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Community Service Standards for Approval Introduction These Standards for Approval are produced by the Ministry of Social Development (MSD) for the approval of Level 2, Community Services, approved under section 403(1) of the Children, Young Persons and their Families Act 1989 (CYP&F Act 1989). The purpose of Standards for Approval As part of the quality assurance role the Ministry of Social Development produces Standards for Approval which are designed to ensure that community organisations seeking formal approval status from the Ministry have the quality, management and administration of the services they provide, assessed against consistent standards that meet legislative requirements. Approval under these standards allows the Ministry to consider funding approaches from the programmes, although the Ministry will not necessarily negotiate or enter into contracts simply because the organisation is approved. The standards are separated into: Business viability standards that relate to an organisation’s capacity to provide a service to its clients Programme quality standards that relate to an organisation’s ability to provide a service to its clients. Guidance The standards are also produced with guidelines which are designed to assist providers determine how they might demonstrate compliance with the standards. The Business Viability Standards are applicable to all services the organisation delivers. Each organisation seeking approval will be assessed against these standards and will be expected to review their business systems to reflect any significant changes to the scope of services they provide. These standards do not apply to organisations seeking approval as a: Level 3 Community Service Level 4 Social Service Iwi Social Service Pacific Island Cultural Service Elder Abuse and Neglect Prevention and Coordination of Intervention Services Out of School Care and Recreation (OSCAR) Service. Details about the approvals process are available from the Approvals Team Leader for each region. Contact information is listed on the application form which can be accessed on the Ministry's website at www.msd.govt.nz Community Services | Standards for Approval Level 2 Level 2

Community Service Standards for Approval · Community Service Standards for Approval Introduction These Standards for Approval are produced by the Ministry of Social Development (MSD)

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Page 1: Community Service Standards for Approval · Community Service Standards for Approval Introduction These Standards for Approval are produced by the Ministry of Social Development (MSD)

Community ServiceStandards for Approval

Introduction These Standards for Approval are produced by the Ministry of Social Development (MSD) for the approval of Level 2, Community Services, approved under section 403(1) of the Children, Young Persons and their Families Act 1989 (CYP&F Act 1989).

The purpose of Standards for Approval

As part of the quality assurance role the Ministry of Social Development produces Standards for Approval which are designed to ensure that community organisations seeking formal approval status from the Ministry have the quality, management and administration of the services they provide, assessed against consistent standards that meet legislative requirements.

Approval under these standards allows the Ministry to consider funding approaches from the programmes, although the Ministry will not necessarily negotiate or enter into contracts simply because the organisation is approved.

The standards are separated into:

• Business viability standards that relate to an organisation’s capacity to provide a service to its clients

• Programme quality standards that relate to an organisation’s ability to provide a service to its clients.

Guidance

The standards are also produced with guidelines which are designed to assist providers determine how they might demonstrate compliance with the standards.

The Business Viability Standards are applicable to all services the organisation delivers. Each organisation seeking approval will be assessed against these standards and will be expected to review their business systems to reflect any significant changes to the scope of services they provide.

These standards do not apply to organisations seeking approval as a:

• Level 3 Community Service • Level 4 Social Service • Iwi Social Service • Pacific Island Cultural Service • Elder Abuse and Neglect Prevention and

Coordination of Intervention Services• Out of School Care and Recreation

(OSCAR) Service.

Details about the approvals process are available from the Approvals Team Leader for each region. Contact information is listed on the application form which can be accessed on the Ministry's website at www.msd.govt.nz

Community Services | Standards for Approval Level 2

Level 2

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Community Services Business Viability Standards

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has clearly identified:

1.1 Its general philosophy, value base

Guidance

The organisation will have documentation in place which clearly states its philosophy and value base.

These may include:

• Constitution/Trust Deed/Rules• mission/vision statements• statement of organisational aims• promotional information about the agency including advertising,

pamphlets and posters.

1.2 The scope of its services

Documentation clearly describes the scope of each service or programme. These may include organisational or service/programme plans which outline:

• the targeted client group/s • geographical area covered• the range of services/programmes offered • timelines.

1

Philosophical BaseThe organisation uses a clearly defined philosophical base to determine the services it will provide.

BUSINESS VIABILITY STANDARD 1

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1.3 Its goals for its services

Documentation clearly describes the goals of the service or programme. These may include:

• strategic plan• business/annual plan• service plans/proposals• pamphlets and promotional information about the services or

programmes• goals are measurable and flow from the organisation’s philosophy

and value base• stated purpose of each service/programme aligns with intended

organisational goals.

1.4 Its intended outcomes for clients

Documentation clearly describes intended outcomes for clients/children/young people. These may include:

• programme and service plans• service/programme specific policies and procedures• stated purpose of each service/programme aligns with intended client

outcomes• outcomes are measurable and flow from the organisations philosophy

and value base.

The organisation has described how the services it provides fit with its general philosophy/value base, defined scope of service, goals for its services and intended outcomes for clients.

Guidance

The organisation will be able to demonstrate that:

Policies and procedures:

• are consistent with the organisation’s philosophy and value base• align with relevant legislation and contractual requirements,

e.g. reporting abuse as required by the CYP&F Act 1989• are consistent with organisational structure and capability.

Processes are in place to ensure that services fit with the organisations philosophy and value base. Evidence of these may include:

• internal and external audit reports• business reports to the governing board• management reports on the organisation’s capacity and structure• evidence of governing body’s involvement in the development/

authorisation of policies and procedures• evidence of strategies for meeting identified goals • annual and quarterly performance reports• measurement and monitoring systems to ensure regular analysis of

client outcomes.

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BUSINESS VIABILITY STANDARD 2

Prevention of abuse of children and young people The organisation is committed to the prevention of abuse of children and young people.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

The organisation will have the following in place:

• written Abuse Prevention Policy• clear process for staff to follow if they are concerned about the safety or

wellbeing of a child which includes the requirement for cases of suspected abuse to be reported to Child, Youth and Family (CYF) or the police.

Criteria

The organisation promotes awareness of child abuse, the unacceptability of child abuse, ways in which child abuse may be prevented, and the need to report cases of child abuse.1

Guidance

The organisation will be able to demonstrate that they promote awareness of and the unacceptability of child abuse. Evidence may include:

• publications such as posters, brochures promoting unacceptability of child abuse and family violence, behaviour management, ‘time out’, positive parenting choices

• education programmes which focus on positive parenting, positive behaviour management, feeling safe/keeping safe

• evidence of linkages with other agencies such as police, CYF and non-government organisations working to prevent child abuse.

Client files will contain evidence that:

• the client has been advised that when there are concerns about abuse and neglect, staff will report their concerns

• written evidence of client understanding of the information or explanations given.

Staff files will contain evidence of:

• staff induction training on the organisation’s process for abuse prevention and reporting

• staff training on the recognition of and responses to the signs of abuse.

1 Child abuse means harming (whether physically, emotionally or sexually), ill-treatment, abuse, neglect or deprivation of any child or young person. (CYP&F Act 1989 section 2 (1) as amended 1994.)

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Evidence of ongoing focus on the need to prevent and report cases of child abuse may be contained in:

• minutes of staff meetings where information on abuse is refreshed/updated

• notes of clinical or internal supervision meetings• notes from case conferences or multidisciplinary meetings• notes of meetings and discussions with other agencies involved with

the child such as Plunket, pre-school educators, schools, doctors, health providers, CYF etc.

The organisation has a process for dealing with allegations of abuse or situations that raise concerns about the safety of a child or young person.

2.1 The process covers how the organisation makes referrals under section 15 of the CYP&F Act 1989 and includes guidelines on how to make referrals

Guidance

“Section 15: Reporting of ill-treatment or neglect of child or young person – Any person who believes that any child or young person has been, or is likely to be harmed (whether physically, emotionally or sexually), ill-treated, abused, neglected, or deprived may report the matter to a Social Worker2 or a member of the Police.”

Child protection policies and procedures must describe:

• processes to ensure that children/young people who use the organisation’s services are aware of who to contact and are supported to make contact in the event of harm or threat of harm

• organisational processes for dealing with allegations or situations that raise concern about the safety of a child/young person, including allegations against staff or volunteers (including caregivers)

• actions staff must take including consultation with management and supervisors, recording and reporting

• the process for reporting cases of harm or suspected harm to MSD or the police

• processes for recording issues of concern and notifications made such as incident register, child abuse file or child at risk register.

Documentation on file will include an acknowledgement of receipt of notification from CYF and follow up information.

Client, children and young peoples records

• children/young people files confirm prompt recording of reporting in accordance with organisation’ policy and procedure.

2 Social Worker is defined in the CYP&F Act 1989 as a Child, Youth and Family Social Worker.

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2.2 The process is consistent with ‘A guideline to assist voluntary agencies to develop a reporting protocol’ in Breaking the Cycle; Interagency Protocols for Child Abuse Management produced by CYF

Detailed policies and procedures will be in place relating to

• child abuse awareness• the unacceptability of child abuse and • ways in which child abuse may be prevented• the organisations processes for responding to and reporting

cases of child abuse.

All policies and processes will be consistent with Breaking the Cycle; Interagency Protocols for Child Abuse Management produced by CYF.

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BUSINESS VIABILITY STANDARD 3

Paramountcy of the Child and Young PersonThe organisation provides services which reflect the principle that the welfare and interests of the child or young person are the first and paramount consideration.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation provides services in a manner consistent with section 6 of the CYP&F Act 1989.

Guidance

“Section 6: Welfare and interest of child or young person paramount – In all matters relating to the administration or application of this act (other than parts IV and V sections 351 to 360) the welfare and interests of the child or young person shall be first and paramount consideration, having regard to the principles set out in section 5 and 13 of this Act".

The organisation will be able to demonstrate that:

Policies and procedures are in place:

• describing positive and preventative approaches to behaviour management/minimisation of need for use of protective behaviour management and includes:

– children/young people’s assessments to determine the need for behaviour support and management interventions

– a behaviour support plan – interventions that may or may not be used.

• relating to the prevention, recognition, responses to and reporting of child abuse

• for consulting with the child/young person and their family/whānau when assessing needs, developing client plans, providing services or programmes.

Other information may be contained in:

• the organisation’s Children and Young Persons’ Charter outlining children/young people’s rights. Development of a children and young persons’ Charter should be based on the United Nations Convention on the Rights of the Child (UNCROC).

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• publications relating to positive behaviour management• programme/service rules including rewards/consequence system for

positive behaviour management• children/young people’s satisfaction surveys and programme evaluations• consultation with children/young people when developing initiatives;

for example children’s/young peoples’ forum.

Child/young person’s file will include evidence that:

• the child/young person has participated in the intake/assessment/planning processes, explanations and relevant information has been provided

• the child/young person’s signature or the signature of the parent or guardian when appropriate indicating child/young person’s participation in the development of the plan

• assessment includes identifying any risks to the child or young person and a related safety plan

• children and young people have had the complaint procedure explained to them

• records of responses to child/young person’s complaints and evidence that the child/young person’s views have been listened to.

Staff files will contain the information outlined out under Business Viability Standard 2 and will also contain evidence of:

• staff training in child/young person complaint processes, health and safety, positive approaches to behaviour needs

• staff and caregiver supervision records to demonstrate attendance at supervision sessions

• caregivers training programme includes behaviour management, child and young person complaint procedures, abuse prevention and health and safety

• staff induction programme provides staff with guidance on how to manage the risk of any unwarranted allegations of abuse.

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The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation provides services which clients consider are appropriate to their culture.

Guidance

The organisation should work to ensure services are culturally appropriate by:

• consulting with target group(s)• wider community support for the services (in addition to the target group)• accessing cultural networks• where appropriate, documents and records are translated.

The organisation will have a cultural safety policy and procedure in place which includes:

• details of processes the organisation uses to ensure work with clients is carried out in a culturally appropriate manner

• cultural safety training for all staff• consideration of the roles of whānau, hapū, iwi where children/young

people are Māori• consideration of the roles of Pacific Island children/young people’s

families and communities.

The organisation will be able to demonstrate that:

• they have established and maintain a list of cultural advocates, their contact details and referral forms

• strategic, business and service plans indicate data on ethnicity is used to design and deliver appropriate programmes and services

• processes are in place to ensure information the client has offered about his/her connections to whānau, hapū, iwi and marae and significant others is used as a resource in planning and delivering services and programmes.

Staff information will provide evidence that:

• provision is made for staff to access cultural supervision which includes: – access to Kaumatua – supervision contracts – invoices for payment of supervision fees

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BUSINESS VIABILITY STANDARD 4

Cultural AppropriatenessThe organisation provides services which are culturally appropriate to clients.

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– job descriptions/performance appraisals include cultural safety competencies

– employment recruitment practices reflects the ethnic make up of the service/programme’s clients.

Client files contain evidence that:

• details of client ethnicity is recorded, including iwi/hapū affiliations where appropriate

• cultural assessments are undertaken and consultation with cultural advisors/experts has occurred where appropriate.

The organisation consults, and where appropriate for its services and for the needs of its clientele, negotiates protocols with iwi Social Services and Pacific Island Cultural Social Services that exist in the same area.

Guidance

The organisation will be able to demonstrate that:

• they have established and maintained relationships with iwi or Pacific Island Cultural Social Services

• referral protocols are in place with iwi or Pacific Island Cultural Social Services.

Client files will contain evidence of:

• clients being offered referrals to iwi or Pacific Island Cultural Social Services

• referrals made to iwi or Pacific Island Cultural Social Services where appropriate.

Evidence of appropriate links may be provided through:

• meeting records of liaison and or consultation meetings with iwi or Pacific Island Cultural Social Services

• the provision of information to clients relating to services provided by iwi or Pacific Island Cultural Social Services which may include pamphlets and promotional information or completed referral forms.

2

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BUSINESS VIABILITY STANDARD 5

Resolution of Complaints related to Service ProvisionThe organisation uses a process to resolve complaints regarding service provision.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has a formal process for receiving, considering and resolving complaints that is soundly based in law and consistent with the principles of natural justice.3

Guidance

Organisations will have a written complaints policy/procedure in place describing:

• details of the process for dealing with formal and informal complaints.• when the formal process is to be used• process for ensuring complainants, and the person complained about,

have the opportunity to make their views known or to answer allegations• escalation of serious complaints to governance• timeframes for feedback and resolution• documentation for example incident forms, complaint register• documentation of the involvement of the client and their family/whānau

or other representatives when appropriate.

Where services are provided to children and young people the complaint policy/procedure will also include:

• information on the complaint processes which is accessible to children/young people and provides them with age appropriate information about the process

• information on the child/young person’s right to have the support of an independent advocate

• details of how children and young people are involved in the resolution of complaints

• details of processes in place to ensure that children/young people are provided with appropriate information relating to advocacy, e.g. posters, brochures

3 Complaints may come from staff, clients or those associated with clients, e.g. family, friends or those who referred them or members of the public. In the case of Child and Family Support Services, they may also come from caregivers and those associated with them

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• provision for details of the child/young person’s Advocate or Counsel for Child to be recorded in the contact list

• provision for the organisation to maintain a register of child advocates and advocacy services.

The organisation ensures that its clients and staff are aware of the formal complaints process.

Guidance

The organisation will be able to demonstrate that:

• clients have been informed of the complaint process and how to make a formal complaint; information provided to clients is presented in a format that is appropriate to their age and level of understanding

• staff induction programme includes orientation to the complaints processes

• staff /caregiver contracts, work agreements identify complaint and grievance procedures.

Documentation may include:

• client information packs which include details of the complaint process• information included on forms used in the client intake process• sign off on client files indicating they have received and understood

complaint information• age appropriate information for children/young people, which describes

the complaints process, e.g. pamphlets and posters• details of the complaint process on the organisation’s website

(if applicable).

The organisation maintains records of all complaints and the formal application of the complaints process.

Guidance

Documentation may include:

• a current complaint register documenting all complaints and actions taken

• details of all recorded complaints/concerns included in regular management reports to governance

• full written details of all formal complaints, including: – copies of the original complaint – letters to the complainant – written records of any investigation of the complaint which may

include a written report from staff member/s involved, details of conversations, interviews or meetings

– details of complaint committee meetings (or similar) including decisions made

– written records of the outcome of the complaint – details of any actions taken in relation to the complaint for example

staff disciplinary processes – records of on-going regular analysis of complaints and action taken

on any identified organisational improvements.

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The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation’s staffing and staff relations policy and procedures comply with the relevant legislation.4

Guidance

Relevant legislation may include Employment Relations Act 2000, Minimum Wage Act 1983, Holidays Act 2003, Health and Safety in Employment Act 1992 and Amendments 2002, Human Rights Act 1993.

Organisations will have written Human Resource (HR) policies and procedures in place which align with and refer to relevant legislation including:

• job descriptions• employment contracts• volunteer agreements• induction, training and professional development appropriate to the role(s)• specific training programmes provided where services are provided to

children/young people with disabilities or special needs• support and /or supervision with time frames and type of supervision

detailed for roles• performance review and management• complaints/dispute/grievance resolution processes• staff disciplinary processes• conditions and procedures for termination, early retirement, resignation• standards of conduct and disciplinary procedures• leave• wages and working conditions• harassment policy and procedure • EEO policies and procedures • code of ethics• Privacy Act 1993 and its limitations in regard to the CYP&F Act 1989.

4 The relevant legislation includes the Human Rights Act 1993, Employment Contracts Act 1991 and the Privacy Act 1993.

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BUSINESS VIABILITY STANDARD 6

StaffingThe organisation has a sufficient body of qualified and competent staff both to deliver and to support the delivery of its services.

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The organisation includes in its definition of staff anyone the organisation relies on to deliver its services. This includes caregivers, volunteers and contractors as well as paid staff members.

Guidance

HR policy and procedures include:

• a definition of staff that covers all positions stated in this criteria• the definition of “volunteer” includes governance members and

management committee members.

The organisation has a clear, transparent and open process for recruiting and vetting staff. Vetting of staff is to include a police check for offences.

Guidance

HR policies and procedures include:

• recruitment and selection policy/procedures that comply with legislation regarding fair employment practices

• processes for the selection and vetting of volunteers• formal, recorded processes for verifying references and credentials • formal, recorded process for carrying out police vetting using the Police

Vetting Authority.

Recruitment information will include:

• the short listing process including grids/decision making tools, e.g. weighting selection tool

• written interview process including interview questions which comply with employment legislation

• details of the staff induction process, including information/training provided which is signed by the new staff member and the staff member overseeing the induction process.

Staff files will contain evidence of:

• written reference checks• completed application forms.

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The organisation does not employ any person in a paid or voluntary capacity, including management committees, who has a conviction for sexual crimes or for any offence involving the harm or exploitation of children.5

Guidance

HR policies and procedures will include:

• process for carrying out criminal history checks to determine the appropriateness of hiring prospective staff or volunteers

• processes that ensure regular reviews of criminal history checks process e.g two yearly checks.

Files will also include:

• completed criminal conviction checks for all staff, volunteers, management and governance and caregivers carried out through the Police Licensing and Vetting Centre

• CYF background checks (CYRAS) for all staff working with children/young people

• recording of the process followed if a potential staff member or volunteer has a criminal conviction covered under this criteria.

Unless there are exceptional circumstances, the organisation does not employ any person in a paid or voluntary capacity, including management committees, who has a conviction for crimes of violence against the person or dishonesty.

Guidance

HR policies and procedures include:

• process for carrying out criminal history checks to determine the appropriateness of hiring prospective staff or volunteers through the Police Licensing and Vetting Centre

• process for seeking an exemption from MSD to employ any candidate who has a criminal conviction of the nature described in this criteria

– process for documenting advice/decision from MSD in regard to employment

– process for recording details of any exemption, the decision on whether to proceed with employment (or not) and any safety procedures put in place to protect clients, including where this information will be stored for example staff file, recruitment file, other secure location.

5 Organisations need to be aware that some sexual crimes have subsequently been decriminalised; e.g. Homosexual Law Reform Act 1986. It is not the policy of the CYF that this requirement apply to decriminalised acts.

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The organisation has a written agreement of service with all staff, including volunteers, contractors and caregivers.6

Guidance

Staff files will include:

• a current employment agreement, volunteer agreement, contract for service, or fixed term agreement that complies with legislative requirements and is signed by the employee and on behalf of the organisation

• a written job description or details of the volunteer role.

The organisation provides adequate training, professional development and support for all staff.7

Guidance

The following documentation will be on file:

• records of completed induction training that include acknowledgment of reading understanding and agreement with all organisational policy and procedure

• evidence that staff are trained in child development, behavioural support techniques, disability awareness, child abuse reporting procedures and health and safety

• supervision records that demonstrate appropriate time frames, types of supervision attended and agreed focus

• supervision reports from external supervisors• staff training/professional development plans that relate to any issues

or areas of development identified as part of the performance appraisal process

• ongoing training records that record relevant and appropriate training occurring

• records of supervision and support provided to caregivers, including telephone contact records and meeting notes

• staff/volunteer/caregivers meeting records.

The organisation uses an effective performance management system for all staff.

Guidance

The following documentation will be on file:

• details of completed performance appraisals/reviews that identify strengths and weaknesses, goals for further development, and that lead to training plans for staff

• supervision records and reports, including notes of meetings and support conversations with staff

• details of any performance issues and measures taken to manage these.

6 The term caregiver includes: foster parent, foster caregiver, foster carer and carers, or any other term in use by the organisation to describe those who provide care for children and young people.

7 This includes induction and on-going training as well as supervision.

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BUSINESS VIABILITY STANDARD 7

Health and safetyThe organisation ensures that clients, staff and visitors are protected from risk.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation ensures that its premises comply with all legal requirements.

Guidance

Organisations will have written Health and Safety policies and procedures in place which align with the Health and Safety in Employment Act 1992 and the amendment to that Act 2002 (H&SE Act 1992).

Organisations will ensure any planned activities are carried out in accordance with Industry Standards.

The organisation provides and maintains a safe physical and emotional environment for all who enter its premises8 and any other premises that it uses for service delivery.

Guidance

Health and safety policies and procedures include:

• hazard identification processes which include a Register of all identified hazards and actions taken to mitigate any associated risks

• regular, recorded maintenance inspections of all premises and facilities the organisation uses to provide its services, including maintenance reports to management/governance

• regular, minuted Health and Safety meetings involving all appropriate staff• evidence that staff to young person ratios are considered when planning

activities and that these are appropriate to the nature of the activity and the ages and ability levels of the participants

• staff are appropriately qualified for any activities undertaken e.g. horse riding, rock climbing, kayaking

• physical environment meets the requirements of the H&SE Act 1992, including exits clearly marked, appropriately stocked first aid kits, disabled access etc

• staff induction programme contains health and safety component and records include sign off by staff member as completed

8 This includes any premises, such as foster homes, where children are placed.

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• appropriate numbers of staff have current first aid training and certification

• a Risk Assessment and Management System (RAMS) is in place to assess the risks of all activities and processes in place to mitigate any risks identified

• there is a detailed business continuity plan which meets the needs of the organisation, staff and any clients who may be using services

• for care placements see specific requirements detailed under that standard.

The organisation ensures the safety of any children being supervised on the premises while their parents or caregivers receive services.

Guidance

Policies and procedures include:

• processes to ensure children are appropriately supervised while their parents or caregivers receive services and include the provision of suitable play areas, toys and activities

• appropriate behaviour management processes• all staff working with children are trained in the use of appropriate

behaviour management techniques.

The organisation has safety and emergency plans for the evacuation of its premises and any other premises that it uses for service delivery.

Guidance

The organisation will be able to demonstrate that:

• up to date, appropriate emergency plans are in place for each of the premises they use to provide services

• evacuation plans are displayed• exit signs are displayed• regular evacuation drills are carried out and records are kept of the date

and time of the drill and record staff who were present, designated roles and any follow up actions required

• staff are trained in evacuation procedures• clients and programme participants being advised of emergency

evacuation procedures.

The organisation maintains a register of accidents and incidents of serious harm to staff, visitors and others in the workplace.

Guidance

This criteria may be evidenced through the following documentation:

• incident/accident registers.• process for recording and managing incident/accidents involving

serious harm• records of actions taken to prevent recurring issues relating to health and

safety• health and safety meeting minutes.

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The organisation notifies the Ministry of Business Innovation and Employment, Occupational Safety and Health (OSH) as soon as possible of any incident which falls within the definition of serious harm, as defined in the Health and Safety in Employment Act 1992, and provides written confirmation of the incident within seven days.

Guidance

The organisation will have policies and procedures in place to guide staff in the management of serious harm.

This criteria may be evidenced through the following documentation:

• incident/accident forms – prompts and or evidence for notification of serious harm

• health and safety meeting minutes• records relating to the notification of accidents and incidents of serious

nature to OSH.

The organisation ensures that its staff and caregivers do not use methods of discipline or control that involve physical or emotional punishment.

Guidance

The organisation will have behavioural management and discipline policies and procedures in place.

This criteria may be evidenced through the following documentation:

• behaviour support and management plans on the child/young person’s file

• records of staff and volunteer (including caregivers) training in behaviour management and de-escalation techniques

• caregiver manuals• care placement monitoring records• supervision records• staff, volunteer, caregiver meeting minutes.

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BUSINESS VIABILITY STANDARD 8

Management Structures and SystemsThe organisation has a clearly defined management structure and effective management systems.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has a defined and current legal status.

Guidance

Under Section 396 (3) of the CYP&F Act 1989, the Chief Executive of Child, Youth and Family can approve “any organisation or body whether incorporated or unincorporated” as a Child and Family Support Service.

Under Section 403 (1) of the CYP&F Act 1989, the Chief Executive of Child, Youth and Family can approve “any person, body, or organisation whether incorporated or unincorporated” as a Community Service.

The organisation will have documentation in place which clearly defines its legal status. These may include:

• Certificate of Incorporation• Trust Deed• Constitution• Charters• Company Registration• Organisational Rules.

The organisation has an appropriate and clearly defined governance and management structure,9 the written record of which shows authorities, responsibilities and accountabilities.

Guidance

The organisation will have documentation in place which clearly defines its management and governance structure. These may include:

• organisational chart describing the reporting lines and relationships between governance, management and all levels of staff

9 Governance refers to setting the parameters of the organisation, e.g. services to be provided, how the organisation will be managed, and the roles and responsibilities of managers. A governing body usually carries out this role. The management structure refers to the system of decision making within the parameters set by the governing body.

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• delegations document which describes authorities, responsibilities and accountabilities

• memoranda of understanding with organisations the organisation uses to provide services/programmes to clients

• job descriptions that clearly describe responsibilities, lines of reporting and accountabilities

• processes for monitoring senior management’s performance, including who has responsibility for carrying out performance appraisals and internal supervision

• role descriptions for all governance body members, including specific responsibilities of office holders and accountabilities.

Staff files for senior management members will include:

• job description/s which describe the required skills (competencies) experience, qualifications, responsibilities and accountabilities for the position(s)

• written details of all delegations to each management position• records of internal supervision with a member of the Governance body

or other suitable person• performance appraisals confirming monitoring of managers’

performance.

The organisation has a process for managing potential conflicts of interest between governance and management roles that ensure that each of those roles is carried out appropriately.

Guidance

The organisation will have a Conflict of Interest policy which includes:

• details of what may constitute a conflict of interest for members of governance

• process for declaring and managing conflicts of interest• recording the use of the policy• development and maintenance of a Conflict of Interest Register.

The organisation is governed by people with appropriate skills, qualifications and personal qualities.

Guidance

Records maintained by the organisation will include:

• trustee/board members résumé, ideal person specs, role description• performance reviews for each board role and the board overall• detail of board induction training for all new board members• records of training and development of individual board members and

the board as a whole• governance meeting minutes• annual reports.

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The organisation’s management systems, policies and procedures are consistent with:

5.1 Its legal status, constitution, rules, charter or Act of Parliament

Organisations will ensure that all policies and procedures are consistent with their founding documentation which may include:

• Trust Deed• Constitution• Rules• Charter• Act of Parliament.

5.2 The aims, philosophy and the scope of its activities

Organisations will ensure that all policies and procedures are consistent with:

• the philosophy and values of the organisation • the organisation’s founding document • strategic plan/business plan• service/programme plans• services offered reflect strategic direction and the philosophy and values

of the organisation• quality improvement plan/s.

5.3 Its management structure

Organisations will ensure that all policies and procedures are consistent with:

• its stated management structure• any requirements relating to the governance/management structure set

out in the organisation’s founding document.

5.4 Relevant legislation

Organisations will ensure that all policies and procedures are consistent with all relevant legislation. This includes (but is not limited to):

• Health and Safety in Employment Act 1992 and the amendment to that Act 2002

• Employment Relations Act 2000• Minimum Wage Act 1983, Holidays Act 2003• Human Rights Act 1993• Children, Young Persons and their Families Act 1989.

5.5 Contractual obligations

Organisations will ensure that all policies and procedures are consistent with their contractual obligations and that processes in place monitor compliance with the organisation’s contracts. Evidence of this may be contained in:

• management reports• management meeting minutes• governance meeting minutes • Annual General Meeting (AGM) and Special Meeting minutes• budgets• collection and collation of statistical information relating to contract

performance.

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BUSINESS VIABILITY STANDARD 9

Financial Management and SystemsThe organisation is financially viable and manages its finances competently.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation is solvent.

Guidance

Accounts show that the organisation has

• positive equity and/or that cash reserves exceed current liabilities• positive working capital• budgets for the upcoming year demonstrate that the organisation will

continue to have positive equity.

The organisation has a financial management system appropriate to the size and complexity of the organisation.

Guidance

Financial management systems must align with the organisation’s Trust Deed, Constitution, Rules or other founding documentation.

Financial policies and procedures will be in place and will include details of:

• the system for managing day to day financial processes• processes for financial reporting to management, governance, funding

organisations and other key stakeholders including annual report, business plan, monthly reports and governance minutes

• process for regular monitoring and recording of performance against budget

• internal financial controls, including the processes for approving expenditure, signing cheques, banking cash or cheques, management of on-line banking processes, segregation of duties

• details of how financial information will be recorded and maintained, e.g. computerised systems, manual cash book, spreadsheets etc

• levels of financial delegation• job descriptions confirm financial responsibilities and delegations.

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The organisation will be able to demonstrate that:

• financial processes meet contractual requirements of the organisation’s funding bodies

• the organisation is compliant with all legal requirements such as payment of GST and PAYE accurately and on time

• payroll procedures comply with the requirements of employment legislation tax legislation and the staff member’s employment agreement.

The organisation has an appropriate accounting system in use which produces accurate and timely financial statements.

Guidance

The organisation uses a financial accounting system which is appropriate for the size and complexity of the organisation, this may include the use of a computerised system, manual accounting system or spreadsheets.

The organisation will be able to demonstrate compliance with the following:

• financial processes are maintained up to date at all times• financial accounting systems are reconciled to bank statements regularly• accounts clearly identify all income sources • MSD funding must be shown as separate lines in the annual accounts• the governance body is provided with regular, timely and accurate

financial reports which are presented in a format that meets their reporting needs

• governance minutes demonstrate that financial reports are tabled, discussed and agreed as accurate

• information presented to the governance body includes reporting on budget variance, budget forecast, actual revenue and expenditure.

The organisation has arrangements for the regular independent audit of financial accounts.

Guidance

Organisations will be able to provide the MSD Approval Assessor with the following:

• Where the organisation receives $50,000 or more per annum from MSD – annual audited accounts – audit reports and auditors opinion – auditors letter.

The auditor is independent from the accountant/person who prepares the annual accounts.

• Where the organisation receives less than $50,000 per annum from MSD – annual financial accounts that have either been audited or reviewed

by an independent person who has suitable qualifications or experience provided that any audit requirements under the organisation’s constitution or contract agreements are met.

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The organisation undertakes forward financial planning (forecasting) to show that the organisation will remain financially viable.

Guidance

The organisation will be able to demonstrate that it has financial planning processes in place which help to ensure that the organisation remains financially viable.

Evidence of financial planning processes may include:

• budget planning procedures/processes including cash flow forecasting• financial summaries at least quarterly to evaluate expenditures against

revenues• governance meeting minutes indicate regular reviews of expenditure

against budget and processes in place to manage any potential financial issues identified

• funding calendar• annual budgets.

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BUSINESS VIABILITY STANDARD 10

Organisational MonitoringThe organisation ensures that policies and procedures are appropriate and effective.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome

Criteria

The organisation:

1.1 Regularly monitors the organisation’s individual policies and procedures

Guidance

Policies and procedures are in place relating to:

• ensuring that all of the organisations policies are regularly reviewed and updated if necessary

• ensuring that critical policies are reviewed frequently. Examples of critical policies include Paramountcy, Child Abuse and Complaints

• processes for updating any current or developing any new policies which outlines responsibilities for the process, including governance responsibilities.

Evidence of the monitoring of policies may include:

• schedule for regular review/update of policies• governance minutes indicate consideration of any new/updated policies• policies are signed and dated by the chairperson• a copy of new/updated policies• evaluation of processes following the use of a critical policy and

identification of changes to the policy/process that may be indicated as a result

• process for ensuring policy and procedure manuals are maintained up to date.

1.2 Regularly monitors its systems as a whole

The organisation will be able to demonstrate that systems are regularly monitored.

Evidence may be included in:

• regular staff reports to management• management and financial reports to governance• governance minutes indicate consideration, discussion and adoption of

management and financial reports• development and monitoring of Strategic Plan• development and monitoring of Business/Annual Plan• internal quality assurance processes and reports

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• development and monitoring of a quality plan which specifies management responsibility to develop, coordinate and monitor the organisation’s feedback systems

• evidence that recommendations from internal/ external processes for auditing organisational systems have been taken

• analysis of feedback from clients, referrers, funding bodies and other stakeholders.

1.3 Makes appropriate improvements based on the result of this monitoring.

The organisation will be able to demonstrate that.

• new policies have been developed• existing policies have been reviewed and updated• processes relating to service provision have been updated to take into

account identified improvements• programmes have been revised and content or process updated• internal processes have been updated and improved, for example

improved financial processes.

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Community ServicesProgramme Quality Standards

Service PlanningThe organisation ensures that services it provides are effective and responsive to client needs.

PROGRAMME QUALITY STANDARD 1

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has a process for planning the services it provides. This process includes:

1.1 Determining client overall characteristics, needs and outcomes

Guidance

Processes in place will include formal systems for:

• analysing the characteristics of the organisation’s existing and potential client group

• analysing the needs of the client group• determining the desired outcomes of the planned programme or service• recording details of all data considered and the rationale for conclusions

drawn and decisions made• developing formal, written plans for each proposed new service

and programme.

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1.2 Identifying requirements of funding bodies

Processes in place will include systems for:

• identifying the requirements of all current and potential funding bodies• assessing whether the organisation has the capacity/capability of

meeting funding bodies’ requirements, especially when considering potential new programmes or services

• aligning planned programme and service outcomes with funder’s requirements.

1.3 Determining structure, content, and staffing needs

Service and programme plans clearly identify:

• the type of services/programmes to be provided including: – overall aim of the service/programme – planned outcomes – session plans – details of all activities included in each session – frequency and hours of operation – average number of participating clients – age group of participating clients (i.e. adults/children/young people).

• appropriate venue/s• resources and equipment required for the programme• staffing levels required for safe operation (staff, client/children/young

people ratios)• staffing qualifications necessary for safe operation and the

responsibilities of each staff member• funding requirements.

How the organisation plans to ensure that adequate resources and equipment, as identified, will be made available for the running of the programme.

1.4 Deciding how it will ensure that the service it provides meets its objectives

The organisation will be able to demonstrate that:

• the service or programme has a clearly defined purpose or goals with measurable goals and objectives

• the purpose/goals/objectives of the service/programme help to meet the overall objectives of the organisation

• the scope of the services/programme contributes to meeting the overall objectives of the organisation including:

– the targeted client group/s – geographical area covered – the range of services/programmes offered – timelines.

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1.5 Deciding the programmes that will comprise the service

Formal processes are in place for reviewing the effectiveness and appropriateness of the services/programmes including:

• development and review of strategic plan which includes: – consideration of any changes in the demographic make-up of the

organisation’s client base and the environment in which it operates – consideration of the capability/capacity of the organisation to achieve

planned strategic outcomes – how planned new programmes/services or changes in service

provision fit with the overall objectives of the organisation – details of any strategic community partners or stakeholders that the

service/programme works with to deliver services – evidence of consultation with clients, whānau, funders, and other

relevant stakeholders.• Development and review of business/annual plans which

– align with the strategic objectives of the organisation – provide details of work that is to be achieved in the

short/medium term.

Service and programmes plans are documented describing:

• the purpose/aim of the service or programme with measurable goals and objectives

• the scope of the services/programme provided including: – the targeted client group/s – geographical area covered – the range of services/programmes offered – timelines.

The organisation makes changes to its services and programmes based on:

2.1 Feedback from clients and stakeholders

Guidance

Policies and procedures relating to evaluation are in place that specify:

• how feedback will be gathered from clients and other stakeholders such as family/whānau, referring agencies, funding organisations, government agencies

• how frequently each type of feedback will be sought• responsibilities for carrying out evaluations• processes for analysing evaluations against performance measures• processes for reporting the outcomes of evaluations to management,

governance and funding/accrediting organisations.

2.2 Changes in client profile and needs

Formal processes for analysing the organisation’s client profile and identifying any changes in client needs including:

• regular analysis of statistical information regarding the nature of the client base (e.g. ages, ethnicity, family make up)

• regular reviews of presenting issues at time of referral/intake• regular reviews of outcomes achieved, including the number of clients

who have completed their plans• regular analysis of the average length of time clients are involved with

the service.

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2.3 Regular review and evaluation of service and programme provision

Policies and procedures relating to evaluation are in place that specify:

• how overall evaluation of service provision is to occur• how evaluation of each aspect of service provision is to be carried out –

for example gathering client and stakeholder feedback• how frequently evaluation of each aspect of service provision and service

provision overall is to be carried out• written performance measures which are linked to programme

objectives and desired outcomes and include qualitative and quantitative measures

• processes and responsibilities for complaint analysis• processes and responsibilities for carrying out case record reviews.

The organisation, if it handles client’s money, ensures that it is handled appropriately and ethically.1

Guidance

Where an organisation handles client’s money policies and processes are in place to ensure:

• clear and transparent financial systems are in place to account for each individual client’s money

• if cash is handled it is appropriately receipted, stored and accounted for when it is used

• if assets such as cheque books or cash flow cards are held by the organisation these are appropriately receipted, stored and all usage is accounted for. Details of any PIN numbers are stored securely in a separate location to the card

• if the organisation places client money into a bank account in the organisation’s name:

– all deposits are to be into a “Trust” account, specifically established for the purpose

– all money deposited into or withdrawn from the Trust account is to be accounted for in writing

– funds belonging to each client are to be clearly identified within the accounting system

– the Trust account is to be audited annually by an independent person, with suitable qualifications for the role

– processes are to be in place to ensure that all clients can receive full details of funds held on their behalf at any time, including deposits, withdrawals and the current balance of funds.

1 This may range from arranging automatic payments to responsibility for all the client’s income except for a spending allowance. It applies predominantly to budget advice services but also to any other situation where a provider handles client money.

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The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation identifies objectives for clients in the programme that are consistent with the goals of the service.

Guidance

Service and programmes plans are documented describing:

• the purpose/aim of the service or programme with measurable goals and objectives

• the scope of the services/programme provided including: – the targeted client group/s – geographical area covered – the range of services/programmes offered – timelines.

The programme has a clear structure with activities and experiences that are relevant to, and likely to progress, the objectives for the client

Guidance

Service and programme plans are documented describing:

• Details of type of services/programmes to be provided including: – session plans – activity sheets – frequency and hours of operation – average number of participating clients – age group of young people.

Programmes are able to demonstrate they are age appropriate, relevant to, and likely to progress, the objectives identified in the client’s plan.

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PROGRAMME QUALITY STANDARD 2

Programmes for ClientsThe organisation plans and delivers coherent and effective programmes1 as appropriate for the service.

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The organisation ensures that adequate resources are available to enable all necessary activities to be carried out.

Guidance

Service and programme plans clearly identify:

• resources and equipment required for the programme• staffing levels required for safe operation (staff/client/children/young

people ratios)• staffing qualifications necessary for safe operation and the

responsibilities of each staff member• funding requirements.

How the organisation plans to ensure that adequate resources and equipment, as identified, will be made available for the running of the programme.

The organisation ensures that it has all the necessary consents to the participation of the child or young person in the programme.

Guidance

Signed consent forms are on the child/young person’s file. For example:

• child/young person’s agreement to participate in the programme (when applicable)

• consent for the child/young person to participate in services given by a legal representative, for example parent/caregiver, Child Youth and Family (CYF) Social Worker or legal guardian

• consent to transport the child/young person• consent to obtain or release information• consent to medicate and to obtain medical assistance if required.

Consent forms are completed at the beginning of each service or programme, and also while services are being provided when services change, when child/young person’s decisions change or when a new service is added.

The organisation ensures the safety of clients on the programme by:

5.1 Collecting all the information required for the purpose of the programme and the safety of the young people participating in the programme2

Guidance

Application/enrolment forms contain all personal information about the client including name, age, gender, address, ethnicity, medical conditions, emergency contacts.1

1 Generally, programmes are appropriate when an organisation is delivering a planned series of events that form a coherent whole.

2 The consents and information required will vary from programme to programme. Usually they will be most extensive for programmes involving outdoor activities, especially those involving overnight stays.

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5.2 Monitoring the programme to ensure that it is staff use methods of discipline or control that do not involve physical or emotional punishment

Behaviour management policies and procedures are in place including:

• staff and volunteer (including caregivers) training in recognising and responding to behaviours management issues and the use of de-escalation techniques

• staff/caregiver manuals which stipulate that staff will not use any of the following:

– force – withholding food – physical or emotional punishment – prolonged isolation from the group

• a process for recording all instances where behaviour management procedures have been used including:

– incident form, recording details of the incident which led to the need for behaviour management

– details of any investigation in to the incident – details of any reward or consequence imposed as a result of

the incident – staff Code of Conduct.

Consistent and appropriate application of behaviour management policies and procedures will be evident in the following documentation:

• incident and accident forms and details of management review of all incidents

• care placement monitoring records• staff supervision records• staff, volunteer, caregiver meeting minutes• copies of any other relevant documentation for example warning letters,

apology letters etc.

5.3 Ensuring that the physical location of the programme is appropriate and safe for the age, background and capabilities of those participating3

The organisation will have written records of the following:

• health and safety policies and procedures for all facilities used (including camp sites) that include Hazard Registers and Risk Mitigation processes

• risk assessment and management plans for all programmes or activities which take into consideration all aspects of health and safety including:

– safety equipment, appropriate for the planned activity is available and in good condition

– all gear and equipment used is clean, safe and in serviceable condition (including toys)

– first aid equipment – clean and appropriate toilet facilities – clean and appropriate beds, mattresses, bedding (sheets/duvets/

pillows) – appropriate storage for clothes – private sleeping facilities for young people – private sleeping facilities for staff – if serving food the facility has adequate health and hygiene approval

from appropriate authorities – that the site complies with MSD requirements

3 Particular attention is to be paid to the location of any outdoor pursuits component of the programme and to the location of any overnight stays.

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– on arrival the site is scanned for unidentified issues that can damage property or pose a threat to children/young people, staff or visitors or interfere with service delivery

– documentation of any incidents or issues encountered.

5.4 Having a plan to cover emergencies that may occur during the operation of the programme

Emergency policies and procedures are in place and include:

• evacuation plan• building and fire inspection reports providing assurance that the

building is safe and there are adequate fire escapes• building warrant of fitness is current (where applicable)• fire safety equipment on site• records of fire drills carried out and repeated at appropriate intervals

throughout the programme• survival plan in case of civil defence emergencies• staff training on emergency processes, including first aid training• appropriately stocked first aid kit at all venues and activities• appropriately stocked survival kit with sufficient provisions for all staff

and clients for a minimum of three days• processes to ensure that first aid kits and survival kits are regularly

checked and restocked when required.

5.5 Ensuring that all who need to, know where the participants are at all times during the programmes

Processes are in place to ensure that the whereabouts of staff and participants are known at all times including:

• attendance records• ensuring that an appropriate, responsible person is aware of the group’s

plans, including the estimated time of returning to the facility• registering of planned itineraries for outdoor pursuit activities• staff carry appropriate emergency equipment such as cell phones,

radio contact, emergency beacons.

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The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has a written intake policy1 that is consistent with the stated purpose of the service and will promote the effectiveness of the service.

Guidance

The organisation will have the following in place:

• written intake policies and procedures – written intake criteria.

The organisation may also have the following:

• intake/admission register• a list of alternative providers (with their contact details) that young

people can be referred to.

Information on client files will include evidence of the following:

• the organisation has gathered appropriate information relating to the client’s presenting issues and needs and that these have been considered for alignment with the intake criteria

• applications for programmes are considered for alignment with the programme goals and outcomes prior to the client being accepted on to the programme

• risk assessment tool to identify actual or potential risks to the client’s safety and wellbeing, with particular focus on the rights of the child/young person to be safe from the risk of abuse or harm

• all information on children/young people’s files is complete and present prior to acceptance e.g psychological assessment, legal status, background and history,family whānau details school details, presenting behaviours, special needs, and Family Group Conference (FGC) reports from other agencies, social worker information and CYF site and location (where applicable).

1 The content and depth of the organisation’s intake processes are to reflect the services it provides.

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PROGRAMME QUALITY STANDARD 3

Client intake and assessmentThe organisation uses a process to assess the needs of people it considers accepting as clients.

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The organisation ensures that those who fit its intake policy are further assessed before the organisation confirms that it will accept them as clients.2

Guidance

The organisation will have the following in place:

• written Client Assessment policies and procedures.

Information on client files will include evidence of the following:

• initial assessment of presenting issues and needs is completed to enable an informed decision to accept client for services

• records of consultation with relevant stakeholders, for example client/child/young person, family/whānau, referral agencies, medical practitioners, schools, social worker

• assessment identifies needs for specialised therapy, behaviour services, health practitioners, specialised equipment, physical, emotional, spiritual, recreational, cultural, educational, family/whānau needs, requirements for emergency/crisis events and so on)

• identification of risk such as self harm or violence and consideration of how this will be managed including the need for behaviour support and management interventions

• list of emergency contacts.

The organisation refers those it does not accept as clients to other organisations which can provide them with appropriate services.

Guidance

Where a referral is not accepted information on file will include:

• the non-acceptance of the client including the assessment and rationale for non-acceptance

• any referral to another service• notification to the referral agency of the non-acceptance and any on-

referral that has been made• consultation with CYF (where appropriate) regarding the reasons for

non-acceptance and details of any on-referral made• client agreement to the referral to another agency and details of client

information provided to that agency.

2 The extent of the assessment is to be appropriate for the client and services involved.

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PROGRAMME QUALITY STANDARD 4

Client PlanningThe organisation has a collaborative process for planning its work with clients.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation uses a process for determining those clients who require a formal intervention plan

Guidance

The organisation will have the following in place:

• written Client Assessment and Planning policies and procedures.

Information on client files will include evidence of the following:

• written analysis of client needs and identification of supports required to meet those needs

• assessment includes identification of risk and consideration of how this will be managed

• evidence of informed decision making regarding whether client needs formal intervention plan.

The organisation has a process for planning the provision of services with those clients who do not require a formal intervention plan

Guidance

The organisation will have the following in place:

• written Client Assessment and Planning policies and procedures.

Information on client files will include evidence of the following:

• evidence of matching process of services to be provided to the support needs of the client

• evidence of staff working with the client to ensure appropriate supports are in place, including written evidence of referrals to other services or programmes.

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Evidence of work with clients who do not require a formal intervention plan may also be included in:

• multi-disciplinary team meeting or case conference minutes• staff meeting minutes• management review notes• supervision notes.

The organisation ensures that when it is providing a range of services to a client, these meet both the needs of the client and the objectives of the service.

Guidance

The organisation will have the following in place:

• written Client Assessment and Planning policies and procedures.

Information on client files will include evidence of the following:

• client goals aligned to the needs assessment• desired outcomes and timeframes for achieving them• record of services and supports to be provided• client evaluation and feedback.

The organisation makes changes to service received by a client based on regular evaluation of the:

4.1 Programmes or activities in which they have participated

Guidance

Information on client files will include evidence of the following:

• client plan is current and includes: – details of programmes or activities participated in – details of services (either internal or external) that have been

accessed, e.g. drug and alcohol prevention programme; stopping violence; budget advice service; counselling.

4.2 Progress they have made towards meeting their goals

Information on client files will include evidence of the following:

• documentation of regular case review and checking progress against goals

• documentation of programme or activity evaluation.

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The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome.

Criteria

The organisation has a process involving the client, the client’s family and others as appropriate to develop formal intervention plans with those clients who require them.

Guidance

The organisation’s policies include processes which facilitate the involvement of the child or young person their families and other appropriate stakeholders.

Information on client files will include evidence of the following:

• client agreement to the goals identified in the formal intervention plan for example young persons (or parent/guardian if a child) signature agreeing to the plan

• evidence that goals are focussed on the client and include at least one goal identified by that person

• evidence of involvement of family/whānau in the planning process where this is considered appropriate

• client files confirms that the client and their family has been involved and participated in the planning process

• files evidence consultation with all stakeholders, for example family/whānau, referral agencies, medical practitioners, schools.

The organisation’s intervention plans clearly state the;

2.1 Clients long-term and short term goals

Guidance

Information on client files will include evidence of the following:

• clear identification of both long and short-term goals• clients participation in identification of the goals• clients agreement to the goals • evidence that the client understands their plan and the goals and that at

least one goal has been identified by them

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PROGRAMME QUALITY STANDARD 5

Formal Intervention PlansThe organisation develops effective formal intervention plans with those clients who require them.

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• anticipated timeframes for achieving goals• regular, formal, recorded reviews of progress, including reviewing goals

if necessary• case notes that document all actions impacting on the plan, including

all client contact• appropriate recording of the outcomes of all interventions and closure

of the file.

2.2 Services the organisation will provide to help them achieve their goals

Information on client files will include evidence of the following:

• strategies to achieve goals • roles, tasks and responsibilities of all parties• details of support the organisation will provide to help them achieve

their goals such as assisting with transport, notifying creditors of the organisations involvement etc.

2.3 Programmes in which the client will participate in

Information on client files will include evidence of the following:

• programmes to be attended• support provided to the client to enable them to access programmes• monitoring and follow up on client progress• details of outcomes achieved by attending the programme.

The intervention plans of budget advice clients, have a budget attached.

Information on client files will include evidence of the following:

• identification of specific financial issues including accounts, fines, overdue amounts, loans etc

• formal, written budget which identifies the total amount of debts, the client’s income and payment plans

• cash flow which shows income and expenditure and traces debt reduction.

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PROGRAMME QUALITY STANDARD 6

Client Record KeepingThe organisation records its work with clients.

The organisation shall demonstrate to the Ministry of Social Development that:

Policy and procedure must meet the criteria and reflect the overall standard outcome

Criteria

The organisation keeps records of its work with clients that meet the ministry’s reporting requirements

Guidance

Processes are in place to record:

• all appropriate personal information relating to the young person and their family/whānau

• statistical information on client numbers.• client attendance and participation in programmes and activities.

Funding and contracting monitoring reports verify the accuracy of statistical information.

The organisation ensures that client records document each stage of service provision from intake to service conclusion.

Guidance

Client files document:

• all involvement by the organisation with the client• the involvement of any external agencies or services (e.g. psychologist) • each stage of service provision is documented, including Intake,

assessment planning and termination• details of any incidents relating to the young person, and actions taken

in regard to the incident.

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The organisation collects, records, stores and uses client information in keeping with the Privacy Act (1993).1

Guidance

The organisation’s Privacy/Confidentiality Policy meets legislative requirements and access is limited to:

• clients• the parent or legal guardian, as appropriate• staff authorised to access specific information on a ‘need to know’ basis• others who are permitted access• auditors, contractors and licensing or accrediting staff.1

The organisation has written policies and procedures in place relating the storage, archiving and disposal of client records.

The organisation will be able to demonstrate that:

• all client files are stored securely, including both current and closed files• archiving and disposal processes are in keeping with the Privacy Act and

any other relevant legislative requirements• when appropriate, client information is disposed of securely.

The organisation provides written information to its clients on who will have access to personal information or documentation that the organisation holds about them.

Guidance

The organisation will be able to demonstrate that:

• clients are provided with written advice on who will have access to their personal information

• clients are informed when access has been given to their personal information.

1 CYF has the statutory power under the sections 401 (1) (d) and 409 (1) (d) of the Children, Young Persons and their Families Act 1989 to examine any documents or records held by an approved organisation. Consistent with its commitment to the paramountcy of the welfare and interests of the child or young person, CYF will exercise the utmost discretion in exercising this power.

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