How To Be A Successful Organisation

H E A D I N G 1 DoCS Good Practice Guidelines for DoCS-Funded Services Manual

A C K N O W L E D G E M E N T S The development of the Good Practice Guidelines (formerly the DoCS Quality Service Standards) was guided by the following members of the Steering Committee who gave valuable time, experience and insight. Adam Farrar Catherine Gander Faye Williams Jane Allen Kristy Delaney Leanne Elsworthy Linda Frow Michael Coffey Michele Adair Supported Accommodation Advisory Council Women s Refuge Resource Centre Local Community Services Association NSW Family Services Youth Action and Policy Association Supported Accommodation Advisory Council NSW Council on Social Services Youth Accommodation Association Mission Australia Many organisations attended the program-specific focus groups, contributing to the refinement of the guidelines and writing of the service examples included in the quality self-assessment workbook in part 2 of this manual. Thanks also go to the following organisations and services, which took part in the pilots of the guidelines (as the Standards) and service examples. Their efforts to complete the self-assessment and pilot evaluation and their valuable input in the further refinement of the documents are much appreciated. Shire Wide Youth Services Orange Family Support Service South East Neighbourhood Centre Barnardos Youth and Family Counselling Service Bankstown Multicultural Youth Service YWCA NSW Big Sister/Big Brother Program Mission Australia Youth Assistance Project Mission Australia Adolescent Family Counselling Project St. George Backstop Family Support Service Deniliquin Neighbourhood Centre South West Child Adolescent and Family Services Local Community Services Association Southern Youth and Family Adolescent and Family Counselling Project Non English Speaking Housing Women s Scheme Inc. Edel Quinn Shelter Forbes Women s Refuge Parramatta Mission Verity House St. Benedicts Community Day Centre Women In Supported Housing Program A Women s Place Wesley Mission Dalmar Independent Living Program Bungree Aboriginal Association Inc. Services Wollongong Crisis Youth Refuge Anglicare Family First Programs Monaro Family Support Service Mallee Family Care Incorporated Indigenous Community Development and Parenting Access Programs Riverstone Aboriginal Family Service Miimali Aboriginal Community Association Campbell Page Volunteer Home Visiting Service Kurrajong Early Intervention Centre 2

F O R E W O R D It is my pleasure to be able to offer this Good Practice Guidelines for DoCS-Funded Services Manual to our community partners, many of whom have contributed considerable time and expertise to its development. I trust this manual will become a valuable resource to organisations funded by the Department of Community Services, in supporting their commitment to provide high quality services to their clients. The good practice guidelines will help us all to develop a common language and understanding of what is meant by good practice and high quality service delivery. The clear statements of expectation contained in the Manual will inform the design and operation of the service quality aspects of DoCS-funded services. The Manual has been designed to be widely accessible and easy to use and is based on a very practical approach to implementing the guidelines. The good practice guidelines will assist not only individual service delivery, but will help to strengthen the service system as a whole, as services embrace the good practices in relation to networking and facilitating coordination across service outlets with services knowing what to expect from each other. I wish you well on your journey of continuous quality improvement through the use of this Manual and look forward to the results that we will see for individual clients and the service system as a whole. Dr Gül Izmir Deputy Director-General Service System Development 3

C O N T E N T S Acknowledgements... 2 Foreword... 4 Contents... 5 Introduction... 6 Development of the good practice guidelines... 6 How children s services and out-of-home care will be affected... 7 Implementation... 8 The continuous quality improvement cycle... 8 PART 1: THE GOOD PRACTICE GUIDELINES... 2 Overview... 2 Good practice guidelines summary... 3 Good practice guidelines summary table with key organisational areas... 4 Section 1 Your organisation... 5 Section 2 Your activities... 11 Section 3 Your relationships... 17 PART 2: QUALITY SELF-ASSESSMENT WORKBOOK... 21 Introduction... 22 Guideline 1.1 Governance... 25 Guideline 1.2 Systems management... 29 Guideline 1.3 Human resource management... 34 Guideline 2.1 Access... 39 Guideline 2.2 Services and programs design... 44 Guideline 2.3 Implementation... 48 Guideline 3.1 Community development... 52 Guideline 3.2 Networks... 57 Guideline 3.3 Funding partnerships and contracts... 61 PART 3: QUALITY WORKPLAN... 66 Introduction... 67 Priority grid... 67 Quality workplan templates... 68 4

I N T R O D U C T I O N The information in this document relates specifically to good practice guidelines for the Department of Community Services (DoCS)-funded services. While these guidelines sit within the DoCS Performance Management Framework, and are the quality component upon which DoCS-funded services may be assessed, this is a stand-alone document and the practices described within it do not depend on the Framework to guide their implementation. The manual is divided into three parts as follows: Part 1: The good practice guidelines Contains nine good practice guidelines and more detailed information on what constitutes good practice under each guideline. Part 2: Quality self-assessment Contains a quality self-assessment tool and directions on how to conduct it. Part 3: Quality workplan Contains a quality workplan tool and directions for completing and implementing the workplan. DEVELOPMENT OF THE GOOD PRACTICE GUIDELINES The Good Practice Guidelines for DoCS-Funded Services Manual (previously the DoCS Quality Service Standards), is one of the key initiatives outlined in the DoCS Funding Policy, aiming to guide and support organisations in service development to promote quality outcomes for clients and to enable quality improvement, evaluation and accountability. Strengthening NGOs is an important part of funding reform and is essential for a secure and stable supply of services. The good practice guidelines are based on the Human Service Organisations Generic Quality Framework Project commissioned by the Mental Health Coordinating Council in 2003 and funded by NSW Health. The aim of the Generic Quality Framework Project was to introduce a consistent approach to service standards for funded services that could be potentially applied across a range of NSW Departments. The good practice guidelines were developed through intensive consultation with industry groups, and have the support of peak bodies including the Council of Social Services of NSW (NCOSS) and the Association of Children s Welfare Agencies (ACWA). The guidelines were tested (as the DoCS Quality Service Standards) in September 2004 with focus groups, which included Directors, Partnerships and Planning (DPPs) from across the State. The guidelines were also piloted with a cross-section of 30 DoCS-funded services, including services from the Supported Accommodation Assistance Program (SAAP), the Community Services Grants Program (CSGP) and Families First in November 2004. There are nine good practice guidelines in total, each written as an explicit statement of outcome. The core set of guidelines aims to: promote quality outcomes for clients guide staff in service development enable quality improvement, evaluation and accountability develop consistent and high level of quality across services. 5

The Good Practice Guidelines for DoCS-Funded Services Manual forms the basis of the quality improvement component of the DoCS Performance Monitoring Framework, which provides a well-defined policy and procedural framework for monitoring expectations and outcomes for DoCS-funded services. HOW CHILDREN S SERVICES AND OUT-OF-HOME CARE WILL BE AFFECTED For children s services and out-of-home care (OOHC) the quality assurance approaches already in place will remain. This is through the Office of the Children s Guardian s accreditation process for OOHC and the regulation and licensing system for children s services. DoCS has commenced discussion with the Office of the Children s Guardian with a view to bringing the NSW OOHC Standards and the good practice guidelines into closer alignment. 6

I M P L E M E N T A T I O N THE CONTINUOUS QUALITY IMPROVEMENT CYCLE The good practice guidelines are to be implemented through a cycle of continuous quality improvement, using the DoCS quality self-assessment and quality workplan support tools. It is suggested that the cycle is completed annually and is aligned with the service s regular review schedule or reporting requirements. The continuous quality improvement cycle is illustrated in Figure 1. It involves four steps: Step 1: Self-assessment Step 2: Develop quality workplan Step 3: Implement quality workplan Step 4: Review quality workplan Step 1: Self-assessment Services assess their current practices against the good practice guidelines, using the quality self-assessment contained in part 2 of this manual. The quality self-assessment contains instructions for completion and a template for each of the nine guidelines to assist services to determine where are we now? and where do we want to be? in relation to the good practice guidelines. (Note: The self-assessment contains one section for each guideline, so the sections may be completed one at a time over a period of time, depending on which guideline/s the service prioritises for assessment.) Accompanying each template is a list of attributes of good practice, provided as a prompt to services to think about what constitutes good practice for each guideline. Following the attributes is a further list of service examples, providing concrete and practical examples that services may choose to draw on when describing their own practices. Directions for completing the self-assessment appear at the front of the quality self-assessment workbook. Step 2: Develop quality workplan Support tool: quality self-assessment workbook The findings from the self-assessment are used to develop a quality workplan to assist services to make improvements to their service, in line with the good practice guidelines. The quality workplan contained in part 3 of this manual features a priority grid and a workplan template to assist services to organise their goals into a plan of action. Directions for completing the quality workplan appear at the front of the workplan. Step 3: Implement quality workplan Support tool: quality workplan Services implement the quality workplan, using the stated strategies and timeframes. Services monitor the progress of implementation, to determine whether the goals are on track for achievement, or whether amendments need to be made to the workplan. Step 4: Review quality workplan Implementation of the quality workplan is reviewed by the organisation within 12 months of self-assessment. Actions still requiring completion are carried over to the next self-assessment 7

FIGURE 1: CONTINUOUS QUALITY IMPROVEMENT CYCLE - USING THE GOOD PRACTICE GUIDELINES SUPPORT TOOLS Self-assessment Services assess practices against good practice guidelines using quality self-assessment Review workplan Services review quality workplan. Actions requiring completion are carried over to the next self-assessment Develop workplan Services develop plan for service improvement using quality workplan Implement workplan Services implement quality workplan and monitor progress of implementation For DoCS-funded services: how the good practice guidelines relate to the DoCS Performance Monitoring Framework The good practice guidelines will feature as the quality component of the Service Agreement and it is proposed that the good practice guidelines be implemented within the sector incrementally over the next three years, with services having the option to implement them earlier than required. All Supported Accommodation Assistance Program (SAAP), Community Services Grants Program (CSGP), Early Intervention Program (EIP) and DoCS-funded Families First services will be encouraged to begin implementing the good practice guidelines within their service. DoCS-funded services will not be required to submit their quality self-assessment or quality workplan to DoCS for approval, unless DoCS disagrees with the service on the extent to which the guidelines are being implemented, or the service is selected for random audit through the Performance Monitoring Framework (PMF). In this case DoCS may ask to review the service s quality selfassessment and quality workplan. Areas within the good practice guidelines identified for improvement may be incorporated in more detail into the revised PMF performance improvement plan developed by DoCS in collaboration with the funded service. The revised performance improvement plan will then become part of the service s Service Agreement. Services funded under DoCS Early Intervention Program (EIP) will be required to use their best efforts to operate their service in a manner consistent with the good practice guidelines. EIP funded services will need to demonstrate by 2007/08 that their service operates in a manner that is consistent with the good practice guidelines or that they are implementing satisfactory steps to move toward consistency. 8

NAME OF ORGANISATION/SERVICE PART 1 The Good Practice Guidelines

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S OVERVIEW The nine good practice guidelines are grouped into three sections, with three guidelines in each section. The sections are: Section 1: Your organisation This section is about how your organisation may create an environment to support the achievement of its objectives. It describes the values and direction of the organisation, as well as systems and processes to carry out day-to-day activities. Section 2: Your activities This section is about the core activities your organisation was set up to deliver. They include the provision of services and/or programs for clients, participants or members (your organisation s key stakeholders). The good practice guidelines emphasise the importance of always placing the interests of your clients at the forefront of all your activities. In section 2 the guidelines are arranged to reflect the way the key stakeholders move through your service. The first guideline in this section, access, deals with the initial stage in which your key stakeholders access your service. The second guideline, services and program design, concerns issues of engaging them in service design. The third guideline, implementation, relates to the implementation of agreed plans. Service reviews form part of the design process. Section 3: Your relationships This section is about the broad range of relationships that your organisation may develop to increase the resources it requires to carry out its activities. A summary of the good practice guidelines and the key organisational areas covered by each, appears on the following page. On the pages after that, each guideline is presented in more detail, providing: a summary of what addressing each guideline involves key organisational areas covered by the guideline attributes of good practice associated with the guideline. A note on the attributes of good practice The attributes of good practice are provided as a prompt to organisations to think about what constitutes good practice for each guideline. They aim to promote reflection and discussion within an organisation and/or dialogue between the organisation and a reviewer from an external agency. The attributes are not a full list of what organisations need to do to demonstrate they meet the good practice guidelines. Organisations meeting a particular good practice guideline may not possess the same attributes of good practice listed for that guideline. Some of them may do more, or demonstrate they meet a guideline in a different way. The attributes will not be used as a checklist to assess performance. 10

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S GOOD PRACTICE GUIDELINES SUMMARY 1.1 Governance SECTION 1 Your organisation The governing entity defines clear goals and purposes for the organisation, develops strategies to achieve and monitor the organisation s goals and is accountable for all its activities. 1.2 Systems management There are effective management systems and strategies to ensure the organisation s goals are met. 1.3 Human resource management The organisation plans, develops and supports its workforce, both paid and voluntary, to ensure the effectiveness of its services. 2.1 Access SECTION 2 Your activities The organisation provides fair and equitable access to its services and programs, actively identifying and removing barriers for eligible clients from disadvantaged backgrounds. 2.2 Services and programs design The design and review of services and programs focus on positive outcomes for clients/participants. 2.3 Implementation Services and programs are delivered to achieve the best outcomes for clients/participants. 3.1 Community development SECTION 3 Your relationships The organisation works to build and sustain the community capacity and to foster constructive and respectful relationships among the members of the community. 3.2 Networks The organisation links and collaborates with other organisations to achieve best outcomes for individuals, organisations and communities. 3.3 Funding partnerships and contracts The organisation s funding partnerships and contractual arrangements provide resources for sustainable services and programs. 11

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S GOOD PRACTICE GUIDELINES SUMMARY TABLE WITH KEY ORGANISATIONAL AREAS SECTION 1 YOUR ORGANISATION SECTION 2 YOUR ACTIVITIES SECTION 3 YOUR RELATIONSHIPS Guideline 1.1 Governance The governing entity defines clear goals and purposes for the organisation, develops strategies to achieve and monitor the organisation and is accountable for all its activities. Key organisational areas: accountability strategic and business planning strategic risk management communication regulatory environment policy framework organisation structure. Guideline 2.1 Access The organisation provides fair and equitable access to its services and programs, actively identifying and removing barriers for eligible clients from disadvantaged backgrounds. Key organisational areas: equity of access entry, exit and re-entry referral information rights and responsibilities. Guideline 3.1 Community development The organisation works to build and sustain the community capacity and to foster constructive and respectful relationships among the members of the community. Key organisational areas: community and relationship autonomy participation system advocacy social resources. Guideline 1.2 Systems management There are effective management systems and strategies to ensure the organisation s goals are met. Key organisational areas: policy implementation leadership planning, evaluation and quality improvement information management administration systems financial management operational risk management facilities management. Guideline 2.2 Services and programs design The design and review of services and programs focus on positive outcomes for clients/participants. Key organisational areas: designing client focus, assessment review integration documentation exit and transition. Guideline 3.2 Networks The organisation links and collaborates with other organisations to achieve best outcomes for individuals, organisations and communities. Key organisational areas: forums industry development research and practice development collaboration. Guideline 1.3 Human resource management The organisation plans, develops and supports its workforce, both paid and voluntary, to ensure the effectiveness of its services. Key organisational areas: human resource planning personnel management orientation training and development occupational health and safety equal employment opportunity (EEO) and anti-discrimination. Guideline 2.3 Implementation Services and programs are delivered to achieve the best outcomes for clients/participants. Key organisational areas: service and program integration timeliness responsiveness reliability evidence base cultural sensitivity rights and preferences independence. Guideline 3.3 Funding partnerships and contracts The organisation s funding partnerships and contractual arrangements provide resources for sustainable services and programs. Key organisational areas: funding proposal funding partnership sustainability funding and partnership agreement role and contribution accountability and reporting contracts and brokerage. 12

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S SECTION 1 YOUR ORGANISATION Guideline 1.1 Governance The governing entity defines clear goals and purposes for your organisation, develops strategies to achieve and monitor the organisation s goals and is accountable for all its activities. This involves: providing leadership, direction and guidance for achieving the organisation s goals providing a positive organisational profile ensuring adequate resources for sustainable and effective services assessing and managing strategic risks setting the organisation s policies being accountable to stakeholders monitoring the achievements and activities of the organisation. Key organisational areas covered by governance include: accountability strategic and business planning strategic risk management communication regulatory environment policy framework organisation structure. Attributes of good practice governance Accountability There is a clear process of selection, orientation and training for the governing body/management committee, and its performance is regularly evaluated. The composition of the governing body/management committee reflects, as far as possible, the cultural diversity of the service area by having representation of people from diverse and disadvantaged backgrounds. The governing body/management committee is accountable to stakeholders by providing leadership for achieving your organisation s goals and building its profile. The roles of and relationship between the governing body/management committee and the Chief Executive Officer/manager are clearly defined. Strategic and business planning There are plans and strategies for realising your organisation s goals and potential, and they are regularly reviewed and monitored. 13

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Strategic risk management Major risks such as financial viability are identified and managed to ensure the long-term success of your organisation. Communication Your organisation s goals, plans and achievements are clearly communicated and understood by all stakeholders. Regulatory environment Your organisation complies with all relevant laws and regulations. Policy framework Policies, structures and processes are developed and monitored to support all aspects of organisation and service operations. Organisation structure Lines of authority and delegation of responsibility are clearly defined and communicated. Guideline 1.2 Systems management There are effective management systems and strategies to ensure the organisation s goals are met. This involves: service planning and evaluation continuous quality improvement data collection and management assessing and managing operational risks organising and maintaining equipment and facilities financial and administrative management. Key organisational areas covered by systems management include: policy implementation leadership planning, evaluation and quality improvement information management administration systems financial management operational risk management facilities management. 14

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Attributes of good practice systems management Policy implementation Your organisation has clear documented policies and procedures to deliver its services. Leadership The environment within your organisation facilitates communication, promotes teamwork and encourages staff at all levels to exercise leadership. Planning, evaluation and quality improvement Your organisation actively involves staff, clients/participants and stakeholders and responds to their input in the planning processes including community needs assessment, goal setting and activities planning. Your organisation conducts evaluations and uses the findings to modify and improve activities. Information management There is a systematic, ethical and secure way to collect, store and share information. Such information is used to review and develop the service of your organisation. Administration systems Administrative systems, policies and procedures operate efficiently to support the work of staff and volunteers and to enable your organisation to function effectively. Financial management There is a transparent financial management system that meets your organisation s information and compliance needs. Operational risk management Risks (e.g. finance, insurance, staffing issues) are systematically identified, assessed and managed. The risk management system enables your organisation to provide continuous, safe, responsive and efficient services. Facilities management The physical resources including equipment and facilities are well organised, maintained and managed. The facilities management system enables your organisation to provide safe, effective, accessible and comfortable services. 15

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Guideline 1.3 Human resource management The organisation plans, develops and supports its workforce, both paid and voluntary, to ensure the effectiveness of its services. This involves: human resource planning for meeting the organisation s goals timely and appropriate orientation supervision and training for staff and volunteers grievance procedures annual performance appraisal occupational health and safety issues. Key organisational areas covered by human resource management include: human resource planning personnel management orientation training and development occupational health and safety Equal Employment Opportunity (EEO) and anti-discrimination. Attributes of good practice human resource management Human resource planning Human resource needs are anticipated and barriers are addressed so that the existing and long-term goals of your organisation can be achieved. Your organisation recognises that value of cultural diversity as a human resource asset and employs a workforce that is reflective of the Indigenous, cultural and linguistic diversity within the broader community. All staff and volunteers have appropriate qualifications, skills, attitudes and experience to deliver quality services. Personnel management Staff are employed in accordance with industrial awards and standards. The structure and environment of your organisation promotes cooperative work practices and encourages staff and volunteers to take responsibility and initiative. Your organisation has systems to remedy situations where staff and/or volunteers have acted inappropriately or provided poor or unacceptable services. Personnel systems (e.g. annual appraisal, pay roll, acknowledgement of contribution) operate efficiently to support the work of staff and volunteers and to enable your organisation to function effectively. 16

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Orientation All staff and volunteers receive timely and appropriate orientation. Training and development All staff and volunteers receive supervision, support and training that assist them to contribute to the goals of your organisation. Occupational health and safety Workplace health and safety issues are identified and addressed to reduce illness and injury. Equal Employment Opportunity (EEO) and anti-discrimination Your organisation has in place EEO plans, policies and practices to ensure that the workplace is free from all forms of unlawful discrimination and harassment. Your organisation has in place affirmative measures to assist EEO groups (including women, Aboriginal and Torres Strait Islander peoples, members of racial, ethnic and ethno-religious minority groups, and people with a disability) to overcome past and present disadvantage. 17

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S SECTION 2 Guideline 2.1 YOUR ACTIVITIES Access The organisation provides fair and equitable access to its services and programs, actively identifying and removing barriers for eligible clients from disadvantaged backgrounds. This involves: addressing community needs removing barriers to access having support services in place to facilitate access having a transparent and equitable entry process providing information about community services and resources having effective referral process informing key stakeholders of their rights and responsibilities. Key organisational areas covered by access include: equity of access entry, exit and re-entry referral information rights and responsibilities. Attributes of good practice access Equity of access Your organisation facilitates people s access to services and programs based on access criteria and available resources. Your organisation seeks to address needs as identified through methods such as comparing current client/participant profiles with the local demography. Your organisation uses demographic data to understand the diverse cultural profile of the community, such as the Indigenous, cultural and linguistic diversity, and applies this knowledge in service planning. Your organisation seeks to identify and address barriers that may inhibit access including cost, operating times, physical layout and service location. Your organisation respects individual differences and seeks to provide services that are accessible to our diverse population including people from religiously, culturally and linguistically diverse backgrounds, Indigenous backgrounds and people with specific sexual preferences. Your organisation supports and facilitates clients/participants access to your services by having support services in place such as childcare and transport services. Your organisation facilitates clients access to advocates. The eligibility criteria and entry processes ensure that people within the target group have access to your service without discrimination. 18

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Entry, exit and re-entry Eligibility criteria and entry process are communicated clearly and understood by clients/participants, staff, volunteers and relevant agencies. The entry process is conducted by experienced and qualified staff and/or volunteers. The entry process ensures that assessment is conducted to prevent blanket exclusions. The response time to requests for services is appropriate to the level of need and risk. Referral Your organisation has effective referral processes. Your organisation has systems in place to facilitate clients/participants access to a range of services available in the community. Information People who are ineligible or who are refused service are offered an explanation of the basis for refusal, and they are provided with information to connect them with suitable services. Rights and responsibilities Clients/participants understand their rights and responsibilities, including complaint and appeal procedures. Complaint and appeal procedures are implemented promptly and fairly. Guideline 2.2 Services and programs design The design and review of services and programs focus on positive outcomes for clients/ participants. This involves: providing assessments reviewing service effectiveness providing coordinated services and programs documenting and monitoring records involving key stakeholders planning for service exit and follow up. Key organisational areas covered by services and programs design include: designing client focus, assessment review integration documentation exit and transition. 19

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Attributes of good practice services and programs design Designing Clients/participants are encouraged to participate in the design of services and programs that affect them. Client Focus, assessment Your organisation works with clients/participants to define their needs, articulate the desired outcome and negotiate a suitable service response. Your organisation identifies the cultural, linguistic and Indigenous diversity within the target group and designs services that are responsive to this diversity. Review Your organisation works with clients/participants to review the effectiveness of services and respond to their concerns. Your organisation uses evidence on the outcomes for clients/participants to improve existing services. Integration Services and programs are designed to meet the needs of clients/participants in an integrated manner. Your organisation consults with culturally diverse and Indigenous groups as part of program design. Documentation Your organisation has identified the data requirements concerning clients/participants so that they can be used as evidence for service improvement. There is a system to capture this data. Exit and transition There is joint planning with clients/participants for exit or transition from the service and access to ongoing support if needed. Guideline 2.3 Implementation Services and programs are delivered to achieve the best outcomes for clients/participants. This involves: applying relevant service specific-standards, where applicable being reflective of services and programs provided respecting clients/participants including their rights, preferences and circumstances. Key organisational areas covered by implementation include: service and program integration timeliness responsiveness 20

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S reliability evidence base cultural sensitivity rights and preferences independence. Attributes of good practice implementation Service and program integration Clients/participants receive the range of services and programs they require in an integrated manner. Timeliness Clients/participants receive services and programs when they need them. Responsiveness Clients/participants receive services and programs that are responsive to their changing circumstances. Reliability Services and programs are delivered in a reliable manner, such as staff and/or volunteers keeping appointment times and returning calls promptly. Clients/participants receive consistent services and programs over time. Evidence base Your organisation draws on proven and tested practice approaches and service models to guide service and program design and delivery. Cultural sensitivity Programs are designed with the cultural diversity of the target group in mind and services and programs are provided in a culturally appropriate manner. Staff are provided with training and support to design and provide culturally aware and responsive services. Rights and preferences Services and programs are delivered in ways that recognise and respect client/participant rights and preferences. Independence Services and programs support clients/participants to achieve self-determination and autonomy. 21

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S SECTION 3 YOUR RELATIONSHIPS Guideline 3.1 Community development The organisation works to build and sustain the community capacity and to foster constructive and respectful relationships among the members of the community. This involves: promoting individuals sense of belonging to the community facilitating participation promoting autonomy advocating systemic changes identifying and mobilising social resources. Key organisational areas covered by community development include: community and relationship autonomy participation system advocacy social resources. Attributes of good practice community development Community and relationship Your organisation initiates or participates in community activities that promote individuals sense of belonging and connection to the community. Your organisation initiates or participates in community development activities that foster constructive and respectful relationships among groups and individuals in the community. Autonomy Your organisation works to build the capacity of people to make informed decisions and gain access to resources. The development of client/participant networks that lead to mutual support, self-help and empowerment is encouraged and supported. Participation Your organisation facilitates the participation of people and communities in broader decision-making processes including policy development, planning and management of services and programs. System advocacy Your organisation works with individuals, other advocacy organisations and communities to support and advocate for systemic change that leads to improved outcomes. Your organisation works to address issues such as discrimination, inequities and inequalities. 22

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Social resources Community resources such as volunteers and business support are identified and mobilised to effect, change and contribute to positive outcomes for the community. Guideline 3.2 Networks The organisation links and collaborates with other organisations to achieve best outcomes for individuals, organisations and communities. This involves: participating in forums and associations involvement in industry development initiating or participating in research or practice development projects collaborating with other organisations and periodically reviewing such arrangements. Key organisational areas covered by networks include: forums industry development research and practice development collaboration. Attributes of good practice networks Forums Your organisation participates in formal and informal networks to improve capacity to meet clients/participants needs. Industry development Your organisation involves itself in relevant industry development and emerging issues. Research and practice development Your organisation initiates or participates in research or practice development projects with other organisations to contribute to the knowledge and practice in the field. Collaboration Your organisation collaborates with other organisations to contribute to more coordinated services, better use of resources and improved outcomes for clients/participants and communities. Your organisation has systems to document and review formal and informal collaboration with other organisations. Such documentation exists and leads to a shared understanding including clarity of roles and expected contributions of all parties involved. Your organisation regularly reviews its collaboration in terms of its impact on clients/participants, the overall strategy of the organisation and the effective use of resources. 23

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Your organisation builds links with ethnic and indigenous organisations, services and networks and works collaboratively with these to maximise services and outcomes for culturally and linguistically diverse and Indigenous clients and communities. Guideline 3.3 Funding partnerships and contracts Your organisation s funding partnerships and contractual arrangements provide resources for sustainable services and programs. This involves: developing proposals exploring funding partnerships negotiating and reviewing funding and partnership agreements defining and assessing roles and contribution demonstrating that contractual requirements that have been met having systems of monitoring contracts and brokerage. Key organisational areas covered by funding partnerships and contracts include: funding proposal funding partnership sustainability funding and partnership agreement role and contribution accountability and reporting contracts and brokerage. Attributes of good practice funding partnerships and contracts Funding proposal Your organisation identifies, collates and analyses information on community and client needs and develops proposals to meet those needs. Such proposals are in accordance with your organisation s values, objectives and plans. Funding partnership Your organisation has a process to seek and develop partnerships with other organisations, including business and government, to meet identified needs. Such partnerships are in accordance with your organisation s values, objectives and plans. Sustainability Your organisation considers how services can be sustained in the longer term. 24

P A R T 1 : T H E G O O D P R A C T I C E G U I D E L I N E S Funding and partnership agreement Your organisation works to negotiate funding and partnership agreements that are legal, fair and produce positive outcomes for clients/participants. Funding and partnership agreements are reviewed regularly against the values and goals of your organisation and their impact on clients/participants. Role and contribution Your organisation ensures that the roles and contribution of all parties in a funding and partnership agreement are clearly defined and understood. Accountability and reporting Regular reporting requirements are met and disseminated to the appropriate stakeholders in a timely manner. Your reports to stakeholders adequately reflect the outcomes achieved. Contracts and brokerage Your organisation has systems to monitor the quality of services you have contracted from a third party for clients/participants and communities. There are agreed and documented processes to resolve contractual disputes if they arise. 25

NAME OF ORGANISATION/SERVICE PART 2 Quality Self-Assessment Workbook

INTRODUCTION The aim of this workbook is to provide a useful tool to services assessing their practices against the good practice guidelines. Self-assessment involves answering the questions where are we now? and where do we aim to be? in relation to the good practice guidelines. Answers to the question where do we aim to be? will become part of the quality workplan. Before starting the self-assessment consider: a. Which guidelines your service will be addressing at this time. This decision may be influenced by the need of the service to prioritise particular guidelines, or may be based on some of the guidelines previously being completed. b. Who will read the document. Is it for internal purposes, or is it to be read by an external agency? This will determine the level of detail and explanation you use (e.g. putting the full title of local services or positions, rather than acronyms). c. How you will consult with staff and/or volunteers, clients/participants, management, governing body/management committee as well as key stakeholders. It may be worthwhile to appoint an internal coordinator to coordinate this consultation process. You may also consider using existing meetings and channels to work through the good practice guidelines to reduce the extra work time that may be required. d. Estimating the overall time needed to complete the self-assessment. From the pilot evaluations, it was noted that each guideline averaged about eight to twelve hours to complete, often depending on the size or complexity of the service. While it is important to be flexible about the timelines to allow for optimal participation, there also needs to be a definite cut-off point. Once you ve considered the above, you will need to communicate to stakeholders (including staff and clients/participants) the service s plan for proceeding with the self-assessment. Their participation in the selfassessment process (and the subsequent quality improvement process) should be encouraged. Staff may need to be reassured that the purpose of the self-assessment is to identify the organisation/service s strengths and areas for development or improvement, rather than assessing individual staff performance. Completing the self-assessment 1. Read through the workbook, and decide whether the guideline/s you are addressing require evidence on a service level or organisation level. Some guidelines are best responded to from the organisational perspective rather than the service perspective. For example, for guidelines 1.1, 1.2, 1.3 and 3.3, your organisation may have standard policies, procedures and practice that apply across all services in the organisation. Thus, rather than having each service formulate its individual responses, a single response from the organisational perspective may be sufficient. For guidelines 2.1, 2.2, 2.3, 3.1 and 3.2 evidence on a service level may be more appropriate as different services may vary in their practice due to the difference in their client/participant groups and local situations. Some organisations/services may find it makes sense to respond to particular guidelines at both service and organisational levels. 27

2. Complete the self-assessment table There are three columns in the self-assessment table: current situation documentation areas for improvement/development. To assist you to complete the self-assessment table, services/organisations may choose to use the attributes of good practice and the service examples listed after the self-assessment table for each guideline to prompt their thinking on practices used by their own service. You may find that some of your responses to one guideline are also applicable to other guidelines. In this case, simply cross-reference them rather than repeating the details. There is space at the end of the table to note any barriers or constraints. You may want to list any environmental or systems factors or issues, if any, that are not within the control of your organisation/service, which have inhibited its ability to meet a particular guideline. For example, in remote areas, making appropriate client/participant referrals is difficult due to the unavailability of services in the area. Column 1: Current situation This column is about assessing where are we now? Write down how your organisation/service currently meets the guideline and any systems or processes your service has in place to meet the guideline concerned. Column 2: Documentation This column is about providing the evidence to show that systems and processes described in column 1 are in place. The evidence cited should be relevant, current, reliable and corroborated (see explanation below). If certain evidence can be found in some existing documents such as your annual report and report on achievements, you may simply write the name of the document and the pages or sections in which the evidence can be found. The idea is to simplify the process and not to create duplication of information. In listing the evidence to support your self-assessment, you may use any format you wish, for example, narrative, dot points, photographs and so on. The evidence should be relevant, current, reliable and corroborated: Relevant: Current: Reliable: Corroborated: It should relate directly to the practice under examination. It should be recent enough to confirm that the practice still exists. It should be obvious enough that different people observing the evidence would be likely to come to the same general conclusion about the practice. Multiple pieces of evidence should be used where appropriate to confirm a conclusion about a practice. Column 3: Areas for improvement/development For each guideline, you are asked to write down any improvements your organisation/service would like to consider. The wording should be concrete and specific so that the identified areas can be implemented in a measurable way. You do not need to provide an area of improvement to correspond with every point in the current situation column, only for those areas that you aim to develop further or improve. 28

Attributes of good practice and service examples are listed after each guideline on the selfassessment table The attributes of good practice are provided as a prompt to organisations to think about what constitutes good practice for each guideline. They aim to promote reflection and discussion within an organisation and/or dialogue between the organisation and a reviewer from an external agency. The attributes are not a full list of what organisations need to do to demonstrate they meet the good practice guidelines. Organisations meeting a particular guideline may not possess the same attributes of good practice listed for that guideline. Some of them may do more, or demonstrate they meet a guideline in a different way. The attributes will not be used as a checklist to assess performance. The service examples are provided as practical and concrete examples of the practices that fit within the good practice guidelines. The list of examples is not exhaustive or prescriptive. Organisations need to consider the relevance of the service examples in the light of their particular circumstances. Finally, undertaking a self-assessment using this workbook indicates an organisation/service s commitment to a journey of continuous quality improvement. Experiences confirm that a properly managed self-assessment leads to improved team-work, staff morale, client/participant outcomes and the development of an organisation/service s learning culture. This workbook serves as a tool to assist organisations/services to make formal records of their progress and development in this quality journey. Reference: Quality Improvement Council Limited (2004). Quality Journal. 29

GUIDELINE 1.1 GOVERNANCE The governing entity defines clear goals and purposes for the organisation, develops strategies to achieve and monitor the organisation s goals, and is accountable for all its activities. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan.) Barriers and constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 1. 30

Attributes of good practice governance Accountability There is a clear process of selection, orientation and training for the governing body/management committee, and its performance is regularly evaluated. The composition of the governing body/management committee reflects, as far as possible, the cultural diversity of the service area by having representation of people from diverse and disadvantaged backgrounds. The governing body/management committee is accountable to stakeholders by providing leadership for achieving your organisation s goals and building its profile. The roles of and relationship between the governing body/management committee and the Chief Executive Officer/manager are clearly defined. Strategic and business planning There are plans and strategies for realising your organisation s goals and potential, and they are regularly reviewed and monitored. Strategic risk management Major risks such as financial viability are identified and managed to ensure the long-term success of your organisation. Communication Your organisation s goals, plans and achievements are clearly communicated and understood by all stakeholders. Regulatory environment Your organisation complies with all relevant laws and regulations. Policy framework Policies, structures and processes are developed and monitored to support all aspects of organisation and service operations. Organisation structure Lines of authority and delegation of responsibility are clearly defined and communicated. Service examples governance Examples of documentation that support good practice: documentation supporting the selection, orientation and training of members of the governing body/management committee terms of reference for the governing body/management committee 31

clear statements of the relationship and differing roles and responsibilities of governing body/management committee, executive officer and managers. The roles and responsibilities of the governing body/management committee may be defined as: - setting the strategic direction and monitoring the progress of the organisation/service - setting overall policy - allocating resources - financial accountability - strategic risk management - overall decision making - promoting the organisation - ensuring structures are in place to support the achievement of the organisation s goals records of governing body/management committee meeting minutes strategic and business plan setting out: - clear purpose of the organisation - measurable short to medium-term goals - strategies of how to achieve these goals - performance indicators - resource requirements such as time, staffing, budget, facilities and equipment - timeframe - responsible personnel or teams - strategy of communicating with stakeholders documents explaining the organisation s goals, plans and achievements such as annual report, strategic plan and newsletters all legal and regulatory documents relevant to the operation and services of the organisation policy and procedures manuals documents such as an organisation chart that provides details about the lines of authority, delegation of responsibility and communication channels. The functional relationships between components should be clearly stated. Examples of processes that contribute to good practice: new members of the governing body/management committee are given timely orientation which covers: - legal responsibilities - roles and responsibilities - statutory requirements - organisation s purposes and objectives - decision making process 32

- government policies and funding systems - conflict of interest - confidentiality. The selection process ensures that there is an appropriate range of skills and expertise in the governing body/management committee so that they are equipped to deal with issues relating to finance and legal matters, human resources, management and service promotion. The organisation actively seeks to have representation of people from diverse and disadvantaged backgrounds on its governing body/management committee. Ongoing training needs are identified and provided to assist members of the governing body/management committee in carrying out their responsibilities. Team-building exercises are conducted to improve the communication among staff and volunteers, between staff and governing body/management committee as well as between management, staff and volunteers. There is a process of monitoring and reviewing the strategic and business plans, for example, holding annual service planning and evaluation days involving governing body/management committee, staff, volunteers, clients/participants and stakeholders. There is a mechanism to circulate documents concerning the organisation s goals, plans and achievements such as annual report, strategic plan and newsletters to all key stakeholders. There are systems to ensure that all staff and volunteers have access to the organisation s policy and procedures manual. Examples of performance measures that reflect good practice: the evaluation outcomes of the performance and capacity of the governing body/management committee. The evaluation areas may include: - whether the governing body/management committee has appropriate skills and expertise in carrying out their roles and responsibilities - frequency of meetings and attendance rate of individual members - the effectiveness of the communication mechanisms between the governing body/management committee and staff and stakeholders - the effectiveness of decision making processes - assessment of its performance in providing good governance as perceived by staff and stakeholders. the level of achievement of the organisation s goals as set out in the strategic or business plans the profile of the organisation in the community staff and volunteers feedback of their relationship with the governing body/management committee and whether there is two-way communication. 33

GUIDELINE 1.2 SYSTEMS MANAGEMENT There are effective management systems and strategies to ensure the organisation s goals are met. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and Constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 1.2. 34

Attributes of good practice systems management Policy implementation Your organisation has clear documented policies and procedures to deliver its services. Leadership The environment within your organisation facilitates communication, promotes teamwork and encourages staff at all levels to exercise leadership. Planning, evaluation and quality improvement Your organisation actively involves staff, clients/participants and stakeholders and responds to their input in the planning processes including community needs assessment, goal setting and activities planning. Your organisation conducts evaluations and uses the findings to modify and improve activities. Information management There is a systematic, ethical and secure way to collect, store and share information. Such information is used to review and develop the service of your organisation. Administration systems Administrative systems, policies and procedures operate efficiently to support the work of staff and volunteers and to enable your organisation to function effectively. Financial management There is a transparent financial management system that meets your organisation s information and compliance needs. Operational risk management Risks (e.g. finance, insurance, staffing issues) are systematically identified, assessed and managed. The risk management system enables your organisation to provide continuous, safe, responsive and efficient services. Facilities management The physical resources including equipment and facilities are well organised, maintained and managed. The facilities management system enables your organisation to provide safe, effective, accessible and comfortable services. Service examples systems management Examples of documentation that support good practice: documents such as an organisation chart that provides details about the lines of authority, delegation of responsibility and communication channels. The functional relationships between components should be clearly stated 35

documented systems and plans indicating commitment to: - organisational and service improvement by conducting regular reviews of all key function areas - involve all levels of staff and full range of stakeholders documents facilitating community needs assessment and planning, including: - demographic data - local government planning data including social plans - regional plans - current client/participant profiles - waiting list - survey results of needs of a particular community a risk management framework which identifies, analyses, assesses, monitors and communicates risks. Some risk management areas are: - fire safety - insurance policies covering building, equipment, staff, volunteers, governing body/management committee and the public - building and equipment maintenance - security systems and practices - disaster recovery plans - emergency handling including dealing with aggressive behaviour - privacy protection - hazards clearly marked and addressed - protection from abuse and harassment - complaints procedures for clients/participants and community members - environmental responsible practice - assets inventory - occupational health and safety policies and procedures insurance policies and certificates, including: - public liability - professional indemnity insurance for staff and volunteers - insurance for facilities and other assets - insurance for governing body/management committee and staff - insurance for workers compensation documented accounting practice and systems, including: - procedures to record all financial transactions 36 - system of developing and monitoring the budget

- policies for delegation of power over financial matters - policies and procedures to guard against fraud budget that at the least outlines the items for income and expenditure, including salaries and wages, and operating costs, including expenses relating to premises, administration, travel and meetings independent financial audit reports business plans for individual teams or components critical incident reports and records fire audit reports facilities management plan describing the process of maintaining equipment and facilities, including budgets for repairs and maintenance of facilities assets register an information management plan detailing: - the process of what and how to collect, store and share information - budget allocation - ongoing staff training needs and strategies - the compatibility with other relevant information collection systems - security systems including electronic back-up systems. Examples of processes that contribute to good practice: involving staff, volunteers, clients/participants and stakeholders in service planning and evaluation. Clients/participants and stakeholders may participate and provide feedback in different ways according to their interest, abilities, resources and readiness. The organisation needs to explore and provide various means for their meaningful participation, for example, a suggestion box in the reception area, surveys, exit questionnaires, planning days, forums, focus groups and staff representation at management meetings using community needs assessment data and documents to inform planning establishing mechanisms to respond to staff and stakeholders comments and suggestions and reporting back to them what actions are taken as a result of their feedback implementing a risk management plan to minimise losses and maximise opportunities. This may include applying the Fraud Risk Assessment Tool developed by DoCS in February 2004. This tool covers the fraud risks that may occur in a range of areas including administration, finance, human resource management, information technology and procurement. Organisations can access this document on the internet at the DoCS website: www.community.nsw.gov.au or through their CPO implementing good financial management and accounting practices, for example: - two people required for all cash and cheque handling - person initiating a transaction is separate from the one giving approval - documenting all major decisions - maintaining adequate audit trails - regular financial reporting to the governing body/management committee 37

- administrative procedures to ensure the integrity of all entries, including controls over the access of records using the following methods for data protection: - technology equipment locked in a secured environment - each user has a separate password to control and identify his/her access to the system - passwords are changed regularly - user terminals (PCs) are kept in private areas, where general public cannot access the devices and cannot see the information contained on the screens implementing a data management system, including data collection and collation, that is efficient and meaningful managing facilities that support efficient and effective implementation of service activities. For example: - comfortable and welcoming reception or waiting areas - designating rooms for interviews, consultation and counselling that are private, appropriately furnished and welcoming - ensuring adequate storage areas - ensuring good ventilation, heating and lighting - providing toilet and/or shower facilities - providing staff area and kitchen facilities - ensuring facilities and premises are safe and secure. Examples of performance measures that reflect good practice: evaluation outcomes of service provision and activities: - reviewing against planned targets, goals and objectives - assessing whether goals are met - identifying reasons for not achieving the goals - developing action plans staff and volunteers feedback on the efficiency of the administrative systems, including: - filing system - computer systems - administrative support staff and volunteers feedback on the adequacy, appropriateness and safety of available equipment and facilities necessary for their work clients/participants feedback on whether the service is welcoming and accessible and facilities are safe and comfortable both internal and external review outcomes of the organisation s financial systems the usefulness of data being collected for service planning, development and evaluation purposes. 38

GUIDELINE 1.3 HUMAN RESOURCE MANAGEMENT The organisation plans, develops and supports its workforce, both paid and voluntary, to ensure the effectiveness of its services. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 1.3. 39

Attributes of good practice human resource management Human resource planning Human resource needs are anticipated and barriers are addressed so that the existing and long-term goals of your organisation can be achieved. Your organisation recognises that value of cultural diversity as a human resource asset and employs a workforce that is reflective of the indigenous, cultural and linguistic diversity within the broader community. All staff and volunteers have appropriate qualifications, skills, attitudes and experience to deliver quality services. Your organisation seeks to employ a workforce that is reflective of the cultural and linguistic diversity of the community within which you operate. Personnel management Staff are employed in accordance with industrial awards and standards. The structure and environment of your organisation promote cooperative work practices and encourages staff and volunteers to take responsibility and initiative. Your organisation has systems to remedy situations where staff and/or volunteers have acted inappropriately or provided poor or unacceptable services. Personnel systems (e.g. annual appraisal, pay roll, acknowledgement of contribution) operate efficiently to support the work of staff and volunteers and to enable your organisation to function effectively. Orientation All staff and volunteers receive timely and appropriate orientation. Training and development All staff and volunteers receive supervision, support and training that assist them to contribute to the goals of your organisation. Occupational health and safety Workplace health and safety issues are identified and addressed to reduce illness and injury. Equal Employment Opportunity (EEO) Your organisation has in place EEO plans, policies and practices to ensure that the workplace is free from all forms of unlawful discrimination and harassment. Your organisation has in place affirmative measures to assist EEO groups (including women, Aboriginal and Torres Strait Islander peoples, members of racial, ethnic and ethno-religious minority groups, and people with a disability) to overcome past and present disadvantage. 40

Service examples human resource management Examples of documentation that support good practice: human resource plan with projected number of staff and/or volunteers and skills mix requirements in order to meet the goals set out in the organisation s strategic or business plans documented Equal Employment Opportunity (EEO) policy or plan job or position description documents code of ethics for staff and volunteers personnel records documented policy and procedures for recruitment, selection, appointment and termination of staff and volunteers documented policy outlining the staff consultation process that needs to take place when there are changes to work and employment conditions e.g. pay, working hours and leave arrangements industrial awards, employment related regulation documents, for example, EEO policy documented orientation program, including a policy on orientation, orientation package and checklist, for all newly recruited staff and volunteers. Content may include: - organisation s goals, activities and policies - organisational structures, team processes, communication channels and staff list - supervision and accountabilities - descriptive profile of the community and its main issues - staff entitlements, position descriptions and working conditions - occupational health and safety issues - location of first aid and fire equipment - relevant legislation and policies - dispute and grievance mechanisms - an evaluation feedback form for staff comment on the orientation program documented systems for supervision, performance appraisals, training and development as well as a budget associated with these activities and functions grievance procedures for staff and volunteers. The procedures may include: - appointment of an appropriate mediator - access to union/professional association representation - confidentiality - time frames for responding grievance and dispute - appeal procedures staff and volunteer disciplinary policy and procedures policy and procedures that outline the organisation s commitment to staff development, staff education entitlements, criteria for allocation of resources for staff development, and methods to share and 41

implement knowledge and skills gained in staff development documents showing staff training and development activities, budget allocation and expenses documented policy covering OH&S issues in relation to the relevant legislation and the roles and responsibilities of management and staff. Examples of processes that contribute to good practice: conducting audits of current organisational capacity in terms of appropriate qualification, skills, attitudes and experience of staff and volunteers. Identifying the gaps and developing a plan for recruitment and training to close the gaps implementing a fair and transparent process of recruiting and selecting staff and/or volunteers conducting a staff and volunteer satisfaction survey at least annually implementing systems to reward staff and volunteers who show initiative and provide constructive suggestions for operational or service improvements. For example: - verbal praise - commendation letters - presentation at staff functions - acknowledgement in newsletters - acknowledgement or thank you from governing body/management committee staff and volunteers performance appraisals are conducted annually. Contents may include: - achievements in relation to the goals set - self-assessment of performance - further staff development needs - obstacles to achieving goals - plan of action - review of statement of duties - functioning of the service as a whole implementing OH&S policy, for example: - designating person/committee monitoring and coordinating all workplace health and safety issues - setting OH&S as an agenda item in staff meetings - informing and educating staff and volunteers on their rights and responsibilities in relation to the OH&S legislation - conducting training for staff/volunteers to deal with a range of hazards including handling aggressive behaviour - providing equipment or following procedures that minimise risks, for example, duress alarms, mobile phones, fire drills, fire equipment and exit plans and provision of sharps containers - developing systems of reporting and recording incidents 42

- debriefing after critical/stressful incidents - conducting regular OH&S audits external supervisory and consultative services are provided to assist staff and volunteers in areas such as dealing with conflict at work, family and personal issues, career development advice on a short-term basis staff development needs may be identified through: - strategic or business planning process - staff performance appraisal - service evaluation all staff and volunteers have equitable access to training and development opportunities. With regard to this, the workplace is free from all forms of unlawful discrimination and harassment, and has in place affirmative measures to assist EEO groups to overcome past and present disadvantage circulation of relevant information on internal and external staff development opportunities, for example, brochures and training calendars providing opportunities for staff to share with other staff members as well as practice the knowledge and skills acquired in staff development conducting exit interviews for all staff and volunteers to find out the strengths and areas of concerns about the organisation s operation and services. Examples of performance measures that reflect good practice: number of staff and volunteers who receive timely orientation staff and volunteers feedback of being comfortable with sharing feelings around their work and contributing ideas to improve the organisation s operation outcomes of staff/volunteers performance reviews to assess the organisation s capacity in meeting its goals level of job satisfaction of staff and volunteers. Areas of satisfaction include: - work environment - management and supervisory support - equity and access issues in regard to training number of workplace health and safety issues reported and handled extent of representation of EEO groups in the organisation s workforce number of complaints made against staff and/or volunteers number of complaints in relation to the organisation s employment practices amount of sick and stress leave taken by staff number of workers on compensation. 43

GUIDELINE 2.1 ACCESS The organisation provides fair and equitable access to its services and programs, actively identifying and removing barriers for eligible clients from disadvantaged backgrounds. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 2.1. 44

Attributes of good practice access Equity of access Your organisation facilitates people s access to services and programs based on access criteria and available resources. Your organisation seeks to address needs as identified through methods such as comparing current client/participant profiles with the local demography. Your organisation uses demographic data to understand the diverse cultural profile of the community, such as the Indigenous, cultural and linguistic diversity, and applies this knowledge in service planning. Your organisation seeks to identify and address barriers that may inhibit access including cost, operating times, physical layout and service location. Your organisation respects individual differences and seeks to provide services that are accessible to our diverse population including people from religiously, culturally and linguistically diverse backgrounds, Indigenous backgrounds and people with specific sexual preferences. Your organisation supports and facilitates clients/participants access to your services by having support services in place such as childcare and transport services. Interpreters are sought when required. Your organisation facilitates clients access to advocates. The eligibility criteria and entry processes ensure that people within the target group have access to your service without discrimination. Entry, exit and re-entry Eligibility criteria and entry process are communicated clearly and understood by clients/participants, staff, volunteers and relevant agencies. The entry process is conducted by experienced and qualified staff and/or volunteers. The entry process ensures that assessment is conducted to prevent blanket exclusions. The response time to requests for services is appropriate to the level of need and risk. Referral Your organisation has effective referral processes. Your organisation has systems in place to facilitate clients/participants access to a range of services available in the community. Information People who are ineligible or who are refused service are offered an explanation of the basis for refusal, and they are provided with information to connect them with suitable services. Rights and responsibilities Clients/participants understand their rights and responsibilities, including complaint and appeal procedures. Complaint and appeal procedures are implemented promptly and fairly. 45

Service examples access Examples of documentation that support good practice: documents facilitating community needs assessment and planning, including: - demographic data - local government planning data - regional plans - current client/participant profiles - waiting list - survey results of needs of a particular community eligibility and priority criteria. The priority criteria may be based on needs, risks and disadvantage entry and exit procedures. This includes systems and processes to respond to enquiries or referrals which may be made by fax, phone or clients/participants who present to the organisation in person. These systems are linked to the organisation s client/participant allocation system written statements of client/participant rights and responsibilities including the right to advocacy services and make complaints documented systems and processes for referrals complaints and compliments management systems and procedures including a complaints and compliments register a clear statement of fees, where applicable, that offers a clear explanation on any fees levied on services directory of community services, including advocacy and interpreter services protocols or memorandum of understanding with other organisations to facilitate referrals and other cooperation or collaboration written guidelines and/or policy and procedures to ensure non-discriminatory access for those who meet the eligibility criteria. Non-discrimination is in terms of: - age and gender - ethnicity, culture and religion - language and political affiliation - sexual orientation - mental and physical disabilities - financial disadvantage - pregnancy - Aboriginality useful information on developing policy on access and equity can be obtained from: - NSW Community Relations Commission - NSW Ethnic Communities Council 46 - NSW Anti-Discrimination Board

- Youth Action Policy Association - Immigrant Women s Speakout Association - Disability Rights Service - Physical Disability Council - Aboriginal Land Council records of staff training and development activities that enhance their ability in dealing with clients/participants with special needs group or program plans or records that show: - the eligibility criteria - the group or program participant recruitment process - rights and responsibilities having been discussed and agreed by group or program participants. Examples of processes that contribute to good practice: eligibility and priority criteria are: - endorsed by the Board - developed in consultation with staff, clients, community, funding bodies - regularly reviewed and updated to reflect the changing service environment staff/volunteers use the eligibility and priority criteria as the basis for acceptance or refusal of a service to an applicant providing clients/participants, community groups, referral agencies and other service providers written information on the eligibility criteria and entry process for a service. The information should be presented in languages and formats that are easily accessible for people with special needs, including those from diverse cultures and language groups and/or with hearing or visual impairment actively promoting the organisation s services and developing referrals protocols and other forms of collaboration. This includes the development and implementation of a common assessment system to: - ensure access by the disadvantaged groups - ensure needs are met and support services are in place relevant agencies for service promotion, referrals and collaboration include: - community welfare organisations - youth networks and services - local GPs - school counsellors, Aboriginal Education assistants - mental health team - police, Aboriginal community liaison officers - DoCS Community Services Centres - local homeless persons information service and other SAAP services 47

clients/participants are assisted to understand and exercise their rights and responsibilities including access to interpreter and advocacy services as well as the rights to lodge complaints providing staff and volunteers timely orientation and ongoing training to ensure that they have the skills, experience and resources to undertake an entry assessment process. In particular, in dealing with people from diverse cultures and backgrounds, the staff/volunteers may require training and development in: - cross-cultural and homophobia awareness - disability awareness - mental health issues - experiences of migration and the specific problems faced by newly arrived migrants and refugees - use of interpreters and translators - roles of and links to the service s networks - staff and management responsibilities under the NSW and federal anti-discrimination legislation informing clients/participants about the approximate waiting time for a service and/or offering them alternative options where there are delays in providing services persons who are ineligible or who are refused service, are offered an explanation of the basis for refusal discussing with group participants their rights and responsibilities as members of a group at the first group session. Examples of performance measures that reflect good practice: the following data and information contribute to the review and improvement of the entry systems: - number of clients/participants accepted on each eligibility criteria - number of non-eligible clients/participants and the reasons for ineligibility - number of clients/participants who have been referred to other service providers - number of clients on the waiting list - response time which includes firstly, the time between referral received and assessment conducted and secondly, the time between assessment conducted and service provided - sources of incoming referrals stakeholder survey results indicating their level of understanding about the organisation, the referral and entry process client/participant survey results about their understanding of the rights and responsibilities including the mechanism for making complaints number and nature of complaints that are received from clients/participants or stakeholders number and nature of compliments, both formal and informal, that are received from clients/participants or stakeholders. 48

GUIDELINE 2.2 SERVICES AND PROGRAMS DESIGN The design and review of services and programs focus on positive outcomes for clients/participants. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) ( Barriers and constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 2.2. 49

Attributes of good practice services and programs design Designing Clients/participants are encouraged to participate in the design of services and programs that affect them. Client focus, assessment Your organisation works with clients/participants to define their needs, articulate the desired outcome and negotiate a suitable service response. Your organisation identifies the cultural, linguistic and Indigenous diversity within the target group and designs services that are responsive to this diversity. Review Your organisation works with clients/participants to review the effectiveness of services and respond to their concerns. Your organisation uses evidence on the outcomes for clients/participants to improve existing services. Integration Services and programs are designed to meet the needs of clients/participants in an integrated manner. Your organisation consults with culturally diverse and Indigenous groups as part of program design. Documentation Your organisation has identified the data requirements concerning clients/participants so that they can be used as evidence for service improvement. There is a system to capture this data. Exit and transition There is joint planning with clients/participants for exit or transition from the service and access to ongoing support if needed. Service examples services and programs design Examples of documentation that support good practice: documentation including policy and procedures supporting clients/participants to participate in services and programs that affect them policy and procedures on client/participant exit or transition from the service documented systems and procedures for maintaining individual records as well as group and program records. These include guidelines for completing records as well as process for safe and secure storage of records group and program plans and proposals detailing: rationale 50

goals and objectives strategies target group(s) evaluation methodology timeline resources required, including budget individual service plans specifying the agreed objectives, activities and review schedule that need to be undertaken to lead to the successful service outcomes client/participant data management system detailing the data requirements for review purposes internal and/or external audit reports of individual file records as well as group and program records, providing evidence that procedures for record maintenance are implemented documentation to support service integration within the organisation. This may include statements such as staff of different disciplines are encouraged to work together so as to promote better service coordination and integration client/participant satisfaction survey results. Examples of processes that contribute to good practice: providing structure and processes that facilitate staff/volunteers working cooperatively and collaboratively. For example, there are regular staff meetings in which staff can review the progress of clients/participants they work with and seek advice from other colleagues. Another example is to promote features of effective cooperation and collaboration in the organisation s publications staff/volunteers explain the purpose, value, expected impact and any possible problems associated with the service and program options or approach so that clients/participants can make informed decisions staff/volunteers work with clients/participants, to develop and review service and program plans that affect them. The special needs of clients/participants such as those from diverse cultures and backgrounds should be considered using the least intrusive approach possible to minimise the need for clients/participants to give information on multiple occasions designing services/programs using a continuum of support approach. This facilitates seamless transitions across services/programs, as clients/participants needs change. Examples of performance measures that reflect good practice: percentage of clients/participants having individual service plans number of clients/participants supported through information and referral to access appropriate services client/participant feedback including survey results showing their satisfaction in the following areas: - their involvement and participation in the design and review of services and programs that concern them - the organisation s responsiveness to their concerns and changing needs - their perception of staff within the organisation working cooperatively and collaboratively 51

- their involvement and participation in developing an exit or transition plan - the appropriateness of the referrals being made number of objectives being achieved as articulated in client/participant individual plans number of objectives being achieved as articulated in group or program plans number and nature of the complaints and compliments received from clients/participants or their advocates. 52

GUIDELINE 2.3 IMPLEMENTATION Services and programs are delivered to achieve the best outcomes for clients/participants. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and Constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 2.3. 53

Attributes of good practice implementation Service and program integration Clients/participants receive the range of services and programs they require in an integrated manner. Timeliness Clients/participants receive services and programs when they need them. Responsiveness Clients/participants receive services and programs that are responsive to their changing circumstances. Reliability Services and programs are delivered in a reliable manner, such as staff and/or volunteers keeping appointment times and returning calls promptly. Clients/participants receive consistent services and programs over time. Evidence base Your organisation draws on proven and tested practice approaches and service models to guide service and program design and delivery. Cultural sensitivity Programs are designed with the cultural diversity of the target group in mind and services and programs are provided in a culturally appropriate manner. Staff are provided with training and support to design and provide culturally aware and responsive services. Rights and preferences Services and programs are delivered in ways that recognise and respect client/participant rights and preferences. Independence Services and programs support clients/participants to achieve self-determination and autonomy. Service examples implementation Examples of documentation that support good practice: directory of community services, including advocacy and interpreter services demographic data on the Indigenous and cultural and linguistic profile of the local community or service area documentation to support service integration within the organisation. This may include statements such as staff of different disciplines are encouraged to work together so as to promote better service coordination and integration 54

manuals of evidence-based practice approaches and service models. For example, Case Management Resource Kit for SAAP Services and An Open Door: NSW Women s Refuge Movement Access and Equity Manual systems to update the practice manuals regularly written statements of client/participant rights and responsibilities including the right to lodge complaints complaints and compliments management systems and procedures including complaints and compliments registers policy statements to support: - clients/participants to achieve self-determination and autonomy - staff working cooperatively and collaboratively to provide integrated services and programs. For example, all staff sharing a centralised file/record for each client/participant who may access more than one service within an organisation. Examples of processes that contribute to good practice: staff have access to manuals of evidence-based practice approaches and service models. Ongoing training and supervision are provided to support staff to utilise these approaches and models in their practice staff and volunteers receive orientation and training to ensure that they have the skills, experience and resources to work with people of culturally diverse backgrounds. The training and development may include: - cross-cultural awareness - cross-cultural mental health issues - experiences of migration and the specific problems faced by newly arrived migrants and refugees - use of interpreters and translators - roles of and links to the service s networks, including ethnic specific organisations and/or groups - staff and management responsibilities under the NSW and Federal anti-discrimination legislation adopting a continuum of support approach to provide services/programs. This facilitates seamless transitions across services/programs, as clients/participants needs change members of ethnic communities and organisations are involved as appropriate in program and service delivery to Indigenous and culturally and linguistically diverse clients and families recognising that staff may need to work outside office hours to meet the needs of their clients/participants of culturally diverse backgrounds. Examples of performance measures that reflect good practice: client/participant feedback include survey results showing their satisfaction with the services in the following areas: - their rights and preferences are respected - the services and programs provided facilitate their autonomy and self-determination - services and programs are provided reliably - services and programs are provided when they need them 55

- services and programs are delivered according to the initial agreed plans or revised plans following reviews - the delivery of the services and programs are responsive to their changing needs. For example, services are delivered at clients/participants homes if they have difficulty in getting to the worker s office - their perception of staff within the organisation as working cooperatively and collaboratively - services and programs are provided in a culturally safe and relevant manner number of staff development and training sessions conducted that aim to enhance the staff knowledge and skills in using evidence based approach and models staff feedback on the adequacy of the training and development opportunities to enable them to keep up-to-date skills and knowledge to work with their clients/participants number and nature of complaints and compliments received from clients/participants or their advocates. 56

GUIDELINE 3.1 COMMIUNITY DEVELOPMENT The organisation works to build and sustain the community capacity and to foster constructive and respectful relationships among members of the community. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and Constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 3.1. 57

Attributes of good practice community development Community and relationship Your organisation initiates or participates in community activities that promote individuals sense of belonging and connection to the community. Your organisation initiates or participates in community development activities that foster constructive and respectful relationships among groups and individuals in the community. Autonomy Your organisation works to build the capacity of people to make informed decisions and gain access to resources. The development of client/participant networks that lead to mutual support, self-help and empowerment is encouraged and supported. Participation Your organisation facilitates the participation of people and communities in broader decision-making processes including policy development, planning and management of services and programs. System advocacy Your organisation works with individuals, other advocacy organisations and communities to support and advocate for systemic change that leads to improved outcomes. Your organisation works to address issues such as discrimination, inequities and inequalities. Social resources Community resources such as volunteers and business support are identified and mobilised to effect change and contribute to positive outcomes for the community. Service examples community development Examples of documentation that support good practice: directory of: - self-help or mutual support groups and/or networks - advocacy organisations - community resources including business contacts, volunteers groups and other organisations that may provide useful resources. - policy and procedures including orientation manuals for volunteers and working with volunteers policy statements that support: - clients/participants or the community having the right to be involved (either directly or through a representative) in all decisions which affect them - social justice with an understanding that disadvantage is related to structural inequalities and that opportunities, access and fairness are important concepts 58

- empowerment which involves developing people s knowledge, skills and resources to increase their capacity to act on their world - open communication both internally and externally records of staff training and development activities that enhance staff/volunteers abilities in promoting participation, empowerment and social justice program records including plans and evaluation of community development activities records showing engagement in building the capacity of other community organisations. They may include: - serving on the management board and/or advisory committee of other community organisations - serving as an external member of a staff selection committee. Examples of processes that contribute to good practice: staff/volunteers are provided with ongoing training and support to enable them to: - be respectful of different life situations and capacities of clients/participants - be respectful of clients/participants self-determination and open to respond to them in flexible and creative ways - establish relationships with members of the community that are built on trust and mutual respect - work with people of diverse cultural backgrounds, including an understanding of their norms and cultural practices - carry out their advocacy roles effectively. The primary advocacy skills are assertiveness, communication, conflict resolution, dealing with bureaucracy, lobbying, using the media, negotiation and stress management - gain an understanding that their roles are not to exercise power and control but to provide resources, information, facilitation and support - be aware of the group developmental stages of the community or group of people they work with and adjust their roles accordingly - provide encouragement and support to clients/participants and/or community to exercise choice as well as to gain access to resources and achieve change in their circumstances the organisation provides community information or education to raise awareness of issues, services and activities (Community Services Grants Program (CSGP) 2.1) the organisation coordinates and promotes the use of community facilities and related services (CSGP 2.4) the organisation plans, develops and supports community development/building events (CSGP 2.5) the organisation advocates on community issues and related social justice issues affecting local community (CSGP 2.6) the organisation recruits, trains and supports volunteers (CSGP 2.8) the organisation identifies and mobilises the community resources, strengths and capacities already present in the community to effect change 59

recognising that staff may need to work outside office hours to meet their clients from culturally diverse backgrounds conducting regular evaluations of community capacity building activities. The Asset-Based Community Development Institute provides some useful resources. Further information can be found via its website www.northwestern.edu/ipr/abcd.html. Examples of performance measures that reflect good practice: number of staff development and training sessions conducted in relation to community development work number of self-help or mutual support groups that the organisation has helped to establish evaluation of the output of community information or education activities. These may include: - number of sessions/meetings (Community Services Grants Program (CSGP) 2.1.1a) - number of participants in each of these sessions or meetings (CSGP 2.1.2a) - number and types of communication strategies/products developed, for example, newsletters, publications, flyers, press releases or other resources (CSGP 2.1.3a) evaluation of community development activities to show: - the extent to which community information and education has an impact on the members of a specific community to become better informed (CSGP 2.1.1b) - the extent to which there is an increased level of community participation/interest in social issues (CSGP 2.1.2b) evaluation of the outputs/outcomes of coordinating and promoting the use of community facilities and related services. These may include: - number of days that the centre/community facility is used by the community (CSGP2.4.1a) - ratio of commercial to non-commercial use of facilities (CSGP 2.4.2a) - number of groups that use the facility (CSGP 2.4.3a) - number of occasions of use (CSGP 2.4.4a) - percentage of time that community facility is being utilised to meet the needs of the community (CSGP 2.4.1b) evaluation of the outputs of community development/building events. These may include: - number of events organised or resourced by type, for example, festivals or entertainment (CSGP2.5.1a) - number of people who participate in the event(s) (CSGP 2.5.2a) evaluation of outputs and outcomes of systemic advocacy activities. These may include: - number of submissions/representations made on policy issues on behalf of community members (CSGP 2.6.1a) - number of public meetings convened (CSGP 2.6.2a) - number of public meetings attended (CSGP 2.6.3a) - number of social action groups resourced (CSGP 2.6.4a) 60

- number of examples of goals or changes achieved as a result of advocacy (CSGP 2.6.1b) evaluation of recruiting, training and supporting volunteers activities: - number of volunteers recruited and trained (CSGP 2.8.1a, 2.8.4a) - number of volunteers retained (CSGP 2.8.2a) - number of hours contributed by volunteers (CSGP 2.8.3a) - percentage of volunteers indicating satisfaction with their volunteer work (CSGP 2.8.1b). 61

GUIDELINE 3.2 NETWORKS The organisation links and collaborates with other organisations to achieve best outcomes for individuals, organisations and communities. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and Constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 3.2. 62

Attributes of good practice networks Forums Your organisation participates in formal and informal networks to improve capacity to meet clients/participants needs. Industry development Your organisation involves itself in relevant industry development and emerging issues. Research and practice development Your organisation initiates or participates in research or practice development projects with other organisations to contribute to the knowledge and practice in the field. Collaboration Your organisation collaborates with other organisations to contribute to more coordinated services, better use of resources and improved outcomes for clients/participants and communities. Your organisation has systems to document and review formal and informal collaboration with other organisations. Such documentation exists and leads to a shared understanding including clarity of roles and expected contribution of all parties involved. Your organisation regularly reviews its collaboration in terms of its impact on clients/participants, the overall strategy of the organisation and the effective use of resources. Your organisation builds its links with ethnic and Indigenous organisations, services and networks and works collaboratively with these to maximise services and outcomes for culturally and linguistically diverse and indigenous clients and communities. Service examples networks Examples of documentation that support good practice: directory detailing information about various networks, interagency forums and community organisations records of participation in formal and informal networks including interagency meetings, consultation meetings, peak bodies forums and conferences project and research proposals and reports memorandum of understanding or protocols for collaboration which: - clarify the roles and contribution of all parties involved - include review mechanisms to discuss achievements and issues of concern - include data management systems and performance indicators for monitoring purposes documents of collaboration review, showing the impact on: - clients/participants - the overall strategy of the organisation - the effective use of resources 63

strategic plan that identifies key stakeholders for collaboration to benefit clients/participants, for example, in providing integrated and coordinated services and programs documentation including policy statements and job descriptions to support staff working cooperatively and collaboratively with other organisations and services to deliver better client/participant outcomes procedures for allocating responsibilities to attend interagency forums and a mechanism to report back to other staff. Examples of processes that contribute to good practice: the organisation works: - to build and maintain community service system networks - to brief other services/organisations or conduct related activities to promote best practice - to improve the level of information exchange and service coordination with other organisations - to enhance the effectiveness and utilisation of services (CSGP 2.2) the organisation seeks opportunities to encourage reciprocal learning and development with other organisations. These include participating in peer reviews as well as mutual benchmarking activities to gain relevant information to assess its performance against other like organisations the organisation is open to opportunities to collaborate with other organisations to lead to better clients/participants outcomes. Regular environmental scanning to identify potential organisations for collaboration is conducted the organisation is respectful of different approaches and philosophy adopted by other organisations and appreciates their different roles and contributions your organisation actively seeks to consult and engage ethnic community organisations and networks in program/service design, delivery and evaluation of services for clients and families from culturally and linguistically diverse backgrounds staff are encouraged and supported to participate in interagency forum, meetings and other related committees to work on issues of common concerns Examples of performance measures that reflect good practice: number of network/interagency meetings/activities attended (Community Services Grants Program (CSGP) 2.2.1a) number of network/interagency meetings/activities developed and maintained (CSGP 2.2.2a) number of joint projects/activities, which are undertaken as a collaboration with other organisations (CSGP 2.23a) number and type of strategies implemented for increasing the level of information exchange/awareness of services (CSGP 2.2.4a) evaluation of organisations collaboration activities to show: - the extent to which the needs of clients/participants or community are met through organisations collaboration within a geographical area (CSGP 2.2.1b) - the extent to which resources are better utilised, for example, lower vacancy rate in a refuge 64

- the extent to which the collaboration contributes to the achievement of the organisation s objectives and strategies number of research reports completed (CSGP 2.7.3a) number of pilot project reports completed stakeholder feedback on the working relationships with the organisation staff feedback in the following areas: - their knowledge of emerging issues concerning the community of interest - their relationships with other organisations in the same region - effectiveness of interagency forums and networks to deliver better clients/participants outcomes - effectiveness of communication mechanisms within the organisation. 65

GUIDELINE 3.3 FUNDING PARTNERSHIPS AND CONTRACTS The organisation s funding partnerships and contractual arrangements provide resources for sustainable services and programs. Self-assessment table Current situation: Documentation: Areas for improvement: How does your organisation/service currently meet this guideline? (Attributes of good practice and service examples relating to this guideline are provided over the page.) Specify the name and location of documents that support the areas of achievements you have stated in the first column. Are there any identified areas that need improvement/development? (Areas identified in this column are to be considered for inclusion in the quality workplan) Barriers and Constraints: List any environmental or systems factors or issues that are not within the control of the organisation/service, which have negatively impacted on its ability to meet guideline 3.3. 66

Attributes of good practice funding partnerships and contracts Funding proposal Your organisation identifies, collates and analyses information on community and client needs and develops proposals to meet those needs. Such proposals are in accordance with your organisation s values, objectives and plans. Funding partnership Your organisation has a process to seek and develop partnerships with other organisations, including business and government to meet identified needs. Such partnerships are in accordance with your organisation s values, objectives and plans. Sustainability Your organisation considers how services can be sustained in the longer term. Funding and partnership agreement Your organisation works to negotiate funding and partnership agreements that are legal, fair and produce positive outcomes for clients/participants. Funding and partnership agreements are reviewed regularly against the values and goals of your organisation and their impact on clients/participants. Role and contribution Your organisation ensures that the roles and contribution of all parties in a funding and partnership agreement are clearly defined and understood. Accountability and reporting Regular reporting requirements are met and disseminated to the appropriate stakeholders in a timely manner. Your reports to stakeholders adequately reflect the outcomes achieved. Contracts and brokerage Your organisation has systems to monitor the quality of services you have contracted from a third party for clients/participants and communities. There are agreed and documented processes to resolve contractual disputes if they arise. Service examples funding partnerships and contracts Examples of documentation that support good practice: policy and procedures for negotiating and managing funding and partnership agreements, including: - process of selection of partners and how the funding partnerships contribute to the organisation s objectives and align with its philosophy and values - clarification of roles and contribution of all parties involved in the partnership 67

- process and strategies to develop and maintain positive working relationships and communication with funding agencies - systems for meeting reporting requirements, including reporting formats and mechanisms of disseminating reports - formal review mechanisms to discuss achievements and identify issues and areas of concern strategic plan that identifies: - threats and opportunities to sustainability of the organisation and services and programs - potential key stakeholders with whom to form strategic partnerships policy and procedures for the development and management of contracts with sub-contractors, including: - process of selection of sub-contractors including appropriate screening where a sub-contractor will have face-to-face contact with a client/participant - contract negotiation process - process of orientation and training provided to sub-contractors, where appropriate - systems to monitor the quality of services delivered - documented processes to resolve contractual disputes documents facilitating community needs assessment and planning, including: - demographic data - local government planning data - regional plans - state and commonwealth government policy documents - current client/participant profiles - waiting list - survey results of needs of a particular community funding and partnership agreement documents including service specification. Examples of processes that contribute to good practice: the organisation conducts regular environmental scans to identify potential funding partners the organisation develops funding proposals in conjunction with other organisations, where appropriate, to meet identified needs the organisation is open to ideas of innovative programs and services that meet community needs and build community capacity the governing body/management committee has expertise in assisting and supporting service managers to negotiate and manage funding agreements and/or contracts the organisation ensures that all funding and partnership agreements are fair, legal and produce positive outcomes for clients/participants the organisation provides data to appropriate authority, for example, SAAP National Data Collection, within defined deadlines 68

the organisation communicates any difficulties/barriers in meeting national data requirements the organisation develops and maintains positive working relationships and communication with funding agencies the organisation conducts reviews of funding partnerships to determine if positive results have been achieved and identify areas where difficulties have been experienced in the partnerships the organisation s relationships with its sub-contractors are based on trust and respect the organisation works collaboratively with its sub-contractors to improve the quality of the relationship and the delivery of the contract regular briefings are provided to sub-contractors regarding organisational changes that may impact on the delivery of the contract regular meetings are held with sub-contractors to discuss and review their performance Examples of performance measures that reflect good practice: number of potential partners being identified number of funding proposals and partnerships developed that are in line with the organisation s values, objectives and plans number of successful funding proposals number of negotiated funding and partnership agreements that are legal, fair and produce positive outcomes for clients/participants number of funding and partnership agreements being reviewed according to schedule and plan extent to which the organisation achieves the service outcomes and/or outputs are defined in the service specification or agreement documents funding partners feedback on: - the clarity of roles and contribution of all parties involved in the partnership - the extent to which the organisation is meeting its reporting requirements - the timeliness and appropriateness of reports produced by the organisation - the organisation s achievements, effectiveness and efficiency - their relationships with the organisation extent to which the funding partnerships and brokerage services contribute to the organisation s goals and objectives the governing body/management board s appraisal of the organisation s sustainability number of reports produced for funding partners that are in the right format and on schedule sub-contractors feedback on: - the clarity of roles and contribution of all parties - the performance review arrangements - the organisation s administrative efficiency and responsiveness; and their relationships with the organisation 69

NAME OF ORGANISATION/SERVICE PART 3 Quality Workplan

P A R T 3 : Q U A L I T Y W O R K P L A N INTRODUCTION The aim of the quality workplan is to assist organisations/services to develop an improvement plan based on the findings from their quality self-assessment. This workbook includes: a priority grid to help organisations/services to work out, from their self-assessment, which areas for improvement should take priority quality workplan templates for each good practice guideline. The templates will assist organisations/services to develop a plan of action which can be used to monitor the progress of service improvement and development. PRIORITY GRID The priority grid is a tool to help organisations/services to assess which areas for improvement should take priority for action. In the priority grid, there are two dimensions: Impact: Urgency: What is the impact of the issue or area for improvement on the service quality low, medium or high? For example, repainting the wall colours of a facility to give it a more homely atmosphere may be assessed as a low impact area or issue, whereas the installation of an emergency call system for both staff and clients/participants may be assessed as a high impact area or issue. Is the urgency to work on the issue immediate (within six months), medium (within 18 months) or long-term (greater than 18 months)? For example, filling a vacant management position may be assessed as urgent and needing immediate action whereas developing a collaborative relationship with a local university to provide placement opportunities for its students may be seen as a long-term project. Each improvement area can be assessed using these two questions and can be written into one of the boxes in the grid. The completed grid will show that the areas for improvement falling in the top left corner merit the highest priority and should be acted on immediately. The time frame for other areas for improvement can be set according to their urgency. Areas that have been assessed as having a higher impact on service quality should be given greater priority for action. 71

P A R T 3 : Q U A L I T Y W O R K P L A N QUALITY WORKPLAN TEMPLATES There are nine quality workplan templates, one for each of the nine guidelines. The quality workplan templates feature five columns. They are: Improvement goal: Strategies for improvement: By whom: By when: Progress: A goal is formulated based on an identified area for improvement. It should be specific, measurable, achievable, realistic and time framed. An example is all staff participate in a fire emergency training on an annual basis. State the strategies or actions to be undertaken to achieve the improvement goal. There is often more than one strategy for each goal. Examples are invite a fire emergency trainer from ABC fire specialist company to conduct a training session for all staff, publicise the training session in staff meetings and newsletters and conduct two training sessions within the financial year 2006/07. This should include the names and positions of those people who are responsible for carrying out the activities specified in the strategies column. Sometimes, the responsible party is an existing staff forum or committee such as the OH&S committee. This should include the dates by when the activities will be completed. Record the progress in relation to the achievement of a goal. It is a way to keep track of how the implementation is progressing and whether the timeline needs to be adjusted. When completing each template, try to work across the five columns in each row. Finally, undertaking continuous quality improvement (CQI) requires a commitment from all parties concerned, which includes governing body/management committee, management, staff/volunteers and clients/participants. Their participation in the process of formulating, implementing and evaluating the quality workplan is crucial. The finalisation of the quality workplan should not be seen as the end of a quality improvement journey, but part of a cyclical process of CQI. This means that an organisation/service is committed to implementing and evaluating an agreed improvement plan, and it will continue to develop new plans based on the findings of ongoing vigorous self-assessments. Reference: Quality Improvement Council Limited (2004). Quality Workplan Resource Kit. 72

P A R T 3 : Q U A L I T Y W O R K P L A N Priority grid IMPACT URGENCY IMMEDIATE MEDIUM-TERM LONG-TERM HIGH MEDIUM LOW 73

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 1.1 Governance The governing entity defines clear goals and purposes for the organisation, develops strategies to achieve and monitor the organisation s goals and is accountable for all its activities. Improvement goal Strategies for improvement By whom By when Progress 74

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 1.2 Systems management The governing entity defines clear goals and purposes for the organisation, develops strategies to achieve and monitor the organisation s goals and is accountable for all its activities. Improvement goal Strategies for improvement By whom By when Progress 75

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 1.3 Human resource management The organisation plans, develops and supports its workforce, both paid and voluntary, to ensure the effectiveness of its services. Improvement goal Strategies for improvement By whom By when Progress 76

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 2.1 Access The organisation provides fair and equitable access to its services and programs, actively identifying and removing barriers for eligible clients from disadvantaged backgrounds. Improvement goal Strategies for improvement By whom By when Progress 77

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 2.2 Services and programs design The design and review of services and programs focus on positive outcomes for clients/participants. Improvement goal Strategies for improvement By whom By when Progress 78

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 2.3 Implementation Services and programs are delivered to achieve the best outcomes for clients/participants. Improvement goal Strategies for improvement By whom By when Progress 79

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 3.1 Community development The organisation works to build and sustain the community capacity and to foster constructive and respectful relationships among the members of the community. Improvement goal Strategies for improvement By whom By when Progress 80

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 3.2 Networks The organisation links and collaborates with other organisations to achieve best outcomes for individuals, organisations and communities. Improvement goal Strategies for improvement By whom By when Progress 81

P A R T 3 : Q U A L I T Y W O R K P L A N Guideline 3.3 Funding partnerships and contracts The organisation s funding partnerships and contractual arrangements provide resources for sustainable services and programs. Improvement goal Strategies for improvement By whom By when Progress 82

H E A D I N G 1 www.community.nsw.gov.au NSW Department of Community Services 4-6 Cavill Avenue Ashfield NSW 2131 (02) 9716 2222 ISBN 1 74190 020 4 November 2006