Standards for Community Services · The organisation develops and regularly reviews policies and...

Standards for Community ServicesSelf-assessment workbook

building robust and vibrant community organisations

© The State of Queensland (Department of Communities) 2008. All rights reserved.

The Queensland Government supports and encourages the dissemination and exchange of information. However, copyright protects this document. The State of Queensland has no objection to this material being reproduced, made available online or electronically, provided it is for your personal, non-commercial use or use within your organisation, this material remains unaltered and the State of Queensland is recognised as the owner.

This material is based on the Foundations First® review and audit methodology, which is the copyright of Community Link Australia Pty Ltd.

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Contents

Introduction 1

Self-assessment of achievement against the Standards for Community Services 3

Part a: Data ColleCtIon PageS 5

guiding documents rating card 7

assessing for Standard 1 (accessibility of services) 91.1 Access 101.2 Eligibility 161.3 Requests for service and referrals 22

assessing for Standard 2 (responding to individuals, families and communities) 292.1 Service delivery 302.2 Allocation 362.3 Ending service delivery 422.4 Collaboration 482.5 Community development and community education 54

assessing for Standard 3 (Participation and choice) 613.1 Client service charter 623.2 Choice and self-reliance 683.3 Participation 74

Assessing for Standard 4 (Confidentiality and privacy) 814.1 Privacy 824.2 Record keeping and disposal 884.3 Confidentiality 944.4 Accesstoconfidentialinformation 100

assessing for Standard 5 (Feedback and complaints) 1075.1 Feedback 1085.2 Complaints by clients 114

assessing for Standard 6 (Protecting safety and wellbeing) 1216.1 Harm prevention 1226.2 Harm response 128

assessing for Standard 7 (recruitment and selection processes for people working in services) 1357.1 Employee recruitment 1367.2 Volunteer selection 142

Assessing for Standard 8 (Induction, training and development of people working in services) 1498.1 Employee and volunteer induction 1508.2 Employee and volunteer training and development 156

assessing for Standard 9 (employee and volunteer support) 1639.1 Employeeperformanceandsupport 1649.2 Volunteersupport 1709.3 Disputeresolutionforemployeesandvolunteers 176

TOC is no longer auto update as all Assessing... headings are divided by a soft return

Standards for Community Services: Self-assessment workbook

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assessing for Standard 10 (organisational alignment) 18310.1 Vision, values and planning 18410.2 Organisationalauthority 19010.3 Performancemonitoringandreporting 196

assessing for Standard 11 (governance and accountability) 20311.1 Electionorappointmentofgoverningbodyandexecutiveofficers 20411.2 Inductionofgoverningbodyandexecutiveofficers 21011.3 Traininganddevelopmentforgoverningbodyandexecutiveofficers 21611.4 Conflictofinterest 22211.5 Asset management 22811.6 Financial management and delegations 23411.7 Budget 240

Part B: SCore SheetS 247Single site — Guiding documents 249Single site — Staff awareness 251Single site — Records 253Multi-site/Multi-program — Guiding documents 255Multi-group/Multi-interview — Staff awareness 257Multi-site — Records 259

Part C: rePort FormatS 261

Self-assessment summary report 263

Improvement plan 2671 Standard for accessibility of services 2672 Standard for responding to individuals, families and communities 2683 Standard for participation and choice 2694 Standardforconfidentialityandprivacy 2705 Standard for feedback and complaints 2716 Standard for protecting safety and wellbeing 2717 Standard for recruitment and selection processes for people working in

services 2728 Standard for induction, training and development of people working in

services 2729 Standardforemployeeandvolunteersupport 273

10 Standard for organisational alignment 27411 Standard for governance and accountability 275

Part D: ClIent FeeDBaCk 277

Client survey 279

Client survey results 285


1

Introduction

This self-assessment workbook is part of a suite of resources to support implementation of the Standards for Community Services. It provides practical tools to help you work through all the steps of your self-assessment, including collecting information, rating your organisation’s performance and identifying any areas needing improvement.

The workbook is accompanied by a self-assessment manual that provides step-by-step guidelines to the self-assessment process, along with instructions about using the workbook. You should also have a copy of the Standards for Community Services document on hand for reference if necessary.

The workbook consists of four parts:

Part A provides data collection pages for each area of the standards. •

Part B contains score sheets for collating and aggregating ratings of your •organisation’s performance against the standards.

Part C provides templates for reporting and developing your improvement plan. •

Part D includes a client survey for use in collecting evidence about client feedback. •

These materials will help you to gather evidence about the four types of evidence required for self-assessment — guiding documents, staff awareness, records and client feedback — and to assess your organisation against each of the 36 areas that make up the 11 standards. By completing the workbook pages, you will have a clear picture of whether your organisation meets the standards and of any areas that need to be improved.

other resources

As well as the manual and workbook, a set of online policy guides and templates is being provided on the Community Door website at www.qld.gov.au\ngo\ for organisations to adopt or modify for their own use.

Further policy development resources are available on the Queensland Council of Social Service (QCOSS) website at www.qcoss.org.au. QCOSS is a key partner with the Department of Communities in the Strengthening Non-Government Organisations strategy, including the introduction of the Standards for Community Services.

Feedback and further information

The Department of Communities welcomes your feedback on these resources, and any suggestionsforimprovement.Forfurtherinformation,pleasecontactyourregionalofficeor:

Standards Implementation Project Team Department of Communities GPO Box 806 Brisbane Qld 4001

Phone:0732479164 Email: [email protected]


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Self-assessment of achievement against the Standards for Community Services

Conducted by (organisation name)

Site/s

Program name/s

Date of self-assessment completion

assessment team

Name Position Contact details

Who conducted interviews/focus groups?

Name Position Contact details

Part A: Data collection pages

Guiding documents rating card

the rating guidelines for assessing guiding documents are consistent across all areas of the standards. this rating card is for use as you assess your organisation’s performance based on this form of evidence.

A. Exceeds requirements

Your organisation has policies and procedures in place that include all the applicable elements and extra evidence, with clear timing and accountability for the actions required. Your organisation reviews them regularly and is always looking for ways to improve them with feedback from team members and users. Staff and clients are aware of these policies and procedures.

B. Meets requirements

Your organisation has policies and procedures in place that cover the applicable elements, with clear timing and accountability for the actions required. Your organisation reviews them regularly to keep them current.

C. Partly meets requirements

Your organisation has policies and procedures in place that cover some of the applicable elements but:

they have applicable elements missing �

the timing and accountability for the actions required is not clear �

they have not been reviewed regularly �

they are informal and undocumented. �

D. Does not meet requirements

Your organisation has no relevant policies and procedures in place.

E. Not applicable

If so, please specify why.

Assessing for Standard 1 (Accessibility of services)

1Assessing for Standard 1 (Accessibility of services)


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Assessing for Standard 1 (Accessibility of services)

this standard is about the ways in which a funded organisation makes itself open and available to the people who use, or may need to use, its services or activities. the key is to be actively oriented to the needs, culture and outlook of the people using services, so that they experience an organisation that is as open and engaging as possible.

1.1 Access

elements to consider about access

timing and location — for example, whether the services are centre-based �or outreach, whether operating hours are linked to client need, whether the organisation provides out-of-hours information for clients

the organisation’s understanding of the access needs of people in the target group(s) �

the physical set-up of facilities to manage accessibility �

proactive strategies to reach Aboriginal and Torres Strait Islander peoples, people �from culturally and linguistically diverse backgrounds, people with a disability, and other people within the agreed target group

records to monitor the use of services by groups of people within the agreed target �group, including Aboriginal and Torres Strait Islander peoples or people from diverse cultural or linguistic backgrounds

other evidence relevant to the organisation �

Guiding documents (Access)

The organisation develops and regularly reviews policies and procedures that deal with access to services.

Do your organisation’s policies and procedures cover access? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover access in the ‘Evidence’ section on the facing page.

are any of the elements for consideration not applicable to your organisation? o Yes o No

If ‘yes’, please specify which elements and why.

Do your organisation’s policies and procedures deal with the applicable elements? o Yes o No o Some

Which applicable elements are not covered?(List these in ‘Areas for improvement’ on the facing page.)

are the actions and timing of actions clear? o Yes o No

Is it clear who is accountable for developing and monitoring these policies and procedures? o Yes o No

Tick the elements to consider about access covered in your organisation’s guiding documents.

Standard 1: Accessibility of services

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are the policies and procedures kept up to date and reviewed? o Yes o No

If ‘yes’, enter last date of review:

how frequently are policies and procedures reviewed? o6-monthly oyearly o3-yearly

Evidence

Note the names of documents that cover the applicable elements.

Rating

Refer to the guiding documents rating card.

a. exceeds requirements �

B. meets requirements �

C. Partly meets requirements �

D. Does not meet requirements �

e. not applicable � (if so, please specify why)

Areas for improvement

If your organisation does not have policies and procedures relating to access, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.

In listing areas for improvement, take into account feedback from your client survey.

What are the gaps or applicable elements that you need to cover?


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Staff awareness (Access)

Staff members have a good understanding of the organisation’s policies and procedures for providing equitable access to services for users.

Using the highlighted questions below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your access policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.

Review the responses/results from the interviews to determine a rating for this evidence type.

What is your understanding of the way your organisation provides equitable access to services for users?

What is your understanding of how the organisation makes itself accessible to Indigenous people and people from culturally and linguistically diverse communities?

how many people were invited to give feedback? (e.g. 3 employees, 2 volunteers, 5 out of a total of 20 staff members = 5/20)

employees volunteers = /

how many actually participated? (e.g. 2 employees, 2 volunteers, 4 out of a total of 5 invitees = 4/5)


how was the feedback obtained?

interviews (how many/position and role of interviewees)

focus groups (how many/position and role of attendees)

Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation provides equitable access to services for users and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation provides equitable access to services for users.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation provides equitable access to services for users.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation provides equitable access to services for users.



If your co-workers do not have a clear understanding of the way your organisation providesequitableaccesstoservicesforusers,recordthishere.Itissufficienttonotegeneral areas for improvement. More detail can be recorded in the improvement plan.



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Records (Access)

Records (such as data, strategies put in place) show that any barriers to accessing services have been identified and removed.

Examine and review the records relating to your access policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)

Ensure that the name/type, location and number of records assessed are entered in the ‘Evidence’ section and an adequate sample is examined.

What types of records demonstrate that your organisation is accessible to the range of people you are funded to serve?

Do those records of service usage demonstrate access by people, including aboriginal and torres Strait Islander peoples, australian South Sea Islanders and people from other diverse cultural or linguistic backgrounds? oYes oNo

If ‘no’, which potential client group is not accessing your organisation’s services?

Are any barriers to accessing services identified? o Yes o No(If ‘yes’, list these in ‘Areas for improvement’ on the facing page.)

Do records show that your organisation works to remove any barriers to accessing services and is always looking for ways to improve these processes with feedback from service team members and users? oYes oNo


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Evidence

Note the name/type, location and number of document(s) sighted.

Rating

a. exceeds requirements �Recordsshowthatyourorganisationidentifiesandremovesanybarrierstoaccessingservices and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Recordsshowthatyourorganisationidentifiesandremovesanybarrierstoaccessingservices.

C. Partly meets requirements �Recordsshowthatyourorganisationonlyidentifiessomebarrierstoaccessingservices and not all barriers have been removed.

D. Does not meet requirements �Records show that your organisation does not identify or remove any barriers to accessing services.



Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.


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1.2 Eligibility

elements to consider about eligibility

clearly written guidelines for applying and interpreting non-discriminatory eligibility �criteria

regular reviews of eligibility criteria, including analysis of service records, to ensure �theyreflectaccessbyandsuitabilityforpeopleintheagreedtargetgroup

management of disputes about eligibility �

where there is a policy to exclude certain clients or types of clients, how this policy �is documented and negotiated with departmental staff, and how excluded clients are assisted to gain access to a more appropriate service

Guiding documents (Eligibility)

The organisation develops and regularly reviews policies and procedures that deal with eligibility for services.

Do your organisation’s policies and procedures cover eligibility? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover eligibility in the ‘Evidence’ section on the facing page.

are any of the elements for consideration not applicable to your organisation? oYes oNo



Which applicable elements are not covered by your guiding documents? (List these in ‘Areas for improvement’ on the facing page.)






Tick the elements to consider about eligibility covered in your organisation’s guiding documents.


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Evidence


Rating








If your organisation does not have policies and procedures relating to eligibility, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded in the improvement plan.


What are the gaps or applicable elements you need to deal with?


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Staff awareness (Eligibility)

Staff members have a good understanding of the criteria and procedures for deciding eligibility for services.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your eligibility policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation makes decisions about eligibility for services?

how many people were invited to give feedback? (e.g. 4 employees, 1 volunteer, 5 out of a total of 20 staff members = 5/20)


how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a good understanding of the criteria and procedures for deciding eligibility for services and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a good understanding of the criteria and procedures for deciding eligibility for services.

C. Partly meets requirements �Your co-workers have a limited understanding of the criteria and procedures for deciding eligibility for services.

D. Does not meet requirements �Your co-workers have a poor understanding of the criteria and procedures for deciding eligibility for services.



If your co-workers do not have a clear understanding of the way your organisation makes decisionsabouteligibilityforservices,recordthishere.Itissufficienttonotegeneralareasfor improvement. More detail can be recorded in the improvement plan.



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Records (Eligibility)

Records and service data show that the organisation uses its established criteria for deciding eligibility for services.

Examine and review the records relating to eligibility policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation uses its established criteria for deciding eligibility for services?

Do records show that the organisation uses its established criteria when deciding eligibility for services? o Yes o No

Evidence



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Rating

a. exceeds requirements �Recordsshowyourorganisationidentifiesandusestheestablishedcriteriafordeciding eligibility for services and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Recordsshowyourorganisationidentifiesandusestheestablishedcriteriafordeciding eligibility for services.

C. Partly meets requirements �Records show your organisation does not always apply the established criteria for deciding eligibility for services.

D. Does not meet requirements �Recordsshowyourorganisationhasnotidentified,anddoesnotuse,criteriafordeciding eligibility for services.



Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record them here. In listing areas for improvement, take into account feedback from your client survey.


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1.3 Requests for service and referrals

elements to consider about service requests and referrals

design and management of the request and referral process to ensure it is inclusive �of people known to be part of the agreed target group(s)

management of records of service requests and how they are handled �

responsibility the agency takes in the referral process until an active or successful �referral is made

relationships with other agencies �

the review process for referral arrangements, including records management �

Guiding documents (Requests for service and referrals)

The organisation develops and regularly reviews policies and procedures that deal with responding to requests for service and making and receiving referrals.

Do your organisation’s policies and procedures cover requests for service and referrals? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover requests for service and referrals in the ‘Evidence’ section on the facing page.



Do your organisation’s policies and procedures deal with the applicable elements? oYes oNo oSome







Tick the elements to consider about requests for service and referrals covered in your organisation’s guiding documents.


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Evidence


Rating








If your organisation does not have policies and procedures relating to requests for service andreferrals,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficientto note the general areas for improvement. More detail can be recorded when you develop your improvement plan.




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Staff awareness (Requests for service and referrals)

Staff members have a good understanding of the processes for accepting requests for services and making and receiving referrals.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your policies and procedures for service requests and referrals and how these are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation accepts requests for services and makes and receives referrals?








Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation accepts requests for services and makes and receives referrals, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation accepts requests for services and makes and receives referrals.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation accepts requests for services and makes and receives referrals.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation accepts requests for services and makes and receives referrals.



If your co-workers do not have a clear understanding of the way your organisation accepts requestsforservicesandmakesandreceivesreferrals,recordthishere.Itissufficientto note general areas for improvement. More detail can be recorded in the improvement plan.



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Records (Requests for service and referrals)

Records show that the organisation processes requests for services appropriately and makes and receives referrals.

Examine and review the records relating to your policies and procedures for service requests and referrals. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation processes requests for services appropriately and makes and receives referrals?

Is the acceptance or refusal of service requests clearly recorded? o Yes o No

Is the referral of service users to other appropriate services clearly recorded? o Yes o No

Is the receipt of referrals from other agencies clearly recorded? o Yes o No

Evidence



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Rating

a. exceeds requirements �Records show that your organisation processes requests for services appropriately, makes and receives referrals, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show that your organisation processes requests for services appropriately and makes and receives referrals.

C. Partly meets requirements �Records do not show whether your organisation processes requests for services appropriately or makes and receives referrals.

D. Does not meet requirements �Records show that your organisation does not process requests for services appropriately or make or accept referrals.




Assessing for Standard 2 (Responding to individuals,

families and communities)

2Assessing for Standard 2

(Responding to individuals, families and communities)


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Assessing for Standard 2 (Responding to individuals, families and communities)

this standard is about how funded organisations approach what they do in a responsive way, whether it is service delivery or community development. organisations have a systematic approach to identifying and understanding cultural issues, assessing needs, planning their responses, and undertaking activities in collaboration with other organisations.

2.1 Service delivery

elements to consider about service delivery

initial and ongoing assessments of needs, including the records of these �assessments

development, recording, implementation and review of individual plans �

the process for ensuring that services are delivered in a culturally sensitive, �competent and responsive way, and are inclusive of all people, including:

Indigenous peoples•people from culturally and linguistically diverse communities•people with disabilities•accompanying children•people with complex and/or multiple support needs•other people within the target group•

the process for handling input from external agencies, if appropriate �

continuityofservicedeliveryintheeventofsignificantchangeaffectingthe �organisation

Guiding documents (Service delivery)

The organisation develops and regularly reviews policies and procedures that deal with the delivery of services that meet the identified needs of clients.

Do your organisation’s policies and procedures cover service delivery? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover service delivery in the ‘Evidence’ section on the facing page.





are the actions and timing of actions clear? oYes oNo

Tick the elements to consider about service delivery covered in your organisation’s guiding documents.

Standard 2: Responding to individuals, families and communities

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Evidence


Rating








If your service does not have policies and procedures relating to service delivery, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.




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Staff awareness (Service delivery)

Staff members have a good understanding of the organisation’s procedures to ensure that the needs of clients are identified and met.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your service delivery policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the organisation’s processes to ensure the needs of clients are identified and met?








Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the organisation’s processes to ensurethattheneedsofclientsareidentifiedandmet.

B. meets requirements �The majority of your co-workers have a clear understanding of the organisation’s processestoensurethattheneedsofclientsareidentifiedandmet.

C. Partly meets requirements �Your co-workers have a limited understanding of the organisation’s processes to ensurethattheneedsofclientsareidentifiedandmet.

D. Does not meet requirements �Your co-workers have a poor understanding of the organisation’s processes to ensure thattheneedsofclientsareidentifiedandmet.



If your co-workers do not have a clear understanding of the organisation’s processes to ensurethattheneedsofclientsareidentifiedandmet,recordthishere.Notetheareasthatwerenotknownorunderstood.Itissufficienttonotegeneralareasforimprovement.More detail can be recorded in the improvement plan.



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Records (Service delivery)

Records show that the organisation regularly reviews clients’ needs and assesses plans to meet those needs.

Examine and review the records relating to your service delivery policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that the organisation assesses and prioritises the needs of users to decide how services will be provided?

What records are kept about the assessed needs of clients?

What records are kept about the review of these needs?

What records are kept about plans for meeting these needs?

Evidence



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Rating

a. exceeds requirements �Records show that your organisation assesses, plans and regularly reviews service users’ needs, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show that your organisation assesses, plans and regularly reviews service users’ needs.

C. Partly meets requirements �Records show that your organisation assesses and plans, but does not regularly review service users’ needs.

D. Does not meet requirements �Records show that your organisation does not assess, plan and regularly review service users’ needs.





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2.2 Allocation

elements to consider about allocation

the process for prioritising needs, managing waiting lists and conducting risk �assessments

the process for informing people who are not allocated a service and helping them �to access other services

where organisations have responsibility for allocating funds to clients (for example, �brokerage or emergency relief), clear criteria and processes are in place to ensure the effective distribution of these funds

analysis of service usage and waitlist data to support the allocation processes �

Guiding documents (Allocation)

The organisation develops and regularly reviews policies and procedures that deal with allocation of services on the basis of assessed need.

Do your organisation’s policies and procedures cover allocation? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover allocation in the ‘Evidence’ section on the facing page.










Tick the elements to consider about allocation covered in your organisation’s guiding documents.


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Evidence


Rating








If your organisation does not have policies and procedures relating to allocation of services,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.




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Staff awareness (Allocation)

Staff members have a good understanding of the procedures to assess and prioritise the needs of clients, and allocate services accordingly.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your allocation policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation assesses and prioritises the needs of service users, and how these services are allocated accordingly?








Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation assesses and prioritises the needs of service users and how these services are allocated, and they have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation assesses and prioritises the needs of service users and how these services are allocated.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation assesses and prioritises the needs of service users and how these services are allocated.OR Your co-workers have a clear understanding of the way your organisation assesses and prioritises the needs of service users, but a limited understanding of how these services are allocated.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation assesses and prioritises the needs of service users and how these services are allocated.



If your co-workers do not have a clear understanding of the way your organisation assesses and prioritises the needs of service users, and how these services are allocated, record this here.



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Records (Allocation)

Records show that the organisation assesses and prioritises the needs of service users to decide how services will be allocated.

Examine and review the records relating to your allocation policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation assesses, plans and regularly reviews service users’ needs?

Do records show that your organisation assesses service users’ needs? o Yes o No

Do records show that your organisation plans for and regularly reviews service users’ needs? o Yes o No

Evidence



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Rating

a. exceeds requirements �Records show that your organisation assesses, plans for and regularly reviews service users’ needs, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show that your organisation assesses, plans for and regularly reviews service users’ needs.

C. Partly meets requirements �Records show that your organisation assesses and plans for, but does not regularly review, service users’ needs.

D. Does not meet requirements �Records show that your organisation does not assess, plan for or regularly review service users’ needs.





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2.3 Ending service delivery

elements to consider about ending service delivery

communication with clients about planning for withdrawal of support including: �evaluating achievements during support period•developing agreed action plans and timeframes•assistance in referral and engagement with other service providers•provision of support during transition to alternative support, where appropriate•whether any follow-up support is available from the organisation•strategies for informing, in consultation with the client, other key parties of pending •service completion

methods of obtaining feedback from clients when they exit from the service �

Guiding documents (Ending service delivery)

The organisation develops and regularly reviews policies and procedures that deal with ending service delivery for clients.

Do your organisation’s policies and procedures cover ending service delivery? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover ending service delivery in the ‘Evidence’ section on the facing page.










Tick the elements to consider about ending service delivery covered in your organisation’s guiding documents.


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Evidence


Rating








If your organisation does not have policies and procedures relating to ending service delivery,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.




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Staff awareness (Ending service delivery)

Staff members understand the processes for the organised ending of the provision of service to individual clients.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of the processes for organised closure for service users, with provision of information to users about other appropriate community services. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation organises closure for service users, and works with them to develop a transition plan to other support or services where necessary?








Evidence

Note the responses.


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Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation arranges closure for service users, develops a transition plan and provides information to users about other appropriate community services, and they have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation arranges closure for service users and provides information to users about other appropriate community services.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation arranges closure for service users and provides information to users about other appropriate community services.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation arranges closure for service users and provides information to users about other appropriate community services.



If your co-workers do not have a clear understanding of the organisation’s processes to ensure closure for service users, record this here. Note the areas that were not known orunderstood.Itissufficienttonotegeneralareasforimprovement.Moredetailcanberecorded in the improvement plan.



46

Records (Ending service delivery)

Records show how the organisation closes service use in a clear, respectful and organised manner.

Examine and review the records relating to your policies and procedures for ending service delivery. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation arranges closure for service users and gives them information about other appropriate community services?

Do records show that the arrangement of closure for service users is conducted according to procedures? o Yes o No

Is the provision of information to users about other appropriate community services clearly recorded? o Yes o No

Evidence



47

Rating

a. exceeds requirements �Records show your organisation arranges closure for service users, develops a transition plan and provides information to users about other appropriate community services, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show your organisation arranges closure for service users and provides information to users about other appropriate community services.

C. Partly meets requirements �Records show your organisation does not always arrange closure for service users and provide information to users about other appropriate community services. OR Records show your organisation arranges closure for service users but does not always provide information to users about other appropriate community services.

D. Does not meet requirements �Records show your organisation does not arrange closure for service users or provide information to users about other appropriate community services.





48

2.4 Collaboration

elements to consider about collaboration

negotiation of case management roles, responsibilities and planning with other �agencies in relation to individual clients, including situations where the client is also formally in the care of a government agency

development,ratification,reviewandterminationofprotocolswithcollaborating �organisations

participation in local networks �

Guiding documents (Collaboration)

The organisation develops and regularly reviews policies and procedures that deal with collaboration with other organisations.

Do your organisation’s policies and procedures cover collaboration? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover collaboration in the ‘Evidence’ section on the facing page.










Tick the elements to consider about collaboration covered in your organisation’s guiding documents.


49

Evidence


Rating








If your organisation does not have policies and procedures relating to collaboration, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.




50

Staff awareness (Collaboration)

Staff members understand the processes for collaborating with other organisations to provide assistance to clients.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your collaboration policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation collaborates with other entities that may assist clients?








Evidence

Note the responses.


51

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation collaborates with other entities that may provide assistance to clients, and they have input into the review of this process.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation collaborates with other entities that may assist clients.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation collaborates with other entities that may assist clients.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation collaborates with other entities that may assist clients.



If your co-workers do not have a clear understanding of the organisation’s processes for collaboration,recordthishere.Itissufficienttonotegeneralareasforimprovement.Moredetail can be recorded in the improvement plan.



52

Records (Collaboration)

Records show how the organisation collaborates with other entities to assist clients.

Examine and review the records relating to your collaboration policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation collaborates with other entities to assist service users?

Do records show that your organisation collaborates effectively with other entities? o Yes o No

Evidence



53

Rating

a. exceeds requirements �Records show your organisation collaborates with other entities to assist clients and is always looking for ways to improve this with feedback from team members and users.

B. meets requirements �Records show your organisation collaborates with other entities to assist clients.

C. Partly meets requirements �Records show your organisation does not always collaborate with other entities to assist clients.

D. Does not meet requirements �Records show your organisation does not collaborate with other entities to assist clients.





54

2.5 Community development and community education

elements to consider about community development and community education

assessment, prioritisation and planning of community development and community �education initiatives with people in the target group

measurement or evaluation of community development and community education �activities, including how the organisation gathers and analyses feedback from participants and other stakeholders

Guiding documents (Community development and community education)

The organisation develops and regularly reviews a practice statement or policies and procedures for undertaking community development and/or community education.

Do your organisation’s policies and procedures cover community development and/or community education? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover community development and/or community education in the ‘Evidence’ section on the facing page.










Tick the elements to consider about community development and community education covered in your organisation’s guiding documents.


55

Evidence


Rating








If your organisation does not have policies and procedures relating to community development and/or community education, or you answered ‘no’ to any of the questions, recordthishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanbe recorded when you develop your improvement plan.




56

Staff awareness (Community development and community education)

Staff members understand and implement the practice statement or policies and procedures for community development and/or community education.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your community development and/or community education policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education?








Evidence

Note the responses.


57

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education.



If your co-workers do not have a clear understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education, record this here. In listing areas for improvement, take into account feedback from your client survey.


58

Records (Community development and community education)

Records show that the practice statement or policies and procedures for community development and/or community education are implemented.

Examine and review the records relating to your policies and procedures for community development and/or community education. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation assesses, prioritises and plans initiatives for community development and/or community education, consulting with those who may be affected?

Is the assessment and prioritisation of initiatives for community development and/or community education clearly recorded? oYes oNo

Do the records show that the organisation planned initiatives for community development and/or community education, consulting with those who may be affected? oYes oNo

Evidence



59

Rating

a. exceeds requirements �Records show your organisation assesses, prioritises and plans initiatives for community development and/or community education, consulting with those who may be affected, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show your organisation assesses, prioritises and plans initiatives for community development and/or community education, consulting with those who may be affected.

C. Partly meets requirements �Records show your organisation does not always assess, prioritise and plan initiatives for community development and/or community education, consulting with those who may be affected.

D. Does not meet requirements �Records show your organisation does not assess, prioritise and plan initiatives for community development and/or community education, and does not consult with those who may be affected.




Assessing for Standard 3 (Participation and choice)


62

Assessing for Standard 3 (Participation and choice)

this standard is about empowering people who are using services. the aim is to assist people to be aware of, and take responsibility for, choices over their lives and, where appropriate, to move towards self-reliance. It also means drawing on the unique perceptions and experiences of clients, including their input into how policies and services are developed, provided, monitored, evaluated and improved.

3.1 Client service charter

elements to consider about a client service charter

the charter is easily understood and accessible to the general community including �people from diverse cultural and linguistic backgrounds

the charter outlines what your organisation does, and provides information about: �how to contact your organisation•the standard of service clients can expect•clients’ basic rights and responsibilities•avenues for providing feedback or making complaints•

Guiding documents (Client service charter)

The organisation develops and regularly reviews a client service charter.

Do you have a client service charter? o Yes o No

If ‘no’, go to ‘Areas for improvement’.



Does your client service charter cover the applicable elements? oYes oNo oSome


Is the charter kept up to date and reviewed? o Yes o No


how frequently is the charter reviewed? o6-monthly oyearly o3-yearly

Tick the elements to consider about a client service charter covered in your organisation’s guiding documents.

Standard 3: Participation and choice

63

Rating








If your organisation does not have a client service charter, or you answered ‘no’ to any of thequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement.More detail can be recorded when you develop your improvement plan.




64

Staff awareness (Client service charter)

Staff members have a good understanding of the client service charter and how it informs the way the organisation delivers services.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your client service charter. Record their responses in the ‘Evidence’ section.


how does your organisation’s client service charter guide delivery of services to clients?








Evidence

Note the responses.


65

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the client service charter and how it guides service delivery.

B. meets requirements �The majority of your co-workers have a clear understanding of the client service charter and how it guides service delivery.

C. Partly meets requirements �Your co-workers have a limited understanding of the client service charter or do not understand how it guides service delivery.

D. Does not meet requirements �Your co-workers have a poor understanding of the client service charter and how it guides service delivery.



If your co-workers do not have a clear understanding of the client service charter, record this here. In listing areas for improvement, take into account feedback from your client survey.


66

Records (Client service charter)

Records show that your clients are given the client service charter upon entry into the service.

What types of records demonstrate that service users have been given or made aware of the client service charter?

Do records show that service users have been given the opportunity to be involved in making decisions that affect them? o Yes o No

Do records show that the charter is accessible to clients with different needs? For example, do you have copies available in languages other than english or in an accessible format for people with a vision impairment? o Yes o No

Evidence



67

Rating

a. exceeds requirements �Records show that your organisation’s client service charter is placed in a prominent position, that copies are distributed to clients, and that the organisation delivers on the commitment made in the charter and regularly reviews the charter.

B. meets requirements �Records show that your organisation has a client service charter, that it is placed in a prominent position, that copies are distributed to clients, and that the organisation delivers on the commitment made in the charter.

C. Partly meets requirements �Records show that your organisation has a client service charter, but it is not visible to clients and copies are not always distributed to clients, or that your organisation only partly delivers on the commitment made in the charter.

D. Does not meet requirements �Records show that your organisation does not have a client service charter, or that it has a client service charter but does not deliver on the commitment made in the charter.





68

3.2 Choice and self-reliance

elements to consider about choice and self-reliance

information provided to clients about service and delivery choices �

client participation in the development, implementation and review of services �they receive

the process for hearing and recording people’s preferences �

the process for identifying and cultivating client skills and motivation to improve �self-reliance

respect for the philosophies and values of clients even if they differ from those �of the organisation

provision for a support person where required to assist clients to participate in �decisions and planning that affects them

Guiding documents (Choice and self-reliance)

The organisation develops and regularly reviews policies and procedures that promote client choice and self-reliance.

Do your organisation’s policies and procedures cover choice and self-reliance? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list the policies and procedures that cover choice and self-reliance in the ‘Evidence’ section on the facing page.










Tick the elements to consider about choice and self-reliance covered in your organisation’s guiding documents.


69

Evidence


Rating








If your organisation does not have policies and procedures relating to client choice and self-reliance,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficientto note the general areas for improvement. More detail can be recorded when you develop your improvement plan.




70

Staff awareness (Choice and self-reliance)

Staff members have a good understanding of the organisation’s procedures for ensuring clients are given information about choices regarding its services and other services, and are given the opportunity to be involved in making decisions that affect them.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your choice and self-reliance policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of processes your organisation uses to improve self-reliance in clients using services?








Evidence

Note the responses.


71

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the processes used for improving choice and self-reliance for service users, and the opportunities available for clients to be involved in making decisions that affect them, and they have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the processes used for improving choice and self-reliance for service users, and the opportunities available for clients to be involved in making decisions that affect them.

C. Partly meets requirements �Your co-workers have a limited understanding of the processes used for improving choice and self-reliance for service users, and the opportunities available for clients to be involved in making decisions that affect them.

D. Does not meet requirements �Your co-workers have a poor understanding of the processes used for improving choice and self-reliance for service users, and the opportunities available for clients to be involved in making decisions that affect them.



If your co-workers do not have a clear understanding of the way your organisation improves choice and self-reliance for service users, record this here. In listing areas for improvement, take into account feedback from your client survey.


72

Records (Choice and self-reliance)

Records show how your organisation gives clients information about choices regarding your services and other services, and provides opportunities for clients to be involved in making decisions that affect them.

Examine and review the records relating to your policies and procedures on choice and self-reliance. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation gives clients information about choices regarding your services and other services, and the opportunity to be involved in making decisions that affect them?

Do records of service usage show that your organisation gives information about choices regarding your services and other services? o Yes o No

Do records show that clients have the opportunity to be involved in making decisions that affect them? o Yes o No

Evidence



73

Rating

a. exceeds requirements �Records show that your organisation gives clients information about choices regarding your services and other services, provides opportunities for clients to be involved in making decisions that affect them, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show that your organisation gives clients information about choices regarding your services and other services and provides opportunities for clients to be involved in making decisions that affect them.

C. Partly meets requirements �Records show that your organisation gives clients limited information about choices regarding your services and other services. OR Records show that your organisation gives clients limited opportunity to be involved in making decisions that affect them.

D. Does not meet requirements �Records show that your organisation does not give clients information about choices regarding your services or other services.





74

3.3 Participation

elements to consider about participation

formal mechanisms for client involvement, for example: �development, evaluation and improvement of services •recruitment of and feedback on the performance of staff and volunteers•representation on boards and/or forums•

opportunities for clients to provide input into the way services are delivered, and �to comment on key organisational policies, practices and strategies

provision of a support person where required to assist clients to participate in �service development

Guiding documents (Participation)

The organisation develops and regularly reviews policies and procedures that deal with client participation in the development, evaluation and improvement of services.

Do your organisation’s policies and procedures cover participation? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover participation in the ‘Evidence’ section on the facing page.










Tick the elements to consider about participation covered in your organisation’s guiding documents.


75

Evidence


Rating








If your organisation does not have policies and procedures relating to client participation, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.




76

Staff awareness (Participation)

Staff members have a good understanding of processes for promoting and facilitating client participation in service development, and promote these processes.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your client participation policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of processes used in your organisation for promoting and facilitating client participation in service development?








Evidence

Note the responses.


77

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the processes used for promoting and facilitating client participation in service development, and use these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the processes used for promoting and facilitating client participation in service development, and use these processes.

C. Partly meets requirements �Your co-workers have a limited understanding of the processes used for promoting and facilitating client participation in service development.

D. Does not meet requirements �Your co-workers have a poor understanding of the processes used for promoting and facilitating client participation in service development.



If your co-workers do not have a clear understanding of the way your organisation promotes and facilitates client participation in service development, record this here. In listing areas for improvement, take into account feedback from your client survey.


78

Records (Participation)

Records show that clients are given opportunities to participate in the development, evaluation and improvement of services.

Examine and review the records relating to your participation policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that clients are given opportunities to participate in the development, evaluation and improvement of services?

Do records of service usage show that clients are given opportunities to participate in the development of services? o Yes o No

Do records of service usage show that clients are given opportunities to participate in the evaluation and improvement of services? o Yes o No

Evidence



79

Rating

a. exceeds requirements �Records show your organisation gives clients information and opportunities to participate in the development, evaluation and improvement of services, and provides support for their participation if necessary.

B. meets requirements �Records show your organisation gives clients information and opportunities to participate in the development, evaluation and improvement of services.

C. Partly meets requirements �Records show your organisation gives clients limited information and opportunities to participate in the development, evaluation and improvement of services.

D. Does not meet requirements �Records show your organisation does not give clients information and opportunities to participate in the development, evaluation and improvement of services.




Assessing for Standard 4 (Confidentiality and privacy)

4Assessing for Standard 4 (Confidentiality and privacy)


82

Assessing for Standard 4 (Confidentiality and privacy)

This standard is about how organisations protect the privacy and confidentiality of people using services. It covers what is written and what is said about people and how that information is shared. It also covers the circumstances where the right to confidentiality may be overridden by other considerations.

4.1 Privacy

elements to consider about privacy

compliance with relevant legislative requirements in relation to privacy �

compliance with privacy requirements of the service agreement regarding: �provision of a privacy notice to clients•processes for the safe, secure and systematic collection, use and storage of up-•to-date client data (in hard copy and/or electronically) including information about limitstoconfidentialityandconsenttothesharingofinformation

respect for all dimensions of privacy including: �privacy of the body•privacy of the home (where applicable)•cultural issues•

physical space arrangements for people using services to speak with employees �and volunteers, and when sensitive matters are being discussed

procedures for requesting, sharing or using private information only when directly �relevant to service delivery

Guiding documents (Privacy)

The organisation develops and regularly reviews policies and procedures that will provide privacy for clients.

Do your organisation’s policies and procedures cover privacy? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover privacy in the ‘Evidence’ section on the facing page.







Tick the elements to consider about privacy covered in your organisation’s guiding documents.

Standard 4: Confidentiality and privacy

83




Evidence


Rating








If your organisation does not have policies and procedures relating to privacy, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.




84

Staff awareness (Privacy)

Staff members understand privacy legislation and how privacy for clients is provided by the organisation.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your privacy policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation collects, uses and securely stores user information, taking relevant privacy legislation into account?








Evidence

Note the responses.


85

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation collects, uses and securely stores user information, taking relevant privacy legislation into account, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation collects, uses and securely stores user information, taking relevant privacy legislation into account.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation collects, uses and securely stores user information.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation collects, uses and securely stores user information, and are not aware of relevant privacy legislation.



If your co-workers do not have a clear understanding of privacy legislation and how your organisation collects, stores and uses clients’ information, record this here. In listing areas for improvement, take into account feedback from your client survey.


86

Records (Privacy)

Records reflect the way privacy for clients is maintained by the organisation.

Examine and review the records relating to your privacy policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that your organisation collects, uses and stores client information in an appropriate way?

Is the client information securely stored? o Yes o No

Evidence



87

Rating

a. exceeds requirements �Records show your organisation keeps client information (in hard copy and/or electronically) secure and is always looking for ways to improve this process with feedback from team members and users.

B. meets requirements �Records show your organisation keeps client information (in hard copy and/or electronically) secure.

C. Partly meets requirements �Records show your organisation sometimes keeps client information (in hard copy and/or electronically) secure.

D. Does not meet requirements �Records show your organisation does not keep client information (in hard copy and electronically) secure.





88

4.2 Record keeping and disposal

elements to consider about record keeping and disposal

proceduresforsecuringtheinformedconsentofclientstokeepfilesoftheir �information

the decision process for transfer and/or disposal of client records �

the process for returning client records to the Department of Child Safety, where �the person concerned is a child or young person in care, or to the Department of Communities, where the person is involved in the youth justice system

Guiding documents (Record keeping and disposal)

The organisation develops and regularly reviews policies and procedures that deal with record keeping and record disposal.

Do your organisation’s policies and procedures cover record keeping and disposal? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover record keeping and disposal in the ‘Evidence’ section on the facing page.










Tick the elements to consider about record keeping and disposal covered in your organisation’s guiding documents.


89

Evidence


Rating








If your organisation does not have policies and procedures relating to record keeping and disposal,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.




90

Staff awareness (Record keeping and disposal)

Staff members have a clear understanding of the organisation’s procedures for collecting, using, securely storing, transferring and disposing of client data and records.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your record-keeping and disposal policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation transfers and disposes of the records of people using the service?








Evidence

Note the responses.


91

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation transfers and disposes of the records of service users.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation transfers and disposes of the records of service users.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation transfers and disposes of the records of service users.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation transfers and disposes of the records of service users.



If your co-workers do not have a clear understanding of the way your organisation transfers and disposes of the records of service users, record this here. In listing areas for improvement, take into account feedback from your client survey.


92

Records (Record keeping and disposal)

Client information is kept secure and up to date and disposed of appropriately.

Examine and review the records relating to your record-keeping and disposal policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that your organisation keeps client information secure and up to date and disposes of it appropriately?

Is the client information stored securely and for the required length of time? oYes oNo

Is there a record of any transfer or disposal of user information? o Yes o No

Evidence



93

Rating

a. exceeds requirements �Records show your organisation keeps client information for the length of time required, notes when records are transferred or disposed of, and is always looking for ways to improve these processes with feedback from team members.

B. meets requirements �Records show your organisation keeps client information for the length of time required and notes when records are transferred or disposed of.

C. Partly meets requirements �Records show your organisation sometimes keeps client information for the length of time required and sometimes notes when records are transferred, but does not note when records are disposed of.OR Records show your organisation keeps client information for variable lengths of time and does not always note when records are transferred or disposed of.

D. Does not meet requirements �Records show your organisation does not keep client information for the length of time required and does not note when records are transferred or disposed of.





94

4.3 Confidentiality

Elements to consider about confidentiality

appropriate management of verbal and written disclosure of sensitive client �information

the process for obtaining and documenting client consent to share their information, �either internally or with an external agency, in both verbal and written forms

theprocessforinformingclientsaboutanynecessarylimitstoconfidentialityand �thecircumstanceswheretherighttoconfidentialitymightbeoverriddenbyotherconsiderations

Guiding documents (Confidentiality)

The organisation develops and regularly reviews policies and procedures that deal with confidentiality.

Do your organisation’s policies and procedures cover confidentiality? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover confidentialityinthe‘Evidence’sectiononthefacingpage.










Tick the elements to consider about confidentiality covered in your organisation’s guiding documents.


95

Evidence


Rating








Ifyourorganisationdoesnothaveconfidentialitypoliciesandprocedures,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.




96

Staff awareness (Confidentiality)

Staff members understand their obligations and the processes for managing confidential information, and the circumstances when information may be shared or transferred. Staff members also understand when a client’s consent is required for the collection, transfer or sharing of information and how clients are advised about the confidentiality of their information.

Using the highlighted question below, ask a selection of your organisation’s employees andvolunteerstodescribetheirunderstandingofyourconfidentialitypoliciesandprocedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation manages confidential information, including the circumstances when information may be shared or transferred?








Evidence

Note the responses.


97

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation manages confidentialinformation,includingthecircumstanceswheninformationmaybesharedor transferred. Service users and team members have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisationmanagesconfidentialinformation,includingthecircumstanceswheninformation may be shared or transferred.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation manages confidentialinformationandarenotfullyawareofthecircumstanceswheninformationmay be shared or transferred.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation manages confidentialinformation,andthecircumstanceswheninformationmaybesharedortransferred.



If your co-workers do not have a clear understanding of the way your organisation managesconfidentialinformation,includingthecircumstanceswheninformationmaybeshared or transferred, record this here. In listing areas for improvement, take into account feedback from your client survey.


98

Records (Confidentiality)

Records are kept of information provided to service users about confidentiality, including information about any limits to confidentiality, and of consent to the sharing of information with other entities.

Examineandreviewtherecordsrelatingtoyourconfidentialitypoliciesandprocedures.(See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that clients are informed about confidentiality?

What types of records show that clients give consent to sharing of their information?

Do records show that clients are consistently informed about confidentiality? o Yes o No

Do records show that consent from clients is always sought before their information is shared with other entities? o Yes o No

Evidence



99

Rating

a. exceeds requirements �Recordsshowyourorganisationgivesserviceusersinformationaboutconfidentiality,and about consent to the sharing of information with other entities, and is always looking for ways to improve these processes with feedback from team members and users.Staffmembersandserviceusersareawareoftheconfidentialityrequirements.

B. meets requirements �Recordsshowyourorganisationgivesserviceusersinformationaboutconfidentiality,and about consent to the sharing of information with other entities.

C. Partly meets requirements �Records show your organisation seeks consent for sharing information with other entities,butdoesnotgiveserviceusersinformationaboutconfidentiality.OR Records show your organisation gives service users information about any limits to confidentiality,butdoesnotalwaysseekconsentforsharinginformationwithotherentities.

D. Does not meet requirements �Records show your organisation does not give service users information about any limitstoconfidentialityorseekconsentforsharinginformationwithotherentities.





100

4.4 Access to confidential information

Elements to consider about access to confidential information

proceduresforallowingandrestrictingaccesstoclientfiles �

theprocessforclientsorformerclientstoaccesstheirownconfidentialinformation �and be informed about their rights in this process

the process where clients can seek to have records about themselves changed �

the situations where the agency may refuse to provide access to personal �information

the process for handling appeals against refusals and for informing clients of their �rights in this regard

records of requests from clients for access to information, consideration of requests �and provision of access

Guiding documents (Access to confidential information)

The organisation develops and regularly reviews policies and procedures that deal with access by clients to confidential information concerning them.

Do your organisation’s policies and procedures cover access to confidential information? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover accesstoconfidentialinformationinthe‘Evidence’sectiononthefacingpage.










Tick the elements to consider about access to confidential information covered in your organisation’s guiding documents.


101

Evidence


Rating








If your organisation does not have policies and procedures relating to accessing confidentialinformation,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.




102

Staff awareness (Access to confidential information)

Staff members have a good understanding of the right of clients to access their confidential information and the circumstances when their request may be refused.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your policies and procedures about accesstoconfidentialinformationandhowtheyareimplemented.Recordtheirresponsesin the ‘Evidence’ section.


What is your understanding of the way your organisation allows service users to have access to their confidential information, and of the circumstances when their request might be refused?








Evidence

Note the responses.


103

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation allows serviceuserstohaveaccesstotheirconfidentialinformation,andofwhentheirrequests might be refused. Staff members have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisationallowsserviceuserstohaveaccesstotheirconfidentialinformation.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation allows serviceuserstohaveaccesstotheirconfidentialinformation.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation allows serviceuserstohaveaccesstotheirconfidentialinformation.



If your co-workers do not have a clear understanding of the way your organisation allows clientstohaveaccesstotheirconfidentialinformation,recordthishere.Inlistingareasforimprovement, take into account feedback from your client survey.


104

Records (Access to confidential information)

The organisation records when clients access their confidential information, including documentation of decisions to refuse the request for information.

Examine and review the records relating to your policies and procedures about access to confidentialinformation.(Seesection6.5.4oftheself-assessmentmanualforexamplesofrecords and information on sampling.)


What types of records demonstrate that service users have access to their confidential information?

Is service user access to confidential information clearly recorded? o Yes o No

Do records show that the policies and procedures for service user access to their confidential information have been followed? o Yes o No

Evidence



105

Rating

a. exceeds requirements �Records show your organisation gives service users access to their information as appropriate and records this access. Responses to all requests for access to information are recorded. Your organisation is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Recordsshowyourorganisationrecordsserviceusers’accesstotheirconfidentialinformation, including any denied requests for access and the reasons for denial.

C. Partly meets requirements �Records show your organisation sometimes records service users’ access to their confidentialinformation,butdoesnotrecorddeniedrequestsforaccessorthereasons for denial.

D. Does not meet requirements �Records show your organisation does not record service users’ access to their confidentialinformation,oranyrequestsforaccess.




Assessing for Standard 5 (Feedback and complaints)

5Assessing for Standard 5 (Feedback and complaints)


108

Assessing for Standard 5 (Feedback and complaints)

this standard is about how an organisation listens to people using services and takes on feedback, both positive and negative, as a source of ideas for improving services and other activities. It covers complaints from people using services and their right to have complaints fairly assessed.

5.1 Feedback

elements to consider about feedback

development of a service culture that encourages open and honest communication �

encouragement of feedback through a variety of channels �

anonymity for people providing feedback �

records of client feedback and levels of satisfaction �

the process for compiling, analysing, distributing and using information arising from �feedback

Guiding documents (Feedback)

The organisation develops and regularly reviews policies and procedures that deal with client feedback.

Do your organisation’s policies and procedures cover feedback? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover feedback in the ‘Evidence’ section on the facing page.










Tick the elements to consider about feedback covered in your organisation’s guiding documents.

Standard 5: Feedback and complaints

109

Evidence


Rating








If your organisation does not have policies and procedures relating to client feedback, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.




110

Staff awareness (Feedback)

Staff members have a good understanding of the organisation’s processes for encouraging users to give feedback and for managing feedback to improve services to clients.

Using the highlighted questions below, ask a selection of your organisation’s employees, volunteers and committee members to describe their understanding of your feedback policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation encourages users to give feedback about services?

What is your understanding of the way your organisation manages such feedback to improve services for users?

how many people were invited to give feedback? (e.g. 3 employees, 1 volunteer, 1 management committee, 5 out of a total of 20 staff members = 5/20)

employees volunteers management committee = /

how many actually participated? (e.g. 2 employees, 1 volunteer, 1 management committee, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


111

Rating

a. exceeds requirements �Your co-workers and committee members all have a clear understanding of the way your organisation encourages users to give feedback and manages such feedback to improve services, and they have input into the review of these processes.

B. meets requirements �The majority of your co-workers and committee members have a clear understanding of the way your organisation encourages users to give feedback and manages such feedback to improve services.

C. Partly meets requirements �Your co-workers and committee members have a limited understanding of the way your organisation encourages users to give feedback and manages such feedback to improve services.

D. Does not meet requirements �Your co-workers and committee members have a poor understanding of the way your organisation encourages users to give feedback and manages such feedback to improve services.



If your co-workers and committee members do not have a clear understanding of the way your organisation encourages users to give feedback and manages such feedback to improve services for users, record this here. In listing areas for improvement, take into account feedback from your client survey.


112

Records (Feedback)

Records show that the organisation encourages and compiles feedback and uses such feedback to improve services.

Examine and review the records relating to your feedback policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation encourages and compiles feedback and uses such feedback to improve services?

Do records show that your organisation encourages and compiles feedback about services? o Yes o No

Do records show that your organisation uses such feedback to improve services? o Yes o No

Evidence



113

Rating

a. exceeds requirements �Records show your organisation encourages and compiles feedback and uses such feedback to improve services, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show your organisation encourages and compiles feedback and uses such feedback to improve services.

C. Partly meets requirements �Records show your organisation encourages and compiles feedback but does not use such feedback to improve services.

D. Does not meet requirements �Records show your organisation does not encourage and compile feedback or use such feedback to improve services.





114

5.2 Complaints by clients

elements to consider about complaints by clients

provision of information about: �internal and external complaints mechanisms•how complaints are recorded, considered and appropriately dealt with in a timely •mannerthe outcome of the complaint•options to appeal decisions•options for taking complaints to agencies beyond the organisation, including the •Department of Communitieshow people may be supported by a representative of another organisation or •advocateprocesses to ensure that the complainant is not disadvantaged by making a •complaint

culturally appropriate processes for making complaints �

how the outcomes of complaints are taken into account in improving the organisation �

Guiding documents (Complaints)

The organisation develops and regularly reviews policies and procedures that deal with complaints by clients.

Do your organisation’s policies and procedures cover complaints?oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover complaints by users in the ‘Evidence’ section on the facing page.










Tick the elements to consider about complaints by clients covered in your organisation’s guiding documents.


115

Evidence


Rating








If your organisation does not have policies and procedures relating to complaints by users,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethe general areas for improvement. More detail can be recorded when you develop your improvement plan.




116

Staff awareness (Complaints)

Staff members have a good understanding of the organisation’s procedures for dealing with and resolving disputes involving clients, and how decisions relating to clients can be reviewed.

Using the highlighted questions below, ask a selection of your organisation’s employees, volunteers and committee members to describe their understanding of your complaint policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation deals with and resolves disputes involving service users?

What is your understanding of the way your organisation reviews decisions relating to complaints by service users?

how many people were invited to give feedback? (e.g. 3 employees, 1 volunteer, 1 management committee, 5 out of a total of 20 staff members = 5/20)


how many actually participated? (e.g. 2 employees, 1 volunteer, 1 management committee, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


117

Rating

a. exceeds requirements �Your co-workers and committee members all have a clear understanding of the way your organisation deals with and resolves disputes involving service users and reviews decisions relating to complaints by service users, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers and committee members have a clear understanding of the way your organisation deals with and resolves disputes involving service users and reviews decisions relating to complaints by service users.

C. Partly meets requirements �Your co-workers and committee members have a limited understanding of the way your organisation deals with and resolves disputes involving service users and reviews decisions relating to complaints by service users.

D. Does not meet requirements �Your co-workers and committee members have a poor understanding of the way your organisation deals with and resolves disputes involving service users and reviews decisions relating to complaints by service users.



If your co-workers and committee members do not have a clear understanding of the way your organisation deals with and resolves disputes involving service users and reviews decisions relating to complaints by service users, record this here. In listing areas for improvement, take into account feedback from your client survey.


118

Records (Complaints)

Records show the organisation deals with and resolves disputes involving clients and reviews decisions relating to such disputes.

Examine and review the records relating to your complaints policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation deals with and resolves disputes involving service users and reviews decisions relating to such disputes?

Do records show that your organisation deals with and resolves disputes involving service users? o Yes o No

Do records show that your organisation reviews decisions relating to such disputes? o Yes o No

Evidence



119

Rating

a. exceeds requirements �Records show that your organisation deals with and resolves disputes involving service users and reviews decisions relating to such disputes, and that team members have input into the review of these processes.

B. meets requirements �Records show that your organisation deals with and resolves disputes involving service users and reviews decisions relating to such disputes.

C. Partly meets requirements �Records show that your organisation sometimes deals with and resolves disputes involving service users but does not always review decisions relating to such disputes.

D. Does not meet requirements �Records show that your organisation does not deal with or resolve disputes involving service users and does not review decisions relating to such disputes.




Assessing for Standard 6 (Protecting safety and wellbeing)

6Assessing for Standard 6 (Protecting safety and wellbeing)


122

Assessing for Standard 6 (Protecting safety and wellbeing)

This standard is about how an organisation identifies, records and deals with incidents of harm or potential harm (including a risk of suicide) to people who use its services. It also identifies what people working in the service must do if potential harm or harm arising elsewhere (outside of the organisation) is disclosed.

6.1 Harm prevention

elements to consider about harm prevention

how risk of harm is assessed, taking into account risks from: �other clients•actions (or inaction) of staff in the organisation •physical surrounds•the nature of the service•the clients themselves, to themselves and to other clients, and to people beyond •the organisation

the process to inform clients about how their safety and wellbeing will be protected, �and any actions they are required to take or not take while using the service

strategies in place to minimise and promptly respond to aggressive behaviour or �physical threat

other strategies to respond to risk such as: �prominent listing of emergency numbers •theavailabilityoffirstaidkitsandstafftrainedinfirstaid•procedures for maintaining good hygiene and dealing with infectious illnesses•safe environments for children•

Guiding documents (Harm prevention)

The organisation develops and regularly reviews policies and procedures that deal with harm prevention.

Do your organisation’s policies and procedures cover harm prevention? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover harm prevention in the ‘Evidence’ section on the facing page.






Tick the elements to consider about harm prevention covered in your organisation’s guiding documents.

Standard 6: Protecting safety and wellbeing

123





Evidence


Rating








If your organisation does not have policies and procedures relating to harm prevention, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.




124

Staff awareness (Harm prevention)

Staff members have a good understanding of the organisation’s policies and procedures for preventing harm to clients.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your harm prevention policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the ways in which your organisation prevents harm to service users?








Evidence

Note the responses.


125

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation prevents harm to service users and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation prevents harm to service users.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation prevents harm to service users.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation prevents harm to service users.



If your co-workers do not have a clear understanding of the way your organisation prevents harm to service users, record this here. In listing areas for improvement, take into account feedback from your client survey.


126

Records (Harm prevention)

Records show that the organisation makes efforts to prevent harm to clients.

Examine and review the records relating to your harm prevention policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation makes efforts to prevent harm to service users?

Do records show that risk of harm is regularly assessed? o Yes o No

Do records show that clients are informed about how their safety and wellbeing will be protected and about actions they are required to take? o Yes o No

Evidence



127

Rating

a. exceeds requirements �Records show your organisation takes steps to prevent harm to service users, and service members and users have input into the review of these processes.

B. meets requirements �Records show your organisation takes steps to prevent harm to service users.

C. Partly meets requirements �Records show your organisation takes limited steps to prevent harm to service users.

D. Does not meet requirements �Records show your organisation does not take steps to prevent harm to service users.





128

6.2 Harm response

elements to consider about harm response

the process for identifying, recording and responding to allegations of harm �to people arising out of services received, and if appropriate, for reporting the allegations to relevant agencies including the Department of Communities

strategies for ensuring that responses take account of the principles of natural �justice and that all parties are supported during the investigation

the agency’s response to disclosures of harm, or potential harm, where the harm �does not arise out of services received

Guiding documents (Harm response)

The organisation develops and regularly reviews policies and procedures for responding to harm or potential harm.

Do your organisation’s policies and procedures cover harm response? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover confidentialityinthe‘Evidence’sectiononthefacingpage.










Tick the elements to consider about harm response covered in your organisation’s guiding documents.


129

Evidence


Rating








If your organisation does not have policies and procedures relating to harm response, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.




130

Staff awareness (Harm response)

Staff members have a good understanding of the organisation’s procedures for responding to harm or allegations of harm.

Using the highlighted questions below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your harm response policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


how does your organisation respond to harm or allegations of harm?

how does your organisation support any person harmed in your service, and the person reporting it?








Evidence

Note the responses.


131

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation responds to harm or allegations of harm and supports any person harmed in your organisation, and the person reporting it, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation responds to harm or allegations of harm and supports any person harmed in your organisation, and the person reporting it.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation responds to harm or allegations of harm and supports any person harmed in your organisation, and the person reporting it.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation responds to harm or allegations of harm, and are not aware of how a person who is harmed or reports harm in the organisation is supported.



If your co-workers do not have a clear understanding of the way your organisation responds to harm or allegations of harm, record this here. In listing areas for improvement, take into account feedback from your client survey.


132

Records (Harm response)

Records show that the organisation responds to harm or allegations of harm.

Examine and review the records relating to your harm response policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation makes efforts to respond to harm or allegations of harm, including providing support to the person harmed and the person reporting it?

Do records show that your organisation makes efforts to respond to harm or allegations of harm? o Yes o No

Do records show that your organisation provides support to the person harmed and the person reporting it? o Yes o No

Evidence



133

Rating

a. exceeds requirements �Records show that your organisation responds to harm or allegations of harm, supports any person harmed in your organisation, and the person reporting it, and that service members and users have input into the review of these processes.

B. meets requirements �Records show that your organisation responds to harm or allegations of harm and supports any person harmed in your organisation, and the person reporting it.

C. Partly meets requirements �Records show that your organisation sometimes responds to harm or allegations of harm and supports any person harmed in your organisation, and the person reporting it.

D. Does not meet requirements �Records show that your organisation does not respond to harm or allegations of harm and does not support any person harmed or the person reporting it.




Assessing for Standard 7 (Recruitment and selection processes

for people working in services)


(Recruitment and selection processes for people working in services)


136

Assessing for Standard 7 (Recruitment and selection processes for people working in services)

this standard is about making sure that the people working in funded organisations are fairly assessed and properly recruited for their important roles. It covers both paid employees and volunteers, noting that not all organisations use volunteers.

7.1 Employee recruitment

elements to consider about employee recruitment

theinclusionofrequiredqualificationsandexperience(includingcultural �competency) in position descriptions

probation periods �

advertising (internal and external) and promotion �

composition of selection panels �

consistent application of selection criteria �

strategiesforcheckingqualifications,referencesandcriminalhistory(andother �appropriate checks) and managing the outcomes of checks

confidentialrecordingofrecruitmentprocesses,including: �copies of external advertisements or promotions•job descriptions•selection criteria and selection processes•copiesofrelevantqualifications•reference reports•police checks•signed authorisation of appointments•

Guiding documents (Employee recruitment)

The organisation develops and regularly reviews policies and procedures that deal with employee recruitment.

Do your organisation’s policies and procedures cover employee recruitment? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover employee recruitment in the ‘Evidence’ section on the facing page.





Tick the elements to consider about employee recruitment covered in your organisation’s guiding documents.

Standard 7: Recruitment and selection processes for people working in services

137






Evidence


Rating








If your organisation does not have policies and procedures relating to employee recruitment,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficientto note the general areas for improvement. More detail can be recorded when you develop your improvement plan.



138

Staff awareness (Employee recruitment)

All employees, and particularly senior staff, have knowledge of processes relating to recruitment and selection of employees.

Using the highlighted question below, ask a selection of your organisation’s employees and managers to describe their understanding of your employee recruitment policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation recruits and selects employees?

how many people were invited to give feedback? (e.g. 4 employees, 1 manager, 5 out of a total of 20 staff members = 5/20)

employees managers = /

how many actually participated? (e.g. 3 employees, 1 manager, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


139

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation recruits and selects employees, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation recruits and selects employees.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation recruits and selects employees.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation recruits and selects employees.



If your co-workers do not have a clear understanding of the way your organisation recruits and selects employees, record this here.


140

Records (Employee recruitment)

Position descriptions and records of recruitment relating to all positions in the organisation are current, and recruitment processes and authorisations are documented.

Examine and review the records relating to your employee recruitment policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that employee recruitment is conducted according to the organisation’s policies and procedures?

are the position descriptions current? o Yes o No

are all recruitment records up to date? o Yes o No

Evidence



141

Rating

a. exceeds requirements �Records show your organisation maintains up-to-date position descriptions and employee recruitment records, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show your organisation maintains up-to-date position descriptions and employee recruitment records.

C. Partly meets requirements �Records show your organisation maintains up-to-date employee recruitment records, but not all position descriptions are current.ORRecords show your organisation maintains up-to-date position descriptions, but not all employee recruitment records are current.

D. Does not meet requirements �Records show your organisation does not maintain up-to-date position descriptions and employee recruitment records.



Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.


142

7.2 Volunteer selection

elements to consider about volunteer selection

the volunteer application process including assessment, endorsement, referee and �policechecks(andotherappropriatechecks),confidentialmanagementofcheckoutcomes, and probationary periods

development of job descriptions or expectations of the volunteer role �

Guiding documents (Volunteer selection)

The organisation develops and regularly reviews policies and procedures that deal with recruitment and selection of volunteers.

Do your organisation’s policies and procedures cover volunteer selection? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover volunteer selection in the ‘Evidence’ section below.










Evidence


Tick the elements to consider about volunteer selection covered in your organisation’s guiding documents.


143

Rating








If your organisation does not have policies and procedures relating to volunteer selection, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.



144

Staff awareness (Volunteer selection)

Staff members, particularly senior staff, have knowledge of processes relating to recruitment and selection of volunteers.

Using the highlighted question below, ask a selection of your organisation’s employees to describe their understanding of your volunteer selection policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the way your organisation recruits and selects volunteers?








Evidence

Note the responses.


145

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation recruits and selects volunteers, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation recruits and selects volunteers.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation recruits and selects volunteers.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation recruits and selects volunteers.



If your co-workers do not have a clear understanding of the way your organisation recruits and selects volunteers, record this here.


146

Records (Volunteer selection)

Records of recruitment to all volunteer positions in the organisation are up to date.

Examine and review the records relating to your volunteer selection policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that volunteer selection is conducted according to the organisation’s policies and procedures?

are the volunteer recruitment records up to date? o Yes o No

Does the organisation comply with obligations as an employer of volunteers? o Yes o No

Evidence



147

Rating

a. exceeds requirements �Records show your organisation keeps volunteer recruitment records up to date, complies with obligations as an employer of volunteers, and is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show your organisation keeps volunteer recruitment records up to date and complies with obligations as an employer of volunteers.

C. Partly meets requirements �Records show your organisation keeps volunteer recruitment records up to date but does not always comply with obligations as an employer of volunteers.OR Records show your organisation complies with obligations as an employer of volunteers but does not always keep volunteer recruitment records up to date.

D. Does not meet requirements �Records show your organisation does not keep volunteer recruitment records up to date or comply with obligations as an employer of volunteers.




Assessing for Standard 8 (Induction, training and development

of people working in services)


(Induction, training and development of people working in services)


150

Assessing for Standard 8 (Induction, training and development of people working in services)

this standard is about making sure that the people working in funded organisations are well prepared for what they are required to do and have opportunities to improve their knowledge and skills over time. the standard covers employees and volunteers, noting that not all organisations use volunteers.

8.1 Employee and volunteer induction

elements to consider about employee and volunteer induction

timing and processes, including who is responsible for induction of new employees �andvolunteerswithcurrentworkplace-specificinformation

recording that the induction was provided to and acknowledged by employees and �volunteers

Guiding documents (Employee and volunteer induction)

The organisation develops and regularly reviews policies and procedures that deal with employee and volunteer induction.

Do your organisation’s policies and procedures cover employee and volunteer induction? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover employee and volunteer induction in the ‘Evidence’ section on the facing page.










Tick the elements to consider about employee and volunteer induction covered in your organisation’s guiding documents.

Standard 8: Induction, training and development of people working in services

151

Evidence


Rating








If your organisation does not have policies and procedures relating to employee and volunteer induction, or you answered ‘no’ to any of the questions, record this here. It is sufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.



152

Staff awareness (Employee and volunteer induction)

Employees and volunteers go through the induction processes and are confident that it has helped them to provide services.

Using the highlighted question below, ask a selection of your organisation’s employees and volunteers to describe their understanding of your employee and volunteer induction policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


how has the induction process helped you to effectively provide community services?








Evidence

Note the responses.


153

Rating

a. exceeds requirements �Your co-workers allhaveconfidencethattheinductionprocesshashelpedthemtoeffectively provide community services, and they have input into the review of this process.

B. meets requirements �The majorityofyourco-workershaveconfidencethattheinductionprocesshashelped them to effectively provide community services.

C. Partly meets requirements �Your co-workers have limitedconfidencethattheinductionprocesshashelpedthemto effectively provide community services.

D. Does not meet requirements �Your co-workers have low or no confidencethattheinductionprocesshashelpedthem to effectively provide community services.



Ifyourco-workersarenotconfidentthattheinductionprocesshashelpedthemtoeffectively provide community services, record this here.


154

Records (Employee and volunteer induction)

Records show that employees and volunteers undergo a formal induction process.

Examine and review the records relating to your employee and volunteer induction policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that your organisation’s employees and volunteers undergo a formal induction process?

Do records show that your induction processes are based on a structured approach to develop the skills/experience your organisation needs? o Yes o No

Do records show that your induction processes are evaluated? o Yes o No

Evidence



155

Rating

a. exceeds requirements �Records show your organisation’s employees and volunteers undergo a formal induction process and have input into the review of this process.

B. meets requirements �Records show your organisation’s employees and volunteers undergo a formal induction process.

C. Partly meets requirements �Records show your organisation’s employees and volunteers undergo an induction process, but it is not formalised.

D. Does not meet requirements �Records show your organisation’s employees and volunteers do not undergo any induction process.





156

8.2 Employee and volunteer training and development

elements to consider about employee and volunteer training and development

assessment and prioritisation of needs including: �development of training plans•records of participation in training•feedback collection and review•information for employees and volunteers about ongoing training and development•

exploration of a range of options for skill development �

cross-culturalawarenesswhichreflectsthecompetenciesrequiredtoworkwiththe �target group

knowledge and understanding of the application of eligibility criteria for accessibility �of services

knowledge and understanding of all current policies and procedures of the �organisation

financialadministrationprocesses �

Guiding documents (Employee and volunteer training and development)

The organisation develops and regularly reviews policies and procedures that deal with employee and volunteer training and development.

Do your organisation’s policies and procedures cover employee and volunteer training and development? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover employee and volunteer training and development in the ‘Evidence’ section on the facing page.










Tick the elements to consider about employee and volunteer training and development covered in your organisation’s guiding documents.


157

Evidence


Rating








If your organisation does not have policies and procedures relating to employee and volunteer training and development, or you answered ‘no’ to any of the questions, record thishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecorded when you develop your improvement plan.



158

Staff awareness (Employee and volunteer training and development)

Employees and volunteers are confident that their training and development needs are being met and this training and development helps them to effectively provide services to clients.

Using the highlighted question below, ask a selection of your organisation’s employees andvolunteershowconfidenttheyarethattheirtraininganddevelopmentneedsaremet to help them effectively provide services to clients. Record their responses in the ‘Evidence’ section.


How confident are you that your training and development needs are assessed and prioritised to help you effectively provide community services?








Evidence

Note the responses.


159

Rating

a. exceeds requirements �Your co-workers allhaveconfidencethattheirtraininganddevelopmentneedsareassessed and prioritised to help them effectively provide community services, and have input into the review of this process.

B. meets requirements �The majorityofyourco-workershaveconfidencethattheirtraininganddevelopmentneeds are assessed and prioritised to help them effectively provide community services.

C. Partly meets requirements �Your co-workers have limitedconfidencethattheirtraininganddevelopmentneedsare assessed and prioritised to help them effectively provide community services.

D. Does not meet requirements �Your co-workers have low or no confidencethattheirtraininganddevelopmentneedsare assessed and prioritised to help them effectively provide community services.



Ifyourco-workersdonothaveconfidenceinthewayyourorganisationtrainsanddevelops employees and volunteers, record this here.


160

Records (Employee and volunteer training and development)

Records show the participation of staff and volunteers in training and development, and that the training and development needs of employees and volunteers are regularly reviewed.

Examine and review the records relating to your employee and volunteer training and development policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that employee and volunteer training and development are conducted according to the organisation’s procedures?

are training and development needs regularly reviewed? o Yes o No

are your training and development materials for employees and volunteers reviewed and kept up to date to respond to their needs? o Yes o No

Evidence



161

Rating

a. exceeds requirements �Records show that employees and volunteers participate in training and development, their training and development needs are regularly reviewed, and they have input into the review process.

B. meets requirements �Records show that employees and volunteers participate in training and development, and their training and development needs are regularly reviewed.

C. Partly meets requirements �Records show that employees and volunteers sometimes participate in training and development, but their training and development needs are not regularly reviewed.

D. Does not meet requirements �Records show that employees and volunteers do not participate in training and development, and their training and development needs are not regularly reviewed.




Assessing for Standard 9 (Employee and volunteer support)

9Assessing for Standard 9 (Employee and volunteer support)


164

Assessing for Standard 9 (Employee and volunteer support)

this standard is about making sure that the people working in funded organisations are supported in what they do. this means ensuring that they get feedback on how they are going, individually and as teams, on a regular basis (for example, every six months). It also means ensuring an effective avenue for resolving complaints by staff and volunteers, if and when they arise. the standard covers employees and volunteers, noting that not all organisations use volunteers.

9.1 Employee performance and support

elements to consider about employee performance and support

collaborative establishment of individual and/or team objectives �

systematic review and recording of individual and/or team performance, including �timeframes and processes for review against agreed objectives

maintenanceofemployeefilesorotherfilesshowingrecordsoffeedbackprocesses �including measures of employee satisfaction

opportunities for enhancement of skills and knowledge �

management of allegations of misconduct or dishonesty �

response to critical incidents �

Guiding documents (Employee performance and support)

The organisation develops and regularly reviews policies and procedures that deal with employee support.

Do your organisation’s policies and procedures cover employee performance and support? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover employee performance and support in the ‘Evidence’ section on the facing page.










Tick the elements to consider about employee performance and support covered in your organisation’s guiding documents.

Standard 9: Employee and volunteer support

165

Evidence


Rating








If your organisation does not have policies and procedures relating to employee and volunteer support, or you answered ‘no’ to any of the questions, record this here. It is sufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.



166

Staff awareness (Employee performance and support)

Employees understand their roles, the level of performance required and their opportunities for development, and are supported by the organisation in the successful conduct of their duties.

Using the highlighted questions below, ask a selection of your organisation’s employees and managers to describe their understanding of their roles, the level of performance required, their opportunities for development, and whether they are supported by the organisation in the successful conduct of their duties. Record their responses in the ‘Evidence’ section.


For managers:

What opportunities have employees had to develop and apply indicators of their performance with the employer?

how are individual and team objectives negotiated?

For employees:

What is your understanding of your role, the level of performance required and your opportunities for development?

how are individual and team objectives negotiated?









167

Evidence

Note the responses.

Rating

a. exceeds requirements �Your co-workers are allconfidentthattheyunderstandtheirrolesandthelevelofperformance required, that they are supported by the organisation and that they can negotiate individual and team objectives with management.

B. meets requirements �The majorityofyourco-workersareconfidentthattheyunderstandtheirrolesandthelevel of performance required and that they are supported by the organisation.

C. Partly meets requirements �Your co-workers have limitedconfidencethattheyunderstandtheirrolesandthelevelof performance required, or that they are supported by the organisation.

D. Does not meet requirements �Your co-workers have low or noconfidencethattheyunderstandtheirrolesorthelevel of performance required, or that they are supported by the organisation.



Ifyourco-workersarenotconfidentthattheyunderstandtheirrolesorthelevelofperformance required, or that they are supported by the organisation, record this here.


168

Records (Employee performance and support)

Records show performance indicators for employees’ performance are established, measured and managed.

Examine and review the records relating to your policies and procedures for employee performance and support. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that performance indicators for employees’ performance are established, measured and managed in your organisation?

Do the records show that work objectives are negotiated with individuals and that employees are provided with opportunities to enhance their skills and knowledge? o Yes o No

Evidence



169

Rating

a. exceeds requirements �Records show your organisation’s performance indicators for employees are established, measured and managed with employees, and they have input into the review of these processes.

B. meets requirements �Records show your organisation’s performance indicators for employees are established, measured and managed with employees.

C. Partly meets requirements �Records show your organisation’s performance indicators for employees are established, measured and managed, but not always with input from employees.

D. Does not meet requirements �Records show your organisation’s performance indicators for employees are not established, measured or managed.





170

9.2 Volunteer support

elements to consider about volunteer support

support for and management of volunteer services and contributions �

response to critical incidents �

Guiding documents (Volunteer support)

The organisation develops and regularly reviews policies and procedures that deal with support of volunteers.

Do your organisation’s policies and procedures cover volunteer support? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover volunteer support in the ‘Evidence’ section below.










Evidence


Tick the elements to consider about volunteer support covered in your organisation’s guiding documents.


171

Rating








If your organisation does not have policies and procedures relating to the support of volunteers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.



172

Staff awareness (Volunteer support)

Volunteers are satisfied that they are supported and managed, and they are assigned tasks after consideration of their strengths and preferences.

Using the highlighted questions below, ask a selection of your organisation’s volunteers and managers to describe their understanding of your volunteer support policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


For managers: How confident are you that your volunteers are supported and managed, and assigned tasks after consideration of their strengths and preferences?

For volunteers: How confident are you that you are supported and managed, and assigned tasks after consideration of your strengths and preferences?

how many people were invited to give feedback? (e.g. 4 volunteers, 1 manager, 5 out of a total of 20 staff members = 5/20)

volunteers managers = /

how many actually participated? (e.g. 3 volunteers, 1 manager, 4 out of a total of 5 invitees = 4/5)

volunteers managers = /




Evidence

Note the responses.


173

Rating

a. exceeds requirements �Your volunteers allhaveconfidencetheyaresupportedandmanaged,andassignedtasks after consideration of their strengths and preferences, and have input into the review of this process.

B. meets requirements �The majority ofyourvolunteershaveconfidencetheyaresupportedandmanaged,and assigned tasks after consideration of their strengths and preferences.

C. Partly meets requirements �Your volunteers have limitedconfidencethattheyaresupportedandmanaged,andassigned tasks after consideration of their strengths and preferences.

D. Does not meet requirements �Your volunteers have low or noconfidencethattheyaresupportedandmanaged,andassigned tasks after consideration of their strengths and preferences.



Ifyourvolunteersdonothaveconfidenceinthewayyourorganisationsupportsandmanages volunteers, record this here.


174

Records (Volunteer support)

Records show that volunteers are supported and managed, and that feedback to them is documented.

Examine and review the records relating to your volunteer support policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show your organisation’s volunteers are supported and managed, and that feedback to them is documented?

Do records show that volunteers are supported and managed? oYes oNo

Do records show that feedback to volunteers is documented? o Yes o No

Evidence



175

Rating

a. exceeds requirements �Records show that your organisation’s volunteers are supported, managed and assigned tasks after consideration of their strengths and weaknesses, and that feedback to them is documented.

B. meets requirements �Records show that your organisation’s volunteers are supported and managed, and that feedback to them is documented.

C. Partly meets requirements �Records show that your organisation’s volunteers are supported and managed, but that feedback to them is not documented.

D. Does not meet requirements �Records show that your organisation’s volunteers are not supported and managed.





176

9.3 Dispute resolution for employees and volunteers

elements to consider about dispute resolution for employees and volunteers

provision of information for employees and volunteers about: �internal and external complaints mechanisms•the process for handling complaints — raising, recording, consideration, decisions •and actionsnotificationabouttheoutcomeofthecomplaint(inwriting)•options to appeal decisions•taking the complaint to agencies beyond the organisation•being supported by a representative of another organisation or an advocate•processes to ensure that the complainant is not disadvantaged by making a •complaint

cultural appropriateness of the complaints process �

use of the information resulting from the complaints process to improve employee �and volunteer management in the organisation

Guiding documents (Dispute resolution for employees and volunteers)

The organisation develops and regularly reviews policies and procedures for resolving disputes among employees and volunteers.

Do your organisation’s policies and procedures cover dispute resolution for employees and volunteers? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover dispute resolution for employees and volunteers in the ‘Evidence’ section on the facing page.










Tick the elements to consider about dispute resolution for employees and volunteers covered in your organisation’s guiding documents.


177

Evidence


Rating








If your organisation does not have policies and procedures relating to dispute resolution for employees and volunteers, or you answered ‘no’ to any of the questions, record thishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecorded when you develop your improvement plan.



178

Staff awareness (Dispute resolution for employees and volunteers)

Volunteers and employees are aware of processes for dispute resolution and the review of associated decisions.

Using the highlighted questions below, ask a selection of your organisation’s employees, volunteers and managers to describe their understanding of your dispute resolution policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


How confident are you that a request for dispute resolution would be dealt with promptly and that the person dealing with the application would have no personal interest in the matter?

What is your understanding of the process for resolving disputes and reviewing decisions?

how many people were invited to give feedback? (e.g. 3 employees, 1 volunteer, 1 manager, 5 out of a total of 20 staff members = 5/20)

employees volunteers managers = /

how many actually participated? (e.g. 2 employees, 1 volunteer, 1 manager, 4 out of a total of 5 invitees = 4/5)

employees volunteers managers = /




Evidence

Note the responses.


179

Rating

a. exceeds requirements �Your volunteers and employees all understand dispute resolution procedures, and allhaveconfidencethatrequestsfordisputeresolutionwillbedealtwithpromptlyand appropriately. Volunteers and employees have input into the review of these processes.

B. meets requirements �The majority of your volunteers and employees understand dispute resolution proceduresandhaveconfidencethatrequestsfordisputeresolutionwillbedealtwithpromptly and appropriately.

C. Partly meets requirements �Your volunteers and employees have limited understanding of dispute resolution procedures and limitedconfidencethatrequestsfordisputeresolutionwillbedealtwith promptly and appropriately.

D. Does not meet requirements �Your volunteers and employees have low or no understanding of dispute resolution procedures and noconfidencethatrequestsfordisputeresolutionwillbedealtwithpromptly and appropriately.



Ifyouremployeesandvolunteersdonothaveconfidenceinthewayyourorganisationresolves disputes, record this here.


180

Records (Dispute resolution for employees and volunteers)

Records show that volunteers and employees are given a written response to a complaint or request for dispute resolution, and written reasons for associated decisions.

Examine and review the records relating to your dispute resolution policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records show that volunteers and employees are always given a written response to a request for dispute resolution, and written reasons for associated decisions? o Yes o No

Do records show that volunteers and employees are given written responses to complaints and requests for dispute resolution and written reasons for associated decisions? o Yes o No

Evidence



181

Rating

a. exceeds requirements �Records show volunteers and employees are always given a written response to a request for dispute resolution, and written reasons for associated decisions. Volunteers and employees have input into the review of these processes.

B. meets requirements �Records show volunteers and employees are given a written response to a request for dispute resolution, and written reasons for associated decisions.

C. Partly meets requirements �Records show volunteers and employees are sometimes given a written response to a request for dispute resolution, and are sometimes given written reasons for associated decisions.

D. Does not meet requirements �Records show volunteers and employees are not given a written response to a request for dispute resolution, or written reasons for associated decisions.




Assessing for Standard 10 (Organisational alignment)

10Assessing for Standard 10 (Organisational alignment)


184

Assessing for Standard 10 (Organisational alignment)

this standard is about how processes for decision making and reporting in an organisation line up with its values, vision and funded outputs. It requires a clear statement about service delivery that offers a commonsense overview of how service models and practice will work to achieve the outcomes required.

10.1 Vision, values and planning

elements to consider about vision, values and planning

a documented statement of organisational vision and values or philosophy �

ownership of this vision by employees, volunteers and clients �

alignment between this vision and the organisation’s planning processes and service �delivery models

Guiding documents (Vision, values and planning)

The organisation develops a statement of its vision, values and objectives, and strategies and models for achieving these objectives.

Does your organisation have a statement or policy that covers vision, values and planning? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list the statement or policies that cover vision, values and planning in the ‘Evidence’ section on the facing page.



Do your organisation’s vision statement or policies deal with the applicable elements? oYes oNo oSome



Is it clear who is accountable for developing and monitoring the vision statement or policies? o Yes o No

are the vision statement or policies kept up to date and reviewed? o Yes o No


how frequently are the vision statement or policies reviewed? o6-monthly oyearly o3-yearly

Tick the elements to consider about vision, values and planning covered in your organisation’s guiding documents.

Standard 10: Organisational alignment

185

Evidence


Rating








If your organisation does not have a statement or policy relating to vision, values and planning,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.



186

Staff awareness (Vision, values and planning)

Staff members are aware of the vision and values of the organisation and understand how the organisation plans to achieve its objectives.

Using the highlighted question below, ask a selection of your organisation’s employees, volunteers and committee members to describe their understanding of the vision and values of the organisation and how the organisation plans to achieve its objectives. Record their responses in the ‘Evidence’ section.


What is your understanding of the vision and values of the organisation and how the organisation plans to achieve its objectives?

how many people were invited to give feedback? (e.g. 3 employees, 1 volunteer, 1 committee member, 5 out of a total of 20 staff members = 5/20)

employees volunteers committee members = /

how many actually participated? (e.g. 2 employees, 1 volunteer, 1 committee member, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


187

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the vision and values of the organisation and of how the organisation plans to achieve its objectives. They have input into the development and review of the organisation’s vision, values and objectives.

B. meets requirements �The majority of your co-workers have a clear understanding of the vision and values of the organisation and of how the organisation plans to achieve its objectives.

C. Partly meets requirements �Your co-workers have a limited understanding of the vision and values of the organisation and of how the organisation plans to achieve its objectives.

D. Does not meet requirements �Your co-workers have a poor understanding of the vision and values of the organisation and of how the organisation plans to achieve its objectives.



If your co-workers do not have a clear understanding of the vision and values of the organisation or of how the organisation plans to achieve its objectives, record this here.


188

Records (Vision, values and planning)

Records show that vision and values statements have been developed and reviewed, and planning processes have been undertaken to achieve objectives.

Examine and review the records relating to your vision, values and planning documents. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation has developed and reviewed vision and values statements, and that planning processes have been undertaken to achieve objectives?

Do records show that vision and value statements have been developed and reviewed? o Yes o No

Do records show that your organisation undertakes planning processes to achieve objectives? oYes oNo

Evidence



189

Rating

a. exceeds requirements �Records show that your organisation has developed and regularly reviewed vision and values statements, and that planning processes have been undertaken to achieve objectives. It is always looking for ways to improve these processes with feedback from team members and users.

B. meets requirements �Records show that your organisation has developed and reviewed vision and values statements and that planning processes have been undertaken to achieve objectives.

C. Partly meets requirements �Records show that your organisation has developed vision and values statements but planning processes have not been undertaken to achieve objectives.ORRecords show that your organisation has planning processes but these do not relate to a vision or values statement.

D. Does not meet requirements �Records show that your organisation has not developed vision and values statements and has not undertaken planning processes.





190

10.2 Organisational authority

element to consider about organisational authority

a documented process for delegation of authority to make different types of �decisions

Guiding documents (Organisational authority)

The organisation develops and reviews policies and procedures that deal with decision-making processes, authorities and delegations.

Do your organisation’s policies and procedures cover organisational authority? o Yes o No

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover organisational authority in the ‘Evidence’ section below.

Is the element for consideration applicable to your organisation? o Yes o No

If ‘no’, please specify why.

Do your organisation’s policies and procedures deal with the applicable element? oYes oNo oSome






Evidence

Note the names of documents that cover the applicable element.

You should consider the element highlighted in the shaded box at right when working through the questions about organisational authority.


191

Rating








If your organisation does not have policies and procedures relating to organisational authority,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.



192

Staff awareness (Organisational authority)

Staff members know who has the authority to make relevant decisions within their organisation and which decisions they have authority to make.

Using the highlighted question below, ask a selection of your organisation’s employees, volunteers and committee members to describe their understanding of your organisational authority policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


Who has the authority to make decisions within your service and what type of decisions do they have authority to make?

how many people were invited to give feedback? (e.g. 3 employees, 1 volunteer, 1 committee member, 5 out of a total of 20 staff members = 5/20)


how many actually participated? (e.g. 2 employees, 1 volunteer, 1 committee member, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


193

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of who has the authority to make decisions within your organisation and which decisions they have authority to make.

B. meets requirements �The majority of your co-workers have a clear understanding of who has the authority to make decisions within your organisation and which decisions they have authority to make.

C. Partly meets requirements �Your co-workers have a limited understanding of who has the authority to make decisions within your organisation and which decisions they have authority to make.

D. Does not meet requirements �Your co-workers have a poor understanding of who has the authority to make decisions within your organisation and which decisions they have authority to make.



If your co-workers do not have a clear understanding of who has the authority to make decisions within your organisation and which decisions they have authority to make, record this here.


194

Records (Organisational authority)

Records show persons with appropriate authority make relevant decisions.

Examine and review the records relating to your organisational authority policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that persons with appropriate authority make decisions for the organisation about the provision of community services?

Do persons with appropriate authority make decisions about the provision of community services by your organisation? o Yes o No

Evidence



195

Rating

a. exceeds requirements �Records show that your organisation actively ensures and checks that persons with appropriate authority make decisions about the provision of community services by your organisation.

B. meets requirements �Records show that persons with appropriate authority make decisions about the provision of community services by your organisation.

C. Partly meets requirements �Records show that most decisions about the provision of community services by your organisation are made by persons with appropriate authority.

D. Does not meet requirements �Records show that your organisation does not ensure that persons with appropriate authority make decisions about the provision of community services by your organisation.





196

10.3 Performance monitoring and reporting

elements to consider about performance monitoring and reporting

progress tracking and compliance with the requirements of the service agreement �

provision of client and service data as agreed to with the Department of �Communities

a documented model of service showing how resources are applied to provide �services or activities to meet the needs of the agreed target group

reports to the management committee or board showing service achievements �against stated service goals

Guiding documents (Performance monitoring and reporting)

The organisation develops and reviews policies and/or procedures for performance monitoring and reporting.

Do your organisation’s policies and procedures cover performance monitoring and reporting? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover performance monitoring and reporting in the ‘Evidence’ section on the facing page.










Tick the elements to consider about performance monitoring and reporting covered in your organisation’s guiding documents.


197

Evidence


Rating








If your organisation does not have policies and procedures relating to performance monitoring and reporting, or you answered ‘no’ to any of the questions, record this here. It issufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.



198

Staff awareness (Performance monitoring and reporting)

Staff members know how the organisation monitors its obligations under its service agreement and provides reports and data that the Department of Communities requires under the service agreement.

Using the highlighted question below, ask a selection of your organisation’s employees and committee members to describe their understanding of how the organisation monitors its obligations under its service agreement and provides data that the department requires under the service agreement. Record their responses in the ‘Evidence’ section.


What is your understanding of how the organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement?

how many people were invited to give feedback? (e.g. 4 employees, 1 committee member, 5 out of a total of 20 staff members = 5/20)

employees committee members = /

how many actually participated? (e.g. 2 employees, 2 committee members, 4 out of a total of 5 invitees = 4/5)

employees committee members = /




Evidence

Note the responses.


199

Rating

a. exceeds requirements �Your co-workers all have a clear understanding of the way your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement, and have input into the review of these processes.

B. meets requirements �The majority of your co-workers have a clear understanding of the way your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement.

C. Partly meets requirements �Your co-workers have a limited understanding of the way your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement.

D. Does not meet requirements �Your co-workers have a poor understanding of the way your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement.



If your co-workers do not have a clear understanding of the way your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement, record this here.


200

Records (Performance monitoring and reporting)

Records show how the organisation monitors its obligations under its service agreement and provides reports and data that the Department of Communities requires under the service agreement.

Examine and review the records relating to your policies and procedures for performance monitoring and reporting. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that the organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement?

Do records show that your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement? oYes oNo

Evidence



201

Rating

a. exceeds requirements �Records show your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement, and is always looking for ways to improve its reporting practices with feedback from the department and team members.

B. meets requirements �Records show your organisation monitors its obligations under its service agreement and provides reports and data that the department requires under this agreement.

C. Partly meets requirements �Records show your organisation monitors most of its obligations under its service agreement and provides some of the reports and data that the department requires under this agreement.

D. Does not meet requirements �Records show your organisation does not monitor its obligations under its service agreement or provide reports and data that the department requires under this agreement.




Assessing for Standard 11 (Governance and accountability)

11Assessing for Standard 11 (Governance and accountability)


204

Assessing for Standard 11 (Governance and accountability)

this standard is about how the management committee or the board members, and other organisation leaders, ensure internal and external accountability for what the organisation does. It covers the election, induction and ongoing training of committee or board members, together with processes for ensuring proper financial and asset management and for managing conflicts of interest when they arise.

11.1 Election or appointment of governing body and executive officers

element to consider about election or appointment

electionandappointmentproceduresthatreflectthelegalobligationsofthe �organisation

Guiding documents (Election or appointment of governing body and executive officers)

The organisation develops and reviews policies and procedures that deal with the election of its management committee and executive officers.

Do your organisation’s policies and procedures cover the election or appointment of the management committee and executive officers? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover theelectionorappointmentofthemanagementcommitteeandexecutiveofficersinthe‘Evidence’ section on the facing page.







You should consider the element highlighted in the shaded box at right when working through the questions about election or appointment of the management committee and executive officers.

Standard 11: Governance and accountability

205



Evidence


Rating








If your organisation does not have policies and procedures relating to the election or appointmentofthemanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement. More detail can be recorded when you develop your improvement plan.



206

Staff awareness (Election or appointment of governing body and executive officers)

Managers and committee members are familiar with the processes relating to the election or appointment of management committees.

Using the highlighted question below, ask a selection of your organisation’s managers and committee members to describe their understanding of your policies and procedures for electingexecutiveofficersandhowtheseareimplemented.Recordtheirresponsesinthe‘Evidence’ section.


What is your understanding of the processes relating to the election or appointment of executive officers, and the circumstances when a person becomes ineligible for appointment or continues as an elected executive officer?

how many people were invited to give feedback? (e.g. 4 managers, 1 committee member, 5 out of a total of 20 managers and committee members = 5/20)

managers committee members = /

how many actually participated? (e.g. 3 managers, 1 committee member, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


207

Rating

a. exceeds requirements �Your managers and committee members all have a clear understanding of the processesrelatingtotheelectionorappointmentofexecutiveofficers,andthecircumstances when a person becomes ineligible for appointment or continues as an electedexecutiveofficer,andtheyhaveinputintothereviewoftheseprocesses.

B. meets requirements �The majority of your managers and committee members have a clear understanding oftheprocessesrelatingtotheelectionorappointmentofexecutiveofficers,butareuncertain about the circumstances when a person becomes ineligible for appointment orcontinuesasanelectedexecutiveofficer.

C. Partly meets requirements �Your managers and committee members have a limited understanding of the processesrelatingtotheelectionorappointmentofexecutiveofficers,andthecircumstances when a person becomes ineligible for appointment or continues as an electedexecutiveofficer.

D. Does not meet requirements �Your managers and committee members have a poor understanding of the processes relatingtotheelectionorappointmentofexecutiveofficers,andthecircumstanceswhen a person becomes ineligible for appointment or continues as an elected executiveofficer.



If your managers and committee members do not have a clear understanding of the processesrelatingtotheelectionorappointmentofexecutiveofficers,recordthishere.


208

Records (Election or appointment of governing body and executive officers)

Records of elected or appointed executive officers are available and up to date.

Examine and review the records relating to your policies and procedures for the election of your management committee. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that the election or appointment of executive officers is conducted according to the organisation’s policies and procedures?

Are records of elected or appointed executive officers available and up to date? oYes oNo

Do records include circumstances when a person was ineligible or did not continue to be an executive officer? o Yes o No

Evidence



209

Rating

a. exceeds requirements �Records show your organisation implements its procedures for electing and appointingexecutiveofficersandisalwayslookingforwaystoimprovetheseprocesseswithfeedbackfromteammembersandexecutiveofficers.

B. meets requirements �Records show your organisation implements its procedures for electing and appointingexecutiveofficers.

C. Partly meets requirements �Records show your organisation does not always implement its procedures for electingandappointingexecutiveofficers.

D. Does not meet requirements �Records show your organisation does not implement its procedures for electing and appointingexecutiveofficers.





210

11.2 Induction of governing body and executive officers

elements to consider about induction

development and review of induction materials �

an induction checklist �

maintenance of induction records �

Guiding documents (Induction of governing body and executive officers)

The organisation develops and regularly reviews policies and/or procedures, strategies and resources that deal with the induction of management committees.

Do your organisation’s policies and procedures cover the induction of committee members and executive officers? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover theinductionofthegoverningbodyandexecutiveofficersinthe‘Evidence’sectiononthefacing page.










Tick the elements to consider about induction of the management committee and executive officers covered in your organisation’s guiding documents.


211

Evidence


Rating








If your organisation does not have policies and procedures relating to the induction of themanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement.Moredetail can be recorded when you develop your improvement plan.



212

Staff awareness (Induction of governing body and executive officers)

Committee members and executive officers have sufficient understanding of organisational procedures to be able to effectively manage the organisation’s community services.

Using the highlighted questions below, ask a selection of your organisation’s committee membersandexecutiveofficerstodescribetheirunderstandingofyourpoliciesandprocedures for managing the provider’s community services. Record their responses in the ‘Evidence’ section.


What is your understanding of key organisational procedures for effective management of the organisation’s services?

Did you participate in an induction process when you became a committee member or an executive officer?

Did this induction enable you to effectively manage the organisation’s community services?

how many people were invited to give feedback? (e.g. 2 committee members, 3executiveofficers,5outofatotalof10governingbodymembers=5/10)

committee members executiveofficers= /

how many actually participated? (e.g.2committeemembers,2executiveofficers,4outof a total of 5 invitees = 4/5)






213

Evidence

Note the responses.

Rating

a. exceeds requirements �Yourcommitteemembersandexecutiveofficersparticipateininductioninordertoeffectively manage the provider’s community services, and induction processes are regularly reviewed.

B. meets requirements �Yourcommitteemembersandexecutiveofficersparticipateininductioninordertoeffectively manage the provider’s community services.

C. Partly meets requirements �Yourcommitteemembersandexecutiveofficersparticipateininductionbutdonotfeelconfidentthattheyareabletoeffectivelymanagetheprovider’scommunityservices.

D. Does not meet requirements �Yourcommitteemembersandexecutiveofficersdonotparticipateininductionandare not always able to effectively manage the provider’s community services.



Ifyourcommitteemembersandexecutiveofficersexpressconcernabouttheirinductionand their ability to effectively manage the provider’s community services, record this here.


214

Records (Induction of governing body and executive officers)

Records of induction processes for committee members and executive officers are available and show they are reviewed and kept up to date.

Examine and review the records relating to the induction of committee members and executiveofficers.(Seesection6.5.4oftheself-assessmentmanualforexamplesofrecords and information on sampling.)


What types of records show that the organisation has an effective induction process?

What types of records demonstrate that executive officers’ induction has taken place?

are the records of induction processes for committee members and executive officers available and are they reviewed and kept up to date? o Yes o No

Evidence



215

Rating

a. exceeds requirements �Recordsshowyourorganisationensurescommitteemembersandexecutiveofficersareinductedandrecordsofinductionofexecutiveofficersareavailableanduptodate, and is always looking for ways to improve its induction processes with feedback from team members and the governing body.

B. meets requirements �Recordsshowyourorganisationensurescommitteemembersandexecutiveofficersare inducted and records of induction are available and up to date.

C. Partly meets requirements �Records show your organisation sometimes inducts committee members and executiveofficersbutrecordsofinductionarenotalwaysavailableandkeptuptodate.

D. Does not meet requirements �Recordsshowyourorganisationdoesnotinductexecutiveofficersanddoesnotensure records are available and up to date.





216

11.3 Training and development for governing body and executive officers

elements to consider about training and development

identificationandreviewofprioritiesfortraininganddevelopmentofmanagement �committee or board members

budgeting for training and development �

Guiding documents (Training and development for governing body and executive officers)

The organisation develops and regularly reviews policies and/or procedures that deal with training and development for management committees.

Do your organisation’s policies and procedures cover training and development for committee members and executive officers? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover traininganddevelopmentforthegoverningbodyandexecutiveofficersinthe‘Evidence’section on the facing page.










Tick the elements to consider about training and development for the management committee and executive officers covered in your organisation’s guiding documents.


217

Evidence


Rating








If your organisation does not have policies and procedures relating to the training and developmentofthemanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement. More detail can be recorded when you develop your improvement plan.



218

Staff awareness (Training and development for governing body and executive officers)

Committee members and executive officers participate in training and development activities.

Using the highlighted questions below, ask a selection of your organisation’s committee membersandexecutiveofficerstodescribetheirparticipationintraininganddevelopmentand their knowledge of any key documents relating to the organisation. Record their responses in the ‘Evidence’ section.


What opportunities do you have to participate in training and development in relation to the activities of the organisation?

Have you identified your training needs in relation to your role in the organisation?

how would you describe your knowledge of key documents relating to the organisation?

how many people were invited to give feedback? (e.g. 2 committee members, 3executiveofficers,5outofatotalof10governingbodymembers=5/10)


how many actually participated? (e.g.2committeemembers,2executiveofficers,4outof a total of 5 invitees = 4/5)






219

Evidence

Note the responses.

Rating

a. exceeds requirements �Yourcommitteemembersandexecutiveofficersall participate in training and development, have knowledge of any key documents relating to the organisation, and have input into the review of training and development processes.

B. meets requirements �The majority ofyourcommitteemembersandexecutiveofficersparticipateintraining and development and have knowledge of any key documents relating to the organisation.

C. Partly meets requirements �Yourcommitteemembersandexecutiveofficersparticipateinlimited training and development and have some knowledge of any key documents relating to the organisation.

D. Does not meet requirements �Yourcommitteemembersandexecutiveofficersdonot participate in training and development and have little knowledge of any key documents relating to the organisation.



Ifyourcommitteemembersandexecutiveofficersdonotparticipateintraininganddevelopment, or do not have knowledge of any key documents relating to the service, record this here.


220

Records (Training and development for governing body and executive officers)

Records show the organisation assesses training and development needs and provides training and development opportunities for committee members and executive officers.

Examine and review the records relating to the training and development of committee membersandexecutiveofficers.(Seesection6.5.4oftheself-assessmentmanualforexamples of records and information on sampling.)


What types of records demonstrate that the organisation assesses and prioritises training and development needs for committee members and executive officers and provides training and development opportunities, with particular reference to any key documents relating to the organisation?

Do the records show training needs for committee members and executive officers available are assessed? o Yes o No

Do the records show training and development opportunities are provided for committee members and executive officers? o Yes o No

Do the records show training makes particular reference to any key documents relating to the organisation? o Yes o No

Evidence



221

Rating

a. exceeds requirements �Records show your organisation assesses and prioritises training and development needsforcommitteemembersandexecutiveofficersandprovidestraininganddevelopment opportunities, with particular reference to any key documents relating to the organisation. The organisation is always looking for ways to improve these processes with feedback from team members and committee members.

B. meets requirements �Records show your organisation assesses and prioritises training and development needsforcommitteemembersandexecutiveofficersandprovidestraininganddevelopment opportunities.

C. Partly meets requirements �Records show your organisation occasionally assesses and prioritises training and developmentneedsforcommitteemembersandexecutiveofficersandprovidesirregular training and development opportunities.

D. Does not meet requirements �Records show your organisation does not assess and prioritise training and developmentneedsforcommitteemembersandexecutiveofficersorprovideregulartraining and development opportunities.





222

11.4 Conflict of interest

Element to consider about conflict of interest

managementanddocumentationofconflictsofinterest �

Guiding documents (Conflict of interest)

The organisation develops and reviews a policy and/or set of procedures that deal with conflict of interest.

Do your organisation’s policies and procedures cover conflict of interest? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover conflictofinterestinthe‘Evidence’sectionbelow.









Evidence


You should consider the element highlighted in the shaded box at right when working through the questions about conflict of interest.


223

Rating








Ifyourorganisationdoesnothavepoliciesandproceduresrelatingtoconflictofinterest,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.



224

Staff awareness (Conflict of interest)

Managers and committee members have knowledge of processes relating to managing conflicts of interest (and potential conflicts) in the organisation.

Using the highlighted question below, ask a selection of your organisation’s managers and committeememberstodescribetheirunderstandingofyourconflictofinterestpoliciesand procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


What is your understanding of the processes relating to managing conflicts of interest (and potential conflicts) in the organisation?



how many actually participated? (e.g. 3 employees, 1 committee member, 4 out of a total of 5 invitees = 4/5)





Evidence

Note the responses.


225

Rating

a. exceeds requirements �Your managers and committee members all have a clear understanding of the processesrelatingtomanagingconflictsofinterestintheorganisationandhaveinputinto the review of these processes.

B. meets requirements �The majority of your managers and committee members have a clear understanding oftheprocessesrelatingtomanagingconflictsofinterestintheorganisation.

C. Partly meets requirements �Your managers and committee members have a limited understanding of the processesrelatingtomanagingconflictsofinterestintheorganisation.

D. Does not meet requirements �Your managers and committee members have poor or no understanding of the processesrelatingtomanagingconflictsofinterestintheorganisation.



If your managers and committee members do not have a clear understanding of the way yourorganisationmanagesconflictsofinterest,recordthishere.


226

Records (Conflict of interest)

Records show that the organisation declares, records and manages conflicts of interest (and potential conflicts) in the organisation.

Examineandreviewtherecordsrelatingtoyourconflictofinterestpoliciesandprocedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that the organisation declares, records and manages conflicts of interest (and potential conflicts) in the provision of services?

Do records show the organisation declares and records conflicts of interest (and potential conflicts) in the provision of services? oYes oNo

Do records show the organisation manages conflicts of interest (and potential conflicts) in the provision of services? o Yes o No

Do records show the person involved is not responsible for any decisions in relation to the matter? o Yes o No

Evidence



227

Rating

a. exceeds requirements �Recordsshowthatyourorganisationdeclares,recordsandmanagesconflictsofinterest in the provision of services, and that the person involved is not responsible for any decisions in relation to the matter. The organisation is always looking for ways to improve these processes with feedback from committee members and executive officers.

B. meets requirements �Recordsshowthatyourorganisationdeclares,recordsandmanagesconflictsofinterest in the provision of services, and that the person involved is not responsible for any decisions in relation to the matter.

C. Partly meets requirements �Records show that your organisation does not always declare, record or manage conflictsofinterestintheprovisionofservices.

D. Does not meet requirements �Recordsshowthatyourorganisationdoesnotdeclare,recordormanageconflictsofinterest in the provision of services.





228

11.5 Asset management

elements to consider about asset management

plans for the cyclic maintenance and periodic upgrade of assets to ensure quality �and value are maintained

ongoing insurance cover �

Guiding documents (Asset management)

The organisation develops and reviews policies and procedures for managing assets used in the delivery of services funded by the Department of Communities.

Do your organisation’s policies and procedures cover asset management? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover asset management in the ‘Evidence’ section below.










Evidence


Tick the elements to consider about asset management covered in your organisation’s guiding documents.


229

Rating








If your organisation does not have policies and procedures relating to asset management, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.



230

Staff awareness (Asset management)

Managers and committee members are confident that assets are appropriate to the services provided, the needs of clients, and the provider’s circumstances, and that they are appropriately maintained.

Using the highlighted questions below, ask a selection of your organisation’s managers and committee members to describe their understanding of your asset management policies and procedures and how they are implemented. Record their responses in the ‘Evidence’ section.


How confident are you that your organisation’s assets are appropriate to the services provided, the needs of service users, and the provider’s circumstances, and that these assets are appropriately maintained?

What is your understanding of how your organisation manages its assets?








Evidence

Note the responses.


231

Rating

a. exceeds requirements �Managers and committee members understand how the organisation manages its assetsandhaveconfidencethatassetsareappropriatetotheservicesprovided,theneeds of service users, and the provider’s circumstances, and that these assets are appropriately maintained. They have input into the review of these procedures.

B. meets requirements �Managers and committee members understand how the organisation manages its assetsandhaveconfidencethatassetsareappropriatetotheservicesprovided,theneeds of the service users, and the provider’s circumstances, and that these assets are appropriately maintained.

C. Partly meets requirements �Managers and committee members have limited understanding of how the organisation manages its assets and have limitedconfidencethatassetsareappropriate to the services provided, the needs of the service users, and the provider’s circumstances, and that these assets are appropriately maintained.

D. Does not meet requirements �Managers and committee members have poor or no understanding of how the organisationmanagesitsassetsandhavelittleconfidencethatassetsareappropriateto the services provided, the needs of the service users, and the provider’s circumstances, or that these assets are appropriately maintained.



If your managers and committee members do not have a clear understanding of the way your organisation manages its assets, record this here.


232

Records (Asset management)

Records of asset management are available and up to date.

Examine and review the records relating to your asset management policies and procedures. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation’s assets are appropriate to the services provided, the needs of service users, and your organisation’s circumstances?

are the records of asset selection and maintenance available and up to date? o Yes o No

Is the asset selection appropriate to the services provided? o Yes o No

Is the asset selection appropriate to the needs of service users? o Yes o No

Do records show that the organisation’s assets are managed appropriately? o Yes o No

Evidence



233

Rating

a. exceeds requirements �Records show your organisation’s asset selection and maintenance are appropriate to the services provided, the needs of service users, and the provider’s circumstances, and the organisation is always looking for ways to improve these processes with feedbackfromteammembersandexecutiveofficers.

B. meets requirements �Records show your organisation’s asset selection and maintenance are appropriate to the services provided, the needs of the service users, and the provider’s circumstances.

C. Partly meets requirements �Records show your organisation’s asset selection and maintenance are not always appropriate to the services provided, the needs of the service users, and the provider’s circumstances.

D. Does not meet requirements �Records show your organisation’s asset selection and maintenance are not appropriate to the services provided, the needs of the service users, and the provider’s circumstances.





234

11.6 Financial management and delegations

Elements to consider about financial management and delegations

documentationoffinancialcontrolsanddelegations �

establishmentofsafeguardstopreventfraudandfinancialmismanagement �

clearfinancialproceduresthattakeaccountoftheskilllevelsofthoseinvolvedin �financialtasks

Guiding documents (Financial management and delegations)

The organisation develops and reviews policies and procedures for financial management, financial delegations, internal controls, insurance arrangements and management of service agreements.

Do your organisation’s policies and procedures cover financial management and delegations? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover financialmanagementanddelegationsinthe‘Evidence’sectiononthefacingpage.










Tick the elements to consider about financial management and delegations covered in your organisation’s guiding documents.


235

Evidence


Rating








Ifyourorganisationdoesnothavepoliciesandproceduresrelatingtofinancialmanagement and delegations, or you answered ‘no’ to any of the questions, record thishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecorded when you develop your improvement plan.



236

Staff awareness (Financial management and delegations)

Managers and committee members understand and implement appropriate financial management practices, understand financial delegations and implement internal controls to prevent misuse or misappropriation of funds.

Using the highlighted questions below, ask a selection of your organisation’s managers andcommitteememberstodescribetheirunderstandingofappropriatefinancialmanagementpractices,financialdelegationsandinternalcontrolstopreventmisuseormisappropriation of funds. Record their responses in the ‘Evidence’ section.


How confident are you that appropriate financial delegations are in place, with internal controls to prevent misuse or misappropriation of funds?

What is your understanding of the organisation’s financial management procedures and delegations?

how many people were invited to give feedback? (e.g. 3 managers, 2 committee members, 5 out of a total of 20 managers and committee members = 5/20)







Evidence

Note the responses.


237

Rating

a. exceeds requirements �Managers and committee members fullyunderstandtheorganisation’sfinancialmanagement procedures and have input into the review of these procedures.

B. meets requirements �Managers and committee members fullyunderstandtheorganisation’sfinancialmanagement procedures.

C. Partly meets requirements �Managers and committee members have limited understanding of the organisation’s financialmanagementprocedures.

D. Does not meet requirements �Managers and committee members have poor or no understanding of the organisation’sfinancialmanagementprocedures.



If your managers and committee members do not have a clear understanding of the way yourorganisationmanagesfinancialdelegationsandcontrols,recordthishere.


238

Records (Financial management and delegations)

Records of financial decision making are available and up to date, with evidence of use of internal controls to prevent misuse or misappropriation of funds.

Examineandreviewtherecordsrelatingtoyourpoliciesandproceduresforfinancialmanagement and delegations. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate that your organisation’s financial management procedures are followed, with evidence of use of internal controls to prevent misuse or misappropriation of funds?

Are the records of financial delegation available and up to date? o Yes o No

Is there evidence of use of internal controls to prevent misuse or misappropriation of funds? o Yes o No

Evidence



239

Rating

a. exceeds requirements �Recordsshowyourorganisation’sfinancialmanagementproceduresarefollowed,with evidence of use of internal controls to prevent misuse or misappropriation of funds. The organisation is always looking for ways to improve these processes with feedbackfromteammembersandexecutiveofficers.

B. meets requirements �Recordsshowyourorganisation’sfinancialmanagementproceduresarefollowed,with evidence of use of internal controls to prevent misuse or misappropriation of funds.

C. Partly meets requirements �Recordsshowyourorganisation’sfinancialmanagementproceduresaresometimesfollowed, but there is little evidence of use of internal controls to prevent misuse or misappropriation of funds.

D. Does not meet requirements �Recordsshowyourorganisation’sfinancialmanagementproceduresarenotfollowed, and there is no evidence of use of internal controls to prevent misuse or misappropriation of funds.





240

11.7 Budget

elements to consider about the budget

processes (electronic and/or paper-based) for developing, overseeing, monitoring �andregularlyreviewingthebudgetoftheorganisationforeachfinancialyear

timely and easy-to-understand reports on budget position for all board members and �relevant staff

Guiding documents (Budget)

The organisation develops and reviews policies and procedures for the development, monitoring and review of its budget.

Do your organisation’s policies and procedures cover budgets? oYes oNo

If ‘no’, go to ‘Areas for improvement’. If ‘yes’, list your policies and procedures that cover budgets in the ‘Evidence’ section below.










Evidence


Tick the elements to consider about the budget covered in your organisation’s guiding documents.


241

Rating








If your organisation does not have policies and procedures relating to the budget, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.



242

Staff awareness (Budget)

Managers and committee members are familiar with the budget and processes for developing and monitoring it.

Using the highlighted question below, ask a selection of your organisation’s managers and committee members to describe their understanding of your process for developing and monitoring the budget. Record their responses in the ‘Evidence’ section.


What is your understanding of processes for developing and monitoring the budget?

how many people were invited to give feedback? (e.g. 3 managers, 2 committee members, 5 out of a total of 20 managers and committee members = 5/20)







Evidence

Note the responses.


243

Rating

a. exceeds requirements �Managers and committee members understand the organisation’s procedures for preparing a budget and regularly review and revise the budget as required, and team membersandexecutiveofficershaveinputintothereviewoftheseprocedures.

B. meets requirements �Managers and committee members understand how the organisation prepares a budgetintimeforthestartofthefinancialyearandregularlyreviewandrevisethebudget as required.

C. Partly meets requirements �Managers and committee members have limited understanding of how the organisationpreparesabudgetintimeforthestartofthefinancialyear.

D. Does not meet requirements �Managers and committee members do not understand how the organisation prepares a budget.



If your managers and committee members do not have a clear understanding of the way your organisation manages its budget, record this here.


244

Records (Budget)

Records of budget management, including budget projections and reviews, are available and up to date.

Examine and review the records relating to your budget. (See section 6.5.4 of the self-assessment manual for examples of records and information on sampling.)


What types of records demonstrate your organisation’s budget projections and reviews are up to date?

Do records show that budgets are prepared in a timely and accurate manner? o Yes o No

Evidence



245

Rating

a. exceeds requirements �Records show your organisation’s budget projections and reviews are up to date, and the organisation is always looking for ways to improve these processes with feedback fromteammembersandexecutiveofficers.

B. meets requirements �Records show your organisation’s budget projections and reviews are up to date.

C. Partly meets requirements �Records show your organisation’s budget projections are up to date, but that budget reviews have not been undertaken.

D. Does not meet requirements �Records show your organisation’s budget projections are not up to date, and that budget reviews have not been undertaken.




Part B: Score sheets

Score sheets

249

Single site — Guiding documents

Standard area number area rating Standard rating

Standard for accessibility of 1. services

1.11.21.3

Standard for responding 2. to individuals, families and communities

2.12.22.32.42.5

Standard for participation and 3. choice

3.13.23.3

Standard for confidentiality and 4. privacy

4.14.24.34.4

Standard for feedback and 5. complaints

5.15.2

Standard for protecting safety and 6. wellbeing

6.1

6.2

Standard for recruitment and 7. selection processes for people working in services

7.1

7.2

Standard for induction, training and 8. development of people working in services

8.18.2

Standard for employee and 9. volunteer support

9.19.29.3

Standard for organisational 10. alignment

10.110.210.3

Standard for governance and 11. accountability

11.111.211.311.411.511.611.7

Score sheets

251

Single site — Staff awareness


Standard for accessibility of 1. services

1.11.21.3

Standard for responding 2. to individuals, families and communities

2.12.22.32.42.5

Standard for participation and 3. choice

3.13.23.3

Standard for confidentiality and 4. privacy

4.14.24.34.4

Standard for feedback and 5. complaints

5.15.2

Standard for protecting safety and 6. wellbeing

6.16.2

Standard for recruitment and 7. selection processes for people working in services

7.17.2

Standard for induction, training and 8. development of people working in services

8.18.2

Standard for employee and 9. volunteer support

9.19.29.3

Standard for organisational 10. alignment

10.110.210.3

Standard for governance and 11. accountability

11.111.211.311.411.511.611.7

Score sheets

253

Single site — Records


Standard for 1. accessibility of services

1.11.21.3

Standard for 2. responding to individuals, families and communities

2.12.22.32.42.5

Standard for 3. participation and choice

3.13.23.3

Standard for 4. confidentiality and privacy

4.14.24.34.4

Standard for feedback 5. and complaints

5.15.2

Standard for 6. protecting safety and wellbeing

6.1

6.2

Standard for 7. recruitment and selection processes for people working in services

7.17.2

Standard for 8. induction, training and development of people working in services

8.18.2

Standard for 9. employee and volunteer support

9.19.29.3

Standard for 10. organisational alignment

10.110.210.3

Standard for 11. governance and accountability

11.111.211.311.411.511.611.7

Score sheets

255

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Part C: Report formats

Self-assessment summary report

263


organisation name:

Date created:

Standardoverall result

types of evidence

guiding documents

Staff awareness records

accessibility of 1. services

Areas for improvement:

responding to 2. individuals, families and communities Areas for improvement:

Participation and 3. choice


(continued)


264


types of evidence

guiding documents


Confidentiality and 4. privacy


Feedback and 5. complaints


Protecting safety 6. and wellbeing



265


types of evidence

guiding documents


recruitment and 7. selection processes for people working in services


Induction, training 8. and development of people working in services


employee and 9. volunteer support


(continued)


266


types of evidence

guiding documents


organisational 10. alignment


governance and 11. accountability


Improvement plan

267

Improvement plan

organisation name:

Improvement plan for the period: to

1 Standard for accessibility of services

the organisation makes its services accessible to all people within the agreed target group for the services.

1.1 access

Issue Improvement action/s By whom By when

1.2 eligibility


1.3 requests for service and referrals



268

2 Standard for responding to individuals, families and communities

the organisation delivers services and activities that are attentive to the needs and strengths of people, families and communities using the services.

2.1 Service delivery


2.2 allocation


2.3 ending service delivery


2.4 Collaboration


2.5 Community development and community education


Improvement plan

269

3 Standard for participation and choice

the organisation promotes the rights and responsibilities of people using its services by:

giving clients information about the services provided to them• assisting clients to take part in making decisions that are relevant to them• providing opportunities for clients to participate in service planning, development, delivery and • evaluationpromoting, encouraging and empowering clients to express their views, and valuing and using • their perspectives to improve services at all levels.

3.1 Client service charter


3.2 Choice and self-reliance


3.3 Participation



270

4 Standard for confidentiality and privacy

the organisation promotes the rights and responsibilities of people using its services by protecting clients’ rights to confidentiality and privacy, taking into account relevant privacy and other legislative requirements.

4.1 Privacy


4.2 record keeping and disposal


4.3 Confidentiality


4.4 Access to confidential information


Improvement plan

271

5 Standard for feedback and complaints

the organisation promotes the rights and responsibilities of people using its services by:

promoting opportunities for clients and other stakeholders to provide feedback• using feedback to improve services• providing information to clients about internal and external mechanisms for making a complaint• acting fairly and appropriately when a complaint is received.•

5.1 Feedback


5.2 Complaints by clients


6 Standard for protecting safety and wellbeing

the organisation provides services in a manner that protects the safety and wellbeing of people using its services.

6.1 harm prevention


6.2 harm response



272

7 Standard for recruitment and selection processes for people working in services

The organisation ensures that its employees and volunteers are suitably qualified or experienced people who are competent and appropriate to undertake their roles within the organisation.

7.1 employee recruitment


7.2 Volunteer selection


8 Standard for induction, training and development of people working in services

the organisation ensures that:

its employees and volunteers are suitably oriented to the organisation’s vision and values and its • service delivery and management processesits employees have access to ongoing training and development opportunities appropriate to • their roles within the organisation.

8.1 Employee and volunteer induction


8.2 Employee and volunteer training and development


Improvement plan

273

9 Standard for employee and volunteer support

the organisation ensures that its employees and volunteers are appropriately managed and supported to effectively undertake their roles within the organisation.

9.1 employee performance and support


9.2 Volunteer support


9.3 Dispute resolution for employees and volunteers



274

10 Standard for organisational alignment

the organisation has a clearly articulated vision, set of values and philosophy and delivers services consistent with these and contractual agreements.

10.1 Vision, values and planning


10.2 organisational authority


10.3 Performance monitoring and reporting


Improvement plan

275

11 Standard for governance and accountability

the organisation maintains effective governance arrangements to meet its legal, contractual and administrative requirements.

11.1 Election or appointment of governing body and executive officers


11.2 Induction of governing body and executive officers


11.3 Training and development for governing body and executive officers


11.4 Conflict of interest


11.5 asset management


(continued)


276

11.6 Financial management and delegations


11.7 Budget


Part D: Client feedback

Client survey

279

Client survey

Organisations are expected to seek feedback from clients on their satisfaction levels and opinions in relation to the quality and effectiveness of the services they receive. The Department of Communities has developed a client survey to assist you to obtain client feedback relevant to the standards. It is recommended that you use the client survey provided. If you have developed your own, or obtain feedback in another form, you will need to make sure it is equivalent to the one provided by the department and enables you to obtain the feedback required.

Demographic information

Please indicate with a tick where appropriate:

male � � Female

aboriginal or torres Strait Islander �

Other identified group (please specify) �

age group

under 18 �

18–29 �

30–40 �

41–50 �

51–64 �

65+ �


280

Survey

Please circle the value that represents your opinion, with ‘1’ being the lowest and ‘6’ being the highest, where applicable.

how well known do you think this service is in your community?Q1.

1 2 3 4 5 6

Comments

Was it easy to get to see someone at the service when you needed to?Q2.

Yes no

Comments

how comfortable did the employees make you feel?Q3.

1 2 3 4 5 6

Comments

Was the building easily accessed? (Consider physical accessibility and availability of public Q4. transport, parking etc.)

Yes no

Comments

how well did people in the service understand your needs and issues?Q5.

1 2 3 4 5 6

Comments

Client survey

281

Was there a plan for the assistance you were to receive?Q6.

Yes no

Comments

Did the service help you to build relationships with people or other services that could Q7. meet your needs?

Yes no

Comments

Did the service provide you with information that assisted you to consider which services Q8. you need, and what other options you have?

Yes no

Comments

Were you actively involved with service providers to plan how your needs could be met?Q9.

Yes no

Comments

are you aware of a statement of client rights and responsibilities or something called a client Q10. service charter?

Yes no

Comments

(continued)


282

If ‘yes’, does the service line up to the statement of client rights or the client service charter?

Yes no

Comments

How confident are you that information relating to you collected and held by the Q11. organisation is confidential and secure?

1 2 3 4 5 6

Comments

Were you told how to get access to your information/files, if you wanted to?Q12.

Yes no

Comments

How satisfied were you with the services you received?Q13.

1 2 3 4 5 6

Comments

Do you feel the service is a safe and welcoming place?Q14.

Yes no

Comments

Do you feel you can trust staff to act in your best interests?Q15.

Yes no

Comments

Client survey

283

are you aware of the internal and external complaint mechanisms available to you if you have Q16. a complaint?

Yes no

Comments

If you have raised a complaint, how satisfied were you with how it was resolved?Q17.

1 2 3 4 5 6

Comments

How satisfied were you with the skills and experience of the people who provided services to Q18. you?

1 2 3 4 5 6

Comments

What are the strengths of staff and volunteers who have provided services to you?Q19.

how could staff and volunteer skills be improved to better meet your needs?Q20.

Client survey results

285


organisation name:

Service:

Date of feedback:

Details of the process for gaining feedback from people

number of clients surveyed:

number of clients who responded to survey:

Male

Female

Aboriginal or Torres Strait Islander

Otheridentifiedgroups

number of respondents who were:

under 18

18–29

30–40

41–50

51–64

65+


286

Feedback results

1. Standard for accessibility of services

how well known do you think this service is in your community? Q1.

Comments

Was it easy to get to see someone at the service when you needed to? Q2.

Comments

how comfortable did the employees make you feel?Q3.

Comments

Was the building easily accessed?Q4.

Comments

2. Standard for responding to individuals, families and communities

Did people in the service understand your needs and issues?Q5.

Comments

Was there a plan for the assistance you were to receive?Q6.

Comments


287

Did the service help you to build relationships with people or other services that could meet Q7. your needs?

Comments

3. Standard for participation and choice

Q8. Did the service provide you with information that assisted you to consider which services you need, and what other options you have?

Comments

Were you actively involved with service providers to plan how your needs could be met?Q9.

Comments

are you aware of a statement of client rights and responsibilities or something called a client Q10. service charter?

Comments

4. Standard for confidentiality and privacy

How confident are you that information relating to you collected and held by the organisation Q11. is confidential and secure?

Comments

5. Standard for feedback and complaints

6. Standard for protecting safety and wellbeing

(continued)


288

Were you told how you could have access to your information/files, if you wanted to?Q12.

Comments

How satisfied were you with the services you received?Q13.

Comments

Do you feel the service is a safe and welcoming place? Q14.

Comments

Do you feel you can trust staff to act in your best interests?Q15.

Comments

are you aware of the internal and external complaint mechanisms available to you if you have Q16. a complaint?

Comments

If you have raised a complaint, were you satisfied with how it was resolved?Q17.

Comments

7. Standard for recruitment and selection processes for people working in services

8. Standard for induction, training and development of people working in services

9. Standard for employee and volunteer support

10. Standard for organisational alignment

11. Standard for governance and accountability


289

How satisfied were you with the skills and experience of the people who provided services to Q18. you?

Comments

What are the strengths of staff and volunteers who have provided services to you?Q19.

Comments

how could staff and volunteer skills be improved to better meet your needs?Q20.

Comments

Standards for Community Services · The organisation develops and regularly reviews policies and...

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