics and read it

carefully. In your journal make a note of what the code of ethics means
for your own work practice as a volunteer. Draw up a personal code of
ethics for yourself as a volunteer.
• What formal processes does your organisation have in place for reporting
unethical practices? If there are no formal processes, develop these in
consultation with your coach, colleagues or Board members or suitable
others in the organisation. Seek approval of these and arrange to
disseminate them with the code of practice.
• Investigate the consequences of unethical behaviour in your organisation

and how ethical dilemmas are dealt with. Draw up a table which lists each
code of practice, identify one example of behaviour that would constitute
unethical behaviour against each particular code. Include unethical
practices that may involve clients and other workers. Then identify the
ways in which the organisation would deal with such unethical behaviour
and suggest a strategy for ensuring ethical practice. Finally, identify any
reporting procedures that apply. This is a very good test of whether the
code is expressed succinctly and whether the organisation is serious
about its code of ethics. An example is provided on the next page.

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Code Example of How to deal with Strategy to ensure Reporting

unethical practice the unethical ethical practice procedure that
practice for this applies
code and who to
discuss this with
The organisation A volunteer’s First of all discuss Have an annual
upholds and name, address this with the review at the
respects a and phone volunteer and see December Board
volunteer’s right to number are given if they want the and staff meeting
privacy. to a marketing issue addressed of the code of
company over the Identify who gave ethics. Discuss
phone without the information the types of
their permission. over the phone and behaviour that
point out to them would constitute
that this is not unethical work
ethical practice. practice and
If possible, contact the processes
the marketing for reporting
company and have and addressing
the name and unethical
details removed behaviour.
from their data
base.
Apologise to the
volunteer publicly.
QUESTION 4
How would you ensure that the decisions that you or your colleagues make
are ethical?
Dealing with ethical dilemmas
Dealing with ethical issues
Here are three scenarios where confidentiality is breached.
Graeme, a long serving Board member of the Regional Football League has
a brother, Peter, who’s heard that tenders are being called for renovations to
the club rooms. Peter wants Graeme to find out information about the other
tenders, to help him put the right numbers in his quote.

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Sarah has applied to the Board of Southcoast Community Assist for a job
as an administration officer. During the interview Sarah told the Board she
wants to get ahead in her career and said she was saving up her money to go
to college.
One of the Board members on the interview panel, Barry, knew Sarah’s
boyfriend, Glen and told him about the interview a couple of days later when
he bumped into him in the street. Glen, who didn’t know of Sarah’s plans was
upset and had an argument with Sarah about having secrets from him.
Elizabeth is employed as the administrative officer for the Hinterland

Performing Group. Part of her job is to handle the expense claims made
by Board members. The chairperson has recently claimed for two trips to
Sydney and has also claimed for expenses for meals with the visiting director
of the Theatre Arts Institute.
Elizabeth thinks that the chairperson is spending too much on this project
and tells her husband, Alan about it. Alan tells a couple of his mates while
they’re having a drink after work. When the chairperson walks into the bar,
one of Alan’s mates calls out “Hear you’ve been on a bit of a junket hey? Nice
work if you can get it”.
Naturally the chairperson is upset – he gave up two days of work for his
own company to travel to Sydney and believes that the partnership with the
Institute will be of great benefit to the Troupe. Also, the Board had endorsed
his proposal that personal contact be made with the Institute.
Answer the following questions about these scenarios:
1. What should Graeme do?
2. What did Barry do wrong?
3. Who can Elizabeth talk to

if she is concerned about the
chairperson’s expense claims?

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Topic 4: Client rights

Identifying your clients
The most common definition of ‘client’ is someone who pays for products
and services. In your work as a volunteer, however, your ‘client’ may not pay
for the services you provide or may pay a token fee. Often an organisation
has several clients. A not-for-profit organisation in the community services
sector, for example, may identify the following as clients:
• The users of the organisations services, for example, people with a
disability or unemployed youth
• The users’ parents or legal guardian or advocate
• The local community
• The government department that provides funding for the provision of
some of the organisation’s services and expects certain outcomes for its
money
• A philanthropic foundation that funds the organisation and expects
certain standards or codes of practice
• Other funding bodies
Profiling your clients
With the assistance of someone from your organisation, list the clients of
your organisation.
For each client group briefly describe the services that are provided.
For the rest of this unit we will focus on the clients or users of the services of
not-for-profit organisations in the community services and health sectors.
With the assistance of someone in your organisation develop a profile of

your clients. If you work in a small organisation you may be able to profile all
your clients in some detail. In larger organisations you may produce a broad
profile for clients in general or focus on one particular group for your profile.
Set out your profile as follows or adapt this to suit your own situation.

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Name of organisation:
Services provided:
Major client group:
Age of clients:
Identify age within ranges (e.g. 18-25 years, 26-40 years etc.) by percentage
or terms like ‘most’, ‘some’, ‘few’
Gender:
Number, percentage or approximation of males and females
Ethnicity:
Number, percentage or approximation of different ethnic groups
Location:
Number, percentage or approximation of the location of residences
Education levels:
Number, percentage or approximation of level of schooling or type of
qualification
Other information relevant to the client group:
Identifying client rights
Just as the not-for-profit organisation and the people who work in it have
rights and responsibilities towards each other, so do the clients of such
organisations. Clients will also have responsibilities. In some sectors such
as community and social services or health the rights of clients may be the
subject of a charter such as the one for aged care clients in Section 3 of this
unit. In other sectors such as sport and recreation or emergency services or
education the rights of clients are those of any citizen of Australia. Part of
the role of a volunteer in any organisation is to ensure that the rights of their
clients are upheld.
Rights may include:

• Privacy
• Confidentiality
• Freedom of association
• Informed and negotiated choice

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• To lodge a complaint
• To express ideas and opinions
• Access to services
• An agreed standard of care
An excellent overview of human rights can be found at the web site of the
Human Rights and Equal Opportunity Commission at: http://www.hreoc.
gov.au. Click on ‘Human Rights Explained’.
Responding to abuse and neglect of client rights
Responding to clients when their rights and interests are not being protected
Interview a colleague who has been a long term volunteer of an organisation

about how they go about upholding the rights of clients in their day to day
work practice and respond to clients when it appears that their rights are
not being upheld. This may be quite a challenge for some people. It may be
the first time they have thought about this, so your interview may be more
like a discussion where you share your thoughts and resources with them.
In volunteer organisations where client rights are made more explicit an
interview will be sufficient. The questions below are suggestions only, so
chose those which are relevant to your situation.
Suggested questions:
1. What do you understand to be the rights of our clients?
2. In what ways do we ensure that our clients’ rights are upheld?
3. Do we always seek the agreement of the client before we provide services?

Are there exceptions to this?
4. How do you encourage the client and/or their advocate to identify their
needs and express their concerns?
5. Have you experienced a situation where a client’s rights have been

neglected or abused? Can you describe this, please?
6. What action was taken to address the situation?
7. What action was taken to ensure such a situation did not happen again?

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8. Can you tell me what types of abuse tend to be experienced by our clients
and for each type what signs may be there that indicate abuse? You may like
to check against the following:
• Financial abuse
• Physical abuse
• Emotional abuse
• Sexual abuse
• General neglect
9. Can you provide me with some examples of the ways in which abuse of
client rights are documented and to whom are they reported, for example,
written reports, case notes, incident reports? Can you explain to me how
these are completed, what confidentiality standards apply and where they are
kept?
10. What improvements do you think can be made to our organisational

policies, procedures and/or work practices to more effectively uphold the
rights of clients?
11. If you have experienced and acted in a situation where a client’s rights
and interests were not being protected, compare your action with that of the
interviewee. On reflection, what strategies could you have put in place to
improve your response.
On completion of the interview make a presentation to the Board or your

colleagues or another appropriate group on how the organisation protects the
rights of clients and can do so more effectively.
Support for clients
Responding to clients when their rights and interests are not being protected
In some industry sector volunteers work with clients who have formal
support from advocates, carers or legal guardians. If this is the case for your
work as a volunteer take the opportunity to find out about the following:
• What are the names and contact details of the external agencies that
are available to support your clients such as complaints and advocacy
services, professional registering authorities, child protection authorities
etc.?
• Under what circumstances do you contact them? Is it your responsibility
to do so or do you need to refer to another person in your organisation?

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• What steps do you take in reporting or referring to such agencies?

• What documentation must be completed? (Collect examples)
• If your clients have legal guardians, what is the guardian’s role and
responsibilities?
Your role and responsibilities in regards to client rights
Your role and responsibilities in regard to client rights
Discuss with your coach, supervisor, a Board member, colleagues or another

appropriate person what your role and responsibility is if you observe the
neglect or abuse of client rights.
With their help, draw up a two columned table that lists in the first column
the types of abuse that could occur for your organisation’s clients and in the
second column, for each type of abuse, identify what signs you might observe
if the client were subject to this abuse.
Develop a checklist of the steps you should go through if you observe signs
of abuse. This will include immediate action and reporting and/or referral.
What you are required to do will reflect the scope of your job role. In some
cases, you may need to communicate with an advocate or legal guardian.
Managing complaints: policies and protocols
The first thing to remember about a compliant is that it is an opportunity

to improve your service. Dealing with a complaint successfully can mean
that the client who complained can be turned into a champion for your
organisation. You will also come to understand your clients needs more
fully and are likely to improve your reputation. What works well is a
complaints handling system, so check whether your organisation does have
a documented process for dealing with complaints. It may sound odd, but it
should be easy for a client to complain! The following are points to keep in
mind when handling a complaint.
• Be sympathetic and calm, even if you do not think the complaint is

justified
• Acknowledge that there is a problem and listen
• Clarify facts
• Write down the complaint and confirm this with the client
• Ask them what they want you to do and write this down, too

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• Depending on the scope of your job role, you may be able to meet the
client’s needs at this point or you will need to refer the complaint to
someone else in the organisation
• Tell the client what you are going to do and when and record this
• Remember, never to make promises you are not able to keep
• Take the necessary action.
• Follow up to check if the complaint has been addressed either directly
with the client or with the person authorised to handle the complaint.
Your role in managing complaints
Check with your coach, supervisor, a Board member or another appropriate

person about whether your organisation has a documented complaints
handling process. This may be in the form of a policy or a set of protocols.
If there is such a process, get a copy, read it through and make a note in your
journal or notebook about the scope of your role in handling complaints.
Discuss with your coach what type of complaints you are able to handle and
which types you must refer to someone else.
If your organisation does not have a complaints management policy or

protocols, suggest that one be developed and if appropriate, volunteer to
undertake the task. A search on the Internet or consultation with other
similar organisations will provide you with models you can adapt.

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Section Three: Resources

Sample Code of Ethics
Code of ethics for the residential aged-care sector
Source: http://www.ageing.health.gov.au/workforce/codetext.htm
This code of ethics was developed by the commonwealth government for the
residential aged care sector. The code is based on ‘an understanding of the
mutual obligations and interests of all the parties involved, including aged-
care residents and their families, and on the need for all partners to comply
with all relevant legislation, service agreements and other professional codes
of practice’. The code is derived from the values underpinning legislation and
is in addition to the Aged Care Act of 1997 and the principles within that Act.
A number of organisations, including not-for-profits are supporting the trial
of this code.
Code of ethics for residential aged care
The aged care sector recognises the need for the protection of fundamental
human values in the context of the common good of all who deliver and
receive residential aged care services.
As partners in the delivery of residential aged care services, providers

recognise that these fundamental human values derive from the inherent
dignity of the human individual.
In accordance with our expertise and in the context of our relationship to

residents we commit ourselves to protect the following rights of our residents:
• the right of individuals to be treated with respect;
• the rights of the individual to life, liberty, and security;
• the right of individuals to have their religious and cultural identity
respected;
• the right of competent individuals to self-determination;
• the right to an appropriate standard of care to meet individual needs;
• the right to privacy and confidentiality;
• the recognition that human beings are social beings with social needs.
And we will protect these rights no matter how frail, physically or mentally
disabled, or financially, socially or psychologically vulnerable the resident
may be.

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We further recognise that all partners in the delivery of aged care services
have the same fundamental human rights which carry with them the duties
and obligations set out in the Guide to Ethical Conduct.
Information on privacy
Privacy law
The Commonwealth Government Privacy Act of 1988 was amended in 2000

with the addition of new provisions for:
• Private sector business
• Health service providers
• Commonwealth and ACT government agencies.
All states and the Northern Territory also have legislation concerned with
privacy.
The private sector includes not-for-profit organisations with an annual

turnover of more than $3 million. The legislation applies to all health service
providers regardless of turnover.
Within the new privacy act are ten national privacy principles covering the
following areas:
1. Collection — Describes what an organisation should do when collecting

personal information. This includes rules about what information can be
collected, collecting information about a person from someone else and,
generally, what information you should give the person about the collection.
2. Use and Disclosure — Outlines how organisations can use and disclose
personal information. An organisation does not always need consent to use
and disclose information if they meet other conditions. There are special
rules about direct marketing.
3 & 4. Data Quality and Data Security — Sets the standards that
organisations must meet for the accuracy, currency, completeness and
security of personal information.
5. Openness — Requires organisations to be open about their privacy policy.

Organisations must give clients certain information about the way they
handle personal information in their organisation if the client asks for it.
6. Access and Correction — Gives the client of the organisation a general

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right of access to their own personal information and the right to have that
information corrected if it is inaccurate, incomplete or out of date.
7. Identifiers — Says that generally, commonwealth government identifiers

(such as the Medicare number or the Veterans Affairs number) can only be
used for the purposes for which they were issued.
8. Anonymity — Where possible, organisations must give clients the

opportunity to ‘do business’ with them without having to identify themselves.
9. Transborder Data Flows — Outlines privacy protections that apply to the

transfer of personal information out of Australia.
10. Sensitive Information — Requires the client’s consent when an

organisation collects sensitive information such as health information,
information about racial or ethnic background, or criminal records. Sensitive
information is a subset of personal information and special protection applies
to this information.
These principles are available in full at: http://www.privacy.gov.au/

Sample privacy policy
The sample privacy policy on the following page is adapted from http://www.
smithfamily.com.au/

CHCCS301A
The Smith Family is committed to protecting the privacy and confidentiality of our clients and
supporters.
The Smith Family supports and is bound by the Privacy Amendment (Private Sector) Act 2000 and
the National Privacy Principles
The Smith Family has always had a policy of protecting the personal information of our supporters
and clients. Indeed our name “The Smith Family” was a direct result of our founders wishing to
remain anonymous themselves.
Your privacy
We only collect personal information that is necessary for our work. We never disclose the personal
information of our clients or supporters to third parties, unless they are working directly on our
behalf or we are required to do so by law. Nor do we publish personal information in publications
or on our web-site, without explicit/express consent, unless required by law. We never sell, rent, lend
or give away our supporter list. Supporters may choose not to receive some or all of our supporter
communications.
The Smith Family also actively seeks to ensure that all personal information we collect is protected
from misuse, unauthorised access, modification or disclosure. We have internal data protection and
electronic data transmission procedures and all donations and communications made on-line via our
web-site are secure. Our web-site does not use cookies.
Individuals may request copies of the personal information The Smith Family holds and request
correction of any inaccuracies.
We only collect personal information that is necessary for our work. We never disclose the personal
information of our clients or supporters to third parties, unless they are working directly on our
behalf or we are required to do so by law. Nor do we publish personal information in publications
or on our web-site, without explicit/express consent, unless required by law. We never sell, rent, lend
or give away our supporter list. Supporters may choose not to receive some or all of our supporter
communications.
web-site are secure. Our web-site does not use cookies.
Individuals may request copies of the personal information The Smith Family holds and request
correction of any inaccuracies.
Privacy and our clients

Protecting the privacy and confidentiality of the Australians we help is essential in preserving dignity
and providing respectful assistance.

CHCCS301A
How do we use your personal Information?
Personal client information is collected and used by The Smith Family, only with client consent, in
order to provide the best possible assistance and:
To assess if clients meet The Smith Family entry and eligibility criteria for specific programs
To provide selected non-identified information about Learning for Life students to their Learning for
Life sponsors
For internal reporting purposes
To continuously improve and develop our Community Programs
To assess the effectiveness of Community Programs
To assess the nature of need in the community
To plan our future programs
Consent is always sought in using personal and sensitive information for The Smith Family’s research
purposes. This information, however, is always de-identified prior to analysis and individual clients
cannot be identified from any research analysis or report.
Disclosure
Client information is never disclosed to other organisations or individuals without the client’s
consent, unless they are working directly on our behalf or we are required to do so by law.
In some cases, personal information (but never sensitive information) is supplied to contractors who
perform some of these tasks directly on our behalf, (for example mailing houses who send out our
letters or research agencies) who must sign strict privacy and security agreements and are also bound
by the National Privacy Principles.
These agreements ensure that these contractors keep personal information confidential and do not
use it for any other purpose other than the work we have contracted them to perform.
Protection of personal information

web-site are secure.

CHCCS301A
Web sites
Volunteering Australia
http://www.volunteeringaustralia.org/about/aboutus.html
Volunteering Australia (VA) is the national peak body working to advance

volunteering in the Australian community. VA has a number of information
sheets for volunteers and volunteer involving organisations available on its
web site and in hard copy.
All state/territory volunteering centres can be accessed from the following VA

page:
http://www.volunteeringaustralia.org/links/links_statevc.html
A list of VA publications is available on:

http://www.volunteeringaustralia.org/publications.php
The Non-profit Governance and Management Centre
http://www.governance.com.au/ResourceGuide/ResourcesGuideHome.htm
The web site of the Non-profit Governance and Management Centre

offers information on a range of resources on governance, management ,
administration, legal and financial matters and other topics.
Information on the law
Information on state laws at: http://www.law4u.com.au/
The law portal: http://www.lawportal.com.au/full_screen.asp also lists all acts

including federal.
Australia Law Online at: http://law.gov.au/portal/auslawonline.nsf/

Home?ReadForm provides fact sheets as does Aussie Legal at: www.
aussielegal.com.au
There is easy access to actual legislation through Law Map at: http://www.
lawmap.com.au/ Click on law topics and scroll down to the area you are
interested in, for example, Human Rights and then a page will open up with
a list of Australian and international laws, for example, the Federal Disability
Discrimination Act of 1992. Click on ‘act’ and you are taken to the actual act
itself.

CHCCS301A
See also: http://law.gov.au/
The privacy principles are available in full at: http://www.privacy.gov.au/

Human rights
An excellent overview of human rights can be found at the web site of the
Human Rights and Equal Opportunity Commission at: http://www.hreoc.
gov.au. Click on ‘Human Rights Explained’.
Ethics
A useful resource of codes of ethics including many examples: The Centre

for the Study of Ethics in the Professions, Illinois Institute of Technology at:
http://www.iit.edu/departments/csep/PublicWWW/codes/
The University of Adelaide library provides a range of links on ethics at:

http://www.library.adelaide.edu.au/guide/hum/philosophy/prof_ethics.html
The St James Ethics Centre is a fully independent not-for-profit organisation

which provides a non-judgmental forum for the promotion and exploration
of ethics and ethical decision making. Check their web site at: http://www.
ethics.org.au/
ourcommunity.com.au, Ethical Solutions: The essential guide to

implementing an ethics program.
See: http://www.ourcommunity.com.au/marketplace/marketplace_article.
jsp?articleId=897 for a table of contents and ordering of this text

CHCCS301A
Section Four: Demonstrating competence

How to assess your current competency
When the word assessment is used, many people immediately think of a

written examination that is set by a teacher and completed at the end of a
course of study. This is not what is meant by assessment in this learning
context. Assessment is part of being a self-directed learner and is done when,
and if, you choose to demonstrate your competency in a range of work skills
and knowledge
An important element of competency-based assessment is the assessment

you do yourself. This may involve a quick reflection on how well you are
doing, or a more structured exercise where you use a checklist to record
your assessment of your skills and knowledge in the intention of getting
recognition for your learning.
You can demonstrate competence in a range of ways. You may have records
from previous work or be able to get someone to write a report on your
competency (this is called third-party evidence). You may be able to show
someone what you have learned or have someone observe you while working.
In some areas of competency it may be difficult to produce documentary
evidence because demonstration of competency is very context specific. In
these cases direct observation or a third-party report are the most useful
forms of evidence.
Using the self-assessment exercise as part of a formal assessment process
If you complete the self-assessment activity in this learning guide you have
self assessed your skills and knowledge related to the following national
industry competency standard:
CHCCS301A Work within a legal and ethical framework
The fact that the learning guide and the self-assessment activity use this
national industry competency standard can help you to receive a nationally
recognised certificate called a Statement of Attainment for this unit. Because
the unit is part of the Certificate III in Active Volunteering and is also used
in a range of Community Services qualifications you can use the statement of
attainment towards receiving a full qualification.

CHCCS301A
Your assessor will be able to give you details of these qualifications if you are
interested.
If you are doing the self-assessment as part of a formal competency

recognition exercise, you may find that the best way for competency to be
demonstrated would be for someone to observe you at work as a volunteer.
This could be a colleague or a supervisor or a qualified assessor. If you ask
a colleague or supervisor to observe you, they will need to be able to report
to the assessor on your performance. As well as or instead of being observed
you could talk to an assessor yourself and explain how you go about your
work (using the questions in the self-assessment exercise as a framework).
To be assessed as competent in working within a legal and ethical framework

you will need to meet the elements of competency to the level expressed in
the performance criteria (see Appendix One).
Gaining formal recognition for competencies gained
This learning guide is not a set of instructions to be followed or a formal

course. This means that learners who use the guide should not expect to
automatically receive a formal award. However, the topics and activities in
this learning guide are based on national industry competency standards that
are endorsed by the Australian National Training Authority.
This means that if you can demonstrate that you are competent in the topics
covered and can meet the performance standards described in the unit of
competency, you are eligible to receive formal national recognition of your
competency. You can apply to a Registered Training Organisation (RTO) for
recognition and receive a national certificate called a Statement of Attainment
that counts towards a national qualification.
You may not wish to gain any formal qualifications for your work as a
volunteer. However, there may be advantages if you are applying for paid
work as the Statement of Attainment can be used to demonstrate your
capabilities. Also, because individual units of competency are part of national
qualifications, if you enrol in a national qualification and have formal
recognition for one or more units you can apply for credit which means that
you do not have to complete that or those units again.

CHCCS301A
How do I get a statement of attainment?
You need to contact an RTO in your region and tell them that you want to
apply for formal recognition of your voluntary work activities. Tell them
the name and national code of the unit you are applying for and ask them
whether this unit is within their Scope of Registration.
The name and national code of the competency standard is shown in the
self-assessment exercise and on the title page of the learning materials.
The questions in the sample self-assessment exercise are based on the
performance standards for the unit titled (CHCCS301A) Work within a legal
and ethical framework.
Also find out how much they will charge you. TAFE is one well-known RTO
found in most parts of Australia, but there are also many more RTOs.
Formal recognition is usually Recognition of Current Competency (RCC) or

sometimes called RPL, which stands for Recognition of Prior Learning but
often called just plain ‘Recognition’.
How do I contact a Registered Training Organisation (RTO)?
You can find the contact details for the RTO in your region on the National
Training Information Service web site: www.ntis.gov.au
You can also find out about RTOs in your region by contacting your state
training authority, your local council or looking up training in a local phone
directory. Also, your own organisation may already have a relationship with
an RTO or be able to direct you to one.
What counts as evidence of competency?
If you wish to receive formal recognition for your work as a volunteer, you
will need to be able to demonstrate that you are competent. There are a
number of options for demonstrating competence. For example, you might:
• Present a portfolio of documentary evidence (how to do this is explained

below)
• Arrange for an assessor to observe you carrying out a task or set of
tasks. You may also have a brief discussion with the assessor to answer
questions about the knowledge that underpins competently performing
the task
• Arrange for a colleague or work supervisor to observe you at work and
make a verbal or written report on your behalf to an assessor (this is
called third-party evidence and is explained in more detail later in this
section)

CHCCS301A
• Make a formal presentation on a work related topic (e.g. to demonstrate

your communication skills or your knowledge of a new procedure)
• Manage and carry out a project and keep a record of the planning and
outcomes
• Produce a written report or other documentation of relevance to the
organisation and your role
This learning guide contains learning activities that you can use to gather
evidence of competency for formal assessment purposes if you wish to gain a
formal qualification.
The following workplace documents may be useful as evidence of

competency in elements of communications:
• Reports you have written

• Notes from phone conversations
• Logbooks or diary entries
• Testimony from your supervisor
• Forms and short reports
• Processes you have designed
Building an evidence portfolio
An evidence portfolio is simply a collection of documents and other

documentary evidence (such as film or photographs) that show what work
you have done and the skills and knowledge you have developed. There are a
number of reasons why you might put together an evidence portfolio:
• So that you can demonstrate competency to a qualified assessor and

apply for formal recognition of competency
• For your own records and as part of your curriculum vitae
• As a resource to use in your role as a volunteer or in other work
• As a reference for your own further learning and as a resource to assist
others you may train and coach
What does an evidence portfolio look like?
Again this depends on the purpose of the portfolio. If you are building
an evidence portfolio to apply for formal recognition against nationally
endorsed units of competency, then the documentary evidence you collect
should be organised according to the elements and performance criteria for
the unit of competency.

CHCCS301A
All of the contents of this learning guide - including the self-assessment

exercises and topics - are based on the elements and performance criteria for
the relevant unit.
The sample self-assessment activity in Appendix One uses the elements as

headings and has turned the performance criteria into questions about level
of competency.
Demonstrating competency in working within a legal and ethical frame-

work
If you are building a portfolio to demonstrate competence in working within

a legal and ethical framework, you can use the self-assessment exercise as a
framework for organising existing evidence of competency and evidence you
collect by working through this guide.
If your evidence portfolio is to include evidence of what you have learned

using this guide you should ensure that you keep copies of the learning and
assessment exercises you have completed.
Examples of evidence you might collect from your previous experience might
include:
• Statements from a work supervisor or colleague (third-party reports)

• Sample documents such as reports, checklists, policies, procedures,
action plans etc.
• A written report on how you dealt with an issue such as confidentiality
When you have completed the self assessment activity and noted down
what evidence of competency you are able to provide, you should assemble
this evidence and attach it to the completed self assessment activity. The
information in the completed self assessment activity together with the
supporting evidence can then be submitted to an assessor.
NOTE:
Appendix One contains a sample, completed self-assessment template that

you can use as a guide in completing your own self-assessment.

CHCCS301A
Appendix One:
Example of a completed self-assessment activity
CHCCS301A: Work within a legal and ethical framework
The following sample self-assessment activity shows the way an experienced

volunteer worker may demonstrate competency.
Simon Prentice has worked as a volunteer for the North Central Region
Football League. His two sons play in the junior team and Simon is a member
of the Junior Team Board. He is an active participant in local community
events organised by the League. Simon also operates his own business as an
accountant.
NAME Simon Prentice

DATE 17-09-05
NAME OF ORGANISATION (if applicable) NCRFL
Key to completing columns 1, 2 or 3:

2 = I might sometimes need some help
Demonstrate an understanding of legislation and common law relevant to your work

role
Can you/do you know how How well can What evidence do you have to
to …? you do this? demonstrate this?
1 2 3
Work in a way that reflects  As a Certified Practicing Accountant,
an understanding of the legal I have a detailed knowledge of the
responsibilities of your work legal responsibilities of my role as an
role. accountant, and have been able to
Work within the key statutory  transfer this knowledge to my role
and regulatory requirements as a volunteer. I would be able to
of your role. demonstrate my competency through
Fulfil duty of care  listing the areas of law that apply to
requirements in the course my voluntary role and illustrating
of doing your work. how I act in compliance with them
Accept responsibilities for  My fellow Junior Team Board
your own actions. members could attest to my ability in
Maintain confidentiality.  this regard
Appendix One 71
CHCCS301A
Seek the agreement of the  This is not something my voluntary

client or clients before role calls on me to do, however I can
providing services. provide sample agreement forms used
in my accountancy practice
Following your organisation’s policies and practices
Can you/do you know …? How well can you What evidence do you have
1 2 3
Perform your work within the  I headed the committee that
organisation’s policies, protocols and redrafted OHS policy and
procedures. procedures for the league
(based on the state OH&S
laws) and can provide a copy
of these.
Contribute to reviewing and  I was on the policies and
developing policies and protocols. review committee last year
and can provide meetings
minutes showing my
contribution.
Work within the specifications of your  My fellow Junior Team Board
position. members could attest to my
Clarify uncertainties about the scope  ability in this regard.
of your work.
Seek clarification of unclear  The club manager who
instructions. organises the work of
volunteers could attest to my
capacity
Appendix One 72
CHCCS301A
Work ethically
Can you/do you know …? How well can you What evidence do you have
1 2 3
Protect the rights of clients when  This is part of the
delivering services to them. competency I exercise in my
work as an accountant.
Use problem-solving techniques to  I recently chaired a working
deal effectively with different and party responsible for
competing value systems. organising the Youth for
Provide services despite different  Tolerance in Sport campaign.
values, beliefs and attitudes. This involved us in working
Discuss potential ethical issues and  closely with a wide range
dilemmas. of community groups, and
addressing issues of racism
Recognise and report unethical 
in sport. My fellow working
practice.
party members could
attest to the success of our
campaign and the way we
were able to solve problems
that were to do with different
values
Respond to infringements of clients’ rights and interests
1 2 3
Help a client or their advocate identify  I do this regularly with
and express their concerns. clients and their needs are
documented in their files. I
can provide a mock file based
on my experiences.
Refer to an advocacy service.  This is not something I have
done although I am familiar
with what is involved
Appendix One 73

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(CHCCS301A)

Work within a legal and ethical

Learning Guide for Volunteers

This learning guide is based on the national industry unit of competency

Commonwealth of Australia 2004

Published by Volunteering Australia

Enquires should be directed to

National Volunteer Skills Centre

Margaret Taylor, Learning Edges Australia Pty. Ltd.

Work within a legal and ethical framework ii

Section Two: Leaning materials 17

Work within a legal and ethical framework iii

Topic 1: Understanding legislation and common law 27

Topic 2: Organisational policies and practices 39

Topic 3: Working ethically 47

Topic 4: Client rights 53

Section Three: Resources 59

Section Four: Demonstrating competence 66

Work within a legal and ethical framework iv

What does an evidence portfolio look like? 69

Section One: Introduction v

Section One: Introduction

Whether you are a volunteer in a small community organisation or a larger

How the guide is organised

The learning guide is divided into four sections:

Section One - Introduction to the learning guide and to self-directed

Section Three - Resources contains further references and other materials

Section Four - Demonstrating competence is a guide to collecting evidence

Section One: Introduction 1

About this competency

CHCCS301A Work within a legal and ethical framework

Operate in accordance with accepted instructional practices, styles and

Element 1: Demonstrate an understanding of legislation and common law relevant to

Element 2: Follow the organisation’s policies and practices

Section One: Introduction 2

Element 3: Work ethically

Section One: Introduction 3

What topics are covered?

1. Understanding legislation and common law

• To learn and practice new skills

Each learning activity is accompanied by the heading:

LEARNING ACTIVITY NO.

Learning activity name

Section One: Introduction 4

In some topics, in addition to learning activities that can be used for

Section One: Introduction 5

Planning your learning

• involves you in working within a legal and ethical framework, and

The learning guide is not a set of instructions to be followed; nor is it a

If you have not had any experience working in a not-for-profit organisation

Section One: Introduction 6

If you are enrolled in a training program at a TAFE Institute or other

Section One: Introduction 7

Working out your current skills and knowledge

The self-assessment activity is based on three questions:

If you can produce evidence of current skills and knowledge in an area

There is more information on collecting evidence in Section Four of the

An important note about assessment and formal recognition of competence

This learning guide is not a set of instructions to be followed or a formal

Section One: Introduction 8

If you would like to get a nationally recognised Statement of Attainment for

Section One: Introduction 9

Section One: Introduction 10