Quality Standards Pilot
Provider Preparation Kit
V 1.0
Disclaimer
This document only relates to the 2013 Job Services Australia Quality Standards Pilot and is for reference only. This document does not represent the obligations of the Employment Services Deed 2012-2015 nor does it represent the requirements of the Quality Assurance Framework.
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
978-1-74361-478-5 [DOCX]
With the exception of the Commonwealth Coat of Arms and where otherwise noted all material presented in this document is provided under a Creative Commons Attribution 3.0 Australia (http://creativecommons.org/licenses/by/3.0/au/) licence.
The details of the relevant licence conditions are available on the Creative Commons website (accessible using the links provided) as is the full legal code for the CC BY 3.0 AU licence (http://creativecommons.org/licenses/by/3.0/au/legalcode).
The document must be attributed as the Quality Standards Pilot Provider Preparation Kit.
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Contents
Outline of Document 4
Section 1: Provider Preparation Kit Outline 5
Background 5
The Quality Standards Pilot 5
Provider Preparation Kit 5
Section 2: Understanding the Quality Assurance Framework Principles 6
Processes and Results 6
Quality Assurance 6
Audit Criteria 6
Signposts 6
Core Evidence Questions 6
Principle 1 7
Principle 2 7
Principle 3 8
Principle 4 8
Principle 5 9
Principle 6 9
Principle 7 10
Principle 8 10
Section 3: Self-Audit Checklists 11
Principle 1 12
Principle 2 16
Principle 3 18
Principle 4 20
Principle 5 21
Principle 6 23
Principle 7 25
Principle 8 27
Section 4: Attachments 29
Attachment A – Quality Framework Diagram 29
Attachment B – Acceptable Quality Standards 30
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Quality Standards Provider Preparation Kit
Document Change History
Version / Start Date / Effective Date / End Date / Change and Location1.1 / 1 Jan 2013 / 1 Jan 2013 / 31 Dec 2013 / Initial Publication
Outline of Document
Section 1: Provider Preparation Kit Outline
Background
From 1 July 2015 the current Job Services Australia (JSA) Quality Assurance Framework (QAF), otherwise known as ‘KPI 3’, will be replaced by a simpler, more efficient means of assessing quality services delivered by Providers to Participants and Employers, as well as to the Department of Education, Employment and Workplace Relations (DEEWR). A diagram of the new QAF is attached at Attachment A.
The new QAF applies only to JSA at this point in time, however those Providers who deliver both JSA and Disability Employment Services will be required to adhere to the new QAF for their JSA business.
The Quality Standards Pilot
The purpose of the Quality Standards Pilot (the Pilot) is for Providers and DEEWR to work together to finalise the details of the new QAF, including the QAF Principles (thePrinciples). The Principles, which form the basis of the QAF, are outlined in the Quality Standards Pilot Instructions.
The Pilot, will also allow Providers to test how the Principles apply to their individual business models and give them the opportunity to be involved in refining the QAF, while working towards gaining certification against an acceptable Quality Standard (Attachment B) during a period where penalties will not apply for failure to achieve certification.
Provider Preparation Kit
The Provider Preparation Kit (the Kit) has been created to assist Providers comply with the requirements of the QAF, including preparing for certification against an acceptable Quality Standard. The Kit includes advice on understanding the Principles and a number of self-audit checklists, aligned with each of the Principles and Key Performance Measures.
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Section 2: Understanding the Quality Assurance Framework Principles
The Principles will be supported by DEEWR’s QAF Principles Evidence Guide (the Evidence Guide), included in the Quality Standards Activity 2 Instructions. The Evidence Guide sets out the evidence requirements and the minimum information required to demonstrate conformance for each Principle.
Audits under the QAF will be an evidentiary process. A Provider needs to demonstrate, and an auditor needs to sight or observe, through sufficient evidence the Provider’s conformance with each Principle. Evidence that is taken into consideration needs to be relevant and reasonable for a critical assessment.
This means that auditors need to have enough information or evidence to be able to make a decision about whether or not a Provider has conformed with the requirements of each of the Principles, and by extension the Quality Standard they have chosen to obtain certification against.
Providers should consider the integrity, availability, accessibility and relevance of evidence when presenting it to auditors for consideration.
Processes and Results
DEEWR does not consider the existence of processes to be sufficient to demonstrate conformance with any of the Principles. Providers are required to not only show they have processes in place, but that they are followed consistently and produce quality results that comply with the requirements of the Principle, Deed, Legislation and relevant Guidelines.
When reviewing evidence, auditors will be looking at both the processes and results to determine conformance with each Principle.
Quality Assurance
An effective Quality Assurance strategy will be key to a Provider’s success in achieving the requirements of the QAF. Through Quality Assurance activities, a Provider should be able to identify when a defined process is either not being implemented effectively or is not producing the required results. This can be as a result of a misunderstanding of the process, or through the process simply not having the potential to produce quality results.
Audit Criteria
Audit criteria will address the Key Performance Measures (KPMs) that relate to each of the Principles. As noted in the Evidence Guide, this comprises a set of sign posts and core evidence questions that broadly indicate the topics that the auditor might consider, as well as examples of the types of evidence that may be used to demonstrate conformance.
Signposts
Signposts indicate the topics an auditor might consider under any Principle. In broad terms, the signposts are designed to cover evidence that may be relevant to consider for each Principle.
Core Evidence Questions
Each Principle contains a number of evidence questions that auditors are expected to focus on – evidence to determine whether a Provider is meeting a particular requirement of each Principle.
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Principle 1
Principle 1: Satisfaction with services and provision of individualised and tailored services /Has in place strategies for monitoring and measuring Participant satisfaction. The monitoring of this satisfaction will inform continuous improvement in service delivery to Participants and Employers.
Has in place mechanisms and strategies to ensure that each Participant and Employer receives a service that is designed to meet their individual needs and, where appropriate, personal goals. These needs and goals are then used as the basis for service provision with the Provider undertaking a process of planning, implementation, review and adjustment to facilitate the achievement of these goals.
Key Performance Measures:
1. There are specific strategies for servicing each of the Participant cohort groups.
2. Strategies developed by the Provider ensure all Participants receive an individualised, tailored service to address individual barriers to employment.
3. There are individual Employment Pathway Plans (EPPs) established for each Participant which identify their individual barriers and strategies designed to address those barriers.
4. There are robust and transparent complaint/feedback mechanisms to be adhered to by all staff who deal with Participants.
5. There is regular monitoring of provision of services to ensure continuous improvement across the organisation.
What does this mean?
This Principle focuses on the key role of the employment services industry, that is to provide quality individualised employment services to Participants, designed to address their individual needs and circumstances to re-enter the workforce. When considering this Principle, Providers need to balance the requirements of the Deed, Legislation and Guidelines with the needs and barriers of the Participant.
Principle 2
Principle 2: Effective corporate governance arrangements, including management systems /Strong governance, operational effectiveness and efficiency through corporate arrangements and management systems, practices that optimise outcomes for themselves, Participants and Employers. This includes a supportive organisational culture and effective financial controls and communication mechanisms.
Key Performance Measures
1. Governance and management systems used by the organisation ensure and support compliance with Legislation, the Deed and Guidelines.
2. Governance and management systems support DEEWR and community expectations for probity, accountability and transparency in the organisation.
3. Governance and management systems support staff in carrying out their roles and responsibilities.
What does this mean?
This Principle aims to ensure that Providers have arrangements in place that support the health and productivity of their organisation. This is achieved through governance arrangements and financial management and ensuring systems in place for continuity of services.
Principle 3
Principle 3: High level of leadership /Strong leadership that establishes organisational direction and purpose and supports a positive organisational reputation.
Key Performance Measures:
1. All employees have a shared vision of the organisation’s directions and decisions.
2. There are clear lines of decision making and authority through management rules.
3. Organisation’s Code of Conduct is clearly identified, followed and enforced.
4. There is good staff awareness of probity and accountability issues.
What does this mean?
Like Principle 2, Principle 3 focuses on the health of the Provider’s organisation, but also with a strong focus on the culture and conduct of the organisation. This Principle is designed to emphasise the importance of a strong organisational culture, based on probity, accountability and leadership.
Principle 4
Principle 4: Effective planning strategies /Effective planning mechanisms that support continuous improvement across the organisation including people and performance management and financial capability, including fraud prevention.
Key Performance Measures:
1. There are well-defined and documented strategic and operational planning and performance reporting processes, which facilitate quality management and continuous improvement.
What does this mean?
Principle 4 identifies the need for effective planning to be in place to drive quality management and continuous improvement. This includes fraud prevention, risk management and financial capability. Some key aspects of this Principle include having appropriate processes and procedures in place to manage the submission of claims to DEEWR and strategic and operational planning mechanisms.
Quality Standards Pilot Provider Preparation Kit Effective Date: 1 January 2013 – 31 December 2013 2
Principle 5
Principle 5: A supportive working environment that values the development of its people through staffing and organisational development plans /Each person employed to deliver services by the Provider has the relevant skills and competency. Plans and mechanisms are in place to identify these skills and competencies, and to ensure that these skills are maintained and enhanced through training and skills development. This also includes Indigenous and Disability Employment strategies.
Key Performance Measures:
1. There is a structured approach to developing staff and how they foster continuous improvement of the organisation.
2. Staff have a supportive working environment where individual skills and competencies are identified and developed to better align with organisational goals and practices.
3. Staff are offered opportunities to develop and maintain their skills and competencies through training and skills development.
4. Organisation has an effective performance management system in place.
What does this mean?
Principle 5 focuses on the staff of the Provider’s organisation, acknowledging that the employment services industry can be difficult to work in and that quality services often begin with quality staff. This Principle incorporates all elements of staff management, including their contribution to continuous improvement and the necessity of training and skills development.
Principle 6
Principle 6: An effective set of measurement tools across all areas of operations /Adopts quality management systems and practices that optimise outcomes for Participants and Employers. This also includes mechanisms to ensure that practices adopted by the Provider result in quality, robust services that adhere to the principles of privacy and confidentiality and support better practice.
Key Performance Measures:
1. All organisation procedures and practices support delivery of robust services that comply with the Deed and Guidelines.
2. All staff understand procedures and practices that ensure compliance with the Deed and Guidelines and the importance of compliance with these.
3. There are Quality Assurance and Review procedures to verify that organisational procedures and practices result in compliance with Deed and support better practice.
4. Staff practices comply with Privacy and other relevant Legislation.
What does this mean?
Principle 6 aims to ensure that services delivered by a Provider comply with the Deed, Legislation and Guidelines, and that the processes and procedures developed to ensure this compliance are subject to ongoing Quality Assurance and continuous improvement. In particular, this Principle looks at how the Provider ensures compliance with the Deed, Legislation and Guidelines, the management of information and the Quality Assurance and Review procedures employed by the Provider.
Principle 7
Principle 7: Effective arrangements for communicating with clients, including facilitating resolution of client complaints /Employs systems and technologies that allow for communication with all Participants and Employers, including access to interpreters and/or disability assistance services. In addition, Participants and Employers are encouraged to raise, and have resolved without fear of retribution, any complaints or disputes he or she may have regarding the Provider or the service.
Key Performance Measures:
1. There are mechanisms to facilitate communication with Participants and Employers.
2. Cohort specific communication strategies are developed and implemented, including the use of interpreters and disability access services.
3. Organisation’s policies and procedures support the raising of complaints, with no fear of retribution, and facilitates complaints resolution.
What does this mean?