COMMUNITY

FUNDING GUIDELINES

June 2014

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Version Control Version

Last amendment Reason for amendment Approved by: Date:

Final version to JSP agencies

19/06/14 Final approval for issue to JSP funded agencies

Chief Executive June 2014

Contact: Community Funding Unit cfp@djj.nsw.gov.au

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Table of Contents

1 Funding Administration Principles..........................................................................4 2 Roles and responsibilities ........................................................................................5

2.1 Delegations and approval.....................................................................................8 2.2 Conflict of Interest ................................................................................................9 2.3 Working with Children Checks .............................................................................9

3 Funding Agreements...............................................................................................10 3.1 Recurrent Funding Agreement ...........................................................................11 3.2 Insurance policies...............................................................................................11 3.3 Work Health and Safety Requirements ..............................................................11 3.4 One-off Specific Purpose Funding Agreements .................................................12

4 Payment of funding.................................................................................................12 4.1 Initial payment of recurrent funding ....................................................................12 4.2 Ongoing payment of recurrent funding ...............................................................12 4.3 One-off Specific Purpose Funding......................................................................13

5 The Joint Support Program ....................................................................................13 6 SACS Award Supplementation Funding - Equal Remuneration Order (Recurrent funding) ........................................................................................................14 7 Financial Monitoring ...............................................................................................14

7.1 Funding Acquittals and Financial Reporting .......................................................14 7.2 Unspent and surplus funds – Variations to funding budgets ..............................15

8 Performance Monitoring .........................................................................................15 8.1 Performance measures ......................................................................................15 8.2 Outcomes Based Performance Monitoring.........................................................16 8.3 Maintaining comprehensive files relating to the service .....................................16 8.4 Reports and information to assist with JSP monitoring: .....................................16 8.5 Visits to funded service’s premises ....................................................................17 8.6 Managing Poor Performance .............................................................................17

8.6.1 Performance Improvement Plans (PIPs).................................................. 17 8.6.2 Withholding funding.................................................................................. 18

8.7 One-off specific purpose funding........................................................................18 9 Reporting .................................................................................................................18

9.1 JSP Funding and Reporting Requirements ........................................................19 10 Data collection and evaluation...............................................................................19

10.1 CIMS ..................................................................................................................19 11 Client Feedback and Complaints ...........................................................................19 12 Dispute resolution...................................................................................................20 13 Appendices ..............................................................................................................21

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1 Funding Administration Principles Juvenile Justice provides funds to non government community organisations to deliver services that support Juvenile Justice (JJ) case-management and interventions and address factors that influence the risk of young people re-offending. Funded community organisation’s interventions complement the services provided by Juvenile Justice. The key community funding programs for Juvenile Justice include:

• the Joint Support Program (JSP); • the Residential Rural Rehabilitation Services; • the National Partnership Agreement on Homelessness; and • one-off specific purpose funding.

These guidelines deal primarily with the Joint Support Program and one-off specific purpose funding. Sound funding administration is an essential part of ensuring that the relationship between Juvenile Justice and the funded service works well for the benefit of the young people under the supervision of Juvenile Justice. Funding administration occurs within a legal and regulatory framework and also informs the operations of non government organisations. The NSW Department of Premier and Cabinet has established principles to support the funding relationship between the Government and funding recipients. These principles inform these guidelines and include:

• value for money • fairness, integrity and transparency • cooperation • diversity • consistency • probity • coordination.

Further information regarding the principles is available at http://www.dpc.nsw.gov.au/about/publications/grants_administration/principles_for_the_funding_and_working_relationship_between_government_and_grants_recipients The NSW Department of Premier and Cabinet has developed a Good Practice Guide to Grants Administration which also informs funding administration in Juvenile Justice. The Guide is available at http://www.dpc.nsw.gov.au/__data/assets/pdf_file/0009/92349/101117_Good_Practice_Guide_Nov_2010_Revision.pdf

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2 Roles and responsibilities Position

Roles and responsibilities

The Chief Executive

• Approves and exercises financial delegations in respect to tender processes and funding of funded services

• Discontinuation of funding to funded services • Endorses the annual Community Funding Schedule as part of

the Division’s annual recurrent budget process Executive Director, Statewide Operations

• Endorses all recommendations regarding discontinuation or variation to funding prior to submission to the Chief Executive

• Provides direction regarding case management policy and procedures

Community Funding Unit

i) Community funding strategic policy and program direction • Develops funding policy/ framework

design/guidelines/procedures/ program specifications and funding models

• Provides policy advice to the Regions • Consults with Juvenile Justice staff, other agencies and

stakeholders regarding funding programs • Develops clearly defined and measurable performance

indicators for funded programs • Identifies gaps and strategic opportunities • Convenes and provides secretariat support for community

funding related advisory bodies as required • Provides a report on the JSP biannually to the Executive

Committee ii) Administration of community funded programs

• Manages community funding tender processes • Negotiates funding contracts with preferred applicants • Oversees the financial management of community funding at

the statewide level and ensures compliance with agency funding schedules

• Manages tender and contract management processes as required

• Maintains a register of all contract variations • Monitors and reports on the quality of program delivery and

reporting processes • Monitors and collaborates with Regions and funded services re:

Equal Remuneration Order Supplementation and Working with Children Checks requirements

• Provides information for statutory reporting purposes • Reviews payment acquittal forms at cessation of project(s) for

any one-off specific purpose funding (annually) • Reviews the progress (targets/outcomes) of any one-off specific

purpose funding provided to funded services (quarterly)

Regional Director

• Identifies regional service priorities and needs in the Region • Exercises financial delegations in respect of funding to funded

services • Contributes and is involved in tender development briefs and

tender processes

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Position

Roles and responsibilities

• Considers the discontinuation or variation of project funding if required. In such instances the Community Funding Unit is to be advised and provided with a copy of what has been agreed or determined

• Oversees Area Managers annual review of the performance of funded services in the Region

• Provide reports to the Community Funding Unit to inform the biannual report to the Executive Committee. The format of the reports is as agreed at the Joint Support Program Advisory Committee

• Oversees and ensures all funded services are fulfilling their financial obligations as per the funding agreement

• Oversees regional monitoring and reporting processes • Advises funded services of variations to payments if required

Regional Executive Officer

• Assists the Regional Director in the management and administration of funded services in the Region

• Ensures funding payments are processed correctly as per the Funding Schedule

• Compiles regional funded program reports as required • Collaborates and liaises with funded services, Area Managers

and administration staff as required • Participates and/or provides secretariat support on service

specific advisory committees as required by the Regional Director

Area Offices: Area Manager

• Ensures that the performance and administration of funded services is consistent with the funding agreement, Code of Conduct and other relevant funding and governance guidelines outlined in this document.

• Monitors the flow of referrals to ensure the service is being fully utilised

• Meets at least quarterly with the Managers of funded services to ensure quality service provision and review Service Delivery Summary Reports.

• Reviews completed performance monitoring documents as per Attachment 4B of the funding agreement annually (i.e. Activities & Performance Measures Report, Performance Indicators) once received from the funded service

• Reviews Income and Expenditure and Expenditure statements bi annually and identifies any significant issues/variances.

• Verifies on an annual basis, that funded services have taken out insurance policies and are maintained with a reputable insurance company throughout the funding period;

• Verifies on an annual basis that funded services have up to date Work Health and Safety policies at commencement of funding and review annually.

• Monitors the Working with Children Checks of funded services staff including: sighting copies of WWCC clearance records for any new staff; reviewing the updated spreadsheets received

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Position

Roles and responsibilities

from funded services each six months; and retaining copies of WWCC clearance records and spreadsheets on the funded service’s file.

• Meets at least monthly with Assistant Managers to discuss funded services progress towards meeting case plan milestones

• Provides ongoing liaison with funded services including the provision of advice and support to ensure targets are being met

• Compiles submissions for biannual funding payments • Negotiates and reports on Performance Improvement Plans

with funded services if required • Provides feedback and recommendations re: Performance

Improvement Plans to the Regional Director

Assistant Manager

• Exercises responsibility for prioritising the referral of young people

• Manages the flow of referrals for the Joint Support Program(s) or other funding programs in their area

• Provides advice and support to JJOs as required to promote and ensure appropriate referrals to funded services

• Assists JJOs to clearly define and document program participation goals based on the YLS/CMI-AA

• Meets with funded services staff to ensure appropriate referral take up

• Meets at least monthly with Area Managers to discuss funded services progress towards meeting case plan goals and outcomes

• Identifies any issues re: referrals and service provision • Review JSP Service Provider Review and Exit Reports (6

weekly) as part of the case review process • Undertakes a monthly review the progress of young people

engaged in funded services in case review • Ensures review and exit meetings are occurring as required • Provides advice and support to funded services to ensure

targets are being met • Ensures CIMS data is entered in a timely manner by JJOs and

other staff

Juvenile Justice Officer (JJO)

• Identifies and progresses appropriate referrals to funded services

• Leads case management of young people referred and accepted into funded services

• Reviews JSP Service Provider Review and Exit Reports (6 weekly) and discuss with Assistant Manager as part of the case review process

• Initiates case management meetings with stakeholders at program referral, review and exit

• Reports any concerns re: service delivery to the Assistant Managers

• Enters all data in CIMS in a timely manner.

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Position

Roles and responsibilities

• Maintains effective relationships with direct service staff of funded services

Funded service

• Service provision according to the funding agreement and service specifications

• Meets Working with Children Check (WWCC) requirements including: clearances for all existing and any new employees; maintains records of WWCC clearances; and updates WWCC spreadsheets and forward to Area Managers every 6 months (N.B. Copies of WWCC clearance records for new employees are to be provided to the Area Manager, prior to the new employee starting work and an updated spreadsheet emailed to careers@djj.nsw.gov.au)

• Completes a JSP Service Provider Review and Exit Report on each individual young person and submits (along with other appropriate documents) prior to review and exit meetings with young person and Juvenile Justice staff (approx. 6 weekly) (see Appendix 4).

• Completes and submits a Service Delivery Summary Report (quarterly)

• Completes and submits performance monitoring documents as per Attachment 4B of the funding agreement annually (i.e. Activities & Performance Measures Report, Performance Indicators)

• Provides an Income and Expenditure and Expenditure statement when providing the six monthly invoices for payment of funding.

• Provides an audited annual Audited Income and Expenditure Statements as per Attachment 4C of the funding agreement

• Provides an Equal Remuneration Order Statement annually as per Attachment 4D of the funding agreement

• Attends meetings with Juvenile Justice staff to discuss performance matters and young people’s case plans

• Collects and reports on data to meet funding requirements • Raises with JJO or Assistant Managers any issues/problems

in respect to service provision or funding (as they arise) • Reports on the progress (targets/outcomes) of any one-off

specific purpose funding provided to funded services (quarterly) • Provides acquittal forms at cessation of project(s) for any one-

off specific purpose funding (annually)

2.1 Delegations and approval The Chief Executive, Executive Director, Statewide Operations and Regional Directors will exercise financial delegations in respect to community funding as per Schedule A of the Juvenile Justice Schedule of Human resources/Financial/Administrative Delegations (p2-3).

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2.2 Conflict of Interest Juvenile Justice staff need to be aware of potential conflicts of interest that may arise in funding and managing the Joint Support Program or any other funded projects. For example, staff members may not be members of management committees of services funded by Juvenile Justice. Staff should not be involved in a tender assessment committee or funding program assessment relating to a funded service with which they (or their family members) are involved. Further information about defining and dealing with conflicts of interest can be found in the Juvenile Justice Code of Conduct. http://www.djj.nsw.gov.au/pdf_htm/publications/policies/Code%20of%20Conduct.pdf It is important that Juvenile Justice is impartial towards funded services undertaking a tender process either for Juvenile Justice or another funding source. Juvenile Justice cannot be seen to give preferential treatment to specific projects or individual organisations. If Juvenile Justice staff are approached by funded services to provide letters of support for tender applications, the funded service is to be directed to the Regional Director regarding their request. If the Regional Director views the request as appropriate, they can act as a referee for the service if the tender assessment panel requests verification of information provided in the application. Such references are only to be a verification that the service was funded by Juvenile Justice during which period, to provide particular services in particular locations, and that the funded service met the conditions of their Funding Agreement. Juvenile Justice staff must not enter into any signed partnerships/agreements with funded services without the approval of the Regional Director and the Community Funding Unit. As representatives of Juvenile Justice, staff are also bound to the Juvenile Justice Statement of Business Ethics and must act in the public interest. http://www.djj.nsw.gov.au/pdf_htm/jj%20statement%20of%20busienss%20ethics.pdf

2.3 Working with Children Checks Existing employees of funded services As part of their funding agreement funded services are required to have Working with Children Check (WWCC) clearances for all existing employees who are appointed to and/or working in positions that have direct face-to-face unsupervised contact with Juvenile Justice clients and those who have access to the personal information of Juvenile Justice clients. Information regarding Working with Children Checks is available on www.kids.nsw.gov.au New employees of funded services New employees who will be working with Juvenile Justice clients and those who will have access to the personal information of clients are not to commence duty until satisfactory clearance is provided for both the WWCC and National Criminal History Check. Funded services are to ensure when undertaking recruitment action that a

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WWCC clearance and verification is undertaken and have an obligation to inform Juvenile Justice when employees, volunteers and students commence duty. The funded service also has a responsibility to maintain records of the WWCC clearance and to provide a copy of such records to Juvenile Justice as outlined below. Verification process To enable Juvenile Justice to verify WWCC we require the full name of employee, date of birth, their position and work location, program name and the employees WWCC clearance number. To assist with this process A Working with Children Check Clearance Spreadsheet is at Appendix 1. The spreadsheet is to be completed by the funded service and forwarded to: Juvenile Justice Recruitment Team via email to careers@djj.nsw.gov.au or mailed to:

Juvenile Justice Recruitment Team Department of Attorney General and Justice (Juvenile Justice) PO Box 368, Haberfield NSW 2045

At the same time, a copy of the spreadsheet is to be forwarded to the Area Manager, where it will be retained on the funded services file. After the initial verification process, the spreadsheet is to be updated by funded services and forwarded to Area Managers every 6 months (at the same time as the income and expenditure statements). This will include adding any new employees to the spreadsheet and recording the date of cessation of any employees that may have left the funded service in the six month period. When there are staff changes in the funded service, the Area Manager must ensure that Juvenile Justice has a copy of the new staff member’s clearance letter prior to them commencing work with young people. The funded service must also update the WWCC spreadsheet with the new details and email to the Juvenile Justice Recruitment team with a copy to the Area Manager. The Area Office is to file these documents on the funded services file.

3 Funding Agreements A funding agreement is the legal document which binds Juvenile Justice and the funded service into a collaborative and contractual relationship. It sets out the terms and conditions under which Juvenile Justice provides government funds and the funded service receives the funding. It also specifies how issues such as financial accountability, reporting and dispute resolution are to occur. Funding agreements are executed as a deed and must be signed by the Juvenile Justice Chief Executive and witnessed accordingly. The terms and conditions of funding are monitored through financial and performance monitoring; and coincide with the reporting framework and renewal of funding. Juvenile Justice utilises two types of Funding Agreements i) Program Funding Agreement; and ii) One-off (non-recurrent) Specific Purpose Funding Agreement.

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3.1 Recurrent Funding Agreement Juvenile Justice funding programs have an agreed funding term as specified in the tender process and the program funding agreement. For the Joint Support Program it is a three year funding period, unless otherwise stipulated in the funding agreement. The recurrent funding agreement is standard for all organisations, although specific service specifications are included to detail service delivery and reporting requirements and performance indicators. The JSP service specification is a detailed description of the aspects of the service that the funded organisation agrees to provide and includes:

• objectives of the project

• target group

• geographic locality

• service activities

• service results to be achieved

• service levels to be delivered

• and any other items specific to the program. The JSP funding agreement is at Appendix 2. The funding agreement also contains attachments which form part of the agreement. Some of these attachments are standard for all agreements; others are specific to the particular program to be funded. Current attachments to the standard Funding Agreement include: Attachment 1: Agreement Details Attachment 1A: Service Specifications Attachment 2: Project Plan Attachment 3: Budget Attachment 4A: Records and Reports Attachment 4B: Annual Activities and Performance Measures Report Attachment 4C: Income and Expenditure Statement Attachment 4D: Equal Remuneration Order Statement

3.2 Insurance policies Funded services are required under Section 17.1 and Item 7 of Attachment 1 of the funding agreement to ensure that insurance policies are taken out and maintained with a reputable insurance company throughout the funding period. Area Managers will be required to sight funded services insurance policies at the commencement of funding and review annually. A copy of the policy is to be obtained and placed on the funded services file.

3.3 Work Health and Safety Requirements It is the responsibility of all funding recipients to have Work Health and Safety policies and systems in place in accordance with the Work Health and Safety Act 2011 and the Work Health and Safety Regulations 2011.

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Area Managers will be required to verify that funded services have up-to-date Work Health and Safety policies at commencement of funding and review annually.

3.4 One-off Specific Purpose Funding Agreements Dependent on the availability of funds, one-off funding may be used to fund short term projects or outcomes from time to time. In some instances, time limited project funding can enable services to undertake particular tasks or programs over the short term. In such cases, the parties agree that this payment is a one-off payment for a specific purpose. It needs to be clear that this is not an ongoing commitment (i.e. there are no recurrent funding implications). As per the Juvenile Justice Procurement Guidelines, any payments above $30,000 (excluding GST) will require 3 written quotes. The One-off Specific Purpose funding agreement is at Appendix 3. This is a standard agreement for all funded services however project descriptions, targets and outcomes will be specifically stated for the funded project.

4 Payment of funding

4.1 Initial payment of recurrent funding Before the funded service can be paid their first biannual the Community Funding Unit needs to ensure:

• Two original copies of the funding agreement has been received, signed and returned by the funded service

• That the funded service has completed - Attachment 2 – Project Plan - Attachment 3 – Budget (to check that the total expenditure in the budget

is equal to the amount to be funded) • The funding agreement will then be countersigned by the Chief Executive • One original copy is to be returned to the funded service, the other original copy

will be retained by the Community Funding Unit • The Community Funding Unit will forward a copy of the funding agreement to

the Regional Director for retention on the funded service’s file

4.2 Ongoing payment of recurrent funding Funding instalments to the funded services are paid every six (6) months from the commencement of the funding agreement, on the receipt of a correctly rendered tax invoice and on the condition that the funded service has met their obligations under the funding agreement. This provides an opportunity to assess the organisation’s performance and make recommendations regarding ongoing funding. Information to be considered prior to payment includes:

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• Funding Agreement elements (e.g.: Project Plan, Annual Activities and Performance Measures Report and Performance Indicators)

• CIMS data • Income and Expenditure statements • Annual reports • Notes from meetings • Quarterly Service Delivery Summary Reports • Formal correspondence • Client feedback, including complaints • Evidence regarding:

o capacity and acceptance of referrals o young person’s target outcomes are being achieved o the organisation’s progress towards meeting agreed performance

improvements.

4.3 One-off Specific Purpose Funding Where one-off specific purpose funding is to be provided the One-off Specific Purpose funding agreement is to be entered into (Appendix 3). Before the funded service can be paid there is need to ensure:

• Two original copies of the funding agreement has been received, signed and returned by the funded service

• that the funded services has completed: - Project details include agreed performance indicators - A budget (to check that the total expenditure in the budget is equal to the

amount to be funded) • The funding agreement will then be countersigned by the Regional Director or

Chief Executive if required due to delegations or due to nature of the funding (e.g. funding managed by Central Office)

• One original copy is to be returned to the funded service, the other original copy will be retained by the Regional Office (or Community Funding Unit in the case of Central Office funding).

• An additional copy is to be forwarded to the Community Funding Unit so that the Unit is aware of and can report on any additional payments made to funded services.

5 The Joint Support Program The target group for the Joint Support Program is young people under the supervision of Juvenile Justice within the community who have been assessed as having a medium to high level of offending related risk and need. The JSP can also be used to support young people in their transition into the community from custody or to maintain their community support upon exit from Juvenile Justice supervision. The JSP is designed to enhance coordinated service delivery to achieve clear target outcomes based on the YLS/CMI – AA. A key component of the JSP casework approach includes implementation of the Referral Review and Exit (RRE) procedures. Further information regarding coordinated service delivery and the Joint Support Program Assessment, Referral, Review and Exit

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is outlined in Appendix 4 and a flow chart that outlines the Referral Review and Exit process is available at Appendix 11.

6 SACS Award Supplementation Funding - Equal Remuneration Order (Recurrent funding)

As from 1 December 2012, additional funding supplementation is provided for the next 10 years to funded services to be used for employees in community organisations paid under the SACS Award. NSW Treasury has advised agencies of nominal amounts for distribution on an annual basis. The Community Funding Unit will provide advice to each region regarding the amounts that have been allocated to each agency and service type. To facilitate year-end reconciliations of ‘protected’ expenditure with Treasury, agencies must be able to identify the additional funding provided to each funded service and therefore the total amount spent in a year. To enable Juvenile Justice to keep track of SACS - ERO payments and report to Treasury when required, ERO costs must be split between the activity codes and coded to account code 695000. Funded services are required to keep records regarding the number of positions, funded by Juvenile Justice that that are SACS – ERO eligible and any periods that the eligible positions were vacant. Any surplus funding must be returned to government. Because of this, SACS - ERO supplements received by funded services from the Commonwealth and the State governments must be accounted for separately by the agency and certified as correct. To comply with these requirements, please refer to the Funding Agreement Section 6.2 and Attachment 4D.

7 Financial Monitoring Two broad objectives that guide financial monitoring are:

• Funds should be used in an efficient, effective and appropriate manner, consistent with NSW Government priorities and community needs; and

• Funds should be properly accounted for with adequate safeguards in place to prevent misuse.

7.1 Funding Acquittals and Financial Reporting The requirements for financial reporting are set out in the funding agreement Attachment 4A – Records and Reports; Attachment 4C - Audited Income & Expenditure Statement and Attachment 3 - Budget. (N.B. Juvenile Justice requires organisations funded under the JSP to submit the Annual Activities and Performance Measures Report concurrently.)

Organisations are required to submit their Audited Income and Expenditure statement to the relevant Area Manager by the 31 October each year. The audited financial statements are to be reviewed to determine whether project funds have been spent as agreed as per submitted budget.

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To assist the Area Manager in this process a template ‘Review of NGO Annual Financial Reports’ is at Appendix 5. Funded services are also to provide an Income and Expenditure Statement (unaudited) with their mid financial year invoice.

7.2 Unspent and surplus funds – Variations to funding budgets The funding agreement makes provision for instances where funds have not been spent in accordance with the submitted budget. Clause 6.5 of the funding agreement outlines Juvenile Justice’s requirements for the repayment of any unspent funding.

Amendments to draft budgets or request to vary expenditure must be received in writing and are considered by the Regional Director. Any such requests need to be accompanied by a revised program budget.

The Regional Director may approve the variation, depending on the amount involved and within their delegation. Where an amount exceeds the Regional Director’s delegation, the matter is to be submitted to the Chief Executive.

If the proposed expenditure is not in line with the project plan, the Regional Director can decline the variation. In this situation, the Regional Director will write to the organisation to advise them.

The Regional Director is to advise the Community Funding Unit of any variations of funding to services and provide the Community Funding Unit with a copy of what has been agreed. The Community Funding Unit will maintain a register of contract variations.

8 Performance Monitoring

8.1 Performance measures The regular collection of information about the efficiency, effectiveness and quality of outcomes allows Juvenile Justice to gauge the comparative success of the funded service in meeting its objectives. The collection of data is the responsibility of both Juvenile Justice and the organisation. JSP funded services will be measured against the following:

o the JSP-wide standards and key performance indicators listed in the service specifications that funded services are required to meet;

o those measures specific to the service areas and the service activities that a funded service is delivering;

o the individual target outcomes agreed for each young person; and

o service provision capacity (i.e. the flow of referrals to ensure the service is being fully utilised.)

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8.2 Outcomes Based Performance Monitoring The purpose of performance monitoring is to provide Juvenile Justice with evidence that funded services:

• comply with the funding agreement; and • achieve the intended results/outcomes and service levels set out in the funding

agreement and service specification(s). Area Managers and Assistant Managers are responsible for monitoring the performance of funded services. (See Section 2) All funded services will also be required to participate in any other evaluation or reviews of the programs that projects under which projects are funded and that Juvenile Justice may decide to undertake.

8.3 Maintaining comprehensive files relating to the service To ensure accountability in decision-making it is important that adequate records are maintained. Juvenile Justice records may be subject to audit. Area Managers are to ensure funded services files include:

• copies of all correspondence and emails relating to the service • file notes documenting any informal meetings or phone calls • minutes of service meetings • a copy of the funding agreement or variation to funding agreement • copies of service delivery summary reports • copies of submissions or briefing notes relating to the funded service • audited financial statements • copies of financial acquittals • copies of Review of Funded service Annual Financial Report • copies of submissions for payment of invoices and invoices • copies of performance improvement plans if applicable • copies of Working with Children Check clearances for funded services staff • copies of the funded services current insurance policies

8.4 Reports and information to assist with JSP monitoring:

• JSP Service Provider Review/ Exit Report- 6 weekly (Appendix 6)

• Service Delivery Summary Report (numbers) – quarterly (Appendix 7)

• Annual Activities and Performance Measures Report (Funding Agreement Attachment 4B)

• Performance Indicators (Funding Agreement Attachment 4B)

• Juvenile Justice Client Information Management System (CIMS)

• Information collected at service meetings (Area Manager & Manager of funded service)

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• Information on individual target outcomes for young person reviewed during Referral Review and Exit meetings.

• Completion rate of target outcomes for each child or young person (Research and Data Unit)

• Income and Expenditure Statements

8.5 Visits to funded service’s premises Performance monitoring may involve a meeting at the location or site where the program is managed and/or delivered. In such cases, Juvenile Justice must provide at least 48 hours notice of a visit.

8.6 Managing Poor Performance

8.6.1 Performance Improvement Plans (PIPs) If there are concerns regarding a funded service meeting service specification requirements or conditions of funding identified through regular performance monitoring, Juvenile Justice has a responsibility to implement a performance management process. In such cases, funded services are to be notified in writing and requested to prepare relevant documents and have appropriate staff in attendance. In such cases the following steps should be taken by the Area Manager:

• document the issues clearly and review the performance measures; • meet with the manager/representative of the funded organisation to discuss

concerns and to negotiate and agree on action to be taken and timeframes; • write to the organisation to formalise agreements undertaken as part of the PIP; • monitor the implementation of the PIP; • provide formal feedback to the funded organisation; and • provide formal feedback and recommendations to the Regional Director.

If the funded organisation fails to remedy the issues within the agreed timeframe, consideration may be given to withholding funding and termination of the Funding Agreement. If this is the case the Regional Director is to advise the Community Funding Unit and make a recommendation to the Chief Executive. Please refer to Clauses 3.3 and 21 - 22 of the Funding Agreement. The performance of funded organisations that are funded non recurrently or participate in fee-for-service arrangements will not be monitored using this Framework. The performance of organisations receiving funds under these arrangements will be monitored under conditions contained within the agreements in place with Juvenile Justice. Performance Improvement Plans are developed using the PIP template (Appendix 8) and the contents will be negotiated between Juvenile Justice and representatives of the organisation. Negotiation will ensure that the PIP:

• accurately describes the issues; • describes solutions that are specific, measurable and achievable; and • describes actions with clear time frames; and

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• tasks or actions are/may be prioritised. If there is no agreement between Juvenile Justice and the agency about PIP actions, the dispute resolution process in the Funding Agreement will be used (section 23). Area Managers will actively monitor the progress of any PIP. A Performance Improvement Plan remains current until such time that all the actions/outcomes have been achieved or it is replaced by a new PIP. Some PIP actions may extend beyond 12 months. A Performance Improvement Plan Review Report template (Appendix 9) has also been developed to assist with the PIP review.

8.6.2 Withholding funding If the funded service fails to remedy the identified issues within the agreed timeframe, consideration may be given to withholding funding as per Clauses 3.3 of the funding agreement or Ending the Agreement as per Clauses 22 and 22. In such cases, the Regional Director is to make a recommendation to the Chief Executive to withhold funding. The recommendation to withhold funding must proceed through the Community Funding Unit. The Chief Executive will write to the organisation advising them of the decision to withhold funds and of any requirements that must be met in order for funding to recommence or that the agreement is being terminated. Such correspondence will proceed to the funded organisation through the Regional Director.

8.7 One-off specific purpose funding The performance of organisations receiving funds under one-off (non recurrent) specific purpose will be monitored under conditions laid down in the agreements they have with Juvenile Justice.

9 Reporting Funded organisations are required to meet all program reporting requirements as specified in the Funding Agreement for each funded program. The activities that make up Juvenile Justice monitoring cycle occur twice in a financial year to coincide with payment of funding.

• The organisation’s financial and performance reports must be submitted by the end of October.

• Formal performance monitoring activities must be concluded in time for the results to inform Juvenile Justice decision to continue funding. This decision must be made before the end of December (for the next semester) and before the end of June (for the next financial year).

• Other performance monitoring activities are an ongoing process and contribute to

the overall formal monitoring.

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All government departments and authorities are required to publish details of funding provided to non government organisations in their annual report. The requirements are set out in Premier's Memorandum 91-34.

9.1 JSP Funding and Reporting Requirements A summary of key funding and reporting requirements is at Appendix 10.

10 Data collection and evaluation Area Managers, Assistant Area Managers and JJOs are required to check that data is entered regularly in CIMS and that RRE reports are filed on C files and performance reports on each funded service’s file. This will allow for effective monitoring of the program outcomes and future evaluation. It also provides a basis for quantifying demand and identifying program gaps for future planning.

10.1 CIMS Referrals are to be completed as per the module in Client Information Management System (CIMS), Services & Programs/CFP Reports/Referral Intake and Exits. Regular monitoring and reviewing using the CIMS report is required by regional and area staff and JJOs.

11 Client Feedback and Complaints

Funded services need to have their own client complaints procedures in place. Should a complaint about a funded organisation be received directly by Juvenile Justice the Juvenile Justice Policy and Procedures for Managing Complaints will be used. As such any complaints or allegations regarding organisations funded or contracted by Juvenile Justice are to be forwarded to the Regional Director for resolution. The recipient of any complaint is responsible for facilitating appropriate support for the young person including advising the young person regarding the process. If necessary, this includes assisting the young person to document their complaint and to have a matter heard and resolved. If the complaint is about abuse / physical or sexual assault, the matter must be reported to the police, in accordance with the Client Protection and Well Being Policy. If the complaint is about an alleged criminal offence the police should be notified immediately.

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12 Dispute resolution With effective relationship management and performance monitoring it is anticipated that disputes will be minimal. It is important that parties take steps to negotiate, seek agreement and document issues that may be in dispute. Section 23 of the Funding Agreement describes the steps to be taken in the event of a dispute arising in relation to the Juvenile Justice Funding Agreement. It is important that the parties agree that neither will engage in any conduct or communications intended to disparage the other.

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13 Appendices

1 Working with Children Check Clearance Spreadsheet

2 Program Funding Agreement

3 One-off Specific Purpose Funding Agreement

4 Coordinated Service Delivery and the JSP Assessment, Referral, Review and Exit

5 Review of NGO Annual Financial Reports

6 JSP Service Provider Review/ Exit Report

7 Service Delivery Summary Report

8 Performance Improvement Plan (PIP)

9 Performance Improvement Plan Review Report

10 Summary of key funding and reporting requirements

11 Referral, Review and Exit Process – JSP Flowchart