3. Provider Servicing Standards

Supporting Documents for this Chapter

Supporting Documentssign-in required (sign-in required)

• Disability Services and Inclusion Act (Cth) Code of Conduct

• National Standards for Disability Services

• Disability Services and Inclusion (Compliance Standards and Alternative Compliance Requirements) Rules 2023

• Inclusive Employment Australia Audit Scheme

• National Standards for Disability Services – Self Assessment Worksheets

• Inclusive Employment Australia Service Guarantee

• Accredited certification bodies for Inclusive Employment Australia

• Department of Social Services Complaints Form

This Chapter outlines various standards Providers are required to adhere to in delivering Services under their Deed.

The Code of Conduct under the Disability Services and Inclusion Act 2023 (Cth) and the Service Guaranteesign-in required (sign-in required) aim to ensure each Participant receives a high-quality service.

The requirements of the Code of Conduct are core expectations about Provider practices for all disability support and services.

As the service is legislated through the Disability Services and Inclusion Act 2023 (Cth), Providers are required under the Code of Conduct to:

• act with respect for the individual rights of people with disability to freedom of expression, self-determination and decision making, following applicable laws and conventions

• respect the privacy of people with disability

• provide Services in a safe and competent manner, with care and skill

• act with integrity, honesty and transparency

• promptly take steps to raise and act on concerns about matters that may change the quality and safety of the provision of the activity to people with disability

• take all reasonable steps to prevent and respond to all forms of violence, exploitation, neglect and abuse of people with disability, and

• take all reasonable steps to prevent and respond to sexual misconduct.

Providers must prominently display Code of Conduct and Service Guarantee promotional Material in each of its offices and on its website at all times.

Non-compliance with the Code of Conduct will constitute a Breach of the Deed which may result in the Department taking remedial action against the Provider, which could include suspension of Payments or Referrals, or termination of the Deed.

The Service Guarantee specifies the minimum Services each Participant can expect to receive from their Provider.

(Deed Reference(s): Clause 110 and 111)

The National Standards for Disability Services (NSDS) promote and drive a nationally consistent approach to improving the quality of services. They focus on rights and outcomes for people with disability.

The NSDS, outlined in the Disability and Inclusion (Compliance Standards and Alternative Compliance Requirements) Rules 2023, are the compliance standards for regulated activities under the Disability Services and Inclusion Act 2023 (Cth).

Inclusive Employment Australia is considered a regulated activity of the Disability Services and Inclusion Act 2023 (Cth). Organisations receiving Funding under this deed must obtain and maintain a Certificate of Compliance against the NSDS.

Inclusive Employment Australia Providers must be certified against all 6 standards in the NSDS for the first accreditation audit in a 3-year cycle. This 3-year cycle is supported by annual surveillance audits conducted within 12 and 24 months of receiving accreditation.

Eligible Providers can access funding through the Capacity Building Fund to help with the cost of the audits. More information about this funding can be found at Chapter 2: Provider Capability and Capacity.

To obtain a Certificate of Compliance, Providers will have an audit undertaken with an accredited certification body. Audit requirements will be detailed in the Inclusive Employment Australia Audit Schemesign-in required (sign-in required) document. The Scheme outlines how certification bodies undertake audits and the timeframes for first audit and reviews.

Certification bodies are accredited by the Joint Accreditation System of Australia and New Zealand (JASANZ).

Audit Process

Step by step process for initial audit to obtain a Certificate of Compliance:

• Step 1. Start the process

Prepare for your audit by reviewing your organisation’s structure, policy and procedures following your contractual requirements.

Resource: National Standards for Disability Services – Self Assessment Worksheets.

• Step 2. Choose a certifying body

Select a certification body and negotiate a contract for them to conduct your audit. Liaise with them to arrange the start of your organisation’s auditing activities.

Resource: The Accredited certification bodies for Inclusive Employment Australiasign-in required (sign-in required) document available on the Provider Portal.

• Step 3. Planning your certification audit

Provide your auditor with your organisation's policies and procedures as requested to help a stage 1 audit. Discuss any logistical needs for your on-site stage 2 audit.

Resource: Supporting Documents for NSDS.

• Step 4. Prepare for your on-site certification audit

Liaise with certification body about on-site audit activities, including sampling. Negotiate on-site visit dates and prepare Participant involvement in audit, including obtaining consent.

• Step 5. Follow up actions

If identified, address nonconformities (NCs) within the required timeframes. Major NCs must be resolved within 3 months and minor NCs within 6 months of the audit assessment.

The decision on certification must be made no later than 15 months after the date the Determination is signed. Certification cannot be issued whilst there are unresolved NCs.

Provide feedback to staff, Board and Participants to facilitate continuous improvement.

• Step 6. Receive Certificate of Compliance

After your on-site certification audit, the auditing team will provide your organisation with a draft written report for your review. The final report and certification decision must be provided to your organisation and the Department.

If the decision is to certify, then your Certifying Body will issue your organisation a Certificate of Compliance, which is valid for 3 years.

• Step 7. Send Certificate of Compliance

Once you receive your Certificate of Compliance send a copy to the Department along with your final audit report.

The Provider organisation must take part in a surveillance audit to keep their accreditation under the NSDS. A full re-certification audit must be completed within 36 months of the first certification date.

Annual surveillance audits (surveillance 1 and surveillance 2) are conducted against NSDS standards 1, 3 and 6 and at least one other standard that is chosen by an accredited certifying body. Provider organisations must take part in surveillance audits to maintain their certification against the NSDS.

Providers should follow this step-by-step process during the 3-year certification cycle in order to maintain certification:

• Step 1. Undertake surveillance 1 audit

  • Undertake surveillance 1 audit within 12 months of the last day of the on-site component of the certification audit

  • Address any NCs identified in the audit, and

  • Send a final copy of the Report to the Department.

• Step 2. Undertake surveillance 2 audit

  • Undertake surveillance 2 audit within 24 months of the certification audit, and within 12 months of the last day of the on-site component of the surveillance 1 audit

  • Address any NCs identified in the audit, and

  • Send a final copy of the Report to the Department.

• Step 3. Undertake recertification audit

  • Address any NCs identified in the audit

  • Finalise recertification, including resolving any NCs, before the current Certificate of Compliance expires, and

  • Send a final copy of the Report and new Certificate of Compliance to the Department.

(Deed Reference(s): Clause 98.3)

In response to the Royal Commission into Institutional Responses to Child Sexual Abuse, the Australian Government developed the Commonwealth Child Safe Framework (CCSF) policy that sets out the minimum standards for Child safe practices within Commonwealth entities. The Commonwealth response includes a commitment to require any institution it funds to undertake Child-related work to adopt the National Principles for Child Safe Organisations (National Principles).

Where the CCSF is relevant, the Department has included Child Safety clauses into Deed. As specified in the Deed, Providers must undertake a range of actions to ensure child-safe standards and practices are available and implemented. Amongst other things, Providers must follow applicable Working with Children Laws, obtain Working with Children Checks where needed, and implement the National Principles (including to undertake a risk assessment, provide training and ensure compliance).

Providers must certify compliance annually with the Child Safety clauses. The Department will provide a Child Safety Provider Declaration each year, which Providers must complete and return by 31 March of that year.

While the Department acknowledges that child safety-related laws differ between the States and Territories, Providers operating in multiple jurisdictions are responsible for ensuring they comply with those laws and have processes and policies in place complying with those laws and their Personnel are aware of their obligations under those laws.

Providers can refer to the Australian Human Rights Commission's (AHRC) Child Safe Organisations website for a list of state and territory child safety links, practical tools and resources to help implement the National Principles for Child Safe Organisations, including free e-learning modules developed by the AHRC to help in training Provider Child-Related Personnel. Resources are also available from State and Territory governments in relation to compliance with Working with Children Laws.

While delivering Services, Providers may identify concerns they have about a Child or Children, whether they are a Participant or not. Providers must ensure these concerns are actively and appropriately managed in line with their policies and procedures, the National Principles and relevant legislation in the State and Territory jurisdictions they operate in, including those requirements relating to mandatory reporting in those jurisdictions.

Providers must notify the Department if there are any failures to comply with the Child Safety Obligations along with any actions taken to manage impacts to the Child(ren).

(Deed Reference: 22)

Providers must set up, and publicise to Participants, the existence and details of a feedback process about its performance and Services, including Complaints.

Providers must keep a Customer Feedback Register which includes, at a minimum, the following information:

• Customer Name

• Customer DOB

• Customer Contact Details

• Date of Feedback

• Time of Feedback

• Brief Summary of Feedback, and

• Actions Taken, if any.

(Deed Reference(s): 36-38)

Providers must have internal policies and processes to manage Participant feedback and Complaints. Feedback and complaint resolution should be managed at the provider level in the first instance. Providers must:

• explain feedback and complaint processes to Participants on initial Contact, including potential Participants upon first Referral to, or on Direct Registration with, the Provider and to Participants at any time upon request

• ensure copies of feedback and complaints policies and processes are made available to Participants or other relevant users upon request

• ensure all feedback and complaints received are investigated appropriately by a senior staff member

• ensure all other feedback received is dealt with appropriately and positive feedback is also provided to relevant employees

• effectively communicate to the Participant that their complaint may be referred as necessary to either the Provider, the Department or the CRRS for investigation

• effectively communicate the outcome and actions of any investigation to the complainant and, if requested by the Department, to relevant entities such as the Customer Resolution and Referral Service (CRRS)

• assess whether a complaint relates to the Code of Conduct and, if it does, promptly inform the Department of the Complaint

• refer a Participant who is dissatisfied with feedback or complaint resolution to the CRRS in the first instance – 1800 880 052, and

• refer a Participant who would like to transfer to a different Provider to the National Customer Service Line (NCSL).

The Complaints Resolution and Referral Service (CRRS) is an independent service funded by the Department to provide an independent, fair, impartial, and nationally accessible complaints resolution and referral service for people with disability who use Inclusive Employment Australia or Advocacy Services. This is funded through the Disability Services and Inclusion Act 2023 (Cth). Providers must actively help the CRRS to resolve complaints reported to the CRRS. The CRRS is focused on local level resolution and will contact Sites in the first instance to ensure feedback and complaints are rectified at the source.

When engaged by the CRRS, Providers must:

• actively help in its investigation of the matter

• engage in negotiating a resolution including, where needed with other authorities, if the relevant Participant has chosen to utilise other legislative or administrative complaints mechanisms

• not withhold Services from a Participant who provides feedback or makes a complaint, or discriminate against a Participant because of feedback or a complaint, and

• record CRRS recommendations for service improvements and implement relevant recommendations or otherwise provide reasons to CRRS or the Department why the recommendations have not been implemented.

If a Participant does not find resolution directly with their Provider or via CRRS, they may submit a formal complaint to the Department. Participants can submit complaints to the Department by:

• completing an online complaint form

• sending an email to complaints@dss.gov.au

• sending a letter to DSS Feedback, GPO Box 9820, Canberra ACT 2601

• calling the Feedback Coordination Team (FCT) on 1800 634 035 – when calling outside of business hours (9am-5pm Canberra time), callers have the choice of leaving a voicemail to receive a callback within 2 Business Days

• calling TIS National on 131 450 for languages other than English, or

• speak and listen on 1300 555 727 then ask for 1300 362 072.

When the Department is investigating feedback or a complaint, Providers must:

• actively help in the Department’s investigation of the matter

• engage in negotiating a resolution of the feedback or complaint, including, where needed with other authorities, if the relevant Participant has chosen to utilise other legislative or administrative complaints mechanisms, and

• not withhold Services from a Participant who provides feedback or makes a complaint or discriminate against a Participant because of feedback or a Complaint.

Provider Feedback and Complaints

If the Provider wishes to provide feedback to the Department, the Provider must, in the first instance, provide feedback to their Account Manager. A Provider’s Account Manager will consider all feedback and complaints received from their Provider and respond as appropriate.

If the Provider is not satisfied with the Account Manager’s response to the Provider’s feedback or complaint, the Provider may request the Account Manager to refer the matter to an appropriately senior Department officer. The Account Manager will then refer the matter to an appropriately senior Department officer for consideration and response as appropriate.

If the Provider continues to not be satisfied with the Account Manager’s response to the feedback or complaint, the Provider can submit a formal complaint to the Department by:

• completing an online complaint form

• sending an email to complaints@dss.gov.au

• sending a letter to DSS Feedback, GPO Box 9820, Canberra ACT 2601

• calling the Feedback Coordination Team (FCT) on 1800 634 035 — when calling outside of business hours (9:00 am to 5:00 pm Canberra time), callers have the choice of leaving a voicemail to receive a callback within 2 Business Days

• languages other than English on 131 450 to access TIS National, or

• speak and listen on 1300 555 727 then ask for 1300 362 072.