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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
Standards for Community Services: Self-assessment workbook
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: standards.team@communities.qld.gov.au
Standards for Community Services: Self-assessment workbook
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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)
Standards for Community Services: Self-assessment workbook
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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)
employees volunteers = /
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.
Standard 1: Accessibility of services
13
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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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
Standard 1: Accessibility of services
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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
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 by your guiding documents? (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
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
Tick the elements to consider about eligibility covered in your organisation’s guiding documents.
Standard 1: Accessibility of services
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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 eligibility, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded in the improvement plan.
In listing areas for improvement, take into account feedback from your client survey.
What are the gaps or applicable elements you need to deal with?
Standards for Community Services: Self-assessment workbook
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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.
Standard 1: Accessibility of services
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
Standard 1: Accessibility of services
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record them here. In listing areas for improvement, take into account feedback from your client survey.
Standards for Community Services: Self-assessment workbook
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about requests for service and referrals covered in your organisation’s guiding documents.
Standard 1: Accessibility of services
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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 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.
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?
Standards for Community Services: Self-assessment workbook
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation accepts requests for services and makes and receives referrals?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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.
Standard 1: Accessibility of services
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
Standard 1: Accessibility of services
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
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 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? 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
31
Is it clear who is accountable for developing and monitoring these policies and procedures? o Yes o No
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 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.
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?
Standards for Community Services: Self-assessment workbook
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the organisation’s processes to ensure the needs of clients are identified and met?
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. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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.
Standard 2: Responding to individuals, families and communities
33
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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
Standards for Community Services: Self-assessment workbook
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about allocation covered in your organisation’s guiding documents.
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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 allocation of services,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation assesses and prioritises the needs of service users, and how these services are allocated accordingly?
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. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about ending service delivery covered in your organisation’s guiding documents.
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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 ending service delivery,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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?
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. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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
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
Tick the elements to consider about collaboration covered in your organisation’s guiding documents.
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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 collaboration, 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation collaborates with other entities that may assist clients?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
In listing areas for improvement, take into account feedback from your client survey.
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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.)
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 collaborates with other entities to assist service users?
Do records show that your organisation collaborates effectively with other entities? o Yes o No
Evidence
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
are any of the elements for consideration not applicable to your organisation? oYes oNo
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
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
Tick the elements to consider about community development and community education covered in your organisation’s guiding documents.
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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 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.
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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation assesses, prioritises and plans initiatives for community development and/or community education?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
Assessing for Standard 3 (Participation and choice)
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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’.
are any of the elements for consideration not applicable to your organisation? o Yes o No
If ‘yes’, please specify which elements and why.
Does your client service charter cover the applicable elements? oYes oNo oSome
Which applicable elements are not covered?(List these in ‘Areas for improvement’ on the facing page.)
Is the charter kept up to date and reviewed? o Yes o No
If ‘yes’, enter last date of review:
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.
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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 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.
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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
how does your organisation’s client service charter guide delivery of services to clients?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about choice and self-reliance covered in your organisation’s guiding documents.
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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 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.
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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of processes your organisation uses to improve self-reliance in clients using 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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about participation covered in your organisation’s guiding documents.
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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 client participation, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of processes used in your organisation for promoting and facilitating client participation in service development?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
Assessing for Standard 4 (Confidentiality and privacy)
4Assessing for Standard 4 (Confidentiality and privacy)
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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.
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? oYes oNo oSome
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 privacy covered in your organisation’s guiding documents.
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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 privacy, 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation collects, uses and securely stores user information, taking relevant privacy legislation into account?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about record keeping and disposal covered in your organisation’s guiding documents.
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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 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.
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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation transfers and disposes of the records of people using the service?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about confidentiality covered in your organisation’s guiding documents.
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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
Ifyourorganisationdoesnothaveconfidentialitypoliciesandprocedures,oryouanswered‘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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation manages confidential information, including the circumstances when information may be shared or transferred?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about access to confidential information covered in your organisation’s guiding documents.
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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 accessing confidentialinformation,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou 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 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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
Assessing for Standard 5 (Feedback and complaints)
5Assessing for Standard 5 (Feedback and complaints)
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about feedback covered in your organisation’s guiding documents.
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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 client feedback, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
employees volunteers management committee = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about complaints by clients covered in your organisation’s guiding documents.
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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 complaints by users,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethe general areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
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)
employees volunteers management committee = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
Assessing for Standard 6 (Protecting safety and wellbeing)
6Assessing for Standard 6 (Protecting safety and wellbeing)
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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.
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? oYes oNo oSome
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
Tick the elements to consider about harm prevention covered in your organisation’s guiding documents.
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Is it clear who is accountable for developing and monitoring these policies and procedures? o Yes o No
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 harm prevention, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the ways in which your organisation prevents harm to service users?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
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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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about harm response covered in your organisation’s guiding documents.
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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 harm response, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas 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 (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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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?
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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequire improvement or review, record this here. In listing areas for improvement, take into account feedback from your client survey.
Assessing for Standard 7 (Recruitment and selection processes
for people working in services)
7Assessing for Standard 7
(Recruitment and selection processes for people working in services)
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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.
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? oYes oNo oSome
Which applicable elements are not covered?(List these in ‘Areas for improvement’ on the facing page.)
Tick the elements to consider about employee recruitment covered in your organisation’s guiding documents.
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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
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 employee recruitment,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficientto note the general areas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
employees managers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your co-workers do not have a clear understanding of the way your organisation recruits and selects employees, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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.
Tick the elements to consider about volunteer selection covered in your organisation’s guiding documents.
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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 volunteer selection, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the way your organisation recruits and selects volunteers?
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)
employees managers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your co-workers do not have a clear understanding of the way your organisation recruits and selects volunteers, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
Assessing for Standard 8 (Induction, training and development
of people working in services)
8Assessing for Standard 8
(Induction, training and development of people working in services)
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about employee and volunteer induction covered in your organisation’s guiding documents.
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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 employee and volunteer induction, or you answered ‘no’ to any of the questions, record this here. It is sufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
how has the induction process helped you to effectively provide community 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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourco-workersarenotconfidentthattheinductionprocesshashelpedthemtoeffectively provide community services, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about employee and volunteer training and development covered in your organisation’s guiding documents.
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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 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.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
How confident are you that your training and development needs are assessed and prioritised to help you effectively provide community 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)
employees volunteers = /
how many actually participated? (e.g. 3 employees, 1 volunteer, 4 out of a total of 5 invitees = 4/5)
employees volunteers = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourco-workersdonothaveconfidenceinthewayyourorganisationtrainsanddevelops employees and volunteers, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
Assessing for Standard 9 (Employee and volunteer support)
9Assessing for Standard 9 (Employee and volunteer support)
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about employee performance and support covered in your organisation’s guiding documents.
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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 employee and volunteer support, or you answered ‘no’ to any of the questions, record this here. It is sufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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?
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)
employees managers = /
how was the feedback obtained?
interviews (how many/position and role of interviewees)
focus groups (how many/position and role of attendees)
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourco-workersarenotconfidentthattheyunderstandtheirrolesorthelevelofperformance required, or that they are supported by the organisation, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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.
Tick the elements to consider about volunteer support covered in your organisation’s guiding documents.
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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 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.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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 = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourvolunteersdonothaveconfidenceinthewayyourorganisationsupportsandmanages volunteers, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about dispute resolution for employees and volunteers covered in your organisation’s guiding documents.
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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 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.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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 = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouremployeesandvolunteersdonothaveconfidenceinthewayyourorganisationresolves disputes, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
Assessing for Standard 10 (Organisational alignment)
10Assessing for Standard 10 (Organisational alignment)
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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.
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 vision statement or policies deal with the applicable elements? oYes oNo oSome
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 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
If ‘yes’, enter last date of review:
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.
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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 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.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
employees volunteers committee members = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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
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
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 element.
You should consider the element highlighted in the shaded box at right when working through the questions about organisational authority.
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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 organisational authority,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonote the general areas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
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)
employees volunteers committee members = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about performance monitoring and reporting covered in your organisation’s guiding documents.
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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 performance monitoring and reporting, or you answered ‘no’ to any of the questions, record this here. It issufficienttonotethegeneralareasforimprovement.Moredetailcanberecordedwhenyou develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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 = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
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.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
Assessing for Standard 11 (Governance and accountability)
11Assessing for Standard 11 (Governance and accountability)
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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.
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
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
are the policies and procedures kept up to date and reviewed? o Yes o No
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.
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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 element.
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 the election or appointmentofthemanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
managers committee members = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your managers and committee members do not have a clear understanding of the processesrelatingtotheelectionorappointmentofexecutiveofficers,recordthishere.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about induction of the management committee and executive officers covered in your organisation’s guiding documents.
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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 the induction of themanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement.Moredetail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
committee members executiveofficers= /
how was the feedback obtained?
interviews (how many/position and role of interviewees)
focus groups (how many/position and role of attendees)
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourcommitteemembersandexecutiveofficersexpressconcernabouttheirinductionand their ability to effectively manage the provider’s community services, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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? oYes oNo oSome
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
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
Tick the elements to consider about training and development for the management committee and executive officers covered in your organisation’s guiding documents.
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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 the training and developmentofthemanagementcommitteeandexecutiveofficers,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareasforimprovement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
committee members executiveofficers= /
how many actually participated? (e.g.2committeemembers,2executiveofficers,4outof a total of 5 invitees = 4/5)
committee members executiveofficers= /
how was the feedback obtained?
interviews (how many/position and role of interviewees)
focus groups (how many/position and role of attendees)
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyourcommitteemembersandexecutiveofficersdonotparticipateintraininganddevelopment, or do not have knowledge of any key documents relating to the service, record this here.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
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
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
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 element.
You should consider the element highlighted in the shaded box at right when working through the questions about conflict of interest.
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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
Ifyourorganisationdoesnothavepoliciesandproceduresrelatingtoconflictofinterest,oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
What is your understanding of the processes relating to managing conflicts of interest (and potential conflicts) in the organisation?
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 employees, 1 committee member, 4 out of a total of 5 invitees = 4/5)
managers committee members = /
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 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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your managers and committee members do not have a clear understanding of the way yourorganisationmanagesconflictsofinterest,recordthishere.
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
are any of the elements for consideration not applicable to your organisation? oYes oNo
If ‘yes’, please specify which elements and why.
Do your organisation’s policies and procedures deal with the applicable elements? oYes oNo oSome
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
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.
Tick the elements to consider about asset management covered in your organisation’s guiding documents.
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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 asset management, oryouanswered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneral areas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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?
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)
managers committee members = /
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 �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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your managers and committee members do not have a clear understanding of the way your organisation manages its assets, record this here.
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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.)
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’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
Note the name/type, location and number of document(s) sighted.
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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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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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.
are any of the elements for consideration not applicable to your organisation? oYes oNo
If ‘yes’, please specify which elements and why.
Do your organisation’s policies and procedures deal with the applicable elements? oYes oNo oSome
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
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
Tick the elements to consider about financial management and delegations covered in your organisation’s guiding documents.
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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
Ifyourorganisationdoesnothavepoliciesandproceduresrelatingtofinancialmanagement and delegations, or you answered ‘no’ to any of the questions, record thishere.Itissufficienttonotethegeneralareasforimprovement.Moredetailcanberecorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
managers committee members = /
how many actually participated? (e.g. 3 managers, 1 committee member, 4 out of a total of 5 invitees = 4/5)
managers committee members = /
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 �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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your managers and committee members do not have a clear understanding of the way yourorganisationmanagesfinancialdelegationsandcontrols,recordthishere.
Standards for Community Services: Self-assessment workbook
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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.)
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’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
Note the name/type, location and number of document(s) sighted.
Standard 11: Governance and accountability
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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
Standards for Community Services: Self-assessment workbook
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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.
are any of the elements for consideration not applicable to your organisation? oYes oNo
If ‘yes’, please specify which elements and why.
Do your organisation’s policies and procedures deal with the applicable elements? oYes oNo oSome
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
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.
Tick the elements to consider about the budget covered in your organisation’s guiding documents.
Standard 11: Governance and accountability
241
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 the budget, or you answered‘no’toanyofthequestions,recordthishere.Itissufficienttonotethegeneralareas for improvement. More detail can be recorded when you develop your improvement plan.
What are the gaps or applicable elements that you need to cover?
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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.
Review the responses/results from the interviews to determine a rating for this evidence type.
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)
managers committee members = /
how many actually participated? (e.g. 3 managers, 1 committee member, 4 out of a total of 5 invitees = 4/5)
managers committee members = /
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.
Standard 11: Governance and accountability
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.
e. not applicable � (if so, please specify why)
Areas for improvement
If your managers and committee members do not have a clear understanding of the way your organisation manages its budget, record this here.
Standards for Community Services: Self-assessment workbook
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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.)
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 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
Note the name/type, location and number of document(s) sighted.
Standard 11: Governance and accountability
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.
e. not applicable � (if so, please specify why)
Areas for improvement
Ifyouhaveanswered‘no’toanyofthequestions,oryouhaveidentifiedareasthatrequireimprovement or review, record this here.
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 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
6.16.2
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 area number area rating Standard rating
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
Mul
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Sta
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11.4
11.5
11.6
11.7
Score sheets
257
Mul
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s
7.1
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(co
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Sta
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ard
are
a n
um
be
r1
23
45
67
89
10
111
21
31
41
5S
tan
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11.2
11.3
11.4
11.5
11.6
11.7
Score sheets
259
Mul
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ite
— R
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2.3
2.4
2.5
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ch
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5.
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s
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on
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ss
es
for
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op
le w
ork
ing
in
s
erv
ice
s
7.1
7.2
(co
ntin
ue
d)
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Sta
nd
ard
are
a n
um
be
rS
ite
Sit
eS
ite
Sit
eS
ite
Sit
eS
ite
Sta
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ard
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tin
g
Sta
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ard
fo
r 8
. in
du
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on
, tr
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ing
a
nd
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ve
lop
me
nt
of
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ing
in
s
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s
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8.2
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9.
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11.1
11.2
11.3
11.4
11.5
11.6
11.7
Part C: Report formats
Self-assessment summary report
263
Self-assessment summary report
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
Areas for improvement:
(continued)
Standards for Community Services: Self-assessment workbook
264
Standardoverall result
types of evidence
guiding documents
Staff awareness records
Confidentiality and 4. privacy
Areas for improvement:
Feedback and 5. complaints
Areas for improvement:
Protecting safety 6. and wellbeing
Areas for improvement:
Self-assessment summary report
265
Standardoverall result
types of evidence
guiding documents
Staff awareness records
recruitment and 7. selection processes for people working in services
Areas for improvement:
Induction, training 8. and development of people working in services
Areas for improvement:
employee and 9. volunteer support
Areas for improvement:
(continued)
Standards for Community Services: Self-assessment workbook
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Standardoverall result
types of evidence
guiding documents
Staff awareness records
organisational 10. alignment
Areas for improvement:
governance and 11. accountability
Areas for improvement:
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
Issue Improvement action/s By whom By when
1.3 requests for service and referrals
Issue Improvement action/s By whom By when
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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
Issue Improvement action/s By whom By when
2.2 allocation
Issue Improvement action/s By whom By when
2.3 ending service delivery
Issue Improvement action/s By whom By when
2.4 Collaboration
Issue Improvement action/s By whom By when
2.5 Community development and community education
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
3.2 Choice and self-reliance
Issue Improvement action/s By whom By when
3.3 Participation
Issue Improvement action/s By whom By when
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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
Issue Improvement action/s By whom By when
4.2 record keeping and disposal
Issue Improvement action/s By whom By when
4.3 Confidentiality
Issue Improvement action/s By whom By when
4.4 Access to confidential information
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
5.2 Complaints by clients
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
6.2 harm response
Issue Improvement action/s By whom By when
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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
Issue Improvement action/s By whom By when
7.2 Volunteer selection
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
8.2 Employee and volunteer training and development
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
9.2 Volunteer support
Issue Improvement action/s By whom By when
9.3 Dispute resolution for employees and volunteers
Issue Improvement action/s By whom By when
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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
Issue Improvement action/s By whom By when
10.2 organisational authority
Issue Improvement action/s By whom By when
10.3 Performance monitoring and reporting
Issue Improvement action/s By whom By when
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
Issue Improvement action/s By whom By when
11.2 Induction of governing body and executive officers
Issue Improvement action/s By whom By when
11.3 Training and development for governing body and executive officers
Issue Improvement action/s By whom By when
11.4 Conflict of interest
Issue Improvement action/s By whom By when
11.5 asset management
Issue Improvement action/s By whom By when
(continued)
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11.6 Financial management and delegations
Issue Improvement action/s By whom By when
11.7 Budget
Issue Improvement action/s By whom By when
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+ �
Standards for Community Services: Self-assessment workbook
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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)
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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
Client survey results
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+
Standards for Community Services: Self-assessment workbook
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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
Client survey results
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)
Standards for Community Services: Self-assessment workbook
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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
Client survey results
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
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