process to demonstrate its adherence to the Quality Principles as part of its QAF Certification. The Quality Principles have been designed to cover the minimum requirements for delivering quality Employment Services and promote a strong focus on continual improvement. The audit criteria of the Quality Principles are made up of and . The audit criteria are supported by . The detailed list of KPMs, Practice Requirements and Minimum Evidence Requirements is in . Providers are required to demonstrate conformance with Quality Principles 1-3 only during Certification or recertification Audits unless otherwise directed by the Department. Quality Principle 1—Governance This Principle relates to governing effectively and ensuring efficiency through corporate arrangements and management systems. These systems support practices that optimise outcomes for the Provider and its client groups, including appropriate planning strategies that support and improve organisational effectiveness. Quality Principle 2—Leadership This Principle relates to effective leadership that establishes a Provider’s direction and purpose and supports a positive organisational culture and reputation. Quality Principle 3—Staff This Principle relates to each employee having the relevant skills and competency to successfully undertake their role. Plans and mechanisms should be in place to identify these skills and competencies and to ensure that they are maintained and enhanced through training and development. Quality Principles 4-7 relate to Deed specific requirements and are required to be addressed and reported on during all Quality Principles Audits unless otherwise advised by the Department. Quality Principle 4—Participants This Principle relates to a Provider having processes in place to ensure that each Participant receives a service tailored to meet their individual needs and personal goals. The Provider should undertake a process of planning, implementation, review and adjustment to facilitate the achievement of these goals, in line with program eligibility. Quality Principle 5—Labour market, Employers and community This Principle relates to the Provider and its staff having a clear understanding of the local labour markets in which it operates. The Provider should engage effectively with Employers, complementary service Providers and other stakeholders that assist Participants to achieve their goals. Quality Principle 6—Operational effectiveness This Principle relates to the organisation adopting operational systems of good quality that ensure effective service delivery. Quality Principle 7—Continual improvement This Principle relates to the Provider having a systematic approach to improving all aspects of its operations. should be an effective internal audit function that identifies and promotes opportunities for improvement. Key Performance Measures Each Quality Principle has been divided into a set of Key Performance Measures (KPMs) as described in . The KPMs set out the evidentiary elements underpinning the Quality Principles and provide the by which Providers can demonstrate conformance to the Quality Principles.
Principle 4 - Participants Key Performance Measure Practice Requirement Minimum Evidence Requirements Quality Performance Measures for Surveillance Audit scope reduction 4.1 The Provider has strategies in place that result in effective engagement with Stream Participants. 4.1.1. The Provider has a communication policy in place to engage with Stream Participants. The Provider’s communication policies and processes include: a variety of communication methods, and the frequency of contact between the Provider and Stream Participants, that is line with the Service Guarantee and Service Delivery Plans. No measures. This KPM will be retained as a minimum requirement for all Providers. 4.1.2. The Provider regularly reviews its caseload to ensure Stream Participant engagement. The Provider has processes in place to conduct regular caseload monitoring across all sites and address emerging issues. These processes support the consistent review of caseloads to ensure: timely activation of Stream Participants from date of referral, the timely commencement and ongoing participation of Stream Participants into Work for the Dole and other relevant activities, and prompt re-engagement of Stream Participants following Suspension and exemption periods or who fall out of employment. The Provider has a process in to maintain engagement with Stream Participants to ensure they remain in Employment for the length of the payment period. 4.2 Employment Services are delivered to Stream Participants, assisting them to become work and gain sustainable Employment, in line with individual program eligibility and the Provider’s service delivery model. 4.2.1. The Provider delivers services in line with the Service Guarantee, its Service Delivery Plans and the Joint Charter of Deed Management (Joint Charter). The Provider has policies and processes that reflect the servicing strategies outlined in the Service Guarantee and its Service Delivery Plans. Staff can describe the obligations outlined in the Service Guarantee and its Service Delivery Plans and correctly apply them to individual Stream Participants. 80 per cent of commitments measured by the Department during the monitoring period (two years or contract to date, whichever is less) are assessed as ‘Met’. NOTE: commitments assessed as partially met will not count as ‘Met’.
4.3 Job set out an individualised action plan for each Stream Participant. 4.3.1. Plans are tailored to the Stream Participant. They contain activities that will satisfy the Stream Participant’s Mutual Obligation Requirements (where relevant) and assist them to become work ready and gain sustainable Employment. All Stream Participants have an individualised and up-to-date Job Plan, which has been signed and agreed to by the Stream Participant and recorded on the Department’s IT Systems. There is evidence of regular review and modification in accordance with internal processes. The Job Plan contains: the number of job searches that must be undertaken by the Stream Participant each month, current, time-specific activities for the Stream Participant to complete, activities focused on securing and maintaining Employment, and hours of participation that do not exceed the Stream Participant’s Mutual Obligation Requirements. The Provider has a systematic approach to ensuring that Stream Participants fulfil the requirements of their individual Job Plans, including: ensuring that Stream Participants apply for and accept suitable roles, and ensuring that Stream Participant mutual obligations are being met. Less than five per cent rejection rate for the reason ‘Procedural Error’ for Participation Reports over the monitoring period (12 months preceding the Audit Plan request). and Less than five per cent rejection rate for the reason ‘Procedural Error’ for Provider Appointment Reports over the monitoring period (12 months preceding the Audit Plan request). and 95 per cent of job seekers (who are expected to be looking for work under policy settings) have job search requirements included in their job plan.
6.2.2. The Provider has arrangements in place to promote their privacy and confidentiality policies to Stream Participants and Employers. The Provider has in place processes to ensure Stream Participants are informed of how their personal information may be used. This must incorporate: relevant information about protecting Stream Participants’ privacy and the handling of confidential issues is shared with Stream Participants at their first interview with the Provider, and where relevant, additional considerations for managing issues of privacy, where these are required by local communities. The Provider can demonstrate that they inform Employers about how their disclosed information is managed. 6.2.3 The Provider has policies and processes in place to ensure that Work Health and Safety requirements are handled in a manner consistent with relevant legislation. The Provider has policies and processes in to comply with all relevant work health and safety legislation, including reporting of Notifiable Incidents. There are polices in place to ensure changes to Work Health and Safety legislation generate a review of the Provider’s processes. 6.3 Claiming processes used by the Provider are systematic and ensure claiming practices align with the Deed and Guideline. 6.3.1. The Provider ensures reimbursement and claiming policies and processes are in place and align with the Deed and Guideline. The Provider’s claiming policies and processes: support compliance with the Guideline, including the Documentary Evidence Guideline, specify the internal and external (where required) approval processes for expenditure, reimbursements and claims, and clearly identify accountability and delegation arrangements. At an organisation level the Compliance Indicator result was 83 or more (based on the data available to providers as at the time the Audit Plan is requested). 6.3.2. The Provider ensures that reimbursements and claims policies and processes are systematically applied by the Provider. The Provider can demonstrate that the policies and processes for reimbursements and claims are systematically applied including that when submitting reimbursements and claims to the Department, the staff responsible: process reimbursements and claims in accordance with the Provider’s processes, and ensure the application of the Deed and Guideline.