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Published by Disability Employment Australia
Version: V1.0 Published: June 2014
© Disability Employment Australia 2014
This subject material is issued by Disability Employment Australia on the understanding that:
Disability Employment Australia, its officials, authors, or any other persons or agencies involved in the preparation of this publication expressly disclaims all or any contractual, tortious, or other form of liability to any person (purchaser of this publication or not) in respect of the publication and any consequences arising from its use, including any omission made, by any person in reliance upon the whole or any part of the contents of this publication.
Disability Employment Australia expressly disclaims all and any liability to any person in respect of anything and the consequences of anything done or omitted to be done by any such person in reliance, whether whole or partial, upon the whole or any part of the contents of this subject material.
No person should act on the basis of the material contained in this publication without considering and taking professional advice.
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Table of Contents
Program introduction ...................................................................................................... 5
Welcome ............................................................................................................................... 5
Training program structure .................................................................................................. 5
Learning objectives ............................................................................................................... 6
Topic 1: Understanding compliance ................................................................................. 8
Topic introduction ................................................................................................................ 8
Defining compliance ............................................................................................................. 9
Key principles of compliance .............................................................................................. 10
DSS approach to program assurance ................................................................................. 13
DES provider obligations .................................................................................................... 22
Topic 2: Managing service quality .................................................................................. 39
Topic introduction .............................................................................................................. 39
The foundations of service quality ..................................................................................... 39
Duty of care ........................................................................................................................ 40
Ethical decision making ...................................................................................................... 42
National Standards for Disability Services .......................................................................... 48
Quality documentation ....................................................................................................... 52
Topic 3: Quality documentation practices ...................................................................... 55
Topic introduction .............................................................................................................. 55
The DES program structure and compliance obligations ................................................... 55
Keeping good case notes .................................................................................................... 57
1. Program entry ................................................................................................................. 63
2. Assessment and planning ............................................................................................... 67
3. Job placement ................................................................................................................. 73
4. Post placement support ................................................................................................. 77
5. Ongoing support ............................................................................................................. 82
Topic 4: Monitoring and continuous improvement of program delivery ......................... 93
Topic introduction .............................................................................................................. 93
Monitoring and evaluating compliance.............................................................................. 93
Continuous improvement ................................................................................................... 98
Appendixes ................................................................................................................. 102
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Appendix 1: Employment Services Code of Conduct ....................................................... 103
Appendix 2: Sanctions Framework – Attachment B: Guide to possible sanction action . 105
Appendix 3: DES Client Information Page ........................................................................ 106
Appendix 4: DES Outcome Determination Table ............................................................. 108
Appendix 5: Example of file note audit template ............................................................ 111
Appendix 6: Performance Improvement Plan template .................................................. 113
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Program introduction
Welcome
Welcome to the DES Contractual Compliance Training Program. This training program has been developed by Disability Employment Australia (DEA) to provide DES employment practitioners, particularly frontline managers, with the skills and knowledge to effectively comply with the DES provider contract requirements (DES Deed).
This workbook can be kept as a guide to assist you in understanding foundational compliance requirements and to refer to and take notes during the training program.
Aims and objectives
The aim of this training program is to provide support to DES providers to ensure that frontline management staff understand the legal and ethical imperatives relating to accountability of government funding. This entails:
• Building capability to understand the legal nature of the DES Deed and the contractual obligations of DES providers
• Understanding the transactional element of the Department of Social Services and Disability Employment Services provider relationship and documentary evidence for key employment services milestones
• Understanding the importance of the frontline manager role in terms of DES provider compliance with the DES Deed
• Utilising support mechanisms, tools and techniques to assist in effectively complying with the DES Deed.
Training program structure
This DES Contractual Compliance Training Program is a 1-day facilitator-led workshop. Training program learning will take the form of group work, individual activities and facilitator-led questioning and discussions.
The DES Contractual Compliance Training Program consists of four topics. A brief overview of each of these topics is provided below.
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Topic 1: Understanding compliance
This topic examines the key concepts of compliance and outlines the Department of Social Services' approach to DES program assurance. It also provides an overview of the core provider obligations to DSS.
Topic 2: Managing service quality
The second topic of this training program explores the foundations of service quality: duty of care, ethical decision making, the National Standards for Disability Services and quality documentation.
Topic 3: Quality documentation practices
Topic 3 examines in detail the principles and practices of quality documentation underpinning the provision of Disability Employment Services – from program entry through to providing ongoing support.
Topic 4: Monitoring and continuous improvement of program delivery
The final topic considers the practical aspects of monitoring compliance and facilitating continuous improvement of program delivery. It considers the compliance monitoring and improvement process and provides strategies to assist monitoring, evaluation and continuous improvement.
IMPORTANT NOTE
Many documents referred to and used as resources in this training program refer to the Department of Education, Employment and Workplace Relations (DEEWR). Please note that the government regulatory responsibility for Disability Employment Services programs now rests with the Department of Social Services (DSS) and many of these documents are now in the process of being reviewed and updated to reflect this regulatory change.
Learning objectives
When you have completed the DES Contractual Compliance Training Program you will be able to demonstrate:
1. The key legislative and contractual compliance requirements associated with the provision of disability employment services
2. The relevance of key contractual requirements to your own role and responsibilities, and those of your organisation
3. How to ensure compliance with the DES Deed and guidelines via a range of appropriate methods
4. How to adjust plans, processes and procedures to improve performance against key contractual requirements
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Activity: Your objectives
What are the key areas you would like to address as part of this training?
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What are the key compliance skills you would like to improve as a result of this training?
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Topic 1: Understanding compliance
Topic introduction
This topic examines the key concepts of compliance and outlines the Department of Social Services' approach to DES program assurance as well as providing an overview of the core DES provider obligations to DSS.
The key to ensuring compliance with your organisation's DES Deed and the deed guidelines is to understand exactly what compliance is and the key concepts and obligations that underpin it.
First, before diving into the topic of compliance it's worth reflecting on what compliance issues and challenges you face in your role as a DES practitioner. During the course of the workshop you can refer back to these issues and challenges and develop some strategies to help you address them.
Activity: Compliance challenges
What are the compliance issues and challenges that you face in your role as a DES practitioner?
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Defining compliance
The Oxford English Dictionary defines ‘compliance’ as:
“action in accordance with request, command”
What does ‘compliance’ mean in relation to the DES sector? What are the compliance requirements that a DES provider and its staff members must abide by?
All Disability Employment Service providers are legally required to meet the contractual obligations of their DES Deed and the deed guidelines. Section 72.1 of the DES Deed sets out what ‘compliance’ entails for DES providers:
The Provider must, in carrying out its obligations under this Deed, comply with:
(a) all relevant statutes, regulations, by-laws and requirements of any Commonwealth, state, territory or local authority, including relevant work, health and safety and industrial relations legislation and any legislation relating to the licensing of employment agents; and
(b) any Commonwealth policies Notified by DEEWR to the Provider in writing, referred to or made available by DEEWR to the Provider (including by reference to an internet site), including any listed in this Deed.
Importantly, Section 2B of the DES Deed also requires providers to carry out the DES program services efficiently, effectively and ethically.
In practical terms this means that DES providers and their staff are required to comply with the DES Deed and all of the deed guidelines in delivering program services, for example:
• Contacts Guidelines • Direct Registration Guidelines • Documentary Evidence for Claims for Payment Guidelines • Job Placement and Job Placement Fee Guidelines • Ongoing Support Fee Guidelines • Ongoing Support Guidelines • Outcome Guidelines • Referral and Commencement Guidelines • Service Fee Guidelines
There are also other important compliance documents that DES providers are required comply with. These include:
• The National Standards for Disability Services • Employment Services Code of Practice • Service Guarantee
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Each of the above documents will be discussed in this training program in relation to key contractual compliance requirements.
Activity: What does 'compliance' mean to you?
Thinking about your day-to-day work as a DES practitioner, what does 'compliance' mean to you? How would you personally define it?
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Key principles of compliance
The fundamental principles that underpin DES compliance are:
Figure 1: Principles of DES compliance
Value for Money Accountability Transparency
Efficiency Effectiveness Ethics
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The Employment Services Charter of Contract Management states that the government has a responsibility to ensure that taxpayer funds are spent efficiently, effectively and ethically. The Department of Social Services, the government department that oversees the DES sector, bears this responsibility and it strives to:
"strike the right balance between its need to be accountable for taxpayers funds, and the need to ensure that providers can work flexibly and innovatively with job seekers."
The Commonwealth Procurement Policy Framework, which includes Commonwealth Procurement Guidelines and Rules, outlines the requirements to develop robust and transparent procurements arrangements for delivery of programs on behalf of the government.
The core principles that underpin the provision of Disability Employment Services are:
Value for money
Value for money is a comparative analysis of all relevant costs and benefits of each proposal throughout the whole procurement process.
Effectiveness
How well the services are achieving the intended program outcomes, having regard to price, quality and quantity. Contract monitoring is required to assess effectiveness.
Efficiency
The extent to which the resources are being used productively to achieve the maximum value for the resources.
Ethical behaviour
Ethics are the moral boundaries or values within which we work. Ethical behaviour encompasses concepts of honesty, integrity, probity, diligence, fairness, trust, respect and consistency. Ethical behaviour identifies and avoids conflicts of interests, and does not make improper use of an individual’s position.
A procurement conducted in an ethical manner will enable purchasers and suppliers to deal with each other with mutual trust and respect.
Transparency and accountability
...robust and transparent procurement arrangements for the delivery of goods and services on behalf of the government... instil confidence in the Australian public that the government is spending public funds in an efficient, effective and ethical manner.
The whole process of procurement including contract management needs to be transparent and open to scrutiny. Documentation is critical to accountability and
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transparency of the whole procurement process. In relation to managing the relationship and the contract, the Department is responsible for ensuring that adequate and appropriate documentation is kept in relation to:
• Contract management plan • Performance indicators • Milestones • Performance reports • Correspondence between the parties • Variations of contract • Decisions regarding variation • Evaluations of services, and • Payments information.
Group activity: How the principles of compliance impact on your work
Working in groups, discuss and agree on what each of the core principles underpinning compliance means in terms of your organisation meeting its compliance obligations:
Principle / concept What this means in terms of DES compliance…
Value for money
Effectiveness
Efficiency
Ethical behaviour
Transparency
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Principle / concept What this means in terms of DES compliance…
Accountability
DSS approach to program assurance
The Department of Social Services’ approach to assuring the integrity of disability employment services is set out in:
a) the Employment Services Compliance and Assurance Framework – which outlines the way in which the Department will work with employers to ensure integrity of employment services
b) The Employment Services Charter of Contract Management – which sets out the minimum standards of performance and conduct that DES providers can expect from the Department
Employment Services Compliance and Assurance Framework
The four strategies employed by DSS to provide assurance for DES programs are:
Figure 2: DSS strategies to provide assurance for DES programs
Prevention • Making it easier
for providers to comply
Deterrence • Making clearer
the risks and penalties of non-compliance
Detection • Maintaining
robus processes to identify non-compliance
Correction • Acting on
detected non-compliance
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In terms of providing flexible, individualised employment services, the DSS recognises that the management of DES activities needs a balance between flexibility and accountability, while at the same time minimising the administrative burden on DES providers.
The risk based framework and mechanisms used by DSS to gain assurance that program objectives and requirements of the DES deed and guidelines are being met by providers include:
• Employment Services IT System (ES IT System) which provide operational and management data
• Contract management conducted by DSS account managers and contract managers, including site visits
• Program evaluation • Stakeholder and client surveys • Targeted program assurance activities • Complaints and feedback from users of services.
Prevention
The DSS seeks to ensure that DES providers clearly understand:
• their requirements and obligations under the Deed and the accompanying guidelines • the standards of behaviour expected of them • how to use ES IT System to aid compliance.
DSS works with DES providers to raise awareness of correct procedures and appropriate evidence, identify and remedy areas of deficiency, provide supporting information, improve the ES IT System, and provide additional tools to aid compliance.
Providers are expected to take responsibility for ensuring that they comply with the Deed and guidelines and the Department encourages self-auditing.
Deterrence
Strategies used by the DSS to deter non-compliance include:
• clearly communicating the ways in which providers will be monitored • publicising the DSS’s compliance program assurance activities • making providers aware of the range of sanctions that can be applied, and • publicising the results of program assurance reviews.
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Detection
Detection strategies used by the DSS are designed to identify practices that impact on the integrity of employment programs. Risk are identified / detected through:
• Desktop data analysis, data mining and actuarial modelling • On-line verification with Centrelink data • Complaints and feedback received from participants and/or DES provider staff • Industry intelligence • Information sourced by account managers and contract managers, including from
site visits.
As part of DSS’s prevention and detection strategies DSS may also make direct contact with employers, participants and other relevant parties to verify evidence provided by the DES provider.
Each provider is assigned a risk level (which is periodically reviewed) – the compliance model below includes the risk level continuum which is applied to providers:
Figure 3: Employment services compliance model (Source: Employment Services Compliance and Assurance Framework v1.0, p. 5)
This risk differentiation approach will determine the frequency and intensity of scrutiny which is applied to each provider and/or site. All DES providers are scanned using a variety of ‘risk filters’ to detect matters of concern.
Attitude to Compliance Compliance Strategy Risk Differentiation
Help to comply, lesser degree of sanctions
Actively exploits ambiguity / loopholes
Try to comply but don’t always succeed
Willing to do the right thing
Use full force of sanctions
Deter by detection, moderate degree of sanctions
Wilful non-compliance or performance manipulation
Make it easy to comply, minimal or no sanctions
HIGH
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ISK
Regu
lar m
onito
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& re
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LOW
ER R
ISK
Perio
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itorin
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Group activity: What attracts DSS’s attention?
What types of things are likely to attract DSS’s attention in terms of detecting non-compliance?
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Correction
Where non-compliance has been found, correction strategies used by the DSS may include recovering payments which the provider was not entitled to claim, reduction of the provider’s business share, suspension of referrals, imposing additional conditions of payment of fees, or imposing additional reporting requirements.
The level of sanctions used will depend on the nature and level of non-compliance identified. DSS does not usually apply sanctions other than debt recovery where the provider self-identifies non-compliance.
The Sanctions Framework for the Employment Services Deed and the Disability Employment Services Deed details the application of appropriate sanction actions under the DES Deed and the DSS’s legal rights, once it has been established that a breach of contract has occurred. The sanctions framework:
• Defines what constitutes a ‘breach’ – in simple terms, a breach “occurs when a Provider does not adhere to its contractual obligations under the Deed”
• Establishes how the assessment of the severity (size, scope and impact) of a breach will be determined
• Details how and when extenuating circumstances may be taken into account • Provides a guide to possible sanction actions.
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Sanctions Framework
A ‘Guide to possible sanction action’ (i.e. Attachment B of the Sanctions Framework) is provided as an appendix to this workbook for your reference.
For further information regarding the Sanctions Framework for the Employment Services Deed and the Disability Employment Services Deed you can access the sanctions framework on the ES IT System.
Targeted program assurance activities
Each year the Department sets out a forward schedule of national program assurance activities that they will focus on for the year – these activities are a key part of the Department’s approach to encouraging compliance and dealing with non-compliance. In 2013 the targeted program assurance activities relating to DES program delivery were:
• Non-Payable Outcomes • Job Seeker Classification Instrument application.
In 2014 the Department has identified further areas of risk which may be the focus of targeted assurance activities:
• Direct Registration • Employment Pathway Plans • Ongoing Support • Outcome Fees • Wage subsidies • Exits.
These assurance activities allow DES providers to ensure they have good governance and procedures in place to support the delivery of these services, and that payments are accurate and consistent with the Deed arrangements.
Targeted program assurance activities enable the Department to identify the risk of non-compliance and to detect actual non-compliance. The Department’s compliance activities will be provider specific, looking at claims / activities by an individual provider or a small number of high risk providers.
In terms of DES provider compliance, providers should:
• review their internal policies, procedures and practices relating to these program delivery areas to ensure they fully meet the requirements
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• check that staff understand the policy, procedures and requirements • ensure that workplace practices promote the delivery of quality, individualised
services to participants.
For each program assurance activity the Department will assess provider compliance against the requirements and will then provide feedback to each provider on their performance. Where non-compliance is detected the Department will consider what remedies should apply. DSS will also publish the findings of the review and any learnings from the review.
Activity: Helping ensure compliance
How do you, as a manager, explain the DSS program assurance approach to staff using easily understood terms and concepts that will help ensure compliance?
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The Employment Services Charter of Contract Management
The Charter of Contract Management sets out minimum standards of performance and conduct that providers can expect of the Department of Social Services.
The Charter outlines transparent practices and standards regarding DSS’s dealings with DES providers. The Charter seeks to strike a balance between achieving the goals of the program and creating an environment that fosters and encourages good practices. It endeavours to achieve this by ensuring effective consultation, communication, collaboration and consistency in the Department’s relations with DES providers and by building supportive, positive business partnerships with key stakeholders.
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Underpinning principles
The underpinning principles of the Charter indicate what DES providers can expect in their dealings with the Department. (Note: The Charter has not yet been updated to reflect the shift of responsibilities from DEEWR to DSS.)
Principle Description
Partnering DEEWR commits to a partnering relationship with providers to facilitate the achievement of improved employment outcomes for all Australians, particularly those who are disadvantaged.
Building a strong and vibrant sector
DEEWR recognises and acknowledges the mutual dependence of the department as purchaser of employment services and providers of those services. DEEWR commits to strengthening its relationship with the industry, and to supporting and helping to build a strong and vibrant sector.
Achieving outcomes
The primary focus of DEEWR and providers is on obtaining employment and/or education outcomes for disadvantaged unemployed Australians rather than on process.
Continuous improvement
DEEWR commits to continuously working with the industry to reduce ‘red tape’ and streamline processes.
Supporting innovation
DEEWR acknowledges the independence of employment services providers and the skills, experience and expertise of those who work in the industry and will support innovation, flexibility, creativity and individualised service to assist job seekers.
Working cooperatively
DEEWR commits to working cooperatively with providers to attempt to resolve any disputes, complaints or problems as quickly as possible. In working to resolve any disputes, problems or issues, DEEWR will focus on obtaining a preferred outcome, one which allows both DEEWR and the provider to meet their needs.
Figure 4: Employment Services Charter of Contract Management principles (Source: http://foi.deewr.gov.au/documents/employment-services-charter-contract-management)
The Department demonstrates its commitment to these principles in the following ways:
• Full, open, transparent and consistent communication and feedback with providers • Open consultation with providers over issues that affect their operations • On-going Department staff training and development processes to improve the
consistency of the advice and information that is provided to DES providers • Professional and outcomes focused personal conduct in dealings with providers.
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Further information on the Charter
Further information regarding the Charter of Contract Management is available at http://foi.deewr.gov.au/documents/employment-services-charter-contract-management
Site monitoring by DSS contract managers
Site monitoring of DES providers is conducted by DSS contract managers as part of the informal performance assessments undertaken as part of the Deed requirements (ref. Section 133.4). This involves the DSS contract managers reviewing (at regular intervals during the term of the Deed) the provider’s performance in each Employment Service Area and at each site where the provider delivers program services.
DES providers are required to provide access to premises and records in accordance with Section 44 of the Deed.
This section of the Deed deals with access rights and states that a provider must at all times give any Department employee reasonable access to:
• its premises and sites • its information technology systems • all material, including that relevant to determining the provider’s financial viability;
and compliance with relevant work, health and safety and industrial relations legislation, and its personnel
In practical terms, this requires that the provider must provide reasonable assistance to:
• inspect its sites or premises • inspect the performance of services, and • locate, inspect, copy and remove, all material including data stored on the provider’s
ES IT system, and any other IT systems.
This means the DSS contract managers visit the sites where services are delivered and go through files and check evidence. Recently, group discussions with DES provider staff have been conducted around the most appropriate way to conduct these site visits and check evidence – one of the outcomes of these discussions is that providers have been given an opportunity to present examples of ‘good files’ for the DSS contract manager to review.
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It is therefore essential that the DES provider focuses on making sure it has good, comprehensive files and that information is presented to the contract manager in an orderly and helpful manner. For example, don’t present a ‘good file’ where claim evidence isn’t complete, or all information is simply stored in the section you’ve labelled as “claim evidence”. You can help site visits run much more seamlessly by providing assistance to the contract manager and presenting the information they require in professional, accurate and comprehensive ways. This will assure the contract manager that the provider is not trying to hide anything or complicate matters. Put simply, messy and/or incomplete files will ring alarm bells for a contract manager.
Important note: If a matter is being investigated that, in the opinion of the Department, may involve a breach of the law, a breach of the Deed, or suspected fraud then Department employees may remove and retain material and original records that are relevant to the investigation. This may include both paper and electronic items and the Department must return a copy (or the original) of all relevant record to the DES provider within a reasonable period of time.
Activity: Interactions with DSS personnel
• What are the main interactions that you have with DSS account managers and contract managers?
• What other DSS personnel do you have regular communications with? • And what are the major issues / challenges that you encounter in your
communications? • How can you better interact with DSS staff?
DSS personnel Issues / challenges Contract Manager
Account Manager
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Improvements in communications:
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DES provider obligations
Just as the Department of Social Services has certain obligations and duties to ensure that the ES IT System is operating effectively and efficiently, so too do DES providers. These obligations are primarily set out in the provider’s DES Deed, with clarification and guidance set out in the accompanying guidelines.
The DES Deed is the legal contract that sets out the terms that will apply when a DES provider is appointed to deliver program services. The DES Deed contains:
• Basic conditions of delivery of services • Information and information management requirements • Deed administration • The specific DES programs to be delivered by the provider • Fees associated with the delivery of the services / programs • Code of Practice and Service Guarantee.
The core obligations that DES providers have in regard to provision of services and programs are that they meet the requirements of the DES Deed and guidelines. This requires providers to:
1. Maintain high standards of services and conduct 2. Achieve Key Performance Indicators 3. Document and report on service provision and key milestones 4. Operate ethically and prevent fraud 5. Use the ES IT System to aid compliance.
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DES providers must have in place their own governance and control frameworks to ensure compliance and deter non-compliance. Good internal systems and performance generally equate to good compliance.
Provide high quality services
Section 13 of the DES Deed states that the DES provider must act in good faith towards the Department and customers at all times, and operate in a manner that maintains the good reputation of the services.
13.1 The Provider must, in relation to this Deed, at all times, act:
(a) in good faith towards DEEWR and Customers; and
(b) in a manner that maintains the good reputation of the Services.
This requires DES providers to work in partnership with DSS to deliver high quality services to stakeholders.
Your organisation will have internal policies and procedures to inform your approach to your work as a DES practitioner and you should refer to the DES Deed, the National Standards for Disability Services, the Service Guarantee and the Employment Services Code of Practice to inform your work. Know how to use the system to your advantage so that you can both comply with DSS requirements and effectively deliver high quality employment services to participants.
The National Standards for Disability Service
The National Standards for Disability Services (NSDS) are designed to ensure a nationally consistent approach to improving the quality of disability services. The Standards provide a framework for thinking about your organisation’s service provision and to systematically review and improve practice and service delivery.
The six National Standards for Disability Services are:
1. Rights: The service promotes individual rights to freedom of expression, self-determination and decision making and actively prevents abuse, harm, neglect and violence.
2. Participation and inclusion: The service works with individuals, families, friends and carers to promote opportunities for meaningful participation and active inclusion in society.
3. Individual outcomes: Services and supports are assessed, planned, delivered and reviewed to build on individual strengths and enable individuals to reach their goals.
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4. Feedback and complaints: Regular feedback is sought and used to inform individual and organisation-wide service reviews and improvement.
5. Service access: The service manages access, commencement and leaving a service in a transparent, fair, equal and responsive way.
6. Service management: The service has effective and accountable service management and leadership to maximise outcomes for individuals.
To help ensure compliance with the Standards and delivery of high quality services, the NSDS Evidence Guide (a companion guide to the NSDS) outlines what external assessors may look for in any formal audit or review against the Standards.
The Evidence Guide is designed to support individual, team and organisational reflection, improvement and review. DES providers may need to change their practice and operations to meet the Standards and improve service delivery.
The Evidence Guide includes a section on the application of each Standard. Each standard is described in relation to:
• Intent of the Standard • Rights for people • Outcomes • Standards for service • Indicators of practice and evidence examples
Usefully, an assessment and planning section is also included in the Guide so that you can recognise strengths to build on and identify key areas for focus and improvement. Self-assessment and reflection can often provide a starting point to help ensure quality service provision.
NOTE: The National Standards for Disability Services and indicators of good practice are examined in detail in Topic 2.
Employment Services Code of Practice
The Employment Services Code of Practice sets out the principles and standards that underpin the delivery of disability employment services. It addresses:
• Expectations of how providers will interact with program participants, employers and each other
• Commitment to delivery of quality employment services • Commitment to helping each participant find their pathway into employment • Commitment to assisting employers to meet their skill and labour shortage needs
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All organisations that are contracted to deliver Australian Government funded employment services have agreed to and are committed to observe the Code under the terms of the DES Deed that applies to the delivery of services. All employees should be familiar with the Code and sure comply with the Code at all times.
Code of Practice
The Employment Services Code of Practice is provided as an appendix to this workbook for your reference.
The Service Guarantee
The DES Program – Your Service Guarantee is made available to participants and reflects the services that participants can expect from DES providers, including:
• Compliance with the National Standards for Disability Services • Tailoring disability employment services to meet individual participant needs • Ensuring working conditions are as good as those of the general workforce.
In terms of providing quality services, the Service Guarantee states that a DES provider must:
• Clearly explain to prospective participants what services they can receive, what they will do for the participant, and what the participant has to do, including how often they will meet
• Advise that they will provide assistance to the participant to find and keep a job – this includes providing ongoing support once the participant gets a job (if the support is needed)
• Treat participants fairly and with respect, in line with the National Standards for Disability Services
• Be sensitive to the participant’s individual needs when providing help, including any impact that the participant’s disability, injury or health condition might have on their ability to find and keep a job (Note: This could also include any parenting or caring responsibilities the participant might have)
• Deliver services that are culturally appropriate.
Note: The full version of the DES Programs – Your Service Guarantee document is available on the ES IT System.
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Achieve key performance indicators
There are a number of key performance indicators (KPIs) set out in the DES Performance Framework that a DES provider must achieve as part of its obligations to provide the disability employment services set out in its DES Deed.
DES performance framework
The key objectives of the DES Performance Framework are to ensure it delivers:
• A fair system of performance measurement (Star Ratings) that measures provider performance, and produces reliable comparison based on actual performance of DES providers
• Transparency for participants and employers as to how providers are assessed and rated
• Improved information available for job seekers and employers in choosing a DES provider
• A consistent focus on achieving outcomes for participants • Clearer and more timely information to assist DES providers to manage and improve
their own performance • A performance framework that supports a commitment to continuous
improvement.
The DES Performance Framework helps to encourage appropriate DES provider behaviours, and to ensure that the objectives of the DES Deed are met. It has been designed to drive DES provider performance and continuous improvement in the delivery of quality services to all participants. The following elements support the Framework:
1. Performance assessment and Star Ratings to inform and support high quality outcomes
2. A commitment to quality through compliance with the National Standards for Disability Services
3. A Service Guarantee reflecting the services that participants can expect from DES providers
4. A Code of Practice that reflects the Australian Government’s expectations of how providers will interact with participants, employers and each other
5. A Charter of Contract Management that reflects what providers can expect of the Department of Social Services.
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DES performance assessment and star ratings
Star Ratings have a significant impact on the behaviours of the sector and the viability of DES providers. Consequently, achieving a high Star Rating is a key goal of DES providers – and DES practitioners need to understand their role in contributing towards this performance.
The DES Star Ratings are used by different stakeholders for different purposes:
• Job seekers / participants use them to assess the comparative performance of different providers in their local area – this helps inform their choice of provider
• Providers use Star Ratings to: o assess their contractual performance in comparison to their competitors in
the Employment Services Area – this helps set targets o evaluate (and re-evaluate) their service delivery models for continuous
improvement o occasionally assess eligibility for financial bonuses for staff
• DSS uses Star Ratings to drive national continuous improvement in performance (i.e. by seeking to raise the national average outcome rates) and to inform the business review process.
DES key performance indicators
Under the DES Deed, the DSS reviews each DES provider’s performance in each Employment Service Area (ESA) during the term of the Deed.
Providers can access data about their own performance relative to other providers to help them improve outcomes within their own organisation. Providers receive star ratings and star percentages for each program, contract and site in which they operate.
The performance review by DSS is conducted against a number of Key Performance Indicators (KPIs) and measures.
A DES provider’s Star Rating is based on measurement of their performance against Key Performance Indicators as follows:
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KPI Objective Measurement KPI 1 Efficiency – an efficiency indicator which seeks to minimise the average times taken by providers to achieve employment outcomes for their participants
To maximise the number of eligible participants participating in the relevant program and to prepare relevant participants through individualised help, training and work experience to successfully achieve outcomes in employment
Based on the number of referred participants that commence in the program and the average time taken from commencement to the achievement of employment outcomes
KPI 2 Effectiveness – an effectiveness indicator which seeks to maximise the number of placements, outcomes, 52 week sustainability indicators achieved by participants, as well as the number of participants maintained in employment where assistance is required
To maximise job placement, outcomes and the maintenance of employment for relevant participants
Assessment of the provider’s performance through the number of: (a) job placements and outcomes achieved for relevant participants; and (b) participants who remain in ongoing support or exit ongoing support as independent workers
KPI 3 Quality – a quality indicator which is primarily driven through certification with the National Standards for Disability Services
To maximise the delivery of high quality, individualised employment services
Conformity with the National Standards for Disability Services Assessment of performance under the Deed, the Service Guarantee and the Code of Practice through various measures including feedback from employers and participants
Figure 5: KPIs – objectives and measures (Source: DES Deed, Section 133.2)
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Weightings and financial values for each of the performance measures are provided below:
Performance Measure DMS Weighting
ESS Weighting
Financial Value
2.1 Job Placements Proportion of participants placed in employment
5% 5% $770 FL1 or $1,540 FL2
2.2 13 Week Outcomes 35% 30% 2.2.1 13 Week Full Outcomes
Proportion of participants who achieve a full 13 week outcome
25% 20% $2,860 or $5,500
2.2.2 13 Week Pathway Outcomes Proportion of participants who achieve a pathway 13 week outcome
5% 5% $945 or $1,815
2.2.3 13 Week Bonus Outcomes Proportion of relevant anchors that convert to a paid 13 week bonus outcome, or a full 13 week or pathway 13 week outcome for Indigenous participants
5% 5%
$572 or $1,100 (Full) $189 or $363 (Pathway)
2.3 26 Week Outcomes 45% 40% 2.3.1 26 Week Full Outcomes
Proportion of participants that achieve a full 26 week outcome
35% 30% $4,400 or $7,700
2.3.2 26 Week Pathway Outcomes Proportion of participants that achieve a pathway 26 week outcome
5% 5% $1,450 or $2,450
2.3.3 26 Week Bonus Outcomes Proportion of relevant anchors that convert to a paid 26 week bonus outcome, or a full 26 week or pathway 26 week outcome for Indigenous participants
5% 5%
$880 or $1,540 (Full) $290 or $508 (Pathway)
2.4 52 Week Sustainability Indicator / Job in Jeopardy Proportion of anchors for employment that convert into a 52 week sustainability indicator and the proportion of Job in Jeopardy anchors which convert into a Job in Jeopardy outcome
10% 10%
52 Week Indicator is non-financial $2,860 for Job in Jeopardy Outcomes
2.5 Ongoing Support Proportion of ongoing support participants who remain in employment or
5% 15%
$440 for an instance of Flexible Ongoing Support $1,320 for 13 weeks of Moderate Ongoing Support $3,300 for 13 weeks of High Ongoing Support
Figure 6: Weightings and financial values for performance measures
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Section 133.3 of the DES also outlines other factors that DSS may take into account when assessing the provider’s performance. These include:
• the provider’s performance in: • connecting participants to appropriate skills opportunities • assisting particular disadvantaged client groups • building linkages with employers to understand and meet the skills of the local
labour market • developing and monitoring Employment Pathway Plans
• the proportion of outcomes in which a participant undertakes an employment related activity which give rise to outcome fees, but do not result in ongoing employment after the completion of either the 13 Week Period or 26 Week Period
• timely servicing of participants • the number and value of any invalid claims made by the provider • provider compliance with the Deed • the provider’s performance against any performance indicators • any other information in DSS’s possession, including provider feedback.
Activity: Other performance assessment factors
What compliance considerations arise in relation to the additional performance assessment factors (from Section 133.3) outlined above?
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These KPIs emphasise the requirement for DES providers to act with due care and diligence, and to ensure that participants receive the services for which the DES provider is receiving payment. DSS monitors and assesses compliance with the Deed through the normal program assurance, contract management and contract monitoring mechanisms.
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Further information on the performance management
Important information about performance management can be found under the Provider Management tab of the ES IT System, where you can also access the Star Ratings, the Performance Framework and the National Standards for Disability Services certification information. Supporting guidelines, questions and answers and fact sheets regarding performance are also located in this section.
Activity: The impact of the Performance Framework on my role
How does the DES Performance Framework impact on the ways in which you carry out your day-to-day job as a DES practitioner?
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Key milestones
A fundamental compliance requirement for DES providers is to record and report on key milestones and to demonstrate that services have been delivered to support each service fee claim. The key milestones are associated with:
• confirming and documenting participant eligibility – e.g. direct registration • assessment and planning – e.g. initial service fee • job placement – e.g. job placement fee, 13 week outcomes, 26 week outcomes • providing ongoing support – e.g. flexible ongoing support fees
The service fees that the DES provider may claim are detailed in the annexure of the organisation’s DES Deed. The Deed and the Deed guidelines, particularly the Service Fee Guidelines and the Documentary Evidence for Claims Payment Guidelines, specify the recording and reporting requirements which the DES provider must adhere to in terms of providing sufficient evidence to support claims for payment made under the DES Deed.
The core milestones for recording and reporting are identified in the following diagram, with some of the relevant guidelines listed:
Figure 7: Recording and reporting of core key milestones
The above key milestones and the documentary evidence associated with each of these milestones will be examined in Topic 3.
•Direct Registration Guidelines •Referral and Commencement Guidelines •Contacts Guidelines
Program Entry
•Service Fee Guidelines •Employment Pathway Plan Guidelines •Participant Compliance Guidelines
Assessment & Planning
•Job Placement and Job Placement Fee Guidelines •Documentary Evidence for Claims Guidelines •Outcomes Guidelines
Job Placement
•Ongoing Support Guidelines •Ongoing Support Fee Guidelines •Ongoing Support Assessment Guidelines
Ongoing Support
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Fraud prevention
Section 13 of the DES Deed sets out the requirements in relation to DES provider conduct:
13.2 The Provider must not engage in any practice that dishonestly or improperly manipulates Records, Outcomes or the Services with the intention of maximising payments to, or otherwise obtaining a benefit for, the Provider or any other person.
13.3 The Provider must advise its officers and employees:
(a) that they are Commonwealth public officials for the purposes of section 142.2 of the Criminal Code Act 1995 (Cth); and
(b) that acting with the intention of dishonestly obtaining a benefit for any person is punishable by penalties including imprisonment.
What constitutes fraud?
The Department of Social Services' Fraud Policy Statement defines 'fraud' as:
"Dishonestly obtaining a benefit or causing a loss by deception or other means."
‘Fraud’ as it relates to employment services is based on the definition of fraud contained in the Criminal Code Act 1995 (Cwlth).
Committing fraud refers to a deception that is deliberately practiced. That is, there is actual intent for the fraudulent activity to occur for the purposes of personal or financial gain.
In DES, fraud is often referred when there is missing documentary evidence or a claim has been taken and the forms used as evidence are incomplete. This does not necessarily mean that an individual staff member intended to ‘defraud’ the government or that a provider intended to commit a fraudulent activity – rather it can simply mean poor administration by the individual or provider.
Fraud is committed based on an intent or deception that is deliberate.
Fraudulent activity includes deliberately providing false or misleading information. For example, all users of the ES IT System see the following message when they log in to the system:
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Figure 8: ESS log in information (Source: http://www.comlaw.gov.au/comlaw/Legislation/ ActCompilation1.nsf/0/EA8F2A398EBE535CCA2570B20015CC28/$file/CriminalCode1995_WD02.pdf)
In effect, this means that the person using the ES IT System can be held personally accountable for giving false or leading information when using the system. Section 137.1 of the Criminal Code Act 1995 that is referred to upon log in is as follows:
137.1 False or misleading information
(1) A person is guilty of an offence if:
(a) the person gives information to another person; and
(b) the person does so knowing that the information:
(i) is false or misleading; or
(ii) omits any matter or thing without which the information is misleading; and
(c) any of the following subparagraphs applies:
(i) the information is given to a Commonwealth entity;
(ii) the information is given to a person who is exercising powers or performing functions under, or in connection with, a law of the Commonwealth;
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(iii) the information is given in compliance or purported compliance with a law of the Commonwealth.
Penalty: Imprisonment for 12 months.
Source: http://www.comlaw.gov.au/comlaw/Legislation/ActCompilation1.nsf/0/ EA8F2A398EBE535CCA2570B20015CC28/$file/CriminalCode1995_WD02.pdf
Preventing fraudulent activity
DES providers have an obligation to operate effectively, efficiently and ethically. This extends to detecting, preventing and reporting any fraudulent activity and taking necessary disciplinary and preventive action. This can be achieved through vigilance and effective internal policies, processes and procedures and also having an open, honest workplace culture which actively encourages comprehensive, complete adherence to compliance requirements.
Activity: Detecting and preventing fraud
What strategies does your organisation use to (a) prevent fraudulent activity; and (b) detect whether any fraudulent activity has occurred?
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Activity: Fraudulent activity
What are the likely sanctions for behaviour found to be consistent and wilful? What is consistent and wilful behaviour?
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Employment Services Tip-off Line
The Employment Services Tip-off Line enables current and former employees of employment services providers who suspect, or have evidence of, any activities that may be a breach of the DES Deed to report their concerns to the appropriate authority in full confidence that any allegations will be properly investigated.
The Department of Social Services maintains the confidentiality of all callers and, where possible, the Department will provide feedback on the outcomes of the investigation.
The Employment Services Tip-off Line can be contacted on 1300 874 536 (Monday to Friday, 9.00 am to 5.00 pm AEST), or via email to [email protected].
ES IT System
The ES IT System is used by providers to document service provision and demonstrate compliance. Managers need to understand the ES IT System clearly and they need to ensure their staff know how, why and when to use the system and that they complete training in how to use the ES IT System.
Following are some tips and techniques that you can use to help effectively utilise the ES IT System.
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Tips and techniques for effective use of the ES IT System
• Assign a ‘super user’, i.e. assign a team member who is an experienced ES IT System user as the main contact for staff regarding any system related issues
• Subscribe to and read bulletins, newsletters and updates to keep abreast of ES IT System changes and developments
• Assign a work team member to monitor the regular updates made available on the ES IT System and to provide a brief report to the team on changes / developments / issues etc reported on the system – this can help ensure all staff members remain apprised of current developments and changes and further action can be taken in a timely manner if required
• Ensure staff complete all ECSN Learning Centre Modules that are relevant to their job role – these modules help staff get the most out of the ES IT System and gain important knowledge of operational policies, programs and procedures and key areas and concepts
• Refer to the ‘Hints and Tips’ documents provided as part of the ECSN Learning Centre to find out about tips and techniques that can help you better understand online recording and reporting requirements and can help ease the administrative burden – e.g. the ‘Employment Services Systems Hints and Tips [17 Dec. 2013]’ document provides useful tips regarding using the caseload search facility and the case summary screen; it also includes useful tips on using the diary and noticeboard function
• Use the ESS online help function to access information in relation to specific aspects on the ES IT System
• Use the EA Knowledge Base to search for information / ask questions – there a numerous articles available written by systems experts in response to questions that users have asked the Help Desk
• Listen to podcasts – the Quick Guide to DES podcasts give you an overview of particular elements of the DES program, e.g. ‘A Quick Guide to DES – Part 7’ podcast provides information regarding movement between levels of ongoing support
Activity: ES IT System challenges, tips and techniques
What issues and challenges do you face when using the ES IT System?
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Share one or two tips, techniques or strategies that you use to improve the administrative work associated with recording and reporting service delivery and to assist with effective recording and reporting.
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Compliance and the frontline manager
Frontline managers have considerable accountabilities and obligations in relation to contractual compliance.
What are the ways in which you as a manager ensure that your organisation and relevant staff members meet the DES Deed obligations and maintain compliance?
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What specific compliance responsibilities do you have as part of your job role?
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Topic 2: Managing service quality
Topic introduction
This topic examines those elements of service quality that form the foundations for effective compliance: exercising a duty of care, ethical decision making, adherence to the National Standards for Disability Services and producing and keeping quality documentation to support DES program delivery.
The foundations of service quality
The four foundational elements that constitute ‘service quality’ are presented in the following diagram. Each of these elements will be examined in the context of ensuring compliance with DES Deed contractual obligations.
Figure 9: Foundations of service quality
Duty of Care Ethical Decision Making
National Standards for
Disability Services
Quality Documentation
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Duty of care
Legally, we all have a duty to take reasonable care not to cause foreseeable harm to other people or their property. This is also known as the law of negligence.
As a DES practitioner, key areas for consideration in relation to duty of care towards others could include:
• Who do you have a duty of care to? • What is your duty of care to those in or associated with your organisation? • What do you need to do / not do to ensure that there is no breach of duty of care,
and that no one will suffer harm or loss because of your actions / inactions?
As part of your duty of care to program participants, you need to carefully assess the person’s capabilities and risks (both physically and emotionally), taking into account the relevant issues, rights and interests and attending to the consultation requirements.
Following is a framework for duty of care which is designed to assist you in making such assessments and managing your duty of care.
Framework for duty of care
Figure 10: Duty of care framework
Consider the issues - what are they?
Activity Agreement / Employment Plan /
Individual Plan
Compare possible benefits against possible harm
Develop strategy to minimise risk
Implement and monitor
Review
Consultation with person with disability &
stakeholders
Balance rights of stakeholders
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DES providers have a duty of care to their program participants when placing them in employment. Workplace health and safety is primarily the employer’s responsibility but the DES practitioner should ensure that employers are meeting their health and safety and insurance responsibilities and that any risks have been assessed to ensure that the employee is able to work safely. This may involve supporting employers to meet their responsibilities.
The JobAccess website (www.jobaccess.gov.au) provides some useful information regarding the duty of care of DES providers and their employees:
Duty of care applies to a range of situations and can be briefly described as an obligation that a sensible person would have in the circumstances when acting toward others and the public. If the actions of a person are not made with care, attention, caution, and prudence, their actions are considered negligent. Some of the areas where you may encounter duty of care: Advice Advice to job seekers and employers can be given orally or in writing but care must be taken to ensure that the person has understood the information. This means taking into account personal barriers such as language and literacy. If a query is outside your expertise, it is important the person is directed to an appropriate source. For example, if an employer asks you about claiming a tax deduction for the purchase of office equipment for a new employee with disability, you would advise them to see an accountant or tax agent if this is not your area of expertise. Occupational health and safety Duty of care for occupational health and safety is the responsibility of all parties. As a service provider, your duty of care for occupational health and safety is to provide a safe working environment for your staff and clients. You also need to make employers and job seekers aware of their duty of care. Privacy As a service provider, you need to be aware that information a job seeker tells you may be protected by privacy laws and you may need their permission to tell an employer or other parties. Where there is conflict between privacy and duty of care, generally your duty of care is restricted to actions which do not breach privacy laws.
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Activity: My duty of care
As a DES practitioner, to whom do you have a duty of care and what is this duty of care?
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Ethical decision making
The Commonwealth Procurement Rules (p. 18) describe ethics and ethical behaviour as:
Ethical relates to honesty, integrity, probity, diligence, fairness and consistency. Ethical behaviour identifies and manages conflicts of interests, and does not make improper use of an individual’s position.
(Commonwealth Procurement Rules, p.18)
DES practitioners must demonstrate a high level of personal ethics and principles in the management and delivery of DES programs. Section 2B of the DES Deed requires providers to carry out the DES program services efficiently, effectively and ethically.
In accordance with the DES Deed, DES providers must at all times act in good faith towards the Department of Social Services and their customers, and in a manner that maintains the good reputation of the DES sector. Providers must not engage in any practice that dishonestly or improperly manipulates records or outcomes of the services, for example.
Ethical conduct and decision making is about the standards expected of DES providers and their staff. It is concerned with values, principles and adherence to the DES Deed, Service Guarantee, the Employment Services Code of Conduct and internal policies and procedures. Indeed, the Employment Services Code of Practice emphasises “behaving ethically and acting with honesty, due care and diligence”.
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Activity: The impact of ethics
Working in small groups, the facilitator will assign one of the following terms to your group. Your group will need to:
• Write your own definition of the term • Brainstorm how the item applies to the different roles within a DES organisation.
Be prepared to share your responses with the other groups / workshop participants.
Definition (what it means to you) How does it apply to your role? Honesty
Integrity
Probity
Diligence
Fairness
Consistency
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The REFLECT decision making model
It can sometimes be difficult to make informed decisions about the management and delivery of DES programs given the legal and ethical issues associated with working in this sector. For example, you may come across ‘grey’ areas where there are no explicit and written guidelines, or even implicit and unwritten guidelines, that you can follow and you need to make an informed decision which takes into account all views, issues and risks.
The Australian Public Service Commission has developed the REFLECT decision making model which is a useful tool that can be used when you’re faced with making difficult ethical decisions:
REcognise a potential issue or problem
Ask yourself:
• Do I have a gut feeling that something is not right or that this is a risk situation?
• Is this a right vs right or right vs wrong issue?
• Recognise the situation as one that involves tensions between APS Values or the APS and your values
Find relevant information
• What was the trigger and circumstances?
• Identify the relevant legislation, guidance, policies (APS-wide and agency-specific).
• Identify the rights and responsibilities of relevant stakeholders.
• Identify any precedent decisions.
Linger at the ‘fork in the road’
Linger or pause to consult supervisors, managers, respected colleagues, peers or support services (retain privacy):
• Talk it through, use intuition (emotional intelligence and rational processes), analysis, listen and reflect.
Evaluate the options
Evaluate the options, identify consequences, look at processes to identify risks
• Discard unrealistic options.
• Apply the accountability test—public scrutiny, independent review.
• Be able to explain your reasons/decision.
Come to a decision Come to a decision, act on it and make a record if necessary
Take time to reflect Take time to reflect and review
• How did it turn out for all concerned?
• Learn from your decision.
• If you had to do it all over again, would you do it differently? Figure 11: Australian Public Service Commission REFLECT decision making model (Source:
http://www.apsc.gov.au/publications-and-media/current-publications/ethical-decision-making)
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It’s important to actually consider what morals and ethics are, and how they impact on your work as a DES practitioner. The following activities ask you to explore what ethics and morals are, and how they affect your decision making and the ways in which you comply with the requirements of the DES Deed.
Activity: What if...
Consider the following ethical dilemmas. In each situation: What questions do you need to ask yourself? What action do you need to take? How do you address / resolve this situation?
Situation Response Jay, a client who you know is having some personal difficulties at present hasn’t showed up for the last three appointments. When you’ve followed up with him over the phone he has made various excuses. You are reluctant to register these activities as ‘non-compliance’ and you have stressed with Jay the importance of attending the next meeting.
You haven’t completed the claims evidence in the client’s file note sufficiently because you don’t have all the necessary information – i.e. you’ve left out information in some sections and you’ve inserted what you think is correct without consulting the client.
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Situation Response A staff member has advised you that they have finally succeeded in getting a placement for a long-term client. The client has advised they have started employment recently at a large department store but they have indicated that they are not paid by the department store for their work. They are paid by a third party, however, your client is not able to provide the details of the organisation paying their wage. Your staff member has recorded the department store as the employer in the ES IT System and wants you to anchor the placement as it counts towards their Key Performance Indicators.
Your staff member has presented a signed declaration by a client stating they have worked each and every week for 26 weeks, receiving $26 per hour. The client has a 15 hour benchmark and according to the declaration has worked 420 hours over the claim period. You process the claim but later realise that file notes contradict the claim evidence, suggesting the client worked 386 hours over the claim period.
Your manager has indicated your site is one claim behind its quarterly target. Should this target be achieved all team members will receive a financial bonus. You have one claim due before the end of the quarter, however, the client has worked two hours less than the hours required to justify the full outcome. Your manager hints that if the evidence demonstrated an extra two hours was worked then everybody would be happy and targets would be achieved. You feel pressured to make the change.
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Activity: Workload and decision making
Consider the following comment by an employment practitioner regarding workload and decision making:
I had a client who had significant mental and physical health issues that were impacting on her housing, work and personal circumstances. She would call me every day to talk, and request that I arrange meetings with health professionals and her employer. I was spending quite a lot of my time trying to manage her case.
At the same time, I was trying to set up jobs for a significant number participants in my caseload, assist them in preparing resumes and other documents, attend interviews with them, see five or six clients per day and make sure I completed all necessary paperwork and reporting. This was very stressful... in the end I just didn’t have the time to complete participation reports properly, I wasn’t updating the EPPs with all the required information. Something had to give and it was the documenting and reporting – clients and placements always come first.
Reflecting on this scenario, if you found yourself in a similar situation how would you deal with the situation so that you make appropriate decisions about supporting participants and staying on top of your workload at the same time?
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National Standards for Disability Services
IMPORTANT NOTE: The new National Standards for Disability Services (NSDS) were introduced in December 2013. There is a 12-month transition period in place for DES providers (commencing 1 January 2014) in which providers must transition to these new standards. During the transition period the DES provider is able to choose between the old or the new standards for their audit. DES providers are encouraged to adopt the new standards as soon as possible. At a minimum, they must show during the transition period that the organisation is planning for the new standards and discussing those plans with their certifying bodies.
The National Standards for Disability Services form the basis of how employment services are delivered to people with disability and the required quality of these services. The Standards impact on every aspect of the DES provider's services.
To be compliant with their contract, DES providers need to maintain their accreditation under the National Standards for Disability Services. If compliance is not achieved and maintained, the provider is in breach of their contract and they will not be funded by the government to provide disability employment services.
As the Standards are embedded in everything that a DES provider does, including the way staff interact with clients and other key stakeholders, and the systems and processes that they use to carry out the work that they do, it is important that you have a detailed understanding of what the standards are and how you can ensure compliance with them.
The focus of the NSDS
The National Standards for Disability Services require a person-centred approach and focus on the rights and outcomes for people with disability - i.e. the person with the disability should be at the centre of planning and delivery of services. As the Standards document states:
Individuals shape and direct service and support arrangements to suit their strengths, needs and goals with the support of families, friends, carers and advocates.
(National Standards for Disability Services, p. 8)
The Standards are designed to ensure a nationally consistent approach to improving the quality of disability services.
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The six national standards
The six National Standards for Disability Services are supported by 26 Key Performance Indicators which outline the Australian Government’s expectations of service quality, and which link directly to core organisational processes and outcomes under Quality Assurance principles. The standards that apply to DES providers are:
Figure 12: National Standards for Disability Services
Each standard is underpinned by the same basic elements:
• the rights for people - the individual rights that each standard promotes or supports • the outcomes for people - what an individual using services or supports should
experience through the effective achievement of each standard • the standards for service - the requirements involved for services to achieve each
standard.
•The service promotes individual rights to freedom of expression, self-determination and decision making and actively prevents abuse, harm, neglect and violence
1. Rights
•The service works with individuals and families, friends and carers to promote opportunities for meaningful participation and active inclusion in society
2. Participation and Inclusion
•Services and supports are assessed, planned, delivered and reviewed to build on individual strengths and enable individuals to reach their goals
3. Individual Outcomes
•Regular feedback is sought and used to inform individual and organisation-wide service reviews and improvement
4. Feedback and Complaints
•The service manages access, commencement and leaving a service in a transparent, fair, equal and responsive way 5. Service Access
•The service has effective and accountable service management and leadership to maximise outcomes for individuals
6. Service Management
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Indicators of practice
The Standards are supported by 'indicators of practice'. These indicators provide DES providers with guidance on the activities and ways of working that should be in place to support the standard. The National Standards for Disability Services Evidence Guide includes useful examples of evidence that DES providers can used to assess how and whether they are meeting each particular standard.
The Evidence Guide is a companion document to the Standards and can be used as a starting point for conversations about the services you provide and how you can make sure that they meet the needs and support the aspirations of people with disability.
The NSDS Evidence Guide provides the following information about providing evidence that the standards are being met:
It is useful to think about evidence in the following way:
• Who has been involved in developing your service’s processes and systems – staff, management, people with disability, families, friends, carers and advocates?
• What documentation do you have that might provide guidance on policy, practice or procedures relating to the indicators?
• How do you communicate the key principles and concepts within these documents to staff, people with disability, families, friends and carers?
• What everyday practice can you describe that might show how you apply your processes and systems relating to each standard?
• How do you regularly review your practices, processes and systems and who do you involve in these activities?
It is important to remember that when thinking about evidence, your practice should come first and gathering the relevant evidence should follow. The kinds of evidence you might like to consider will vary in form. It may include:
• Consultation – this includes checking with relevant people about knowledge, awareness, experiences and behaviours relating to the standards and their application
• Observation – for example, observation of staff practice or an audit of the physical environment
• Documents and data – such as policies, procedures manuals, registers, information kits or case files.
You may find you have a range of evidence for different indicators, and that the amount of evidence may vary across indicators or standards. This is to be expected - evidence should reflect what is actually happening in a service and is likely to change over time as your service evolves and improves.
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Activity: Evidence to show standards are being met
For each of the indicators of practice listed below, outline how you would provide evidence to demonstrate that you and your organisation are meeting the required standard.
Standard Indicator of Practice Evidence to Show that Standard is Being Met
1. Rights 1:5 The service has preventative measures in place to ensure that individuals are free from discrimination, exploitation, abuse, harm, neglect and violence
2. Participation and Inclusion
2:2 The service works together with individuals to connect to family, friends and their chosen community
3. Individual Outcomes
3:2 Service planning, provision and review is based on individual choice and is undertaken together with an individual and, with consent, their family, friends, carer or advocate
4. Feedback and Complaints
4:2 Feedback mechanisms including complaints resolution, and how to access independent support, advice & representation are clearly communicated to individuals
5. Service Access
5:5 The service monitors and addresses potential barriers to access
6. Service Management
6:4 The service has monitoring feedback, learning and reflection processes which support continuous improvement
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NSDS resources
The National Standards for Disability Services and the NSDS Evidence Guide can be accessed on the ES IT System or at:
http://www.dss.gov.au/our-responsibilities/disability-and-carers/standards-and-quality-assurance/new-national-standards-for-disability-services
Other useful resources also available at the above website address include:
• NSDS - Stories: Short examples of what each standard could look like in practice • NSDS - Conversation Tool: A short guide for workers and teams with direct client
contact to consider how best to promote the standards and engage people in conversations about the standards.
Quality documentation
Section 19.4 of the DES Deed states that:
It is a precondition of the Provider’s entitlement to be paid any fees, funds, reimbursements, wage subsidies, NEIS payments or ancillary payments that it has, at the time it makes a claim for payment, sufficient documentary evidence to provide that the provider has delivered the relevant services in accordance with or otherwise has relevantly complied with, this Deed.
In addition, Section 20 of the DES Deed indicates that in relation to evidence to support claims for payment, the provider must retain sufficient documentary evidence to prove its claim for payment.
These requirements are reiterated and reinforced in the Documentary Evidence for Claims Payment Guidelines (p.8). The Guidelines state that:
The Documentary Evidence set out in the Deed and these Guidelines, together with the information required to be recorded in the Employment IT Systems is acceptable to the Department as sufficient proof of service provision.
It is good business practice to keep comprehensive, evidence based, well-ordered records which are supported by efficient business processes – this helps ensure day-to-day work practices are conducted as effectively as possible and that compliance requirements are met in a systematic way.
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What constitutes quality documentation?
So what constitutes quality documentation that effectively supports the provision of employment services and facilitates compliance with the DES Deed?
In brief, quality documentation:
• Adheres to the DES Deed and recording and reporting requirements set out in the relevant guidelines
• Is comprehensive, well structured, factual and evidenced based • Is based around meeting key milestones and evidence requirements • Fulfils the outcome requirements to ensure it effectively meets the claim payment
requirements • Meets all legal requirements • Uses appropriate language and terms • Is entered into the ES IT System as required (i.e. both mandatory and non-mandatory
information).
The Documentary Evidence for Claims for Payment Guidelines provides an overview of the information that must be entered into the ES IT System for each type of DES program – from program entry through to provision of ongoing support – to demonstrate that services have been delivered to support each service fee claim. The Guidelines also set out the additional evidence that must be retained by the provider in either electronic or paper based format. In addition, the Guidelines also include information that ‘should’ be kept – this is not mandatory information that should be recorded and kept, but rather it represents compliance best practice.
NOTE: The next topic in this training program explores quality documentation practices in detail.
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Activity: Documentation practices
1. Identify three things your organisation does well / could do better in terms of producing and retaining quality documentation related to delivery of DES programs.
Does well... Could do better... 1
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2. Outline one improvement that you could immediately make to the way that you / your organisation records and reports on delivery of disability employment services.
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Topic 3: Quality documentation practices
Topic introduction
This topic examines in detail the principles and practices of quality documentation that underpin the provision of Disability Employment Services – from program entry through to providing ongoing support.
The DES program structure and compliance obligations
There are a number of general obligations that DES providers are required to comply with and there are also documentation obligations associated with each part of the employment services process with which DES providers and their staff are required to comply.
Whilst the Documentary Evidence for Claims for Payment Guidelines and the Service Fee Guidelines refer to the documentary evidence required to support DES program delivery, there are also DES participant compliance guidelines that apply to each particular aspect of the disability employment services process. These guidelines are outlined in Appendix 3: DES Client Information Page for your reference.
The following sections of this topic focus on key milestones and documentary evidence requirements associated with the DES process to ensure sufficient and appropriate evidence is provided to DSS regarding services that have been provided and for claims payments under the DES deed.
Documentary evidence
DES providers are required to retain evidence of entitlement to fees, funds, reimbursements and ancillary payments. Providers must also retain suitable documentary evidence to prove that services have been delivered in accordance with the Deed.
‘Documentary Evidence’ is defined in both the DES Deed and the Documentary Evidence for Claims for Payment Guidelines as:
“Those Records of the DES provider, as specified in this Deed including any Guidelines, which evidence that Services were provided by the DES provider for each claim for payment made under this Deed, or which otherwise support a claim for payment by the DES provider.”
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Section 19.4 of the DES Deed clearly states that it is a precondition of the provider’s entitlement to be paid any fees, funds, reimbursements, wage subsidies, NEIS payments or ancillary payments that it:
Has, at the time it makes a claim for payment, sufficient documentary evidence to provide that the provider has delivered the relevant services in accordance with or otherwise has relevantly complied with, this Deed.
DES providers are required to retain documentary evidence either in information systems or hard copy files. The Documentary Evidence for Claims for Payment Guidelines clearly describe what evidence a DES provider is required to retain to document service provision. In addition, a number of other DES Deed Guidelines describe how various services must be delivered, revised and documented.
Every DES provider must ensure that it is compliant in managing the evidence effectively as it not only protects its investment in delivering DES services, but also documents a participant’s pathway to employment.
Every DES organisation has policies and procedures on the collation of documentary evidence. Section 3D of the DES Deed refers to records management and states that:
The provider must create and maintain full and accurate records of the conduct of the services, including, where relevant, participant services records and the customer feedback register and any other material as set out in the Records Management Instructions.
When requested by the Department, the provider must provide the records to the Department within the required timeframe.
Providers must create and keep accurate records in the course of delivering employment services, including Participant Services Records (meaning Deed Records including documents associated with the Customer Feedback Register) about a participant that are directly created for the purposes of providing services.
Providers must also retain records according to the minimum retention periods (refer to table in the Records Management Guidelines, Attachment C):
• Priority records must be retained for at least six years. Priority records relate to: o Accidents and incidents involving participants o Services provided to participants involved in work experience activities o Register of complaints
• General services records must be retained for at least three years, and relate to: o Provision of employment services o Delivery of NEIS o Successful and unsuccessful proposals for all work experience activities.
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In general, much of the DES documentation generated is around (i) participant services and progress; and (ii) service fees.
Maps to ECSN Learning Centre Module: DES 2013 Outcomes and Claims Processing
Keeping good case notes
An essential ingredient of meeting compliance requirements of the DES Deed and the guidelines is the keeping of good case notes – this means that case notes should:
• be well structured • use appropriate language • be comprehensive • be cognisant of the outcome requirements • meet legislative requirements, and • present appropriate evidence.
Consider the following media items that highlight the importance of keeping comprehensive, evidence based, orderly records:
‘Just 42 per cent of job-finding fees claimed by employment agencies were found to be genuine in a top-level audit released yesterday of the $4.7 billion welfare-to-work program… the audit found a significant incidence of poor administration, claims that couldn't be confirmed, claims that were not supported by appropriate evidence, and claims that were contradicted by job seekers and employers.’
(http://www.smh.com.au/federal-politics/political-news/job-agencies-facing-fraud-inquiry-after-audit-of-fees-20120420-1xcfz.html)
Acting Commonwealth Ombudsman Mr Ron Brent has found that Centrelink’s mishandling of a Disability Support Pension (DSP) application, and the Commonwealth Director of Public Prosecutions’ (CDPP) subsequent decision to prosecute based on incomplete evidence, led to a fraud conviction for the applicant.
Ms Z’s conviction in August 2007 related to her failure to declare earnings from work she had done while in receipt of a DSP. However, the Ombudsman’s investigation revealed that Ms Z, a woman in her early 50s, did in fact notify Centrelink of the employment that resulted in her conviction—just in the wrong section of the DSP claim form.
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‘The consequences of Ms Z’s error should and could have been avoided,’ Mr Brent said, ‘were it not for Centrelink’s failure to act on the information provided, its failure to keep good records of its dealings with Ms Z, its confusing forms and correspondence with Ms Z, inadequate advice, a substandard investigation of the case, and provision to the CDPP of a misleading and incomplete proposal to prosecute.
('Fraud conviction began with a mistake on a form', http://www.ombudsman.gov.au/media-releases/show/120)
To help avoid situations like the above, let’s look at some tips for recording case notes.
Tips for recording good case notes
• Make sure your file notes are well structured and complete and that they fully correspond with the information provided in the Employment Pathway Plan – think of the EPP as providing the outline or roadmap and the file notes providing all the necessary detail (how you’re working to get to your ‘destination’).
• Think carefully about what constitutes 'appropriate evidence' – the information recorded should be factual, impartial, accurate and complete.
• Where possible, use checklists, templates, best practice examples and other useful tools to help ensure your case notes meet evidence and compliance requirements.
• Ensure that whenever an assessment, delivery, change or exit occurs or is required you thoroughly document the requirement / occurrence.
• Use appropriate and consistent language throughout case notes and make sure your notes do not contain derogatory or emotive language.
• Know what the evidence requirements are and make sure you have addressed them in your case notes – staying up to date with the DES deed and guidelines is extremely important; inadvertent non-compliance can happen easily if you’re not up to date with the current requirements. ‘I didn’t know’ is not a reasonable response to non-compliance. Reading the DSS weekly digests and the quarterly policy changes / updates will help you keep up to date with compliance requirements.
• Think of ways that you can use your organisation’s IT systems and the ES IT System to streamline the case note writing process and ease the administrative burden.
• Make sure you enter all necessary information into the ES IT System, e.g. appointment results, participation reports.
• Don’t leave information gaps in the case notes. Consider, if another case manager was assigned to look after the participant in your absence, would they be able to read the case notes and have a clear picture of what’s going on?
• Write / refresh your file notes regularly: do so quickly and promptly, and make sure your notes are factual and consistent – for example, check prior file notes for any contradictions or errors, and if they exist, explain them; do not use white out... rather you should explain why you are making changes to the case notes etc.
• When making a claim, ask yourself:
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• Is this claim supported by sufficient evidence? • Can this claim be supported / validated by other documents and/or other
parties? • What, if any, other information do I need to provide?
Best practice
Some best practice to help ensure appropriate evidence is gathered and recorded and that the organisation’s case notes are compliant:
1. Consider the guiding principle for deciding what information you should include in participant case notes, i.e. is the information is relevant to the employment service or support being provided? This means case notes should include:
• Records of discussions and meetings with the participant and service providers • Biopsychosocial, environmental and systemic factors that impact on the participant • Flagging of any risks related to participation in employment services, employment
and related activities • Information underpinning any assessments that have been made • A record of any non-attendance or non-participation • Evidence that the DES provider and participant have discussed their respective legal
and ethical responsibilities • Details of reasons, actions or outcomes leading up to or following the cessation or
interruption of provision of employment services or supports.
2. When recording case notes:
• Include a participant identifier on each page, e.g. name, DOB, client number • Date the case note • Record the information as soon as possible after the event • Make sure the notes are legible if they are handwritten • Ensure the author of the case note includes their name and signature.
3. Understand the outcome requirements and make sure claim evidence forms meet all these requirements.
4. Refer to the additional evidence that ‘should’ be retained, as provided in the Documentary Evidence for Claims for Payment Guidelines, and endeavour to collect and record this evidence wherever possible
5. Conduct regular internal audits of case notes to ensure they meet all organisational and deed and guidelines requirements – where issues or deficiencies are detected, take immediate steps to rectify them.
6. Conduct case conference reviews for quality assurance purposes and to address any systemic issues.
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7. Align organisational record keeping with ES IT System record keeping requirements.
8. Provide regular training and updates for staff members regarding record keeping and compliance requirements.
Activity: Case notes - journey and progression
How do you ensure that case notes ‘tell the story’ and record the progression of the employment services program participant?
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What case note recording tips can you share with other workshop participants?
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Activity: What's missing?
Following are examples of file notes completed by a DES practitioner. Working in a small group, you should analyse the file note to determine:
• What information is missing and what could be included / improved • What are the benefits of producing comprehensive file notes
File Note What information is missing? What could be included?
Benefits of producing comprehensive file notes
Outcome File Note John, Manager of Luxe Beauty, verbally confirmed that Samantha worked her benchmark hours for the 13 week outcome period. Lodged claim based on verbal confirmation from the employer.
Review Appointment Samantha attended her appointment. She smelt of alcohol and presented very poorly. I asked Samantha if she did any job search since the last appointment and she said that she applied for three jobs but didn’t bring the evidence to show me. Made another appointment with Samantha for a fortnight’s time and informed her that she must bring in evidence of job search.
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File Note What information is missing? What could be included?
Benefits of producing comprehensive file notes
Initial Appointment Samantha was referred to DES. Explained to her that she must attend fortnightly appointments. Gave her all the relevant forms to take home and read about DES services. Created an EPP. Samantha is looking for retail work. She has some experience in retail. Updated Samantha’s JSCI and made a future appointment for her.
Resources
For resources to assist in writing case notes, refer to:
• Lawrence, K.S. (2008) Guidelines for reporting and writing about people with disabilities (7th edn), Research and Training Center on Independent Living, University of Kansas (http://www.rtcil.org/products/RTCIL%20publications/Media/Guidelines%20for%20Reporting%20and%20Writing%20about%20People%20with%20Disabilities%207th%20Edition.pdf)
• Australian Association of Social Workers, ‘Ethical Guideline: Case Notes’ (http://www.aasw.asn.au/document/item/2356)
In addition, Disability Employment Australia has a toolbox available for members to access that contains a number of resources designed to assist DES providers in service delivery, compliance and engagement of participants. Information includes:
• Skills match tool • Person centred approach • DES contract quiz • Disclosure of disability
Refer to: http://disabilityemployment.org.au/members/operations/toolbox/?page=1
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1. Program entry
Quality documentation practices should be established and maintained to support effective program entry by participants. Program entry focuses on determining eligibility for DES programs – i.e. understanding, confirming and documenting eligibility.
In most cases participants are referred to the DES provider by an ESAt or JCA assessor. Referrals can also be made by Centrelink, DSS, Job Services Australia providers or by another DES provider.
A file must be set up on the ES IT System for the participant and, as a minimum, the information that must be entered into the ES IT System includes:
• Participant registration information (including identification of the participant as a Special Class Client where applicable)
• A record of attendance at the initial interview • A record of completion of the initial interview • An Employment Pathway Plan (including individualised contact schedule) • Confirmation of identity where it is a Direct Registration (Note: A CRN [Customer
Reference Number] must be recorded and where the person does not have a CRN, a shell record must be created by DSS)
Where such referrals have been made eligibility of the participant has already been determined, however, in the instance of a Direct Registration by a participant, the DES eligibility requirements need to be determined and fully documented.
Direct Registration – eligibility requirements
When a participant attends their initial interview with the DES Provider the DES employment practitioner must check and document the person’s eligibility to participate in DES programs.
In accordance with Clause 83 of the DES Deed, where a participant presents to a DES provider without a referral, the provider must undertake the following (Fig. 13).
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Figure 13: Program entry requirements for Direct Registrations
The eligibility criteria that a participant must meet and that must be documented by the DES employment practitioner so as to meet the claim payment requirements for the first 13 week period service fee include, the participant is:
• aged between 14 and 65 years of age • is an Australian resident • is not studying full time (unless the participant is an Eligible School Leaver) • is not working at or above their employment benchmark hours • participant has a CRN (where they do not, you need to arrange one through DHS).
The DES provider must record on the Direct Registration Form that proof of identify documents have been sighted.
Complete the appropriate resume summary fields of the EPP in the employment IT systems
Conduct an initial interview with the participant and commence the participant in the appropriate DES program services
DES provider confirms that the participant has a valid ESAt or JCA and commences (Note: where the participant does not have a valid ESAt or JCA, they are to be referred to DSS assessment services
for an assessment)
Confirm that the participant is not currently registered with another provider and that they meet the eligibility requirements by inputting the information into the Employment Services IT System
Complete Direct Registration Form, obtain proof of identity and determine whether participants meets the eligibility requirements
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Activity: Direct registration requirements
1. What do you need to do if an individual presents without a referral?
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2. Identify what the eligibility criteria for Direct Registration are?
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3. What information do you need to search for in the ES IT System to confirm that an existing Direct Registration does not already exist?
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4. Under what circumstances can a participant commence without a new Employment Services Assessment (ESAt) / Job Capacity Assessment (JCA)?
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5. What proof of identify do you required to confirm the identity of the participant?
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Activity: Eligible or not?
Consider the scenarios provided in the table below. In each instance:
• Determine whether the person is eligible to be commenced in DES • Explain why this is the case • Outline what evidence you’re required to gather and document to demonstrate that
the person has met the eligibility criteria
Scenario Eligibility Evidence Required A person with cerebral palsy wishes to access DES to help them into employment once they have finished university.
A young person with Down Syndrome who is currently studying in Year 12 wishes to seek after school work.
A person with mental illness employed full-time approaches you for assistance to keep their job.
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2. Assessment and planning
In the assessment, planning and employment assistance phase, disability employment services focus on:
• Establishing an individualised contact schedule and regularly meeting with the participant in accordance with the contact schedule and completing participation reporting requirements
• Developing and maintaining an Employment Pathway Plan to achieve an employment goal
• Identification of and referral to appropriate services • Keeping up to date file notes advising of contacts, progress, outcomes and review
and update of the EPP • Addressing the barriers and interventions identified in the ESA/JCA over the period
of service.
All services delivered to participants should be delivered in such a way that their unique situation is understood and accommodated, i.e. it should take into account the type and nature of their disability, their caring arrangements, age, culture, skills and experience etc. These individual aspects of the participant’s situation should be reflected in the services identified and offered to the participant to meet their needs and the records that are kept as part of the assessment and planning process.
The barriers and interventions identified in a participant’s ESAt / JCA must also be reviewed and addressed during the participant period of service. The interventions identified can be included in the participant’s EPP. The interventions can form part of the participant’s employment goal and can addressed in a step-by-step process. Where barriers are not addressed, practitioners should record as a file note the reasons why this is the case. Barriers can be addressed during a participant’s Employment Assistance or Post Placement Support phase, depending on the nature of the intervention required and how the intervention will support the participant to achieve sustainable employment.
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Contact requirements
DES providers must conduct contacts with participants face-to-face and they deliver the mandatory minimum number of contacts as required in the DES Deed, that is:
Disability Employment Service Type Contact Requirements For participants receiving Employment Assistance and Extended Employment Assistance
Six contacts over each period of three months.
For participants receiving Post Placement Support
Regular contact, as deemed appropriate by the DES provider.
For participants receiving Ongoing Support in employment
Flexible Ongoing Support: As required, but only six contacts / instances of support over six months within a 12 month calendar period are claimable. Moderate Ongoing Support: Six contacts over each period of three months. High Ongoing Support: Twelve contacts over each period of three months.
Figure 14: Minimum contact requirements
The DES provider must deliver services to a level that is tailored to meet the individual needs of the participant. Depending on these needs, additional contacts may be required in addition to the minimum required contacts.
Some participants may require more intensive assistance and it may be appropriate for the DES provider to meet with those participants on a more regular basis in order to assess the various types of assistance needed to address any identified barriers.
The DES provider should also consider issues such as the participant’s requirements, current participation and goals when determining an appropriate contact schedule. The individualised contact schedule must be recorded in the participant’s Employment Pathway Plan (EPP) and this schedule should be referred to when arranging future appointments.
The DES provider must tailor each contact appointment to meet participants’ individual needs. Services to be delivered at each contact may include:
• Identification of and referral to appropriate activities and services • Discussion of job search activities and appropriate job vacancies—if included in the
EPP, the DES provider must discuss the participant’s job search efforts at each contact. This may include reviewing applications, or identifying appropriate vacancies.
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• Reviewing and updating the EPP • Reviewing progress and outcomes and recording information in file notes • Reviewing the appropriateness of activities the participant has engaged in and the
skills that they have developed as a result of these activities • Recording referrals to jobs and job interviews and the outcomes of these referrals –
in particular, where the participant was not successful, outline reasons why and what can be done to improve success
• Organising assessments to determine a participant’s limitations or abilities, such as functional capacity evaluations or physical assessments.
The DES provider must record contact results in the ES IT System. As part of recording the result of the contact, the DES provider must confirm that the contact was conducted face-to-face. In exceptional circumstances, contacts may be conducted by phone, however, the DES provider must record the exceptional circumstance for a phone contact on the participant’s record.
In terms of Participation Reporting, where a failure to maintain the contact schedule has occurred, you will need to record in the ES IT System details of the attempts to contact the participant.. Where the decision is made to undertake compliance action the DES provider should, within two business days of the event, document in the Participation Report information relevant to the event/contact, including any relevant participation history. The Participation Report must be submitted to Centrelink.
Activity: Additional evidence
In addition to the evidence outlined above, what other evidence should be retained (either in electronic form or hard copy) where there has been a failure by a participant to attend a scheduled contact appointment?
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Employment Pathway Plan
The DES practitioner must create and regularly review an Employment Pathway Plan for the participant. The EPP should clearly outline the steps to be taken by both the DES provider and the participant to work towards a suitable employment goal.
The EPP should include:
• The frequency of contacts • The timing and details of vocational activities • The timing and details of non-vocational activities • Details of mandatory obligations • An identified employment related goal.
The first version of the EPP must be agreed with the participant at the initial interview and recorded in the ES IT System before the participant is commenced in DES. The EPP must be recorded with a status of ‘approved’.
At each contact appointment the EPP must be reviewed and updated, that is:
• Review of progress – seek to identify strengths and build employability skills and overcome barriers to employment. Barriers to employment can be identified in an ESAt or JCA report, or in the participant’s EPP. The DES provider needs to be aware of and develop a structured plan to overcome these barriers, which may include referrals to psychological and drug and alcohol counselling, or referral to appropriate training.
• Review and update the EPP— the participant’s EPP should be reviewed at each contact appointment to check that appropriate measures are being taken to achieve all of the activities and objectives agreed on. EPPs need to be updated as appropriate, for example, recording job search activities undertaken, if the participant’s circumstances or level of disadvantage change.
In relation to review and assessment, you will need to complete a Program Summary in the ES IT System when a participant:
• exits the DES program; or • is due for a Program Review at 74 - 78 weeks Period of Service.
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Identification of and referral to services
• Identification of and referral to appropriate activities and services—the DES provider should review the EPP and consider the following:
o Is the participant undertaking an activity? o Is the service or activity appropriate to the participant’s individual needs? o Would the participant benefit from participating in other activities?
Where a Skills Assessment is conducted the Skills Assessment must be uploaded in the ES IT System and the EPP must be updated with the outcomes of the assessment.
Activity: Initial service fee eligibility and evidence
In the following situations, (i) Is the DES provider eligible for service fee? (ii) What evidence is required?
Consider the following situations. In each instance:
• Is the DES provider eligible for service fee? • What evidence are you required to gather and document?
Scenario Eligibility Evidence Required Participant was referred to DES-ESS program by an ESAt with a 0 Benchmark.
Participant attended initial appointment. The participant has a mental health condition and is required to participate in job search. The ESAt has a recommended referral to Stream 4 with a JSA provider.
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Scenario Eligibility Evidence Required Participant referred to DES with Benchmark 15 hours but is currently working at a bowling alley and has been working there for three months.
Participant referred to DES by an ESAt with Benchmark 8 hours. Participant has cerebral palsy and is currently not working and looking for employment. Participant is currently receiving DSP.
Participant has been referred to DES by an ESAt but is also working with an ADE 7 hours per week. Benchmark has been assessed at 8 hours and the referral was made by an ESAt after a Direct Registration was conducted.
Direct Registration was conducted for a worker with a disability after the employer requested that the worker required assistance to keep their job.
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3. Job placement
Job placement is defined in the Job Placement and Job Placement Fees Guidelines as:
‘employment arranged by the provider for a Participant in a Vacancy that is not a Non-Payable Placement’.
A DES provider may claim a Job Placement Fee for placing a participant into a Job Placement, in which the participant achieves their Job Placement Hours within the required timeframe.
There are clear compliance requirements associated with job placement services and claims for job placement fees.
The following information must be entered into the ES IT System by the DES provider within 28 days of the Job Placement Start Dates record:
• The Job Placement Start Date • Details of the DES provider’s confirmation with the employer that the participant has
started the Job Placement. • Also within 28 days of the Job Placement Fee Date the following information must
also be entered into the ES IT System: • The Job Placement Fee Date • Details of the DES provider’s verification with the employer that the participant
has achieved the relevant Job Placement Hours in the Job Placement.
So what exactly do the ‘details’ mentioned above include in terms of providing supporting documentary evidence up which claims for service fees can be made?
In summary, the specific detail which must be contained in the documentary evidence includes a file note or a signed and dated written statement or email from the employer or participant that contains:
• The employer’s name • The date the participant started employment • The dates and hours worked each day (excluding breaks) • The name of the person who confirmed the employment details (i.e. either the
participant or person within the employer organisation) and their contact details • The DES provider's staff member who confirmed the information with the employer
and the date this information was collected. OR
• Copies of payslips covering the period including the Job Placement Start Date or the period where the Job Placement Hours were worked.
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Note: Where email is used, the employer or participant must be clearly identifiable as the sender in the email address and signature block. The signature block must also state the person’s name, their position, and the organisation.
The following diagram provides an overview of the record keeping requirements associated with job placement:
Job Placement Process Documentary Requirements 1. DES provider records
vacancy Record the vacancy and relevant details in the ES IT System. Details that must be recorded in the ES IT System include:
• The job title and vacancy description • The employer details • Type of vacancy • Work type (e.g. full-time, part-time) • The average hours per week • The client type (i.e. DES participant)
2. DES provider refers participant to a vacancy
• Enter into ES IT System the date the participant is referred to the vacancy (Note: A Job Placement Start Date can be backdated up to 28 days, but it cannot be backdated prior the date that the participant is referred to the vacancy)
3. DES provider confirms Job Placement
• Confirm the Job Placement by setting the Job Placement Start Date, i.e. the first day of the period in which the participant may work the hours required to make the Job Placement Fee available
• DES provider normally confirms the Job Placement once they have a reasonable expectation that the participant will achieve their Job Placement Hours
• To confirm a Job Placement in the ES IT System, you must: (i) select a Referral Result of ‘Place Confirmed’; and (ii) enter the Result Date, i.e. the Job Placement Start Date
• Monitor the participants hours of work over the next 10 consecutive working days
Anchoring the Job Placement
• You may also choose to start the Outcome Period by anchoring the Job Placement (Note: the placement must not be anchored unless
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Job Placement Process Documentary Requirements there is a reasonable expectation that the job will be for at least 26 consecutive weeks)
• The 13 Week Period for an Outcome Fee will not start until the placement is anchored
• A participant must not be moved into Post Placement Support until the Job Placement has been confirmed in the ES IT System
4. DES provider verifies Job Placement
• Verify a Job Placement on ES IT System by entering the Job Placement Fee Date (i.e. the date that the participant completed their Job Placement Hours) and the number of hours work
• Tick a placement verification statement
• If the participant has worked sufficient hours over 10 consecutive working days from the Job Placement Start Date to meet or exceed their Employment Benchmark, the DES provider may be able to claim a Job Placement Fee
• The DES provider must keep documentary evidence of the participant’s hours of work, which could include: (i) the date the participant started employment; and (ii) the dates and hours worked each day; or (iii) payslips
5. DES provider claims Job Placement Fee
• If the requirement for a Job Placement Fee have been met, the DES provider may claim a Job Placement Fee by completing the claim for payment in the ES IT System
Note: The DES provider can claim Job Placement Fees and Outcome Fees for placements which meet the relevant requirements, regardless of whether the placement was found by the provider or the participant.
Figure 15: Record keeping requirements associated with the Job Placement process
Important Note: The DES provider requires the participant’s written consent to contact their employer. This written consent should be retained in the case notes pertaining to the participant.
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Activity: Job placement fee eligibility and evidence
Scenario
Annette has been referred to your organisation with an Employment Benchmark of 15 hours. You have successfully placed Annette into suitable employment as an Administration Coordinator with Fancy Fine Furniture, a local furniture production company. The business operates from 9am to 5pm five days per week. Annette’s hours are six hours per day Monday to Thursday, i.e. 24 hours per week. Annette is classified by the company as a part-time permanent employee.
Annette commenced employment with Fancy Fine Furniture on Monday 8th May and worked on Monday and Tuesday 9th May for six hours each day. On Wednesday 10th May Annette only worked three hours and went home due to her health condition. Annette did not work on the Thursday 11th May either as she was still unwell.
Annette’s manager is not happy about Annette taking time off work but was understanding about the situation. Annette returned to work on Monday 15th May and she has continued working Monday to Thursday, six hours a day and she has remained in employment since.
Questions
What is the Job Placement Start Date that you would enter into the ES IT System?
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For how many days are you required to monitor the participant’s working hours?
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Did Annette work the Benchmark hours in the first 10 consecutive working days?
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What is the Job Placement Fee Date that you would enter into the ES IT System?
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What evidence are you required to keep on file to demonstrate that Job Placement Fee eligibility criteria have been met?
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4. Post placement support
The Post Placement Support (PPS) phase of the DES process focuses on providing participants with the necessary support and assistance to maintain and sustain their employment.
The frequency and level of support provided to the participant must be documented during the PPS phase as it is this information that will help determine whether the participant will require Ongoing Support after the 26 Week Outcome. For those participants receiving PPs, regular contact is provided as deemed appropriate by the DES provider.
The ES IT System automatically determines eligibility for the Full Outcome Fee and the Pathway Outcome Fee based on the information entered into the ES IT System by the DES provider.
For a Full Outcome the DES provider must retain documentary evidence which indicates that the participant:
• Remained employed each fortnight of the 13 Week Period or 26 Week Period and earned sufficient income for the participant’s basic rate of any income support payment to cease; or
• Remained employed each week and worked the minimum required hours in a 13 Week Period or 26 Week Period according to the participant’s Employment Benchmark.
(Note: For further information regarding Full Outcome requirements refer to Appendix 4: DES Outcome Determination Table.)
For a Pathway Outcome the DES provider must retain documentary evidence which indicates that the participant remained employed each week and worked the minimum required hours in a 13 Week Period or 26 Week Period according to the participant’s Employment Benchmark.
In order to claim the outcome fee, evidence must include a file note or a signed and dated written statement or email from the employer or participant (including where the participant is self-employed) and must contain:
• The name of the employer • The period of employment • The name of the person who confirmed the employment details (i.e. either the
participant or person within the employer organisation) and their contact details • The date the information contained in the file note was confirmed and the name of
the DES provider’s staff member who recorded the information.
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Alternatively, copies of payslips covering the whole of the 13 Week Period or 26 Week Period will provide the necessary evidence in place of the above.
Anchoring the PPS phase
When a participant has been placed into employment, the DES provider may select a date to anchor the PPS at any time after the Job Placement Start Date. Once the participant has been moved into PPS in the ES IT System, this then become the start date / anchor date of the 13 Week Period.
The anchor date may be the same date as the Job Placement Start Date or may be any date after the Job Placement Start Date, once the DES provider has determined that the participant is likely to meet the requirements of an outcome.
Activity: 13/26 week full outcome eligibility and evidence
Scenario 1: Victor
Victor commenced work with Widgets Co. as a Warehouse Assistant. His Employment Benchmark is 15 hours. As his case manager you have been monitoring his hours throughout the PPS period, particularly since Victor is a casual employee and his hours vary from week to week. For the four weeks he worked 25 hours per week. In the next two weeks he worked 15 hours each week, and then for the next six weeks he worked 12 hours a week.
Through your monitoring you have noticed the decline in Victor’s hours. You have spoken to Victor’s manager and she has indicated that Victor is having some difficulties completing some of the assigned tasks. Through specific interventions you have been able to make some adjustments and modifications so that Victor can competently complete the necessary work tasks and consistently work 20 hours or more a week. Widgets Co. was happy with the changes that had been made and Victor commenced working 20 hours per week from Week 13 and he has remained working these hours.
Document the hours Victor worked over the 13 Week Period.
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What were the average hours and the total hours Victor worked over the 13 Week Period?
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Can you claim a Full 13 Week Outcome?
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What documentary evidence would you need to gather and keep to claim an outcome?
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Scenario 2: Samantha
Consider the employment verification below for Samantha who has a Benchmark of 15 Hours. Samantha commenced work as a Retail Assistant with a pet store, Pets Galore.
Identify from the information provided whether this is acceptable documentary evidence to claim valid 13/26 week outcomes. 13 Week Outcome was claimed for the week ending 20/4/2014, and the client, Samantha, worked 196 hours. 26 Week Outcome was claimed at week ending 20/7/2014 for a total of 400 hours.
Notes:
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Employment Form Company Name: Pets Galore Contact Person: Tim
Address: Melbourne Telephone No.: 9999 8888 Employee Name: Samantha Smith Start Date 6/1/2014 Anchor Date 13/1/2014 Wage p/h $17.00 Award Retail Awards Week Week
Ending Hours Weekly
Gross Wages
PB Week Week Ending
Hours Weekly Gross
Wages
PB
1 12/1/14 15 255 18 11/5/14 15 255 2 19/1/14 15 255 19 18/5/14 15 255 3 26/1/14 16 272 20 25/5/14 15 255 4 2/2/14 18 306 21 1/6/14 20 340 5 9/2/14 20 340 22 8/6/14 22 374 6 16/2/14 15 255 23 15/6/14 15 255 7 23/2/14 10 170 24 22/6/14 12 204 8 2/3/14 0 0 A/L 25 29/6/14 15 255 9 9/3/14 15 255 26 6/7/14 15 255
10 16/3/14 12 204 27 13/7/14 15 255 11 23/3/14 0 0 S/L 28 20/7/14 15 255 12 30/3/14 15 255 29 27/7/14 15 255 13 6/4/14 15 255 30 14 13/4/14 15 255 31 15 20/4/14 15 255 32 16 27/4/14 15 255 33 17 4/5/14 15 255 34
13 Week Period: 6/1/2014 – 20/4/2014 26 Week Period: 21/4/2014 – 20/7/2014 Worker’s Confirmation
Name: Samantha Smith Name: Samantha Smith Signature: Samantha Smith Signature: Samantha Smith Date: 20/4/2014 Date:
Employer’s Confirmation Employer Name: Tim Employer Name: Tim Position: Manager Position: Manager Signature: Tim Signature: Tim Date: Date: 13/7/2014
DES Organisation Name: Evelyn Grace Name: Evelyn Grace Signature: Evelyn Grace Signature: Evelyn Grace Date: 20/4/2014 Date: 13/7/2014
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Activity: Outcomes Quiz
1. How many hours does a person with an 8 hour benchmark need to work over a 13 week period to be eligible for a pathway outcome?
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2. Write down the total number of hours required for Full and Pathway Outcomes at 13 weeks and 26 weeks for 8, 15 and 30 hour benchmarks:
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3. What is the difference between remaining in employment each week and working each week of a claim period?
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4. Does a person need to work an average of their benchmark hours in both the thirteen and twenty-six week periods?
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5. What type of participant can achieve full outcomes for education?
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5. Ongoing support
The Documentary Evidence Guidelines (page 28) lay out the information that must be entered into the ES IT System:
The decision and the reasons for making the decision where the DES provider:
• assesses a Participant for entry into Ongoing Support
• performs a Provider Exit from Ongoing Support
• changes the level of Ongoing Support for Employment Support Service Participants.
(Note: This information is to be recorded in the ES IT System, in the DES Participation Management screen, in the OS Level Change Reason section.)
It is important that this information is entered in the ES IT System, as there is potential for Ongoing Support fee recovery by DSS where the Deed and Documentary Evidence Guidelines are not adhered to.
Eligible participants can receive Ongoing Support for up to 52 weeks from the Anchor Date (this is the Anchor Date of the 26 week Employment Outcome). Any further support must be determined by an Ongoing Support Assessment (OSA).
It is the DES provider’s responsibility to initiate an OSA allocation in the ES IT System for a participant they determine requires Ongoing Support.
At the interview with the Ongoing Support Assessor the case manager will need to provide documents that support the level of Ongoing Support provided to the participant and any information that could be considered relevant to the assessment. The evidence that should be recorded by the DES provider / case manager and provided to the assessor may include, but is not limited to:
• Details of instances of flexible ongoing support provided to the participant, including contact schedule
• File notes that provide details of contacts, including the date, time and method of contact, reason/s for each contact and the outcomes or results of each contact
• Details of the number of hours and the type of support provided • Employment Pathway Plan • Reports and assessment from medical professionals • Invoices and receipts • File assessments that have been completed by the DES provider • Observation records
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• Information from interviews with the participant and other key stakeholders such as parents, carers, advocates, employers etc.
The Ongoing Support Assessor uses these documents and information to complete a detailed report on the participant and this report will be submitted to DSS on the ES IT System.
Where Ongoing Support is provided, after each contact the case manager must update the participant’s Employment Pathway Plan. The file notes must also be completed by the case manager where:
• The level of Ongoing Support changes – each change must be discussed with the participant and recorded in the ES IT System
• The Ongoing Support provided to the participant is temporarily suspended, e.g. annual leave or sick leave from employment
• Ongoing Support is no longer required.
Where further periods of Ongoing Support are required after the initial period, a notice board message will appear in the ES IT System when a participant has reached:
• 48 weeks from the Anchor Date of the 26 Week Employment Outcome, or • It has been 48 weeks or 74 weeks since the participant’s last Ongoing Support
Assessment.
This notice board message provides a reminder to the case manager to review the participant’s progress and determine whether further Ongoing Support is required. It is the DES provider’s responsibility to initiate an Ongoing Support Assessment Allocation in the ES IT System.
Further information on Ongoing Support
For further information on the evidence requirements associated with providing Ongoing Support you should refer to the following documents available on the ES IT System:
• Documentary Evidence for Claims Payment Guidelines • Ongoing Support Guidelines • Ongoing Support Fee Guidelines
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Activity: Flexible ongoing support fee eligibility and evidence
Case study
Alice has been successfully placed into employment by her DES provider working as an Administration Assistant for Franklin Community Centre.
Alice had been unemployed for five years prior to her employment with Franklin Community Centre. She had been referred to her DES provider with a Benchmark 15 Hours. Alice experienced anxiety and depression which was exacerbated by her unsuitable living arrangements making her reliant on her ex-husband. Alice also has chronic pain from a back injury due to a car accident.
The DES provider spent a significant amount of time developing Alice’s confidence and providing vocational training to enable her to enter the workforce.
Her Administration Assistant role at Franklin Community Centre is permanent part-time 25 hours per week. Alice was quite anxious about starting her new job due to being out of the workforce for a number of years.
Over the next six months of Alice’s employment, there were a number of supports, interventions and contacts put in place by the DES Provider to assist Alice to work towards independence in the workplace.
In summary, the support, intervention and contacts during Alice’s Post Placement Support phase of assistance were as follows:
Day one of employment:
DES Provider attended on site at Franklin Community Centre to assist the employer with Alice’s induction. Alice was quite nervous on her first day and was determined to make a really good impression. The DES Provider assisted Alice to complete all the relevant paperwork regarding her tax file number and bank account details, explain her meal breaks, meet the staff and go over her job description. The DES provider spent an hour with Alice providing this support and this eased her anxiety levels.
Time: 1 hour
Week two:
John, Alice’s manager, called the DES Provider seeking assistance with setting up Alice’s workstation to enable her to work comfortably. Her back condition has been exacerbated and they want to make sure she is as comfortable as possible at work. The DES provider made an appointment to come out the next day to assess Alice’s work station.
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The DES Provider attended the worksite the next day and spent an hour with Alice. The intervention provided was as follows:
• Readjustment of her desk • Ergonomic chair to be purchased • Foot stool • New keyboard so that she can rest her wrists comfortably and it assist her to
maintain her posture
Time: 1 hour
Week three:
The DES Provider made an impromptu visit at Franklin Community Centre to see how things are going with Alice. The DES Provider sat with the John, Alice’s supervisor, and had a general chat.
Time: 1 hour
Week six:
The DES Provider called John and spoke to him on the phone to get confirmation of Alice’s hours of employment in order to update the employment verification form. John reported that Alice was going well and that the modifications that were put in place for her are helping. Alice has not reported any further issues with her back. John also reported that Alice has settled into the workplace and is getting along with other staff members really well.
Time: 30 minutes
Week eight:
Alice came into the DES Provider. Alice was quite anxious. Her employment consultant sat down with her for a chat. Alice explained that she made an error with her work when doing data entry and entering financial figures. She hasn’t approached John about this and does not know what to do. Alice fears that there may be repercussions and her job may be in jeopardy.
After discussing at length with Alice the error she has made, the employment consultant assured Alice that it was just a minor error. They discussed ways that she could go back and fix the error, and provide her manager with a new report citing the error that was previously made and with the new correction.
Time: 1 hour
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Week thirteen:
The DES provider dropped into Franklin Community Centre with an employment verification form for John to sign confirming Alice’s work hours. John signed the form and confirmed that Alice was doing well. The employment consultant spoke to Alice as well and she appeared to be happy. Alice stated that she was really enjoying her job and the people that she works with.
Time: 1 hour
Week sixteen:
John called and stated that there appears to be a change in Alice’s behaviour recently. John asked how he could approach Alice without causing her any anxiety. John also stated that Alice’s work has been exceptional and that he is just concerned that she may be losing focus. The DES Provider informed John that he should have a conversation with Alice in his office to ensure that she is comfortable and to ask her how she is finding the workload and whether she needs any support. A private conversation should allow Alice to speak freely.
Time: 30 minutes
Week eighteen:
Alice came into the DES provider office. Alice discussed with her employment consultant that she has been feeling highly anxious and she fears that it may be affecting her work. Alice indicated that she enjoys her job however she does not want her employer to know that she is anxious. The employment consultant discussed the prospect of counselling with Alice. Alice had agreed to attend counselling. The DES provider has agreed to pay for six counselling sessions to assist Alice with her anxiety.
Time: 1 hour
Week twenty-two:
The DES Provider dropped into Franklin Community Centre to observe Alice in the workplace. She spoke to John, Alice’s manager, and John stated that he is happy with Alice and sees her working for the Community Centre for a long period of time. The employment consultant spoke to Alice only briefly as she was quite busy, Alice stated that work has been going well and she has no issues.
Time: 1 hour
Week twenty-six:
The DES Provider went to Franklin Community Centre with an employment verification form to have it signed by John confirming Alice’s hours of employment. No issues were reported by either John or Alice. Alice appears to have settled in well in the workplace.
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Time: 1 hour
Other:
During the course of PPS, there were a number of phone calls between Alice and her employment consultant, particularly during the early stages of her employment with Franklin Community Centre. These phone conversations mostly focused on:
• keeping track that everything was going well in the workplace • determining whether Alice had any concerns, and • tracking her employment hours over the claim period.
Total hours of the phone conversations over 26 week period: 4 hours
The DES Provider had claimed the 26 week outcome successful based on a written statement from John verifying that Alice worked the required hours to achieve Full Outcomes.
Since the final outcome has been claimed, Alice needs to move into Ongoing Support.
Questions
Identify what were Alice’s barriers to employment:
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Level / type of ongoing support and reasons that this level of support is required:
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Support requirements:
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Method of support (phone, face to face, workplace visit):
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Support required to other parties (e.g. employer, family):
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Other relevant information / considerations:
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What evidence does DSS require to be recorded in the ES IT System to ensure the claim for Ongoing Support Fee is applicable?
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Activity: Contractual quiz
1. How many hours of actual support must be provided to a worker during the PPS phase to determine whether Flexible Ongoing Support is needed post 26 week outcome?
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2. Can a participant’s level of Ongoing Support be upgraded should their level of support requirements change without a new Ongoing Support Assessment being undertaken?
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3. When would a participant require a referral to an Ongoing Support Assessor after the 26 week employment outcome has been claimed?
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4. What evidence can an Ongoing Support Assessor request from a DES Provider to determine a participant’s level of Ongoing Support requirements?
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5. How many hours of support must be accumulated for a DES Provider to claim one instance of Flexible Ongoing Support? How can the hours be accumulated?
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6. How many contact hours of support does a DES Provider need to accumulate over the last six months of a participant’s PPS period to allow for Moderate Ongoing Support level?
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7. Provide five examples of support that can be delivered during a participant’s ongoing support phase:
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8. A participant who is receiving Ongoing Support has a break in employment due to a Christmas shutdown thus not requiring OGS assistance during this period. What action must the DES provider take?
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9. When can a DES Provider exit a participant who is in Ongoing Support?
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Topic 4: Monitoring and continuous improvement of program delivery
Topic introduction
The final topic of this training program considers the practical aspects of monitoring and evaluating compliance and facilitating continuous improvement of program delivery. It looks at the compliance monitoring and improvement process and provides strategies that can be used to assist in monitoring, evaluation and continuous improvement.
Monitoring and evaluating compliance
Developing a culture which embraces compliance is essential to ensure effective compliance occurs. There are five basic elements for compliance monitoring:
Figure 16: Elements of compliance monitoring and improvement
Process
Frequency
Approach
Documentation
Taking Action
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Implementation of an effective compliance monitoring and improvement program, which is linked into senior management, helps to demonstrate to the DSS that the DES provider has the right compliance mindset and capability.
Compliance monitoring and improvement needs to be rigorous, ongoing and well documented. Ensuring that these five basic elements are in place is a step in the right direction.
1. Compliance process
The DES provider needs to comply with the DES Deed and the DES guidelines and any other regulatory requirements.
The DES Deed and guidelines advise what it is that your organisation needs to comply with. From this, organisational policies and procedures and business practices can be developed, used and maintained to ensure the DES provider effectively complies with the DES Deed and guidelines.
So how will you know that staff are properly following these policies, procedures and business practices and that program delivery is compliant? This can in part be achieved by regularly conducting compliance testing (along with providing regular information and training for staff).
The compliance testing / monitoring process should check to see whether the policies, procedures and business practices are working as intended, and also identify where there are issues or deficiencies. By testing the veracity of policies, procedures and business practices on a regular basis you will be able to build a compliance profile and demonstrate to auditors that your organisation is endeavouring to comply with all rules, regulations and requirements.
As an example, just a few of the strategies that can be used to monitor and evaluate compliance by DES operational staff include:
• Adherence to reporting requirements • Review / audit file notes to ensure compliance and quality documentation practices
(refer to Appendix 5 for an example of an audit form used for the purposes of auditing file notes)
• Random sampling of compliance documentation • Internal audit of procedures and business practices • Evaluation of compliance related policies to confirm adherence by staff members • Review of participant feedback and complaint / issue registers to identify any
systemic issues.
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2. Frequency of monitoring
How often should compliance monitoring and review be conducted? Monthly? Every six months? Annually?
A risk assessment should be conducted to help you determine the required frequency of compliance monitoring. Through understanding the nature, likelihood and impact of risks / non-compliance you will gain a better understanding of whether the risk is high, medium or low. This in turn will help determine just how regularly particular risks need to be monitored. For example, a simple risk assessment could include the probability of failure of case managers to record participant eligibility criteria in the ES IT System and the impact that would result as a consequence of this failure.
As a guide, high risk areas should be monitored and reviewed regularly, say on a monthly basis, medium risk areas should be monitored and reviewed quarterly, and low risk areas, at least once a year.
The above is a guideline only and it is highly likely that there are other factors that will need to be considered before you make a decision about how regularly to monitor and review specific compliance related DES activities, policies, procedures and business practices.
Activity: High, medium or low risk?
Consider each of the following DES program delivery activities and rate the risk – i.e. the likelihood and impact if non-compliance occurs and the overall risk to the organisation. Based on the risk, state the frequency of monitoring required.
Instructions:
1. Rate the likelihood out of 10 using the scoring method provided below.
2. Rate the impact out of 10 using the scoring method provided below.
3. Calculate the resultant risk: Likelihood + Impact ÷ 2 = Overall Risk (e.g. 7 + 8 = 15 ÷ 2 = 7.5, therefore risk can be rated as a ‘Medium’ risk).
4. Determine required monitoring frequency.
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Scoring Method:
High (H) risk 10 9 8
Medium (M) risk 7 6 5
Low (L) risk 4 3 2 1
(Note: The above risk scoring is a guide only. If you choose to use such a risk scoring methodology for your own organisation it would need to be developed / customised to suit your organisation’s particular circumstances. The scoring method used here is for training purposes only to help you categorise risks.)
DES Program Delivery Activity
Likelihood of Non-compliance
Impact of Non-compliance
Overall Risk (H, M, L)
Monitoring Frequency
Direct Registration of Eligible School Leavers
Instances of flexible ongoing support
Direct Registration
Employment Outcomes
Pre-existing employment
Employment Pathway Plans
3. Approach
A methodical approach to compliance monitoring and improvement should be adopted. This can be achieved by using a checklist of compliance tests / monitoring requirements, categorising them into various DES program delivery areas or categorising them according to DES Deed requirements and guidelines prescribed by DSS.
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Select an approach that is most suitable to your organisation’s operations. Regardless of whatever compliance monitoring and improvement approach is selected, the approach should be rigorous, methodical and documented.
This requires that you and others in the organisation have a good working knowledge of:
• Key contractual requirements associated with own role and responsibilities and those of the work group
• Organisational policies and procedures pertaining to contract compliance • Relevant legislation and regulations – DES Deed and guidelines • The principles of duty of care, ethical behaviour, anti-discrimination and natural
justice • The implications of non-compliance • Compliance monitoring process • DSS audit processes • Continuous improvement processes.
4. Documentation
Take a moment to think about:
• What compliance monitoring and improvement documents does your organisation use?
• What compliance monitoring and improvement records does your organisation keep?
Documenting the results of compliance monitoring and improvement, and keeping a record of this documentation, is critical to effective compliance with the DES Deed and guidelines. Without an audit history, there is little evidence to show the DSS auditors that your organisation is consistently ensuring that it meets the Deed and guidelines. That is, there is no ability to demonstrate to the DSS that you have been complying and continuously improving your services.
5. Taking Action
As a result of the monitoring of compliance it is quite likely that there will be areas identified where improvements to policies, procedures and business practices can be made. Alternatively, there may be follow up points and further queries arising as a result of the compliance monitoring. It is good practice to:
a) document any follow up actions and improvements required; b) prioritise these follow up actions and improvements, including assigning
appropriate personnel to take action / make improvements, and establishing a
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timeframe in which these actions / improvements will be undertaken; and c) take necessary action as required.
The importance of having a compliance monitoring and improvement program is apparent – without such a program, you are unable to demonstrate compliance on a consistent basis over a period of time.
Activity: Aligning monitoring activities to DSS identified areas of risk
Each year, the DSS identifies and publishes the key areas of risk to DES program integrity. These are the risks that will be subject to contract monitoring and/or program assurance projects during the year.
What does your organisation do to ensure that its governance and procedures in relation to these areas of risk is in place and working effectively?
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Continuous improvement
As well as meeting mandatory compliance requirements, DES providers need to think beyond minimum requirements and benchmarks to continuously improve the services that they deliver.
This requires taking steps to continuously improve the DES provider’s compliance related systems, processes, communications by:
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• Developing action plans to improve delivery of program services (refer to the Improvement Plan Template provided below as an example of an action plan)
• Implementing actions plans to ensure progressive improvement of compliance, and • Monitoring and evaluating improvements to ensure they achieve the desired
objectives.
Consider the following action plan which provides an example (and a useful template) of how a DES provider can implement a continuous improvement initiative to improve contractual compliance.
Example action plan: Performance Improvement Plan
PERFORMANCE IMPROVEMENT PLAN KPI 3 - QUALITY Current State: Improvement Goals (SMART – Specific, Measurable, Achievable, Realistic, Time-bound)
Strategies (actions to achieve goals)
Indicators (measures of improvement)
Responsibility Timeframe (implement – review – report)
What goals have been identified to address the issues?
What will be done to achieve the identified goals?
How will progress towards the goal be measured?
Who is primarily responsible for this action?
What is the timeframe for action and review?
Increase star ratings and percentile rankings
Regularly monitor KPI results Regularly review and adjust other strategies (including timeframes) as required in response to KPI results
Upwards trend in KPI results Reports – DES KPI Measures – Outcomes Rates Health check report
DES Manager (Action Lead) DES Team Leader
Strategies implemented by (DATE) Indicators to be reviewed by Action Lead (FREQUENCY) Improvement to be reported by (DATE)
Figure 17: Action plan example and template
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An example improvement goal is provided in the table above, other useful examples of improvement goals that may be relevant include:
• Improve efficiency in recording employment anchors • Improve diary usage • Improve identification and recording of services and training strategy to help
participants find and keep employment • Review current suspended participants • Increase marketing competency and activity • Increase range of referral and placement strategies used • Improve knowledge of the local labour market and improve networks with
employers.
Examples of improvement strategies that may be relevant include:
• Develop a placements tracking spreadsheet • Train all employment practitioners in diary usage, and include as a performance
indicator • Ensure future appointments are made at every contact • Train employment practitioners in EPP usage, and include proportion of clients with
an EPP as a performance indicator • Ensure all EPPs contain activities linked to employment • Review all suspended participants for possible early participation • Develop employment practitioner skills in reverse marketing • Randomly review case notes, and discuss alternative strategies • Include labour market intelligence sharing in regular team meetings
Activity: Continuous improvement strategies
Reflecting on what you have discussed and learnt in this training program, identify an improvement that you would like to implement in your workplace to improve contractual compliance. Develop an action plan (using the Performance Improvement Plan template provided on the following page) for this improvement goal.
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PERFORMANCE IMPROVEMENT PLAN KPI: Current State: Improvement Goals (SMART – Specific, Measurable, Achievable, Realistic, Time-bound)
Strategies (actions to achieve goals)
Indicators (measures of improvement)
Responsibility Timeframe (implement – review – report)
What goals have been identified to address the issues?
What will be done to achieve the identified goals?
How will progress towards the goal be measured?
Who is primarily responsible for this action?
What is the timeframe for action and review?
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Appendixes
Appendix 1: Employment Services Code of Conduct
Appendix 2: Sanctions Framework – Attachment B: Guide to possible sanction action
Appendix 3: DES Client Information Page
Appendix 4: DES Outcome Determination Table
Appendix 5: Example of a file note audit template
Appendix 6: Performance Improvement Plan template
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Appendix 1: Employment Services Code of Conduct
Employment Services Code of Practice
Organisations contracted to deliver Australian Government funded employment services have agreed and are committed to observe the Employment Services Code of Practice. This Code of Practice sets out the principles and standards that underpin the delivery of employment services and other services to increase employment outcomes and participation in economic activities in Australia especially for disadvantaged client groups.
We commit to working with our clients, employees, sub-contractors, and other providers to deliver quality employment services by:
• Ensuring staff have the skills and experience they need to provide quality and culturally sensitive services to job seekers, employers and local communities
• Working in collaborative partnerships with stakeholders and communities to identify needs and how they can be met
• Behaving ethically and acting with honesty, due care and diligence • Being open and accountable • Avoiding any practice or activity which a provider could reasonably foresee could
bring employment services into disrepute • Sensitively managing any information collected
We commit to helping each job seeker find their pathway into employment by:
• Meeting the Service Guarantees • Tailoring assistance to the job seekers’ personal circumstances, skills, abilities and
aspirations • Using available Government funding appropriately to support job seekers • Treating every job seeker fairly and with respect • Providing a fair and accessible feedback process
We commit to assisting employers meet their skill and labour shortage needs by:
• Working with employers to identify job and industry specific training needs and how they can be met
• Referring the most appropriately qualified and experienced job seekers available • Providing a timely response to employer inquiries
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The Australian Government will support employment services providers in achieving these standards by:
• Evaluating and sharing best practice to enable continuous improvement in the delivery of employment services
• Providing a Customer Service Line on free call 1800 805 260 for job seekers who can not resolve any concerns or problems they have with their provider. Clients of Disability Employment Services can also contact the free Complaints Resolution and Referral Service on 1800 880 052
• Providing an Employer Hotline on free call 13 17 15 for businesses to access providers
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Appendix 2: Sanctions Framework – Attachment B: Guide to possible sanction action
Min
or b
reac
h
Sugg
este
d sa
nctio
ns
Educate and discuss processes of concern with the Provider include: • Suggest the Provider review internal processes; • Promote the use of available resources and educative aids such as EA reporting,
guidelines available on the Provider Portal, Job Aids, and the Learning Centre; • Inform the Provider of mechanisms available to DEEWR to monitor Provider
behaviour; and • Inform the Provider of the consequences of further deed breaches. Impose additional obligations, for example additional reporting requirements or the requirement to train staff about contractual requirements.
Sign
ifica
nt b
reac
h
Sugg
este
d sa
nctio
ns
Require the Provider to develop and implement strategies (including training) to prevent recurrence of a breakdown in internal processes, deed breaches, and recovery actions Require the Provider to undertake and provide evidence of independent or self-audit activities. Impose additional conditions on payments of fees or use of Employment Pathway Fund (EPF) including restricting the use of EPF funds. Require supporting documentary evidence to verify the legitimacy of claims made by the Provider. Moderate reduction in business share that reflects the magnitude of the breach, including the transfer of job seekers. This includes the removal of any business allocated through a purchasing or business reallocation exercise. Withhold the Provider’s Star Rating from publication and identify the reason for withholding. Defer payments in this ESA until documentary evidence proves legitimacy.
Suspend further referrals to the Provider pending evidence of independent audit or rectification of breach or other agreed action.
Impose additional obligations, for example additional reporting requirements or the requirements to train staff about contractual requirements.
Maj
or b
reac
h
Sugg
este
d sa
nctio
ns
Major reduction in business share that reflects the magnitude of the breach, including the transfer of job seekers. This includes the removal of any business allocated through a purchasing or business reallocation exercise.
Reduce business to zero for an ESA.
Note – Subject to acting reasonably and in a legally sound manner, there is flexibility to adopt multiple sanctions from across breach categories – e.g. to reduce business share for a major breach and impose additional reporting requirements on the Provider for a significant breach. Flexibility is required to reduce the risk to the Commonwealth and respond to Provider-specific issues.
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Appendix 3: DES Client Information Page
DES CLIENT INFORMATION PAGE PARTICIPANT COMPLIANCE
DISABILITY EMPLOYMENT SERVICES PARTICIPANT COMPLIANCE GUIDELINES Assess Participants • Referral for an
Employment Services Assessment (ESAt)
• Remote Jobs and Communities – Employment Services Assessments
• Job Seeker Classification Instrument (JSCI)
Referring Participants to Disability Employment Services • Direct Registration • Referral and
Commencement • Eligible School Leaver • Job in Jeopardy
Assistance • Permanent Address • Connections for Quality • Disability Management
Service - Special Class Clients
• Disability Management Service Participants Not Receiving Income Support
• Section 23 Recovery of Disability Management Service Costs
• Department of Human Services
Commencing Participants in Disability Employment Services • Period of Service • Employment Pathway
Plan • Funding Level Tool • Contacts • Transfers
Employment Programmes • Wage Connect • Local Connections to Work • Move 2 Work • New Enterprise Incentive
Scheme Concurrency with Disability Employment Services
• Harvest Labour Services
Employment Assistance • Employment Pathway
Plan • Notification • Service Fees • Period of Service
Skills Development • Australian
Apprenticeships Access Programme
• Work Experience Activities for Disability Employment Services
• Incident Management and Reporting for Work Experience Activities for Disability Employment Services
• Risk Assessment for Disability Employment Services Work Experience Activities
• Skills for Education and Employment Programme (SEE)
• National Training
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Entitlement • National Workforce
Development Fund • Investing in Experience
Skills Recognition and Training
Post Placement Support • Job Placement and Job
Placement Fee • Documentary Evidence for
Claims Payment • Outcomes • Wage Subsidy • Criminal Records Checks • Moderate Intellectual
Disability Loading • Employment Pathway Plan • Wage Connect
Ongoing Support • Ongoing Support
Assessment • Ongoing Support • Work Based Personal
Assistance • Employment Pathway
Plan
Servicing Milestones and Exits • Program Review • Employment Pathway
Plan • Program Summary • Outcomes • Exits
Employment Assistance and Other Services • Employment Assistance
Fund • National Disability
Recruitment Coordinator (NDRC)
• Supported Wage System Assessment
• Job Access • National Panel of
Assessors • Hearing Services • Legal Assistance Services • National Harvest Labour
Information Service
Participant Groups and Measures • Disability Support
Pension Measures • Training Places for Single
and Teenage Parents • Helping Young Parents
Measure • Supporting Jobless
Families • Pre-release Prisoners • Homeless Job Seekers • Career Advice • Job Loss & Labour
Adjustment Packages • Culturally and
Linguistically Diverse
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Appendix 4: DES Outcome Determination Table
Employment Outcomes
Cohort BM Full Pathway
Earn
ings
NSA / YA (Other)
Any Remains in employment each fortnight of the claim period (13 or 26) and generates sufficient income to reduce benefit by 100%
n/a
Pathway claims are hours based
Employment outcomes can be verified through earnings OR by hours worked. Refer to Documentary Evidence Guidelines.
Hour
s Bas
ed
Any 8
Remains employed each week of the claim period and:
Works a minimum of 104 hours in 13 consecutive weeks or 208 hours in 26 consecutive weeks
n/a
Any 15
Remains employed each week of the claim period and:
Works a minimum of 195 hours in 13 consecutive weeks or 390 hours in 26 consecutive weeks
Remains employed each week of the claim period and:
Works for a minimum of 10 hours and less than 15 hours per week on average in 13 or 26 consecutive weeks
Any 30
Remains employed each week of the claim period and:
Works a minimum of 390 hours in 13 consecutive weeks or 780 hours in 26 consecutive weeks
Remain employed each week of the claim period and:
Works for a minimum of 20 hours and less than 30 hours per week on average in 13 or 26 consecutive weeks
Job in Jeopardy
8
Remains employed each week of the 26 week claim period and:
Works their normal employment hours or appropriate active employment (min. 8 hours per week)
n/a
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Education Outcomes
2 Full Outcomes (13 and 26) are available after the semester end dates entered in ESS, not after 13 and 26 weeks. No 26 Week
Education Pathways.
Cohort BM Full Pathway
Aust
udy
Abst
udy
YA
22+ n/a n/a Completes one semester of a single qualification course of two or more semesters in duration
15 –21with Year 12
n/a n/a Completes one semester of a single qualification course of two or more semesters in duration
Under 22 (or ATSI) with No Year 12
n/a Completes one semester of a single qualification course of two or more semesters in duration
n/a
A full-time course > 12 months is approved by Centrelink. Providers approve courses < 12 months only if a legitimate QEC for
the cohort.
All O
ther
Pay
men
ts
Under 22 (or ATSI) with No Year 12
8
15
30
Completes one semester of a single qualification course of two or more semesters in duration on a part-time basis during which the participant remains in employment and:
Works an average of 8 hours per week over the semester or satisfies the requirement for a pathway outcome (whichever is greater based on benchmark)
n/a
22 + n/a n/a
Completes one semester of a single qualification course of two or more semesters in duration that meets the requirements for a Qualifying Education Course
15 – 21 with Year
12 n/a n/a
Completes one semester of a single qualification course of two or more semesters in duration that meets the requirements for a Qualifying Education Course
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Under 22 (or ATSI) with No Year 12
n/a
Completes one semester of a single qualification course of two or more semesters in duration that meets the requirements of a Qualifying Education Course (QEC)
n/a
Principle Carer
Parent n/a
Completes one semester of a single qualification course of two or more semesters in duration on a part-time basis (min. 30 hours a fortnight) and meets requirements of a QEC for a PCP
n/a
Principle Carer
Parent
(PCP)
15
Completes one semester of a single qualification course of two or more semesters in duration on a part-time basis that meets the requirements of a QEC for a PCP during which the participant remains in employment and:
Works an average of 20 hours and studies 10 hours each fortnight of the semester
n/a
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Appendix 5: Example of file note audit template
File Audit # 1 TOTAL SCORE FOR FILE: %
Auditor: Employment Practitioner
Branch:
Date:
JSID: Participant Name: Claim Date:
Program:
Program Phase:
Phase:
Claim Amount:
Weeks in Program:
DOES FILE CONTAIN (Mandatory)
Is the registration form on file and completed in full?
2
Direct Registration Form (completed for directly registered jobseekers only)
2
Does the Participant have a CRN recorded on ES IT System?
Has the DSS Privacy Form been signed by both parties?
2
INITIAL APPOINTMENT (Mandatory)
Was an EPP completed and signed?
4
Does the EPP contain Compulsory Activity Codes?
8
Do file notes reflect services offered to the Participant?
4
EMPLOYMENT ASSISTANCE / EXTENDED EMPLOYMENT ASSISTANCE (Choose correct Phase)
Have fortnightly face to face appointments been made?
6
Has an appropriate assessment been completed identifying strengths and barriers of Participant?
5
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Was the EPP reviewed at each appointment?
8
Is the Participant referred / engaged into suitable activities that meets their goals as set out in the EPP?
6
Are the activities reflected in the EPP?
4
Do file notes reflect servicing of Participant?
5
ONGOING SUPPORT
Is the Participant attending the required amount of face to face contacts? ####
Is there an appropriate level of support provided to the Participant to reflect their Ongoing Support level? ####
Has an EPP been updated to reflect activities in Ongoing Support? ####
At each contact, do file notes reflect what support has been provided? ####
TOTAL %
ADDITIONAL INFORMATION (Mandatory)
If DMS job seeker, was a Workers Compensation status documented in file notes and on ESS? 2
If receiving workers compensation, is their evidence of a CAF in the job seeker’s file? 4
If JiJ registered, is there evidence to support reasons recorded? 3
If ESL registered, is there evidence to support this classification? 3
If Participant is not engaging, is there evidence to support attempts to engage? 5
Does the Participant have a future appointment? 5
If a JSCI has been conducted, has the JSCI been signed and original kept on file? 0
Are there appropriate file notes recorded to reflect the JSCI? 0
Do file notes match appointments in the ESS Diary? 5
Number of DNAI appointments for this job seeker? nil
Number of Participation Reports (including CR) submitted for this job seeker? nil
Do file notes show a reasonable explanation of why a Participation Report was or was not submitted? 5
TOTAL %
Comments:
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Appendix 6: Performance Improvement Plan template
PERFORMANCE IMPROVEMENT PLAN KPI: Current State: Improvement Goals (SMART – Specific, Measurable, Achievable, Realistic, Time-bound)
Strategies (actions to achieve goals)
Indicators (measures of improvement)
Responsibility Timeframe (implement – review – report)
What goals have been identified to address the issues?
What will be done to achieve the identified goals?
How will progress towards the goal be measured?
Who is primarily responsible for this action?
What is the timeframe for action and review?
