March 2015
Page 7
Human Services Standardsself-assessment report and quality improvement plan for service providers operating under National Disability Insurance Agency
March 2015
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© State of Victoria, March, 2015
This work is licensed under a Creative Commons Attribution 3.0 licence (creativecommons.org/licenses/by/3.0/au). It is a condition of this licence that you credit the State of Victoria as author.
Available at http://www.dhs.vic.gov.au/about-the-department/documents-and-resources/policies,-guidelines-and-legislation/human-services-standards
Contents
1. Introduction 5
2. Why self-assessment is important 6
2.1 Relationship to registration 6
2.2 Human Services Standards 6
2.3 Governance and management criteria 7
3. The self-assessment tool 8
3.1 Assessment matrix 8
3.2 Self-assessment record 8
4. Conducting the self-assessment 9
4.1 Preparing for the self-assessment 9
4.2 Collecting evidence 9
4.3 Categories of evidence 9
4.4 Assessing the evidence and applying a rating 10
4.5 Complete the quality improvement plan 11
4.6 Completing the assessment matrix 11
1. Introduction
Service providers operating under National Disability Insurance Agency (NDIA) that apply for initial registration under the Disability Act 2006 are required to undertake a self-assessment and quality improvement planning process using this tool.
Service providers operating under NDIA that apply for renewal of registration under the Disability Act may also be required to undertake a self-assessment and quality improvement planning process using this tool.
Service providers are also required to complete and submit staff file audit and client file audit results using the Staff, volunteer and carer file audit tool and Client file audit tool, available from the department’s website. The sample should be the square root of the total number of staff files plus one, and the square root of the total number of open and closed client files in the last 12 months, plus one.
NDIA service providers that provide direct care but are not required to undertake an independent review (a review) are required to undertake a self-assessment and quality improvement planning process using this tool developed by the Department of Health & Human Services (department). This applies in exceptional circumstances and under agreement from the department and from NDIA.
The completed self-assessment report and quality improvement plan, along with the file audit tools, should be provided to the department’s Standards and Regulation Unit via email at .
2. Why self-assessment is important
Self-assessment involves an organisation looking at how it does things, what it achieves and how it measures up against criteria. During the process, an organisation’s strengths, weaknesses and opportunities for improvement will be identified.
The self-assessment should report each service provider’s findings about how well it is meeting the Human Services Standards (Standards) (gazetted as Department of Health & Human Services Standards) and governance and management indicators.
Self-assessment needs to be informed by input from clients. Organisations must ensure there are accessible ways for clients to provide feedback and actively contribute to how services are delivered. There are huge benefits for organisations that link quality management with client outcomes, staff wellbeing, organisational sustainability and practice improvement.
Self-assessment is an opportunity for service providers to:
· confirm areas where the service is meeting the Standards, including the governance and management indicators
· identify gaps in current systems and processes that do not meet the Standards, including the governance and management indicators
· plan actions to address any identified gaps in systems and processes
· identify additional opportunities for improvement, to support continuous improvement.
2.1 Relationship to registration
To be registered or to apply for renewal of registration under the Disability Act organisations need to respectively demonstrate capacity to comply or compliance with the gazetted Department of Health & Human Services Standards, known as the Human Services Standards.
The Standards have been gazetted under the Disability Act and are required to be met by registered organisations. A standard requiring organisations to meet the governance and management standards of their selected independent review body has also been gazetted. Organisations may be required to submit a completed self-assessment as part of their registration application.
The Disability Act defines ‘disability service provider’ and sets out the requirements for the registration of disability service providers.
All NDIA service providers operating as a disability provider under the definition in the Disability Act, are required to be registered and operate within the requirements of the Disability Act, including compliance with the relevant standards.
Further information is available in the Policy, Procedures and Forms for the Registration of Disability Service Providers registered/registering with National Disability Insurance Agency or by contacting the department’s Standards and Regulation Unit via email at .
2.2 Human Services Standards
The Human Services Standards represents a single set of service quality standards for funded organisations delivering services to clients.
The Standards are summarised as:
· Empowerment
· Access and Engagement
· Wellbeing
· Participation.
All NDIA service providers operating as a disability provider under the definition in the Disability Act are required to meet the Standards. The Standards are contained in this departmental self-assessment tool. Further information is available from the Human Services Standards evidence guide on the department’s website. The evidence guide includes examples of evidence that can be used to demonstrate that each applicable criteria and evidence category has been met.
2.3 Governance and management criteria
Corporate governance is ‘the system by which companies are directed and controlled’ (Cadbury Committee, 1992). It involves a set of relationships between the board, management, the people who use the services and other stakeholders. Governance sets the strategic framework, determines accountability and the prevention or mitigation of risks and conflict of interests between stakeholders.
Sound governance and management are critical for quality service delivery to occur. Inversely where poor quality services are provided the organisation’s governance and management are often deficient.
The departmental self-assessment tool also includes management indicators to guide systems such as human resource management and contract management.
The Standards and independent review model states that an organisation’s governance and management will normally be reviewed and accredited by an independent review body that utilises its own internationally or nationally recognised governance and management standards.
Where, in exceptional circumstances, the department and NDIA have agreed to exempt a NDIA service provider from undertaking an independent review, a self-assessment process will be required. Refer to the Human Services Standards policy available from the department’s website for information regarding exemption from independent review.
As organisations that are undertaking a self-assessment will not be a member of a department endorsed independent review body there is a requirement for the department to define and monitor governance and management criteria. The self-assessment tool lists the governance and management indicators that should be used to conduct a self-assessment.
3. The self-assessment tool
The self-assessment tool includes:
· self-assessment record
· an assessment matrix
· quality improvement plan
· checklist of actions.
3.1 Assessment matrix
The assessment matrix is in the first section of the toolkit. The assessment matrix is a summary of the findings of the self-assessment, and allows service providers to identify their organisation’s overall performance against the standards and the governance and management standards.
· Met: written and verbal evidence clearly demonstrates that the service provider meets all the requirements of the criteria.
· Part Met: written and verbal evidence clearly demonstrates that the service provider only meets part of the requirements of the criteria.
· Not Met: written and verbal evidence clearly demonstrates that the service provider does not meet the requirements of the criteria.
· Not Applicable: a not applicable rating may apply, for example, where a service provider has been granted an exemption by the Standards and Regulation Unit from undertaking a review against governance and management standards.
Service providers are required to self-assess and rate against all of the Standards criteria in the self-assessment and the relevant service specific indicators.
The self-assessment must demonstrate the service provider’s compliance with the Standards. A service provider, where exempt from an independent review, may only rate itself as partially compliant against the Standards at the time of submitting its self-assessment at 18 months. Where this occurs, the service provider must demonstrate full compliance with the Standards at the time it submits its next self-assessment
Where the department deems a self-assessment to be insufficient (i.e. it does not demonstrate compliance with the Standards), it may require the service provider to undertake an independent review or advise the service provider that it is in breach of its registration conditions.
3.2 Self-assessment record
The self-assessment record is used to record evidence of current good practice and identify areas for further improvement. From this, issues for priority action can be identified.
Quality improvement plan
The quality improvement plan provides a summary of the actions required to meet the indicators. This section is compulsory where standards have been rated as part met or not met.
Service providers should document any opportunities for improvement that they identify even where the criteria are fully met. These are considered to be optional actions to promote continuous quality improvement and to ensure the organisation keeps up to date with best practice. They should also be documented in the quality improvement plan.
The quality improvement plan assists organisations to prioritise the actions required to meet the Standards and ensures the self-assessment is linked to continuous quality improvement.
Checklist of actions
A checklist is included at the back of the self-assessment tool to assist service providers in reviewing the completed self-assessment prior to submitting it to the department’s Standards and Regulation Unit.
4. Conducting the self-assessment
4.1 Preparing for the self-assessment
The self-assessment process should be completed by people within your organisation who have the skills to coordinate the process, such as engaging other staff in examining the standards and criteria, conducting interviews and deciding which policies, records or other documents might need to be examined or revised. Depending on the size of your organisation this activity may require the cooperation of a number of people.
A number of methods can be used to conduct the self-assessment including:
· feedback from staff, management, board of management and clients
· desktop review of your organisation’s policies and procedures
· workshops/ meetings to discuss where your organisation is working well and where there are gaps in the system.
To promote involvement it is useful to explain why the self-assessment is being undertaken and why their involvement is important.
4.2 Collecting evidence
Conducting the self-assessment involves collecting and assessing evidence for each standard. Organisations must provide evidence to demonstrate they are addressing each of the following evidence categories:
· documents
· knowledge and awareness
· evaluation and monitoring.
The Human Services Standards evidence guide includes evidence examples that can be used to demonstrate that each applicable criteria and evidence category has been met.
4.3 Categories of evidence
The three categories of evidence are described below.
Documents
The documents evidence category includes a wide range of written material that demonstrates how an organisation meets the Standards while also addressing relevant external requirements for example legislation, regulations, and departmental and program specific requirements. Documentation might include:
· policies, procedures, protocols, work instructions describing the organisations processes and practices
· information available and/or provided to people or displayed, such as: brochures, pamphlets, newsletters, photographs, or posters or other written material given to people who use the service or other stakeholders
· records and other tools used by staff or people who use the service, examples may include: referrals, intake and assessment tools, care plans, attendance records, feedback and complaint forms, improvement forms, personnel files, meeting minutes, memorandums and emails.
Knowledge and awareness
The knowledge and awareness evidence category provides information about the methods the organisation uses to demonstrate implementation of the documented processes and systems. This should include assisting board members, management, staff, carers, volunteers and other stakeholders in understanding the processes and systems developed for the service and service delivery. This might include:
· training plans/records (planned training, orientation)
· agenda items in meetings
· manuals/guidelines/memos.
For people who use the service, this may include:
· when, how and what information is provided
· provision of information in other formats to facilitate understanding and to meet the language, cultural and communication needs of individuals
· use of interpreters.
Monitoring and evaluation
The monitoring and evaluation evidence category provides information to demonstrate the organisation’s approach to continuous quality improvement and the methods used to measure the effectiveness of processes and systems in day-to-day service delivery. Evidence should confirm implementation and identify outcomes or outputs of systems and processes. This might include:
· complaints register, incident register
· reports including; management reports, financial reports, annual reports and audit reports
· feedback mechanisms, for example focus groups, surveys, complaints
· documentation audits, for example client files/records, personnel files/records
· internal and/or external audits
· benchmarking
· quality plans and associated activities
· risk management plans
· other monitoring processes, for example incident reports and hazard identification
· meeting minutes
· observations
· interviews.
4.4 Assessing the evidence and applying a rating
This requires your organisation to examine the three categories of evidence against the standards to identify strengths and any areas requiring improvement. As part of this process you are required to apply a self-assessment rating of met, part met, not met or not applicable for each of the criteria.