Human Services Quality Framework Standards Comparison Report – ISO 9001:2008 Mapped to Human Services Quality Standards

Version 1.1, November 2016

Standards Comparison Report – ISO 9001:2008 2

Table of Contents

SECTION 1 – INTRODUCTION ................................................................................................................................................. 3

1.1 Background ................................................................................................................................................................... 4

1.2 Summary of findings ..................................................................................................................................................... 4

SECTION 2 – STANDARDS COMPARISON LEVEL ...................................................................................................................... 7

SECTION 3 INDICATOR LEVEL COMPARISON .......................................................................................................................... 8

3.1 Standard 1: Governance and Management .................................................................................................................. 8

3.2 Standard 2: Service Access ............................................................................................................................................ 9

3.3 Standard 3: Responding to Individual Need .................................................................................................................. 9

3.4 Standard 4: Safety, Wellbeing, and Rights .................................................................................................................. 10

3.5 Standard 5: Feedback, Complaints, and Appeals ........................................................................................................ 11

3.6 Standard 6: Human Resources .................................................................................................................................... 12

Standards Comparison Report – ISO 9001:2008 3

SECTION 1 – INTRODUCTION The purpose of this document is to compare ISO 9001:2008 against the Human Services Quality Standards (HSQS) and indicators and to identify gaps and areas of alignment. The HSQS are core feature of the Department of Communities, Child Safety and Disability Services’ quality assurance system known as the Human Services Quality Framework (HSQF).

The Human Services Quality Framework (HSQF) is a system for assessing and improving the quality of human services and promoting quality

outcomes for people who access these services.

The HSQF applies to:

organisations delivering services funded under a service agreement with the Department of Communities, Child Safety and Disability

Services (the department)

providers of child protection placement services in-scope of licensing funded through Child Related Costs Placement and Support (CRC

PAS)

disability services delivered directly by the department

providers registered to deliver disability services (as prescribed in the Disability Services Regulation 2006) in Queensland for the

National Disability Insurance Scheme (NDIS).

As part of the implementation and operation of the HSQF, the department has undertaken three mapping projects of selected standards

against the Human Services Quality Standards to identify areas of alignment. The results of this mapping are available in the three companion

documents listed below, available from the department’s website at: www.communities.qld.gov.au/hsqf:

HSQF Standards Comparison Report A (Version 4.1, November 2016)

HSQF Standards Comparison Report B (Version 1, November 2016)

Standards Comparison Report ISO 9001 and HSQF (Version 1.1, November 2016).

Standards Comparison Report – ISO 9001:2008 4

1.1 Background

Quality Management System (QMS) requirements specified in ISO 9001 are complementary to requirements for a service (product). ISO 9001 is a framework standard on which to build other regulatory and statutory requirements, such as the HSQS. An important part of ISO 9001 is the Scope which specifies requirements for a QMS where a service provider needs to demonstrate its ability to consistently provide a service that meets customer and applicable statutory and regulatory requirements, and to ensure that these requirements are met through effective application of the system and continuous improvement practices aiming to enhance customer satisfaction. In the context of this mapping, while ISO 9001 requires an organisation to determine statutory and regulatory requirements (such as the evidence requirements outlined in the HSQF User Guide– Certification), this element of ISO 9001 has not been referenced against every HSQS indicator. Applicable clauses of ISO 9001 have only been referenced where specific statutory or safeguards requirements may apply. This mapping was completed by Engels Floyd & Associates for the Department of Communities, Child Safety and Disability Services.

1.2 Summary of findings

The mapping identified a number of gaps that need to be addressed to ensure alignment with HSQF requirements. These are outlined in Table 1 below. Table 1

Standard Indicator Details of gaps to be addressed to meet HSQF requirements

Standard 1

1.1 The organisation must demonstrate that they have accountable and transparent governance arrangements.

1.2 The organisation must ensure that members of the governing body possess and maintain the knowledge, skills and experience required to fulfil their roles.

1.3 The organisation must develop and implement a vision, purpose statement, values, objectives and strategies for service delivery that reflect contemporary practice

1.4 The organisation’s management systems must be clearly defined, documented and monitored and (where appropriate) communicated including finance, assets and risk

Standards Comparison Report – ISO 9001:2008 5

1.6 The organization must ensure it encourages and promotes processes for participation by people using services and other relevant stakeholders in governance and management processes

1.7 The organisation must have effective information management systems that maintain appropriate controls of privacy and confidentiality for stakeholders

Standard 2

2.1 Where the organisation has responsibility for eligibility, entry and exit processes, these must be consistently applied based on relative need, available resources and the purpose of the service.

2.2

The organization must have processes to communicate, interact effectively and respond to the individual’s decision to access and/or exit services

2.3 Where an organisation is unable to provide services to a person, due to ineligibility or lack of capacity, processes must be in place to refer the person to an appropriate alternative service

Standard 3

3.1 The organisation must use flexible and inclusive methods to identify the individual strengths, needs, goals and aspirations of people using services.

3.2 The organisation must formulate service delivery that respects and values the individual (e.g. identity, gender, sexuality, culture, age and religious beliefs).

3.4 The organisation must have partnerships and collaborations to enable it to effectively work with community support networks, other organisations and government agencies as relevant and appropriate.

3.5 The organisation must have a range of strategies to ensure communication and decision-making by the individual is respected and reflected in goals set by the person using services and in plans to achieve service delivery outcomes.

Standard 4

4.1 The organisation must provide services in a manner that upholds people’s human and legal rights.

4.2 The organisation must proactively prevent, identify and respond to risks to the safety and well being of people using services.

4.3 The organisation must have processes for reporting and responding to potential or actual harm, abuse and/or neglect that may occur for people using services.

4.4 People using services must be enabled to access appropriate supports and advocacy.

Standards Comparison Report – ISO 9001:2008 6

4.5 The organisation must have processes that demonstrate the right of the individual to participate and make choices about the services received

Standard 5

5.1 The organisation must have fair, accessible and accountable feedback, complaints and appeals processes.

5.3 People using services and other relevant stakeholders must be informed of, and enabled to access any external avenues or appropriate supports for feedback, complaints or appeals and assisted to understand how they access them.

Standard 6

6.1 The organisation must have human resource management systems that are consistent with regulatory requirements, industrial relations legislation, workplace health and safety legislation and relevant agreements or awards.

6.4 The organisation must provide ongoing support, supervision, feedback and fair disciplinary processes for people working in the organisation.

6.5 The organisation must ensure that people working in the organization have access to fair and effective systems for dealing with grievances and disputes

Standards Comparison Report – ISO 9001:2008 7

SECTION 2 – STANDARDS COMPARISON LEVEL

Number Human Services Quality Standards ISO 9001:2008 clauses

1 Governance and management 4 Quality management system

5 Management responsibility

7 Product realization

8 Measurement, analysis and improvement

2 Service access 5 Management responsibility

7 Product realization

3 Responding to individual need 5 Management responsibility

7 Product realization

8 Measurement, analysis and improvement

4 Safety, wellbeing, and choice 5 Management responsibility

7 Product realization

5 Feedback, complaints and appeals 5 Management responsibility

7 Product realization

8 Measurement, analysis and improvement

6 Human resources 4 Quality management system

5 Management responsibility

6 Resource management

7 Product realization

Standards Comparison Report – ISO 9001:2008 8

SECTION 3 INDICATOR LEVEL COMPARISON

3.1 Standard 1: Governance and Management

Human Services Quality Standards

Indicator

ISO 9001: 2008

Clause no.

Fully mapped

Partial map

Not mapped

Comments

1.1 5.1(a), 7.2.1(c) ISO 9001 does not specifically cover governance arrangements

1.2 ISO 9001 is a management systems standard and does not cover governance arrangements in relation to resources (personnel)

1.3 ISO 9001 is not specific to mission, values or objectives of organisation

1.4 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.5.2, 5.5.3, 8.1,8.2.2, 8.2.3, 8.4

No specific reference in ISO 9001 to finance or risk

1.5 5.1, 5.3, 5.4.2, 5.6.1, 5.6.2, 5.6.3 8.1, 8.2.2, 8.2.3, 8.4, 8.5.1, 8.5.2, 8.5.3,

1.6 8.2.1 ISO 9001 does not determine product/customer requirements, such as stakeholder participation processes in governance

1.7 5.1(a), 7.2.1(c) Determining the applicable legislation is captured under ISO 9001, however it does not specifically address privacy and confidentiality.

Standards Comparison Report – ISO 9001:2008 9

3.2 Standard 2: Service Access

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

2.1 5.1 (e), 7.2.1 ISO 9001 does not determine product / customer requirements, and is not specific to meeting needs of service delivery and eligibility processes

2.2 7.1 (b), 7.2.3 ISO 9001 does not determine product / customer requirements, such as entry/exit procedures

2.3 7.1 (b) 7.2.1 (a), 7.2.2 ISO 9001 refers to commitment to supply a service and review ability to deliver a service, however does not extend to referral

3.3 Standard 3: Responding to Individual Need

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

3.1 5.2, 7.1, 7.2.1 ISO 9001 does not determine product / customer requirements, such as service delivery, identifying needs and goals of service users (customer)

3.2 5.2, 7.1, 7.2.1 ISO 9001 does not determine product / customer requirements, such as service delivery accounting for individual values of customer (gender/sexuality/culture)

Standards Comparison Report – ISO 9001:2008 10

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

3.3 7.1, 7.2, 8.1 (a), 8.2.1, 8.2.2, 8.2.4

3.4 7.2.3 Other organisations / governments can be ‘customers’, however, ISO 9001 does not drill down customer / product (service) requirements such as partnerships with community, building networks etc.

3.5 5.2, 7.2.3 ISO 9001 does not determine product / customer requirements, such as respecting individual’s goals which should be reflected in service plans

3.4 Standard 4: Safety, Wellbeing, and Rights

Human Services Quality Standards

Indicator

ISO 9001:2008

Clause no.

Fully mapped

Partial map

Not mapped

Comments

4.1 5.1 (a), 7.2.1

ISO 9001 requires identification of statutory requirements, but is not specific to human or legal rights

4.2 5.1 (a), 7.2.1 ISO 9001 requires identification of statutory requirements, but is not specific to safety and wellbeing of customers

4.3 5.1 (a), 7.2.1 ISO 9001 requires identification of statutory requirements, but is not specific to abuse and

Standards Comparison Report – ISO 9001:2008 11

Human Services Quality Standards

Indicator

ISO 9001:2008

Clause no.

Fully mapped

Partial map

Not mapped

Comments

neglect

4.4 7.2.1 ISO 9001 does not determine product / customer requirements, such as advocacy

4.5 7.2.1, 7.2.3 ISO 9001 is not specific to demonstrating the right of individuals to participate and make choices about service delivery

3.5 Standard 5: Feedback, Complaints, and Appeals

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

5.1 8.2.1, 8.4, 8.5.2 ISO 9001 does not determine product / customer requirements, such as complaints or appeals processes being fair or accessible

5.2 7.2.3

5.3 7.2.3 ISO 9001 does not determine product / customer requirements, such as ensuring people must be informed and enabled to access external avenues for complaints and feedback and appropriate supports

5.4 5.6.2, 5.6.3, 7.2.3 (c), 8.2.1, 8.4 (a),

Standards Comparison Report – ISO 9001:2008 12

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

8.5.1

3.6 Standard 6: Human Resources

Human Services Quality Standards

Indicator

ISO 9001

Clause no.

Fully mapped

Partial map

Not mapped

Comments

6.1 4.2.1, 5.1 (a), (e) 6.1, 6.2, 6.3, 6.4, 7.2.1 (c and d)

ISO 9001 requires identification of statutory requirements, but is not specific to industrial relations, work health and safety agreements and any other relevant agreements or awards

6.2 6.1, 6.2.1, 6.2.2

6.3 6.2.2

6.4 6.2.2, 6.3, 6.4 ISO 9001 does not determine product / customer requirements, such as disciplinary procedures

6.5 ISO 9001 does not determine product / customer requirements, such as staff grievances and disputes