What We Do
Ethics FAQs
If you would like more information on any of these topics, please do not hesitate to contact the Ethics Consultation Service on 03 9642 2307 or at ethicsconsult@aasw.asn.au
Topics
- Mandatory Reporting (
pdf version) - Writing Court Reports
- Consent and Working With Children
- Case Note Recording ( pdf version)
- 'You've Been Served' - Responding to a Subpoena ( pdf version) *Currently under review
- International ethics - Australian Social Workers overseas (pdf version)
- Supporting ethical practice in the workplace ( pdf version)
Topic: Mandatory Reporting
Q: As a Social Worker, do I have a legal obligation to report suspected child abuse?
Q: Who is mandated to notify in each jurisdiction?
Q: As a Social Worker, do I have an ethical obligation to report suspected child abuse?
Q: As a Social Worker, do I have a legal obligation to report suspected child abuse?
Legal obligations to report child abuse vary according to the State or Territory and the relevant requirements of Federal and State law. The Australian Institute of Family Studies has prepared a detailed resource sheet, available here, which outlines:
- State and Territory-based professional and individual responsibilities
- The definition of a notifiable concern as outlined in relevant legislation in each State or Territory. This generally refers, for example, to “a belief formed on ‘reasonable grounds’”
- The types of abuse that must be reported. For example, in the ACT it is mandatory to report physical and sexual abuse, while in NSW you may also be mandated to report neglect and exposure to family violence.
- The applicable sections of legislation and / or regulation
The following provides a summary of current information on the mandatory reporting requirements in each State and Territory.
Who is mandated to notify in each jurisdiction?
ACT
Doctors, dentists, nurses and midwives, teachers, police officers, school counsellors, child-care providers, public servants providing services relating to the health or well being of children, young people or families, the public advocate, an official visitor; a person who, in the course of employment, has contact with or provides services to children, young people and their families and is prescribed by regulation. Note: Social work is not currently regulated in Australia
NSW
Persons who deliver health care, welfare, education, children's services, residential services or law enforcement wholly or partly to children. A person who holds a management position in an organisation, the duties of which include direct responsibility for, or direct supervision of, the provision of health care, welfare, education, children’s services, residential services or law enforcement, wholly or partly to children
NT
Any person with reasonable grounds and registered health professionals. Reasonable grounds is the belief that a child has been or is likely to be a victim of a sexual offence; or otherwise has suffered or is likely to suffer harm or exploitation
QLD
An authorised officer, employee of the Department of Communities (Child Safety Services), person employed in a departmental care service or licensed care service under section 148 of the Child Protection Act 1999; a doctor or nurse; the Commissioner for Children and Young People
SA
Doctors, pharmacists, nurses, dentists, psychologists, police officers, community corrections officers, social workers, teachers, family day care providers, employees/volunteers in a government department, agency or instrumentality, or a local government or non-government agency that provides health, welfare, education, child care or residential services wholly or partly for children; ministers of religion (with the exception of disclosures made in the confessional); employees or volunteers in a religious or spiritual organisation
TAS
Doctors, nurses, dentists, dental therapists or dental hygienists; registered psychologists; police officers; probation officers; principals and teachers in any educational institution; persons who provide child care or a child care service for fee or reward; persons concerned in the management of a child care service licensed under the Child Care Act 2001; any other person who is an employee of, for or in, or who is a volunteer in, a government agency that provides health, welfare, education, child care or residential services wholly or partly to children, and an organisation that receives any funding from the Crown for the provision of such services; and any other person of a class determined by the Minister by notice in the Gazette to be prescribed persons
VIC
Police, doctors, nurses and teachers and principals of government and non-government schools
WA
Court personnel, family counsellors, family dispute resolution practitioners, arbitrators or legal practitioners representing the child’s interest
Licensed providers of child care or outside school hours care services. Doctors, nurses and midwives, teachers and police officers
Q: As a Social Worker, do I have an ethical obligation to report child abuse?
Regardless of mandatory reporting requirements, Social Workers have ethical responsibilities to the children and families with whom they work.
It is the view of the AASW, according to the values and guidelines of the Code of Ethics (2010) that Social Workers have an ethical obligation to:
- protect and promote the rights and wellbeing of children who are experiencing abuse and / or neglect
- to support vulnerable families
There are many possibilities for responding to the needs of vulnerable children and families, and clearly any action taken will be dependent on specific circumstances.
As a general rule Social Workers should make a report to child protection whereby doing so will or could prevent an actual, identifiable risk of harm to a child or children and where appropriate steps have been taken to meet ethical obligations to the client(s) e.g. child, parent or guardian, family.
Further guidance on making a determination regarding ‘actual harm’ as well as Social Workers general ethical responsibilities are outlined below in relation to practice competence.
Social Workers can also access the Ethics Consultation Service on 03 9642 2307 or at ethicsconsult@aasw.asn.au for further information or for support in addressing specific ethical issues in practice.
Q: What are the general ethical guidelines when responding to the needs of vulnerable children and / or families?
Many aspects of the Code of Ethics (2010) are relevant and should be considered in any decision-making process and in practice with vulnerable children and families.
These include:
- Professional Boundaries and Dual Relationships (Code of Ethics Section 5.1.6)
- Conflicts of Interest (5.1.7)
- Informed Consent (5.2.3)
- Information management (incorporates issues of confidentiality 5.2.4 and record-keeping 5.2.5)
- Case Note Recording (5.2.4 and 5.2.5)
- Working in Private Practice (5.5.3 and 5.5.4)
- Responding to a Subpoena
- Of additional and particular relevance to assessing and responding to the needs of children and families are issues related to practice competence (5.1.5)
Social Workers should ensure they have the practice competence or access appropriate support in making a determination regarding the needs of children and families. Critical issues include:
Current knowledge and understanding of relevant theoretical and practice issues (5.1.5 a, b) such as:
- child development and attachment
- different types of abuse and neglect and their impacts on children including trauma theory
- relevant risk and protective factors
- diversity of family structures, dynamics and systems with consideration given to cultural variation
- the relevance and ongoing impact of past child welfare practices on Aboriginal and Torres Strait Islanders
- human and child rights
The Australian Human Rights Commission is a useful starting point for finding out more current children’s rights and human rights issues, literature and developments in Australia.
- reflective and reflexive practice principles including access to supervision and / or specialist consultation (such as with child protection intake teams) where appropriate (5.1.5 c) and awareness of any issues likely to impact or impair professional judgement (5.1.5 d, e, f)
- organisational policy and procedure with regard to the assessment, provision of support and referral of vulnerable children and families
- applicable legislative requirements
- awareness of local child and family welfare services and the supports they may be able to provide
- consideration of other services that may be more appropriate in responding to the identified needs of a child and / or family.
Q. What are the legal requirements for reporting domestic or family violence in the Northern Territory?
In February 2009, the Domestic and Family Violence Amendment Bill was passed by the Northern Territory Parliament and commenced on the 12th March 2009. This amendement means that adults (anyone 18 years or older) are required by law to report domestic and family violence to police if they think someone has, or is likely to suffer serious physical harm from family violence. Please click here for a link to the Northern Territory Government's fact sheet on this legislation or visit http://www.stopfamilyviolence.nt.gov.au for more information.
Topic: Writing Court Reports
Q: As part of my work, I am required to write a Court Report. Are there any guidelines on how to write a Court Report?
A: Although there is no standard Australia wide document available to provide detailed information on how to write a report for Court, there are several options to assist social workers with Court Report writing. If your place of work regularly submits Court Reports, many of your colleagues may have expertise in how to correctly approach the task. Additionally, many Government and Non-Government Agency websites have tips on how to write Court Reports. Below is a list of websites, which include resources that may be of assistance:
- Federal Magistrates Court of Australia Family Reports Fact Sheet
- South Eastern Centre Against Sexual Assault (SECASA) Australia
- Shopfront Youth Legal Centre: Preparing a Court Report
For an informative article that examines the content and structuring of Court Reports by Social Workers in Australia, read Phillip Swain's article 'No Expert Should Cavil At Any Questioning: Reports and Assessment for Courts and Tribunals', in Australian Social Work, Volume 58 (1), 2005, pages 44-57.
Additionally, Healy and Mulholland's (2007) book Writing Skills for Social Workers, contains information on writing reports for the Court.
From time to time, private providers run training courses on how to write Court Reports. To learn about training opportunities in your area, please visit our events page.
The AASW Code of Ethics (2010) (section 5.2.5 Records) provides guidance on how to impartially and accurately record client information. This section may also be of use in assisting with writing Court Reports.
Topic: Consent and Working With Children
Q: Up to what age do I need to attain parental consent when working with young clients?
A: There is no Federal, State or Territory law that establishes a uniform age whereby Social Workers must obtain parental consent to work with children. In the absence of such Legislation, Social Workers are required to make a professional judgment on the level of understanding and maturity of the child involved.
The AASW Code of Ethics (2010) Section 5.2.3 Informed Consent discusses the need for Social Workers to assess the 'maturity and level of understanding' of child clients in relation to gaining informed consent. Accordingly, Social Workers have a responsibility to:
- Identify relevant legislative requirements in relation to informed consent (see 5.2.3 d)
- Assess the ability of a child or young person to give informed consent to enter into a therapeutic relationship (see 5.2.3 e)
- Provide social work services to a child or young person able to give informed consent without informing their parents or guardians. However, where appropriate, the issue of the child or young person informing their parent or guardian should be discussed (5.2.3 f)
- Children and young people who are able to provide informed consent have the same rights with respect to confidentiality as adult clients including the right to refuse social work services (5.2.3 g)
- Social Workers will obtain consent from the child or young persons parent or guardian if they are deemed unable to give informed consent (5.2.3 h)
Additionally, section 5.2.2 Client self-determination establishes that Social Workers 'will promote the self-determination and autonomy of clients, actively seeking to enable them to make informed decisions on their own behalf'.
Many Agencies will have their own clear requirements and guidelines when establishing whether or not parental consent is required. If you are unclear on whether you need to establish parental consent to work with a young person, use of an Ethical Decision Making tool or collaboration with your colleagues and supervisors may be able to assist you to work through the process of determining whether the child in question has the required maturity and level of understanding to give informed consent without the need to obtain parental consent.
Topic: Case Note Recording
A pdf version can be downloaded here
Case notes are an integral and important part of practice for many Social Workers. Research has shown that record-keeping practices have an impact on client outcomes such that poor case notes can result in poor decision-making and adverse client outcomes (see Preston-Shoot 2003, Cumming et al 2007).
A ‘case note’ is the term applied to a chronological record of interactions, observations and actions relating to a particular client.
Q: What information should be included in a case note?
Q: How should this information be represented in a case note?
Q: How and when should case notes be recorded?
Q: Can I change or amend a case note at a later date?
Q: What are my legislative responsibilities with regard to case note recording?
Q: How should I plan for the termination of a service or support with regard to case notes?
Q: What information should be included in a case note?
The guiding principle for deciding what information should be included in a case note is whether it is relevant to the service or support being provided.
The type of information that is considered relevant will clearly depend on the context of practice, however the AASW Practice Standards 2003 provide some broad guidance. This may include:
- a range of biopsychosocial, environmental and systemic factors impacting on the client. This includes consideration of an individuals culture, religion and spirituality
- risk and resilience factors
- facts, theory or research underpinning an assessment
- a record of all discussions and interactions with the client and persons / services involved in the provision of support including referral information, telephone and email correspondence
- a record of non-attendance, either by the Social Worker or client, at scheduled and agreed meetings or activities
- evidence that the Social Worker and client have discussed their respective legal and ethical responsibilities. This may include:
- client rights, responsibilities and complaints processes
- the parameters of the service and support being offered and agreed to
- issues relating to informed consent, information sharing, confidentiality and privacy
- efforts to promote and support client self-determination and autonomy
- specific responsibilities to clients in particular settings such as private practice or rural settings as per the Code of Ethics 2010
- professional boundaries and how dual relationships may be managed
- record keeping and freedom of information
- discharge planning
- relevant legislative requirements and their possible implications for practice
- details of reasons and any related actions or outcomes leading up to or following the termination or interruption of a service or support.
Q: How should this information be represented in a case note?
There are a number of case-writing models available to Social Workers. Some of them provide general guidance for writing case notes, such as the ‘Summary Style’, while others are specific to a service type or context, such as the STIPS model.
In addition, many organisations have policies and procedures around case recording.
The AASW does not recommend the use of one model or policy over any other, however the Code of Ethics 2010 points to some general principles for good record keeping.
Information recorded about a client should be impartial, accurate and complete with care taken to ensure that:
- only details relevant to the provision of a support or service to which the client has consented are recorded (see sections 5.2.5 (a) and 5.2.4 (b)).
- when working with involuntary clients this means recording information relevant to statutory practice (see also 5.2.2).
- notes are free from derogatory or emotive language (5.2.4 (a))
- subjective opinions are qualified with relevant background information, theory or research (5.2.5 (a))
- relevant information is not omitted (5.2.5 (c))
When recording information about third-parties, such as information about a clients’ relationship with significant others, it is equally important to separate fact from opinion.
Q: How and when should case notes be recorded?
Case notes can be recorded manually or electronically and should:
- include on each page the name and DOB or other identifying information of the client. This can be handwritten, typed or constitute an electronic tag where an electronic case recording program is utilised.
- be dated
- be recorded as soon as possible after an interaction or event
- be typed or clearly readable if handwritten
- include the name, signature and profession / role of the author
- the time of contact, particularly where there are a high volume of interactions in a day
Q: Can I change or amend a case note at a later date?
Care should be taken to avoid errors or omissions. In some instances it is illegal to change, white-out or amend case notes after the fact.
If a change must be made to correct an error or omission, the change can be recorded as a new and separate case note. In addition to outlining the error or omission as part of this new case note, it is advisable to provide an explanation for it earlier absence or inaccuracy. You may also add, if possible, a note in the margin of the original case note referring the reader to the additional or amended detail.
A case note should never be amended or changed in light of additional information obtained at a later date. This should always constitute a new case note.
Q: What are my legislative responsibilities with regard to case note recording?
Case notes may be subject to a range of legislative processes and requirements during and following the conclusion of the professional relationship.
The nature of these requirements may differ greatly according to the State and nature or context of practice. Statutory bodies, for example, are subject to Freedom of Information legislation, which may differ slightly from State to State.
In any context, notes can be subpoenaed for any number of reasons. Processes for responding to a subpoena may differ depending on the Court and similarly organisations may vary in their policy and procedure for doing so.
Finally, organisations may have policies and procedures for ensuring these and other legislative obligations are met, in addition to general guidelines for case note recording and management.
For these reasons it is important for Social Workers to:
- be familiar with the specific legal requirements and processes impacting on practice
- consider the implications of Federal and State legislation to the recording of case notes, and
- understand how these requirements are implemented within their organisation (where relevant)
- understand what policies and procedures may need to be implemented when working in private practice.
Q: How should I plan for the termination of a service or support with regard to case notes?
As noted earlier, Social Workers should include details relating to the termination or interruption of services or supports in case note entries leading up to or following the end of the professional relationship.
However, it is also possible that the termination of service is unanticipated. This might include instances where the Social Worker is incapacitated or unable to continue employment or practice. These are particularly salient issues for Social Workers who are not part of team, work in private practice or are geographically isolated.
It is particularly important therefore to ensure that case notes are maintained and updated as soon after an interaction or event as practicable.
This possibility raises a number of issues in relation to security, confidentiality, storage and sharing of client information in the event of an unanticipated termination of service. These issues will be addressed in detail in the FAQ’s on:
- Information management
- Working in Private Practice
- Remote Service Delivery
Please check back to our webpage at a later date for more information on these upcoming FAQ’s.
‘You’ve Been Served’ – Responding to a Subpoena / Summons
A pdf version of this FAQ can be downloaded here.
Requirements and processes relating to subpoena’s vary greatly according to the jurisdiction and type of Court e.g. Civil, Criminal, Children’s or Family Courts.
The information provided here may not apply to your specific situation therefore it is critical that in every instance, you seek independent and specialist legal advice.
It is always advisable to consult the issuing Court to clarify your obligations when responding to a subpoena.
Links to further information on the structure, function and proceedings of all Federal or State Courts can be found here http://www.nla.gov.au/oz/law.html under the heading “Law by jurisdiction”.
Q: Do I have to respond to a subpoena?
Q: It is not clear exactly what evidence or documentation is required. What should I do?
Q: When should I consider objecting to a subpoena?
Q: I think I have grounds to object to the subpoena. What should I do?
Q: If requested, do I have to submit the whole client file, even those parts that are irrelevant?
Q: Can I provide the Court with a copy of relevant documentation, or do they need the originals?
Q: Do I need to get the clients consent to share subpoenaed information?
Q: The client has not given consent for me to share information. What should I do?
Q: What is a subpoena?
A subpoena is a legal document issued by a court at the request of a party to a case. A subpoena issued by a lower court, such as the Magistrates court may be called a ‘summons’ but in all other respects it will conform to the requirements of a subpoena. A subpoena compels a person to produce documents or give evidence at a hearing or trial.
There are three types of subpoena:
- a subpoena for production
- a subpoena to give evidence
- a subpoena for production and evidence.
Q: Do I have to respond to a subpoena?
It is an offence to fail to fulfill the requirements of a subpoena, however in specific circumstances there may be grounds to object. Where applicable, you should refer to organisational policy and procedure.
Q: It is not clear exactly what evidence or documentation is required. What should I do?
It is important to know exactly what matters you are being asked to provide evidence about as this:
- may have serious implications for the client
- may require disclosure of highly sensitive information about the client or others
- will ensure you have all the information necessary to meet your ethical obligations to your client and / or others
- will inform whether or not you choose to object to the subpoena
If you are unsure of what evidence is required, you may be able to contact the legal representative of the issuing party as listed on the subpoena to request clarification. Social Workers in an organisational context, should consult organisational policy and procedure.
It is critical however that you do not disclose any client information in the course of your discussion. Your aim is simply to clarify the specific nature of the evidence sought by the Court.
Q: When should I consider objecting to a subpoena?
You might consider objecting to a subpoena where:
- disclosure has the potential to cause harm or even danger to the client or to others
- requested documentation includes highly sensitive information that is not directly relevant to the matter before the Court
- where the information being requested is very broad and non-specific and adequate clarification on the relevance of required documentation or evidence is not provided
- any other reasons as allowed by the issuing Court, or advised by your legal advisor and / or organisational policy
Q: I think I have grounds to object to the subpoena. What should I do?
The grounds for objecting and the process for lodging an objection will vary according to the Court and / or jurisdiction. A complete list of Federal and State Courts and links to their sites can be found here.
Once you have submitted the objection, the Court may choose to examine the relevant documentation before a decision can be reached. The Court may:
- support the objection
- revise their request to include only partial submission of documentation, or
- place limitations on the use and distribution of the information such that clients or others are protected or
- other arrangements as per the processes of the relevant jurisdiction
Q: If requested, do I have to submit the whole client file, even those parts that are irrelevant?
It may be illegal to remove or alter the contents of a file in any way even if you think the material is not relevant to the Court. It is always advisable to check directly with the Court and clarify in relation organisational policy and procedure, where applicable.
Q: Can I provide the Court with a copy of relevant documentation, or do they need the originals?
The Court may require original documentation, in which case it is advisable to make a complete copy of the file prior to submitting to the Registry. Check directly with the Registry prior to the submission of any documentation.
Q: Do I need to get the clients consent to share subpoenaed information?
Sections 5.2.3 Informed Consent and 5.2.4 Information Confidentiality / Privacy of the AASW Code of Ethics (2010) outline Social Worker responsibilities regarding the sharing of client information.
Accordingly, and if safe to do so, Social Workers should always aim to get written informed consent from a client or authorised representative before sharing any information.
If the information relates to a child or young person you should be guided by relevant legislative requirements in your State (5.2.3 d).
If the information relates to a person who cannot grant informed consent, Social Workers will, with the client’s permission where possible, obtain informed consent from a party empowered by the relevant State legislation (5.2.3 c).
Q: The client has not given consent for me to share information. What should I do?
If written consent is not given or it is not safe to obtain consent, and if there are no grounds to object to the subpoena, the Social Worker may be legally required to provide the Court with the requested evidence. However, this must be verified with the specific Court and according to the relevant legislation.
In this instance, you should aim to inform the client when information must be shared without consent, unless contraindicated by potential harm or legal provisions (5.2.4 f).
Where information is being shared without client consent, it may be advisable to make the Court aware that you have taken steps to fulfill your ethical obligations and that the information is being provided without client consent.
In addition, it is important that limits to confidentiality are always discussed with clients at the outset of the professional relationship, as per sections 5.2.4 (d) and (e) of the Code of Ethics (2010).
Q: Requested documentation includes information about third parties. Is it acceptable to provide this to the Court?
A Social Worker has the same obligations to protect the confidentiality of third parties mentioned in relevant documentation (see 5.2.4 (a)). Therefore, unless directly relevant to the matter before the Court therefore you may consider pursuing avenues available to you to protect the confidentiality of such information. This may include, for example, lodging an objection.
If you have any further questions, or would like to discuss an ethical considerations in more detail, please contact the Ethics Consultation Service on 03 9642 2307 or ethics@aasw.asn.au.
Topic: International ethics - Australian Social Workers overseas (pdf version)
Q: I am a member of the AASW and am planning to spend some time working or studying as a Social Worker overseas. Which Code of Ethics will apply to my practice when I am not in Australia?
In short, the Australian Code of Ethics (2010) is the primary code that applies to Australian Social Workers whether they live, work and study in Australia or elsewhere. This is the Code with which Social Workers should be most familiar and should primarily consider when approaching issues in professional practice.
However, the AASW recognises that Social Workers practising overseas may be required or expected to practice according to a second or even third Code of Ethics. This will depend on the specific country in question. It is possible, for example, that the country will have no formal professional association or that the local regulatory body requires the visiting social worker to formally register and in the process agree to abide by the provisions of that jurisdictions Code of Ethics. It is also possible that the host organisation or employer will have a Code of Conduct or Ethics.
It is common therefore that Social Workers practising overseas have dual responsibilities to the social work profession in Australia and the host country, as well as responsibilities to the host organisation or employer. Further Social Workers practising overseas have a responsibility to engage in reflective professional practice that attends to their ethical responsibilities and accountabilities.
Therefore, prior to working or studying overseas, Australian Social Workers are advised to:
- ensure familiarity with any professional Code(s) of Ethics applicable in the host country and / or organisation / employer
- consider, as far as practicable, how and when the Code(s) of the host country may conflict with the provisions of the Australian Code
- identify and discuss potential conflicts with the relevant party or parties. This may include the placement supervisor and / or convener; employer or host organisation; regulatory body professional association or organisation in the host country; or the Ethics Consultation Service
- ensure both you and they are clear about your respective ethical responsibilities and how identified conflicts will be resolved
- seek additional advice or guidance regarding potential conflicts from the Ethics Consultation Service if required
- be familiar with any regulatory or accountability systems in the host country or organisation such as complaints processes
- be aware of any formal position held by the host organisation / regulatory body and or professional association with regard to the responsibilities and accountability of overseas staff or students
Q: I am working / studying overseas, and a complaint has been submitted regarding practice that I believe falls within the guidelines of the Australian Code of Ethics. What should I do?
This will largely depend on the circumstances of your work or study experience as outlined above. However it is important to be aware that the AASW can only be involved in complaints made against members of the Association.
If a complaint has been made against you and you are a member of the AASW, you should contact Ethics Complaints Management staff to discuss the specific nature and context of the complaint made against you.
If you are not a member, the complaint made against you should be handled by the most appropriate body or employer in the country of practise. It is possible however that no such appropriate body exists, or that the employer does not have a formal complaints process. In either case, you are still able to access advice from the Ethics Consultation Service. The ECS may, for example, be able to clarify whether or not your actions constitute a breach of the Code of Ethics (2010) though the AASW could not formally be involved in any proceedings against you.
For more information on the Ethics Services available at the AASW and contact information, please click here.
Q: How should I respond to an unanticipated conflict between the Australian and host country / organisation Code of Ethics while I am overseas?
In the first instance, and where possible, it is preferable to discuss the nature of the conflict with your Supervisor or relevant professional body and to discuss your concerns in relation to the provisions of the Code of Ethics (2010).
The options available to you will depend upon the nature and context of practice.
If the conflict cannot be resolved to the satisfaction of you, your Supervisor and / or client, or of the regulatory body or professional association in the host country is unable to provide guidance in reaching a resolution, you can contact the Ethics Consultation Service for further guidance and support.
Q: What should I do if I have concerns about the practice of an Australian Social Worker while they are working or studying overseas?
In the first instance, individuals with concerns regarding a Social Worker’s practice should pursue the most appropriate avenues available to them. This may include:
- direct discussion of your concerns with the Social Worker / student where appropriate
- discussion with the Social Worker’s Supervisor or placement convener and agreement on how the issues, if any, will be addressed
- accessing advice or guidance from the regulatory body or professional association of the host country, if applicable.
If however your concerns reflect a conflict of ethical codes or practice standards, and these are not adequately addressed through local channels, you can access the Ethics Consultation Service for advice and guidance in relation to the Australian Code of Ethics (2010) and practice standards. The service may also be able to advise you of any additional pathways for resolving your concerns.
For more information and contact details for Ethics Services at the AASW, please click here.
Q: When do the ethical principles and guidelines of the International Federation of Social Workers (IFSW) apply and International Association of Schools of Social Work (IASSW) apply?
The guidelines of the IFSW/ IASSW reflect ethical principles that have international agreement among social workers, professional associations and educational institutions. It is expected that in developing their respective codes of ethics, member associations will take IFSW principles into account. In this way, IFSW ethical principles and guidelines indirectly apply to all Social Workers but they are best understood as reflected in the Code of Ethics and practice standards of the host country.
While it is possible for an individual social worker to be held in breach of the IFSW principles, the IFSW itself (whose members are national associations) does not have a disciplinary role in relation to individual social workers.
Supporting Ethical Practice – Workplace Resources for Social Workers
Ethical social work practice is dependent not only on the knowledge and skill of social work professionals but on the capacity of the work environment to support and facilitate such practice.
Accordingly, the Code of Ethics (2010) outlines a number of ethical responsibilities relating to the workplace and the types of resources a Social Worker may need to meet their ethical obligations to clients.
This document outlines those aspects of the Code that relate to the provisions of the workplace environment. It is designed to inform and support Social Workers, their employers, clients and representatives in challenging and improving service provision in accordance with Section 5.4.1 of the Code of Ethics (2010).
Who is responsible for ensuring ethical practice in the workplace?
What workplace resources do social workers need to practice ethically?
Q: What are workplace resources?
A workplace resource, for the purposes of this paper, refers to any resource a Social Worker may need to practice according to ethical and practice standards of the profession in Australia.
This may include:
- Physical resources such as access to a private space in which to conduct counseling (Code of Ethics section 5.4.2 g) or
- Human resources such as access to clinical supervision and debriefing (5.4.2 f)
- Education and training resources to ensure the currency of professional knowledge and skill (5.1.5)
- Operational resources such as policies, procedures and guidelines that reflect the ethical standards of the profession (5.4.1 d, f)
Given the focus on ethical practice this guideline does not reflect, nor is it intended to address, issues relating to the workplace environment that may be dealt with elsewhere. This includes for example:
- occupational health and safety legislation and international standards with regard to specific pieces of office equipment or appropriate lighting and ventilation
- the provisions of legislation, policy and practice frameworks specific to a particular context, such as health services or child protection
- the exact type or quantity of equipment, such a computers, phones or vehicles, required to undertake a particular work function
It should be noted however that all of the ethical issues identified in this paper are potentially issues that will require specific consideration with regard to Social Worker, client and others safety and wellbeing in the workplace. As such, though not specified below, consideration of relevant WorkSafe, occupational health and safety and related practice implications of the issues raised below should ideally be considered and addressed in tandem and at an organisational level (or equivalent).
While this guideline may not define the exact nature of workplace resources required it should serve to draw attention to those areas which are, at the very least, ethically relevant.
Q: Who is responsible for ensuring ethical practice in the workplace?
Social Workers are responsible for ensuring that they practice according to the Code of Ethics (2010). However, when a Social Workers ability to practice according to ethical standards is put at risk by workplace action / inaction, policy, procedure or practice, the Social Worker has a further duty to:
- Report and/or challenge and/or work to improve workplace practices (see Code of Ethics section 5.4.1 c)
- Access available channels to promote or facilitate required change (5.4.1). This might include available organisational channels, accessing the support of a Union and / or exploring whistleblower protection options.
- As Managers, advocate for resources to meet the needs of clients and staff (5.4.2 b, h)
Q: What workplace resources do social workers need to practice ethically?
The context and capacity in which a social worker might practice can vary substantially.
Consider, for example, social workers who practice in different:
- service settings; such as a mental health social worker who works remotely and a social worker who drafts policy in a large government department
- roles, including those within the same workplace; such as the needs of the social worker who provides face-to-face counseling versus their Team Leader or Manager.
Consequently, it is not possible to state categorically which resources are essential to ethical practice in every setting. Rather the Code of Ethics (2010) can act as a guide in determining whether the lack or absence of a particular resource is an ethical issue.
The remainder of this FAQ looks at four kinds of resource and links each to a specific provision of the Code of Ethics (2010). These are:
Q: What physical resources do social workers need to practice ethically?
The AASW regularly receives enquiries from social workers who are concerned that the physical arrangements of their workspace compromise their capacity to deliver a service according to ethical standards.
The Code of Ethics (5.4.2 g) states that social workers will provide and / or advocate for staff to have a physical work environment which supports effective practice, including appropriate arrangements for confidential interviewing and storage of confidential records.
Common ethical issues related to the physical environment include:
- The absence, lack or inadequacy of space required to deliver a service or support
- Open plan and / or shared work spaces
- The absence, lack or inadequacy of equipment needed to perform a role
The absence, lack or inadequacy of space required to deliver a service or support
Social workers are committed to ensuring the best interests of the client are maintained as a priority, with due regard to the respective interests of others (5.2.1).
It may be that an organisation, employer or social worker identifies the need for a service or support, however if the space in which to deliver the service is inadequate, this can compromise both the interests of the client and the capacity of staff to deliver an ethical service.
Critical issues may include:
- Provision of a private space in which to conduct confidential activities, such as counseling (5.4.2 g) (see also issues related to open-plan and shared workspaces below)
- Space to accommodate and maintain adequate levels of staff (5.4.2 e)
- Access to spaces at a time that allows for the safe and timely completion of tasks. For example, it is best practice for case notes to be contemporaneous. Space should ideally be available for social workers to complete critical work-related tasks in a manner consistent with minimum Practice Standards (2003)
Open-plan and / or shared work spaces
Open-plan or shared work environments can present particular challenges to ethical practice.
Critical issues include:
- Maintaining privacy and confidentiality of information as it is collected, recorded, shared and transmitted whether verbally, in writing or electronically (5.2.4 & 5.2.5)
- Ensuring clients can physically present at a service or support without compromising their privacy, or if not possible, ensuring that policy, procedure and practice measures are in place to protect confidentiality
- Ensuring clients are provided with clear, honest and accurate information about the service setting (5.2.2 b) and what measures are in place to:
- protect their privacy and confidentiality (5.2.4 & 5.2.5) prior to their engaging in a service or support (5.2.2 & 5.2.3)
- manage any conflicts of interests or professional boundaries where they may be known to or wish to access co-located services or staff (5.1.6 & 5.1.7)
- Having a private space in which to conduct sensitive and confidential conversations and activities such as case conferences, counseling and supervision
The absence, lack of or inadequacy of equipment required to perform a role
In general, the adequacy of equipment is an issue that will be addressed and guided by occupational health and safety provisions, WorkSafe policies and practice guidelines. However it is possible that inadequacy of equipment can represent an ethical issue. Examples might include:
- A lack of secure physical and / or electronic storage to ensure the confidentiality of client information
- Lack of access to a mobile phone for staff who conduct home visits or outreach
In summary, and as highlighted earlier, issues relating to the physical environment may constitute not only ethical issues, but critical issues in terms of Social Worker, client and others safety and wellbeing. It is therefore important that Social Workers and employers also refer to the provisions of relevant WorkSafe / OH&S legislation, policies and procedures in addressing the kinds of issues outlined above.
Q: What human resources do social workers need to practice ethically?
The AASW regularly receives enquiries from social workers who are concerned that human resource arrangements compromise their capacity to deliver a service according to ethical standards.
In order to practice according to the Code of Ethics (2010) social workers require:
- adequate staff levels and acceptable working conditions (5.4.2 e)
- provision of professional supervision, including cultural supervision where appropriate (5.4.2 f)
- provision or arrangement of debriefing, crisis and/or ongoing support, especially when they experience difficult or traumatic circumstances (5.4.2 j)
- fair and responsible performance evaluation, including the provision of timely feedback and the inclusion of those evaluated in the process (5.4.2 k)
Adequate staff levels and acceptable working conditions for staff
What constitutes adequate staffing levels and acceptable work conditions will obviously vary greatly depending on the nature and context of practice. For this reason, the AASW does not specify exactly what constitutes adequate staff levels and conditions.
However as a general rule and in order to support ethical practice case/work loads should be such that adequate time is available for social workers to complete the range of tasks associated with delivery of a service or support, including:
- completion of case notes and other administrative duties (5.4.2 d)
- participation in regular supervision and staff meetings (5.1.5 & 5.4.2 d, f)
- participation in continuing professional development activities (5.1.5 &5.4.2 h, i)
- debriefing and / or ongoing support following difficult or traumatic circumstances (5.4.2 j)
Acceptable work conditions (5.4.1) are those that are:
- Safe and equitable
- non-discriminatory
- not in any way oppressive, disempowering or culturally inappropriate and,
- support social workers to practice according to the Code of Ethics (2010)
As with any kind of workplace resource, these ethical considerations should be taken into account in a broader workplace health and safety context. For example, consideration should be given to how these issues might be monitored, reported and addressed in relation to all relevant occupational health and safety / risk management considerations.
Q: What education and training resources do social workers need to practice ethically?
Professional integrity is a fundamental social work value and includes a social workers commitment to lifelong professional development and maintenance of practice competence (Code of Ethics section 3.3). Consequently, the maintenance of current practice knowledge, theory and skill is critical to a social workers capacity to practice ethically (5.1.5)
Social Workers are responsible for ensuring their levels of knowledge, theory and skill are appropriate to the service or support they are providing (5.1.5 a).
If however, in the course of employment, an employer requires a Social Worker to operate beyond their current levels of competence, knowledge or skill, it is reasonable to expect that appropriate supervision and training is made available or accessible (5.1.5 b).
Social workers in particular settings, such as private practice, who may not have immediate access to a supervisor, should ensure that external supervision, debriefing and arrangements to ensure practice competence is maintained are in place (5.1.5 b).
If an employer does not provide relevant training and / or supervision, Social Workers are committed to taking steps to ensuring the required support is actively sought (5.1.5 c).
This might include, for example notifying management that ethical and practice standards are compromised and, if necessary, redirecting clients to other appropriate supports (5.4.1 j)
Social workers in management roles should ensure that staff under their direction receive ongoing professional education and advocate for adequate resources to meet staff development needs (5.4.2 h).
Q: What operational resources do social workers need to practice ethically?
An operational resource is anything that communicates to staff, clients or relevant others what, when, where, who and why a particular activity / service / action will / must or should take place.
The most critical operational resources are:
- policies and procedures
- practice guidelines
- communication materials that outline important information about the service or support to others
- quality improvement processes
Operational resources that support ethical practices standards are those that attend to the provisions of the Code of Ethics (2010). In the development or review of procedural or practice guidelines, particular attention should be given to section 5.1 to 5.6 of the Code, which outlines in detail social workers ethical responsibilities.
For example, operational resources that reflect the provisions of section 5.1.5 Practice Competence of the Code of Ethics might include:
- A recruitment policy that outlines minimum levels of knowledge, skill and competence relevant to undertaking a particular role
- A professional development procedure which outlines how staff will be assessed and supported to access ongoing education and training opportunities
- A practice guideline that outlines how and when supervision and debriefing will take place and / or be facilitated
- Information for potential clients, allied service providers or others that outlines the level of knowledge, skill and expertise that can be expected from a particular service or support
- A quality improvement process that outlines when, by whom and in what circumstances policy, procedure and practice will be reviewed
Social workers who are required to practice in the absence of or under policies and procedures that contravene the Code of Ethics (2010) are committed to appropriately challenge, and/or report, and/or work to improve such documents and practices (5.4.1)
Q: Where can I find more information?
Social workers who require more detailed information or would like to discuss a particular workplace resource and its implications for ethical practice can access the Ethics Consultation Service on 03 9642 2307 or at ethicsconsult@aasw.asn.au
Ethics disclaimer
The views expressed in this information do not constitute legal advice. It is guidance only, provided as a service to our members, as to relevant ethical considerations that might arise under the AASW Code of Ethics which should be considered. These views should not be regarded as conclusive, nor are they determinative in any way of your legal, professional and/or employment obligations (where relevant), which you should seek independent advice on. The AASW is not bound by the views expressed in this information and does not accept any liability for any injury, harm or damage incurred by the use of or reliance upon these views. While we have made every effort to ensure the information is accurate, complete and current, the AASW does not guarantee and assumes no legal liability or responsibility for the accuracy, currency or completeness of the information. External resources referred to in this information should not be taken to be an endorsement or recommendation and the views or recommendations provided by these external resources do not necessarily reflect those of the AASW. Please contact the National Ethics Officer at ethics@aasw.asn.au if you believe any information to be inaccurate.
codeofethics2010.pdf (509Kb)