Collated Evidence Guides: Naclc

| / EVIDENCE GUIDES: NACLC

COLLATED EVIDENCE GUIDES: NACLC

A1.1 ORGANISATIONAL MANAGEMENT: GOVERNANCE

EVIDENCE GUIDE:Governance

EVIDENCE GUIDE:Organisational Structure: Roles, Responsibilities and Delegations

EVIDENCE GUIDE:Board Recruitment, Induction and Training

EVIDENCE GUIDE:Board Code of Ethics and Conduct

EVIDENCE GUIDE:Policies and Procedures

A1.2 ORGANISATIONAL MANAGEMENT: PLANNING

EVIDENCE GUIDE:Internal reporting (Reporting to the Board)

EVIDENCE GUIDE:External Accountability

EVIDENCE GUIDE:Service or Activity Planning

EVIDENCE GUIDE:Operational or Business Planning

EVIDENCE GUIDE:Organisational Performance Monitoring

A1.3 ORGANISATIONAL MANAGEMENT: STAFFING

EVIDENCE GUIDE:Organisational Values

EVIDENCE GUIDE:Staff Recruitment

EVIDENCE GUIDE:Staff Orientation and Induction

EVIDENCE GUIDE:Conditions of Employment

EVIDENCE GUIDE:Staff Supervision, Development and Training

EVIDENCE GUIDE:Workplace Health and Safety

A1.4 ORGANISATIONAL MANAGEMENT: FINANCIAL MANAGEMENT

EVIDENCE GUIDE:Financial Controls and Record Keeping

EVIDENCE GUIDE:Financial Management

EVIDENCE GUIDE:Asset Management

EVIDENCE GUIDE:Service User Funds

A1.5 ORGANISATIONAL MANAGEMENT: GENERAL RISK AND COMPLIANCE

EVIDENCE GUIDE:Legal and Contractual Compliance

EVIDENCE GUIDE:Risk Management

A2.1 MANAGEMENT OF INFORMATION AND DATA

EVIDENCE GUIDE:Information Management

EVIDENCE GUIDE:Personal Records and Privacy

A2.2 PUBLICATIONS AND MEDIA

EVIDENCE GUIDE:Publications and Media

B1 INFORMATION, ASSESSMENT AND REFERRAL

EVIDENCE GUIDE:Information, Assessment and Referral

B2 PROVISION OF ADVICE AND CASEWORK

EVIDENCE GUIDE:Provision of Advice and Casework

B3 SUPERVISION OF LEGAL PRACTICE

EVIDENCE GUIDE:Supervision of Legal Practice

EVIDENCE GUIDE:Volunteers

B4 FILE MANAGEMENT

EVIDENCE GUIDE:File Management

B5 SPECIALIST, AUSPICED OR HOSTED PROJECTS OR SERVICES

EVIDENCE GUIDE:Specialist, Auspiced or Hosted Services

C1 COMMUNITY INFORMATION AND LEGAL EDUCATION

EVIDENCE GUIDE:Community Information and Legal Education

C2 RESEARCH, ADVOCACY AND LAW REFORM

EVIDENCE GUIDE:Research, Advocacy and Law Reform

D1 ACCESSIBILITY

EVIDENCE GUIDE:Service Access

EVIDENCE GUIDE:Service intake or entry

D2 ASSESSING CLIENT SATISFACTION AND MANAGING COMPLAINTS

EVIDENCE GUIDE:Client Feedback and Complaints

A1.1 ORGANISATIONAL MANAGEMENT: GOVERNANCE

EVIDENCE GUIDE:Governance

Governance deals with the way in which your organisation’s Board or management committee carries out its constitutional duties.

The standard requires that the following should be in place:

A governing body (Board or management committee) that operates in accordance with a current constitution (rules of association or other legal document of incorporation)
Documented processes for conducting and documenting Board or management committee meetings
A viable governing body that meets as required

What you should attach as evidence:

Item

Attached

Relevant sections from the organisation’s constitution
Policy and procedures for the Board or management committee
Example of agenda and minutes from a Board or management committee meeting
Report on numbers of meetings held in the previous year and proportion of members attending each meeting

EVIDENCE GUIDE:Organisational Structure

Organisational Structure: Roles, Responsibilities and Delegations deals with the way in which the organisation:

allocates roles and responsibilities to the Board or management committee, particular staff positions and groups within the organisation
maintains reporting and accountability across the organisation.

The standard requires that the following should be in place:

A documented overview of the structure of the organisation and the allocation of the main roles and responsibilities
Clear lines of communication, reporting and accountabilities
Documented processes for decision making and for delegations of authority to act or make decisions

What you should attach as evidence:

Item

Attached

Organisational chart, diagram or overview
Policy or description of the main roles within the organisation
Policy or sample of terms of reference for sub committees or working groups
Copy of delegations of authority

EVIDENCE GUIDE:Board Recruitment, Induction and Training

Board Recruitment, Induction and Training deals with the way in which the organisation recruits and selects new members of its Board or management committee, provides them with an orientation to their role and responsibilities and with ongoing skill development.

The standard requires that the following should be in place:

Documented and transparent processes for recruitment, nomination and selection of Board or management committee members that comply with the organisation’s constitution
Processes for identifying the general governance and specific service related skills required for Board or management committee members
Processes for ensuring that the composition of the Board or management committee is representative and diverse
Processes for ensuring that Board or management committee members have the skills and knowledge they need to perform their role effectively, including the provision of orientation and induction

What you should attach as evidence:

Item

Attached

Relevant sections of the organisation’s constitution and/or recruitment and appointment policy for Board/management committee members
Policy and procedure for orientation, induction and training of Board/management committee members
Outline of orientation and/or training or development programs provided to Board/management committee members over the past year

EVIDENCE GUIDE:Board Code of Ethics and Conduct

Board Code of Ethics and Conduct deals with the way in which the organisation provides guidance to Board or management committee members on how they are expected to act, the values that should inform their behaviour and on managing conflicts of interest.

The standard requires that the following should be in place:

A process for Board or management committee members agreeing to comply with a code of ethics and conduct
Documented processes for identifying and managing conflicts of interest for Board or management committee members

What you should attach as evidence:

Item

Attached

Policy and procedures for a code of ethics and conduct
Policy and procedures for managing conflicts of interest

EVIDENCE GUIDE:Policies and Procedures

Policies and Procedures deals with the way in which the organisation provides guidance to Board or management committee members, staff and volunteers through providing documented policy and procedures for all core aspects of its operation.

The standard requires that the following should be in place:

Current policies and procedures for all aspects of governance, administration and operation of the organisation
Documented ways of operating that comply with external legal, industry or contractual requirements
Processes for monitoring implementation of procedures
Processes for reviewing and updating policies
Processes for ensuring relevant personnel are aware of required procedures

What you should attach as evidence:

Item

Attached

List of documented policies
Sample policy and procedure, or policy template
Policy and procedure for developing, documenting, reviewing and updating policies
Procedure for making policy documents accessible to relevant personnel

A1.2 ORGANISATIONAL MANAGEMENT: PLANNING

EVIDENCE GUIDE:Internal reporting (Reporting to the Board)

Internal Reporting deals with the way in which the Board or management committee and senior staff monitor and control the performance of the organisation and its personnel.

The standard requires that the following should be in place:

Processes for internal reporting that address the main aspects of the organisation’s operation
Effective monitoring by the Board or management committee and senior staff of the financial health, legal compliance, risk management and services or activities of the organisation
Effective monitoring by the Board or management committee of the performance of the senior staff member responsible for day to day management of the organisation

What you should attach as evidence:

Item

Attached

Policy and procedures for internal reporting
Template or example of regular reports received by the Board or management committee

EVIDENCE GUIDE:External Accountability

External Accountability deals with the way in which the organisation reports to its members, funding providers, community and other stakeholders.

The standard requires that the following should be in place:

A process for reporting on an annual basis to members and external stakeholders
A process for ensuring that specific reporting obligations under service or funding agreements, other contracts, legislation or incorporation requirements are met

What you should attach as evidence:

Item

Attached

A copy of the organisation’s annual report
Procedure for distribution or publication of the annual report
Policy and procedures for meeting specific reporting requirements and/or example of a reporting compliance register or checklist

EVIDENCE GUIDE:Service or Activity Planning

Service or Activity Planning deals with the way in which the organisation plans the delivery of its services and activities.

The standard requires that the following should be in place:

Processes for collecting and utilising information about client needs and about effective service delivery to inform service planning
Documented processes for planning services and activities
Documented processes for consulting with client or stakeholder groups as part of the development of service or activity plans
Processes for using evaluation results to plan improvements in services or activities

What you should attach as evidence:

Item

Attached

Policy and procedures for service or activity planning
Examples or templates used in consultation or stakeholder feedback collection
Current service or activity plan
Policy and procedures for evaluating services and activities or example of evaluation report for completed service period or activity

EVIDENCE GUIDE:Operational or Business Planning

Operational or Business Planning deals with the way in which the organisation plans and monitors the implementation of action to meet its strategic plan or goals.

The standard requires that the following should be in place:

A documented plan which reflects the broader goals of the organisation but indicates how shorter term objectives will be met
A process for reviewing and monitoring progress against the plan
Alignment between the operational or business plan and any other organisational plans

What you should attach as evidence:

Item

Attached

A copy of the operational or business plan
Template or example for reporting against the plan or monitoring progress
Information about the links between this plan and any other organisational plans

EVIDENCE GUIDE:Organisational Performance Monitoring

Organisational Performance Monitoring deals with the way in which the organisation collects data, evaluates its service delivery and operations and makes improvements.

The standard requires that the following should be in place:

Documented performance measures for key aspects of the organisation’s services and operations
Documented processes for monitoring and evaluating organisational performance
Processes for incorporating service user or other stakeholder feedback in performance monitoring
Documented procedures for utilising performance data to make improvements in aspects of the organisation’s services and operations

What you should attach as evidence:

Item

Attached

Current performance measures or indicators (these may be part of an organisational plan)
Policy and procedures for performance monitoring and reporting
Report against performance measures or indicators for a recent reporting period or an evaluation report

A1.3 ORGANISATIONAL MANAGEMENT: STAFFING

EVIDENCE GUIDE:Organisational Values

Organisational Values deals with the way in which the organisation identifies and documents the purpose, aims, values and ethics that it will operate by and how its uses these to guide the actions of its Board or management committee members, staff and volunteers.

The standard requires that the following should be in place:

Documented statements of the organisation’s purpose and aims, values and philosophies
Documented code of behaviour applying to all personnel
Processes for ensuring that the organisation’s values are consistent with any funding program that provides it with funds, are actively communicated and promoted within the organisation and reflected in the way the organisation conducts its business

What you should attach as evidence:

Item

Attached

Statement of organisational purpose and values (usually part of the organisation’s constitution and/or strategic plan)
Code of ethics and conduct applying to Board/management committee members, staff and volunteers
Example of a service or activity policy that reflects the organisation’s core values

EVIDENCE GUIDE:Staff Recruitment

Staff Recruitment deals with the way in which the organisation recruits and screens appropriately skilled staff.

The standard requires that the following should be in place:

A documented recruitment process that applies principles of equity, transparency and complies with anti-discrimination legislation
Screening checks (such as working with children, police etc) as required by legislation or funding body
Records kept of recruitment processes

What you should attach as evidence:

Item

Attached

Policy and procedures for recruiting paid staff
Policy and procedures for conducting screening checks for paid staff and volunteers
Description of records kept if not outlined in a recruitment policy

EVIDENCE GUIDE:Staff Orientation and Induction

Staff Orientation and Induction deals with the way in which the organisation provides new staff with information about the organisation, their role and responsibilities and introduces them to the workplace.

The standard requires that the following should be in place:

A documented process for orienting new staff and providing them with the information they need to perform their role

What you should attach as evidence:

Item

Attached

Policy and procedure for providing staff orientation and induction
Description of how records are kept of orientation and induction if not covered in an orientation and induction procedure

EVIDENCE GUIDE:Conditions of Employment

Conditions of Employment deals with the way in which the organisation documents its expectations of individual paid staff, the terms of their employment and their rights to industrial protection.

The standard requires that the following should be in place:

Documented position descriptions for each staff position
Employment contracts or agreements linked to wages and working conditions that comply with relevant awards and legislation
Documented processes for disciple or dismissal of paid staff
Personnel records for each paid staff member

What you should attach as evidence:

Item

Attached

Policy and procedures for setting and documenting conditions of employment for paid staff
Example of a position description and job contract
Policy and procedures for staff disciple and dismissal
Description of how personnel records are kept if not covered in employment policy and procedures

EVIDENCE GUIDE:Staff Supervision, Development and Training

Staff Supervision, Development and Training deals with the way in which the organisation ensures that staff are capable of performing their jobs effectively by providing supervision, guidance and professional development.

The standard requires that the following should be in place:

Documented processes for regular supervision and assessment of paid staff performance
Processes for identifying skill development needs and providing training opportunities

What you should attach as evidence:

Item

Attached

Policy and procedures for staff supervision and the management of poor performance
Policy and procedures for staff development or sample of a staff development plan

EVIDENCE GUIDE:Workplace Health and Safety

Workplace Health and Safety deals with the way in which the organisation ensures that it provides a workplace that is safe for staff and volunteers and that complies with workplace health and safety legislation.

The standard requires that the following should be in place:

Documented workplace procedures that comply with workplace health and safety legislation
Emergency and evacuation procedures
Documented records of incidents, accidents and injuries
Regular orientation and training for staff and volunteers on health and safety procedures

What you should attach as evidence:

Item

Attached

Policy and procedure for workplace health and safety
Evacuation and emergency procedures
Template or procedure for reporting and documenting workplace accidents and injuries
Policy and procedure for orientation and training for staff and volunteers in relevant workplace health and safety procedures

A1.4 ORGANISATIONAL MANAGEMENT: FINANCIAL MANAGEMENT

EVIDENCE GUIDE:Financial Controls and Record Keeping

Financial controls and record keeping deal with the way the organisation processes and records the funds it receives and the payments that it makes (transactions).

The standard requires that the following should be in place:

Methods for systematically invoicing and receipting that ensures a piece of evidence (primary record) is kept for every transaction
An accounting system into which each transaction is entered
An accounting system that keeps track of what the organisation owes or is owed (accruals)
An accounting system that can produce income and expenditure statements and a balance sheet
Methods or processing transactions and managing bank accounts that safeguard against fraud or misappropriation of funds
An annual audit, unless the organisation is not required by legislation or its funding body to have a formal audit.
An annual financial report.

What you should attach as evidence:

Item

Attached

The name of your accounting program (e.g. MYOB, Quickbooks etc)
Your chart of accounts or a statement that you are using the Standard Chart of Accounts
Your delegations of authority (either a delegation chart or a policy covering who can make financial decisions and authorise payments)
A fraud prevention policy or procedure
A sample copy of your regular (e.g. monthly) financial reporting
A copy of a monthly reconciliation of your accounts or a statement from your bookkeeper certifying that these are done on a regular basis
A copy of your last year’s annual financial report
A copy of the last year’s audit report (this may be part of your annual financial report

EVIDENCE GUIDE:Financial Management