Lesson 8 – Sensitive Records, Professional Boundaries and Escalation

8.1 Recording sensitive information

Records concerning vulnerability should be:

• Relevant;
• Necessary;
• Accurate;
• Factual;
• Respectful;
• Secure;
• Limited to authorised staff; and
• Retained in accordance with policy.

8.2 Facts rather than labels

Inappropriate record

“Customer is elderly, confused and incapable.”

Appropriate record

“The customer said they were unable to use the electronic-signing platform and requested telephone guidance. A step-by-step appointment was arranged for 10:00 am on 24 September.”

The second entry records the barrier, request and response without making an unsupported assessment.

8.3 Recording adjustments

The file should include:

• The barrier identified;
• The customer’s request;
• The agreed adjustment;
• Communication preferences;
• Relevant consent;
• Who authorised the arrangement;
• Any representative involved;
• Review dates;
• Any alternative offered; and
• Reasons for a refusal or limitation.

8.4 Data minimisation

Staff should not collect detailed medical or personal information merely because it might be useful.

The record should normally focus on:

• The functional barrier;
• The support required;
• The customer’s preferences;
• The action agreed; and
• Any necessary risk or safeguarding information.

8.5 Professional boundaries

Employees may:

• Listen;
• Explain procedures;
• Provide accessible information;
• Arrange reasonable support;
• Record preferences;
• Involve an authorised representative;
• Signpost appropriate services; and
• Refer concerns.

Employees should not:

• Diagnose a medical condition;
• Conduct a mental-capacity assessment;
• Investigate suspected abuse;
• Provide legal, medical or financial advice outside their role;
• Make decisions for the customer;
• Promise absolute confidentiality;
• Contact relatives without authority;
• Become personally involved in the customer’s affairs;
• Lend or borrow money; or
• Guarantee a transaction outcome.

8.6 When to refer to a manager

Management referral is appropriate where:

• A discriminatory client instruction is received;
• An adjustment request is refused or disputed;
• Significant cost or operational change is involved;
• Physical alterations are requested;
• There is a serious equality complaint;
• A customer appears to be controlled by another person;
• Instructions conflict;
• There may be domestic or financial abuse;
• There is concern about decision-making;
• Sensitive information may need to be shared without consent;
• The employee believes someone is in immediate danger; or
• The matter falls outside the employee’s authority or competence.

8.7 Immediate danger

Where there is an immediate risk to life or safety, employees should follow MyEstate’s emergency procedure and contact the appropriate emergency service.

Staff must not place themselves or the customer in additional danger.

Lesson 8 key point

Good support requires accurate records, secure information handling, clear boundaries and timely management escalation.